CELEX ID: 22021A0430(01)

--- ENGLISH ---

Document:
30.4.2021
EN
Official Journal of the European Union
L 149/10
TRADE AND COOPERATION
Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part
PREAMBLE
THE EUROPEAN UNION AND THE EUROPEAN ATOMIC ENERGY COMMUNITY
AND
THE UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND,
1.
REAFFIRMING their commitment to democratic principles, to the rule of law, to human rights, to countering proliferation of weapons of mass destruction and to the fight against climate change, which constitute essential elements of this and supplementing agreements,
2.
RECOGNISING the importance of global cooperation to address issues of shared interest,
3.
RECOGNISING the importance of transparency in international trade and investment to the benefit of all stakeholders,
4.
SEEKING to establish clear and mutually advantageous rules governing trade and investment between the Parties,
5.
CONSIDERING that in order to guarantee the efficient management and correct interpretation and application of this Agreement and any supplementing agreement, as well as compliance with the obligations under those agreements, it is essential to establish provisions ensuring overall governance, in particular dispute settlement and enforcement rules that fully respect the autonomy of the respective legal orders of the Union and of the United Kingdom, as well as the United Kingdom's status as a country outside the European Union,
6.
BUILDING upon their respective rights and obligations under the Marrakesh Agreement Establishing the World Trade Organization, done on 15 April 1994, and other multilateral and bilateral instruments of cooperation,
7.
RECOGNISING the Parties' respective autonomy and rights to regulate within their territories in order to achieve legitimate public policy objectives such as the protection and promotion of public health, social services, public education, safety, the environment including climate change, public morals, social or consumer protection, animal welfare, privacy and data protection and the promotion and protection of cultural diversity, while striving to improve their respective high levels of protection,
8.
BELIEVING in the benefits of a predictable commercial environment that fosters trade and investment between the Parties and prevents the distortion of trade and unfair competitive advantages, in a manner conducive to sustainable development in its economic, social and environmental dimensions,
9.
RECOGNISING the need for an ambitious, wide-ranging and balanced economic partnership to be underpinned by a level playing field for open and fair competition and sustainable development, through effective and robust frameworks for subsidies and competition and a commitment to uphold their respective high levels of protection in the areas of labour and social standards, environment, the fight against climate change, and taxation,
10.
RECOGNISING the need to ensure an open and secure market for businesses, including small and medium-sized enterprises, and their goods and services through addressing unjustified barriers to trade and investment,
11.
NOTING the importance of facilitating new opportunities for businesses and consumers through digital trade, and addressing unjustified barriers to data flows and trade enabled by electronic means, whilst respecting the Parties' personal data protection rules,
12.
DESIRING that this Agreement contribute to consumer welfare through policies ensuring a high level of consumer protection and economic well-being, as well as encouraging cooperation between relevant authorities,
13.
CONSIDERING the importance of cross-border connectivity by air, by road and by sea, for passengers and for goods, and the need to ensure high standards in the provision of transportation services between the Parties,
14.
RECOGNISING the benefits of trade and investment in energy and raw materials and the importance of supporting the delivery of cost efficient, clean and secure energy supplies to the Union and the United Kingdom,
15.
NOTING the interest of the Parties in establishing a framework to facilitate technical cooperation and to develop new trading arrangements for interconnectors which deliver robust and efficient outcomes for all timeframes,
16.
NOTING that cooperation and trade between the Parties in these areas should be based on fair competition in energy markets and non-discriminatory access to networks,
17.
RECOGNISING the benefits of sustainable energy, renewable energy, in particular offshore generation in the North Sea, and energy efficiency,
18.
DESIRING to promote the peaceful use of the waters adjacent to their coasts and the optimum and equitable utilisation of the marine living resources in those waters including the continued sustainable management of shared stocks,
19.
NOTING that the United Kingdom withdrew from the European Union and that with effect from 1 January 2021, the United Kingdom is an independent coastal State with corresponding rights and obligations under international law,
20.
AFFIRMING that the sovereign rights of the coastal States exercised by the Parties for the purpose of exploring, exploiting, conserving and managing the living resources in their waters should be conducted pursuant to and in accordance with the principles of international law, including the United Nations Convention on the Law of the Sea, done at Montego Bay on 10 December 1982 (United Nations Convention on the Law of the Sea),
21.
RECOGNISING the importance of the coordination of social security rights enjoyed by persons moving between the Parties to work, to stay or to reside, as well as the rights enjoyed by their family members and survivors,
22.
CONSIDERING that cooperation in areas of shared interest, such as science, research and innovation, nuclear research and space, in the form of the participation of the United Kingdom in the corresponding Union programmes under fair and appropriate conditions will benefit both Parties,
23.
CONSIDERING that cooperation between the United Kingdom and the Union relating to the prevention, investigation, detection or prosecution of criminal offences and to the execution of criminal penalties, including the safeguarding against and prevention of threats to public security, will enable the security of the United Kingdom and the Union to be strengthened,
24.
DESIRING that an agreement is concluded between the United Kingdom and the Union to provide a legal base for such cooperation,
25.
ACKNOWLEDGING that the Parties may supplement this Agreement with other agreements forming an integral part of their overall bilateral relations as governed by this Agreement and that the Agreement on Security Procedures for Exchanging and Protecting Classified Information is concluded as such a supplementing agreement and enables the exchange of classified information between the Parties under this Agreement or any other supplementing agreement,
HAVE AGREED AS FOLLOWS:
PART ONE
COMMON AND INSTITUTIONAL PROVISIONS
TITLE I
GENERAL PROVISIONS
Article 1
Purpose
This Agreement establishes the basis for a broad relationship between the Parties, within an area of prosperity and good neighbourliness characterised by close and peaceful relations based on cooperation, respectful of the Parties' autonomy and sovereignty.
Article 2
Supplementing agreements
1.   Where the Union and the United Kingdom conclude other bilateral agreements between them, such agreements shall constitute supplementing agreements to this Agreement, unless otherwise provided for in those agreements. Such supplementing agreements shall be an integral part of the overall bilateral relations as governed by this Agreement and shall form part of the overall framework.
2.   Paragraph 1 also applies to:
(a)
agreements between the Union and its Member States, of the one part, and the United Kingdom, of the other part; and
(b)
agreements between the European Atomic Energy Community, of the one part, and the United Kingdom, of the other part.
Article 3
Good faith
1.   The Parties shall, in full mutual respect and good faith, assist each other in carrying out tasks that flow from this Agreement and any supplementing agreement.
2.   They shall take all appropriate measures, whether general or particular, to ensure the fulfilment of the obligations arising from this Agreement and from any supplementing agreement, and shall refrain from any measures which could jeopardise the attainment of the objectives of this Agreement or any supplementing agreement.
TITLE II
PRINCIPLES OF INTERPRETATION AND DEFINITIONS
Article 4
Public international law
1.   The provisions of this Agreement and any supplementing agreement shall be interpreted in good faith in accordance with their ordinary meaning in their context and in light of the object and purpose of the agreement in accordance with customary rules of interpretation of public international law, including those codified in the Vienna Convention on the Law of Treaties, done at Vienna on 23 May 1969.
2.   For greater certainty, neither this Agreement nor any supplementing agreement establishes an obligation to interpret their provisions in accordance with the domestic law of either Party.
3.   For greater certainty, an interpretation of this Agreement or any supplementing agreement given by the courts of either Party shall not be binding on the courts of the other Party.
Article 5
Private rights
1.   Without prejudice to Article SSC.67 of the Protocol on Social Security Coordination and with the exception, with regard to the Union, of Part Three of this Agreement, nothing in this Agreement or any supplementing agreement shall be construed as conferring rights or imposing obligations on persons other than those created between the Parties under public international law, nor as permitting this Agreement or any supplementing agreement to be directly invoked in the domestic legal systems of the Parties.
2.   A Party shall not provide for a right of action under its law against the other Party on the ground that the other Party has acted in breach of this Agreement or any supplementing agreement.
Article 6
Definitions
1.   For the purposes of this Agreement and any supplementing agreement, and unless otherwise specified, the following definitions apply:
(a)
"data subject" means an identified or identifiable natural person; an identifiable person being a person who can be identified, directly or indirectly, in particular by reference to an identifier such as a name, an identification number, location data or an online identifier, or to one or more factors specific to the physical, physiological, genetic, mental, economic, cultural or social identity of that natural person;
(b)
"day" means a calendar day;
(c)
"Member State" means a Member State of the European Union;
(d)
"personal data" means any information relating to a data subject;
(e)
"State" means a Member State or the United Kingdom, as the context requires;
(f)
"territory" of a Party means in respect of each Party the territories to which this Agreement applies in accordance with Article 774;
(g)
"the transition period" means the transition period provided for in Article 126 of the Withdrawal Agreement; and
(h)
"Withdrawal Agreement" means the Agreement on the withdrawal of the United Kingdom of Great Britain and Northern Ireland from the European Union and the European Atomic Energy Community, including its Protocols.
2.   Any reference to the "Union", "Party" or "Parties" in this Agreement or any supplementing agreement shall be understood as not including the European Atomic Energy Community, unless otherwise specified or where the context otherwise requires.
TITLE III
INSTITUTIONAL FRAMEWORK
Article 7
Partnership Council
1.   A Partnership Council is hereby established. It shall comprise representatives of the Union and of the United Kingdom. The Partnership Council may meet in different configurations depending on the matters under discussion.
2.   The Partnership Council shall be co-chaired by a Member of the European Commission and a representative of the Government of the United Kingdom at ministerial level. It shall meet at the request of the Union or the United Kingdom, and, in any event, at least once a year, and shall set its meeting schedule and its agenda by mutual consent.
3.   The Partnership Council shall oversee the attainment of the objectives of this Agreement and any supplementing agreement. It shall supervise and facilitate the implementation and application of this Agreement and of any supplementing agreement. Each Party may refer to the Partnership Council any issue relating to the implementation, application and interpretation of this Agreement or of any supplementing agreement.
4.   The Partnership Council shall have the power to:
(a)
adopt decisions in respect of all matters where this Agreement or any supplementing agreement so provides;
(b)
make recommendations to the Parties regarding the implementation and application of this Agreement or of any supplementing agreement;
(c)
adopt, by decision, amendments to this Agreement or to any supplementing agreement in the cases provided for in this Agreement or in any supplementing agreement;
(d)
except in relation to Title III of Part One, until the end of the fourth year following the entry into force of this Agreement, adopt decisions amending this Agreement or any supplementing agreement, provided that such amendments are necessary to correct errors, or to address omissions or other deficiencies;
(e)
discuss any matter related to the areas covered by this Agreement or by any supplementing agreement;
(f)
delegate certain of its powers to the Trade Partnership Committee or to a Specialised Committee, except those powers and responsibilities referred to in point (g) of this paragraph;
(g)
by decision, establish Trade Specialised Committees and Specialised Committees, other than those referred to in Article 8(1), dissolve any Trade Specialised Committee or Specialised Committee, or change the tasks assigned to them; and
(h)
make recommendations to the Parties regarding the transfer of personal data in specific areas covered by this Agreement or any supplementing agreement.
5.   The work of the Partnership Council shall be governed by the rules of procedure set out in Annex 1. The Partnership Council may amend that Annex.
Article 8
Committees
1.   The following Committees are hereby established:
(a)
the Trade Partnership Committee, which addresses matters covered by Titles I to VII, Chapter 4 of Title VIII, Titles IX to XII of Heading One of Part Two, Heading Six of Part Two, and Annex 27;
(b)
the Trade Specialised Committee on Goods which addresses matters covered by Chapter 1 of Title I of Heading One of Part Two and Chapter 4 of Title VIII of Heading One of Part Two;
(c)
the Trade Specialised Committee on Customs Cooperation and Rules of Origin, which addresses matters covered by Chapters 2 and 5 of Title I of Heading One of Part Two, the Protocol on mutual administrative assistance in customs matters and the provisions on customs enforcement of intellectual property rights, fees and charges, customs valuation and repaired goods;
(d)
the Trade Specialised Committee on Sanitary and Phytosanitary Measures, which addresses matters covered by Chapter 3 of Title I of Heading One of Part Two;
(e)
the Trade Specialised Committee on Technical Barriers to Trade, which addresses matters covered by Chapter 4 of Title I of Heading One of Part Two and Article 323;
(f)
the Trade Specialised Committee on Services, Investment and Digital Trade, which addresses matters covered by Titles II to IV of Heading One of Part Two and Chapter 4 of Title VIII of Heading One of Part Two;
(g)
the Trade Specialised Committee on Intellectual Property, which addresses matters covered by Title V of Heading One of Part Two;
(h)
the Trade Specialised Committee on Public Procurement, which addresses matters covered by Title VI of Heading One of Part Two;
(i)
the Trade Specialised Committee on Regulatory Cooperation, which addresses matters covered by Title X of Heading One of Part Two;
(j)
the Trade Specialised Committee on Level Playing Field for Open and Fair Competition and Sustainable Development, which addresses matters covered by Title XI of Heading One of Part Two and Annex 27;
(k)
the Trade Specialised Committee on Administrative Cooperation in VAT and Recovery of Taxes and Duties, which addresses matters covered by the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties;
(l)
the Specialised Committee on Energy,
(i)
which addresses matters covered by Title VIII of Heading One of Part Two, with the exception of Chapter 4, Article 323 and Annex 27, and
(ii)
which can discuss and provide expertise to the relevant Trade Specialised Committee on matters pertaining to Chapter 4 and Article 323;
(m)
the Specialised Committee on Air Transport, which addresses matters covered by Title I of Heading Two of Part Two;
(n)
the Specialised Committee on Aviation Safety, which addresses matters covered by Title II of Heading Two of Part Two;
(o)
the Specialised Committee on Road Transport, which addresses matters covered by Heading Three of Part Two;
(p)
the Specialised Committee on Social Security Coordination, which addresses matters covered by Heading Four of Part Two and the Protocol on Social Security Coordination;
(q)
the Specialised Committee on Fisheries, which addresses matters covered by Heading Five of Part Two;
(r)
the Specialised Committee on Law Enforcement and Judicial Cooperation, which addresses matters covered by Part Three; and
(s)
the Specialised Committee on Participation in Union Programmes, which addresses matters covered by Part Five.
2.   With respect to issues related to Titles I to VII, Chapter 4 of Title VIII, Titles IX to XII of Heading One of Part Two, Heading Six of Part Two and Annex 27, the Trade Partnership Committee referred to in paragraph 1 of this Article shall have the power to:
(a)
assist the Partnership Council in the performance of its tasks and, in particular, report to the Partnership Council and carry out any task assigned to it by the latter;
(b)
supervise the implementation of this Agreement or any supplementing agreement;
(c)
adopt decisions or make recommendations as provided for in this Agreement or any supplementing agreement or where such power has been delegated to it by the Partnership Council;
(d)
supervise the work of the Trade Specialised Committees referred to in paragraph 1 of this Article;
(e)
explore the most appropriate way to prevent or solve any difficulty that may arise in relation to the interpretation and application of this Agreement or any supplementing agreement, without prejudice to Title I of Part Six;
(f)
exercise the powers delegated to it by the Partnership Council pursuant to point (f) of Article 7(4);
(g)
establish, by decision, Trade Specialised Committees other than those referred to in paragraph 1 of this Article, dissolve any such Trade Specialised Committee, or change the tasks assigned to them; and
(h)
establish, supervise, coordinate and dissolve Working Groups, or delegate their supervision to a Trade Specialised Committee.
3.   With respect to issues related to their area of competence, Trade Specialised Committees shall have the power to:
(a)
monitor and review the implementation and ensure the proper functioning of this Agreement or any supplementing agreement;
(b)
assist the Trade Partnership Committee in the performance of its tasks and, in particular, report to the Trade Partnership Committee and carry out any task assigned to them by it;
(c)
conduct the preparatory technical work necessary to support the functions of the Partnership Council and the Trade Partnership Committee, including when those bodies have to adopt decisions or recommendations;
(d)
adopt decisions in respect of all matters where this Agreement or any supplementing agreement so provides;
(e)
discuss technical issues arising from the implementation of this Agreement or of any supplementing agreement, without prejudice to Title I of Part Six; and
(f)
provide a forum for the Parties to exchange information, discuss best practices and share implementation experience.
4.   With respect to issues related to their area of competence, Specialised Committees shall have the power to:
(a)
monitor and review the implementation and ensure the proper functioning of this Agreement or any supplementing agreement;
(b)
assist the Partnership Council in the performance of its tasks and, in particular, report to the Partnership Council and carry out any task assigned to them by it;
(c)
adopt decisions, including amendments, and recommendations in respect of all matters where this Agreement or any supplementing agreement so provides or for which the Partnership Council has delegated its powers to a Specialised Committee in accordance with point (f) of Article 7(4);
(d)
discuss technical issues arising from the implementation of this Agreement or any supplementing agreement;
(e)
provide a forum for the Parties to exchange information, discuss best practices and share implementation experience;
(f)
establish, supervise, coordinate and dissolve Working Groups; and
(g)
provide a forum for consultation pursuant to Article 738(7).
5.   Committees shall comprise representatives of each Party. Each Party shall ensure that its representatives on the Committees have the appropriate expertise with respect to the issues under discussion.
6.   The Trade Partnership Committee shall be co-chaired by a senior representative of the Union and a representative of the United Kingdom with responsibility for trade-related matters, or their designees. It shall meet at the request of the Union or the United Kingdom, and, in any event, at least once a year, and shall set its meeting schedule and its agenda by mutual consent.
7.   The Trade Specialised Committees and the Specialised Committees shall be co-chaired by a representative of the Union and a representative of the United Kingdom. Unless otherwise provided for in this Agreement, or unless the co-chairs decide otherwise, they shall meet at least once a year.
8.   Committees shall set their meeting schedule and agenda by mutual consent.
9.   The work of the Committees shall be governed by the rules of procedure set out in Annex 1.
10.   By way of derogation from paragraph 9, a Committee may adopt and subsequently amend its own rules that shall govern its work.
Article 9
Working Groups
1.   The following Working Groups are hereby established:
(a)
the Working Group on Organic Products, under the supervision of the Trade Specialised Committee on Technical Barriers to Trade;
(b)
the Working Group on Motor Vehicles and Parts, under the supervision of the Trade Specialised Committee on Technical Barriers to Trade;
(c)
the Working Group on Medicinal Products, under the supervision of the Trade Specialised Committee on Technical Barriers to Trade;
(d)
the Working Group on Social Security Coordination, under the supervision of the Specialised Committee on Social Security Coordination.
2.   Working Groups shall, under the supervision of Committees, assist Committees in the performance of their tasks and, in particular, prepare the work of Committees and carry out any task assigned to them by the latter.
3.   Working Groups shall comprise representatives of the Union and of the United Kingdom and shall be co-chaired by a representative of the Union and a representative of the United Kingdom.
4.   Working Groups shall set their own rules of procedure, meeting schedule and agenda by mutual consent.
Article 10
Decisions and recommendations
1.   The decisions adopted by the Partnership Council, or, as the case may be, by a Committee, shall be binding on the Parties and on all the bodies set up under this Agreement and under any supplementing agreement, including the arbitration tribunal referred to in Title I of Part Six. Recommendations shall have no binding force.
2.   The Partnership Council or, as the case may be, a Committee, shall adopt decisions and make recommendations by mutual consent.
Article 11
Parliamentary cooperation
1.   The European Parliament and the Parliament of the United Kingdom may establish a Parliamentary Partnership Assembly consisting of Members of the European Parliament and of Members of the Parliament of the United Kingdom, as a forum to exchange views on the partnership.
2.   Upon its establishment, the Parliamentary Partnership Assembly:
(a)
may request relevant information regarding the implementation of this Agreement and any supplementing agreement from the Partnership Council, which shall then supply that Assembly with the requested information;
(b)
shall be informed of the decisions and recommendations of the Partnership Council; and
(c)
may make recommendations to the Partnership Council.
Article 12
Participation of civil society
The Parties shall consult civil society on the implementation of this Agreement and any supplementing agreement, in particular through interaction with the domestic advisory groups and the Civil Society Forum referred to in Articles 13 and 14.
Article 13
Domestic advisory groups
1.   Each Party shall consult on issues covered by this Agreement and any supplementing agreement its newly created or existing domestic advisory group or groups comprising a representation of independent civil society organisations including non-governmental organisations, business and employers' organisations, as well as trade unions, active in economic, sustainable development, social, human rights, environmental and other matters. Each Party may convene its domestic advisory group or groups in different configurations to discuss the implementation of different provisions of this Agreement or of any supplementing agreement.
2.   Each Party shall consider views or recommendations submitted by its domestic advisory group or groups. Representatives of each Party shall aim to consult with their respective domestic advisory group or groups at least once a year. Meetings may be held by virtual means.
3.   In order to promote public awareness of the domestic advisory groups, each Party shall endeavour to publish the list of organisations participating in its domestic advisory group or groups as well as the contact point for that or those groups.
4.   The Parties shall promote interaction between their respective domestic advisory groups, including by exchanging where possible the contact details of members of their domestic advisory groups.
Article 14
Civil Society Forum
1.   The Parties shall facilitate the organisation of a Civil Society Forum to conduct a dialogue on the implementation of Part Two. The Partnership Council shall adopt operational guidelines for the conduct of the Forum.
2.   The Civil Society Forum shall meet at least once a year, unless otherwise agreed by the Parties. The Civil Society Forum may meet by virtual means.
3.   The Civil Society Forum shall be open for the participation of independent civil society organisations established in the territories of the Parties, including members of the domestic advisory groups referred to in Article 13. Each Party shall promote a balanced representation, including non-governmental organisations, business and employers' organisations and trade unions, active in economic, sustainable development, social, human rights, environmental and other matters.
PART TWO
TRADE, TRANSPORT, FISHERIES AND OTHER ARRANGEMENTS
HEADING ONE
TRADE
TITLE I
TRADE IN GOODS
CHAPTER 1
NATIONAL TREATMENT AND MARKET ACCESS FOR GOODS (INCLUDING TRADE REMEDIES)
Article 15
Objective
The objective of this Chapter is to facilitate trade in goods between the Parties and to maintain liberalised trade in goods in accordance with the provisions of this Agreement.
Article 16
Scope
Except as otherwise provided, this Chapter applies to trade in goods of a Party.
Article 17
Definitions
For the purposes of this Chapter, the following definitions apply:
(a)
"consular transactions" means the procedure of obtaining from a consul of the importing Party in the territory of the exporting Party, or in the territory of a third party, a consular invoice or a consular visa for a commercial invoice, certificate of origin, manifest, shipper's export declaration or any other customs documentation in connection with the importation of the good;
(b)
"Customs Valuation Agreement" means the Agreement on Implementation of Article VII of GATT 1994;
(c)
"export licensing procedure" means an administrative procedure, whether or not referred to as licensing, used by a Party for the operation of export licensing regimes, requiring the submission of an application or other documentation, other than that generally required for customs clearance purposes, to the relevant administrative body as a prior condition for exportation from that Party;
(d)
"import licensing procedure" means an administrative procedure, whether or not referred to as licensing, used by a Party for the operation of import licensing regimes, requiring the submission of an application or other documentation, other than that generally required for customs clearance purposes, to the relevant administrative body or bodies as a prior condition for importation into the territory of the importing Party;
(e)
"originating goods" means, unless otherwise provided, a good qualifying under the rules of origin set out in Chapter 2 of this Title;
(f)
"performance requirement" means a requirement that:
(i)
a given quantity, value or percentage of goods be exported;
(ii)
goods of the Party granting an import licence be substituted for imported goods;
(iii)
a person benefiting from an import licence purchase other goods in the territory of the Party granting the import licence, or accord a preference to domestically produced goods;
(iv)
a person benefiting from an import licence produce goods in the territory of the Party granting the import licence, with a given quantity, value or percentage of domestic content; or
(v)
relates in whatever form to the volume or value of imports, to the volume or value of exports or to the amount of foreign exchange flows;
(g)
"remanufactured good" means a good classified under HS Chapters 32, 40, 84 to 90, 94 or 95 that:
(i)
is entirely or partially composed of parts obtained from used goods;
(ii)
has similar life expectancy and performance compared with such goods, when new; and
(iii)
is given an equivalent warranty to as that applicable to such goods when new; and
(h)
"repair" means any processing operation undertaken on a good to remedy operating defects or material damage and entailing the re-establishment of the good to its original function or to ensure compliance with technical requirements for its use. Repair of a good includes restoration and maintenance, with a possible increase in the value of the good from restoring the original functionality of that good, but does not include an operation or process that:
(i)
destroys the essential characteristics of a good, or creates a new or commercially different good;
(ii)
transforms an unfinished good into a finished good; or
(iii)
is used to improve or upgrade the technical performance of a good.
Article 18
Classification of goods
The classification of goods in trade between the Parties under this Agreement is set out in each Party's respective tariff nomenclature in conformity with the Harmonised System.
Article 19
National treatment on internal taxation and regulation
Each Party shall accord national treatment to the goods of the other Party in accordance with Article III of GATT 1994 including its Notes and Supplementary Provisions. To that end, Article III of GATT 1994 and its Notes and Supplementary Provisions are incorporated into and made part of this Agreement, 
mutatis mutandis
.
Article 20
Freedom of transit
Each Party shall accord freedom of transit through its territory, via the routes most convenient for international transit, for traffic in transit to or from the territory of the other Party or of any other third country. To that end, Article V of GATT 1994 and its Notes and Supplementary Provisions are incorporated into and made part of this Agreement, 
mutatis mutandis
. The Parties understand that Article V of GATT 1994 includes the movement of energy goods via inter alia pipelines or electricity grids.
Article 21
Prohibition of customs duties
Except as otherwise provided for in this Agreement, customs duties on all goods originating in the other Party shall be prohibited.
Article 22
Export duties, taxes or other charges
1.   A Party may not adopt or maintain any duty, tax or other charge of any kind imposed on, or in connection with, the exportation of a good to the other Party; or any internal tax or other charge on a good exported to the other Party that is in excess of the tax or charge that would be imposed on like goods when destined for domestic consumption.
2.   For the purpose of this Article the term "other charge of any kind" does not include fees or other charges that are permitted under Article 23.
Article 23
Fees and formalities
1.   Fees and other charges imposed by a Party on or in connection with importation or exportation of a good of the other Party shall be limited in amount to the approximate cost of the services rendered, and shall not represent an indirect protection to domestic goods or taxation of imports or exports for fiscal purposes. A Party shall not levy fees or other charges on or in connection with importation or exportation on an 
ad valorem
 basis.
2.   Each Party may impose charges or recover costs only where specific services are rendered, in particular, but not limited to, the following:
(a)
attendance, where requested, by customs staff outside official office hours or at premises other than customs premises;
(b)
analyses or expert reports on goods and postal fees for the return of goods to an applicant, particularly in respect of decisions relating to binding information or the provision of information concerning the application of the customs laws and regulations;
(c)
the examination or sampling of goods for verification purposes, or the destruction of goods, where costs other than the cost of using customs staff are involved; and
(d)
exceptional control measures, if these are necessary due to the nature of the goods or to a potential risk.
3.   Each Party shall promptly publish all fees and charges it imposes in connection with importation or exportation via an official website in such a manner as to enable governments, traders and other interested parties, to become acquainted with them. That information shall include the reason for the fee or charge for the service provided, the responsible authority, the fees and charges that will be applied, and when and how payment is to be made. New or amended fees and charges shall not be imposed until information in accordance with this paragraph has been published and made readily available.
4.   A Party shall not require consular transactions, including related fees and charges, in connection with the importation of any good of the other Party.
Article 24
Repaired goods
1.   A Party shall not apply a customs duty to a good, regardless of its origin, that re-enters the Party's territory after that good has been temporarily exported from its territory to the territory of the other Party for repair.
2.   Paragraph 1 does not apply to a good imported in bond, into free trade zones, or in similar status, that is then exported for repair and is not re-imported in bond, into free trade zones, or in similar status.
3.   A Party shall not apply a customs duty to a good, regardless of its origin, imported temporarily from the territory of the other Party for repair.
Article 25
Remanufactured goods
1.   A Party shall not accord to remanufactured goods of the other Party treatment that is less favourable than that which it accords to equivalent goods in new condition.
2.   Article 26 applies to import and export prohibitions or restrictions on remanufactured goods. If a Party adopts or maintains import and export prohibitions or restrictions on used goods, it shall not apply those measures to remanufactured goods.
3.   A Party may require that remanufactured goods be identified as such for distribution or sale in its territory and that they meet all applicable technical requirements that apply to equivalent goods in new condition.
Article 26
Import and export restrictions
1.   A Party shall not adopt or maintain any prohibition or restriction on the importation of any good of the other Party or on the exportation or sale for export of any good destined for the territory of the other Party, except in accordance with Article XI of GATT 1994, including its Notes and Supplementary Provisions. To that end, Article XI of GATT 1994 and its Notes and Supplementary Provisions are incorporated into and made part of this Agreement, 
mutatis mutandis
.
2.   A Party shall not adopt or maintain:
(a)
export and import price requirements, except as permitted in enforcement of countervailing and anti-dumping duty orders and undertakings; or
(b)
import licensing conditioned on the fulfilment of a performance requirement.
Article 27
Import and export monopolies
A Party shall not designate or maintain an import or export monopoly. For the purposes of this Article, import or export monopoly means the exclusive right or grant of authority by a Party to an entity to import a good from, or export a good to, the other Party.
Article 28
Import licensing procedures
1.   Each Party shall ensure that all import licensing procedures applicable to trade in goods between the Parties are neutral in application, and are administered in a fair, equitable, non-discriminatory and transparent manner.
2.   A Party shall only adopt or maintain licensing procedures as a condition for importation into its territory from the territory of the other Party, if other appropriate procedures to achieve an administrative purpose are not reasonably available.
3.   A Party shall not adopt or maintain any non-automatic import licensing procedure, unless it is necessary to implement a measure that is consistent with this Agreement. A Party adopting such non-automatic import licensing procedure shall indicate clearly the measure being implemented through that procedure.
4.   Each Party shall introduce and administer any import licensing procedure in accordance with Articles 1 to 3 of the WTO Agreement on Import Licensing Procedures (the "Import Licensing Agreement"). To that end, Articles 1 to 3 of the Import Licensing Agreement are incorporated into and made part of this Agreement 
mutatis mutandis
.
5.   Any Party introducing or modifying any import licensing procedure shall make all relevant information available online on an official website. That information shall be made available, whenever practicable, at least 21 days prior to the date of the application of the new or modified licensing procedure and in any event no later than the date of application. That information shall contain the data required under Article 5 of the Import Licensing Agreement.
6.   At the request of the other Party, a Party shall promptly provide any relevant information regarding any import licensing procedures that it intends to adopt or that it maintains, including the information referred to in Articles 1 to 3 of the Import Licensing Agreement.
7.   For greater certainty, nothing in this Article requires a Party to grant an import licence, or prevents a Party from implementing its obligations or commitments under United Nations Security Council Resolutions or under multilateral non-proliferation regimes and import control arrangements.
Article 29
Export licensing procedures
1.   Each Party shall publish any new export licensing procedure, or any modification to an existing export licensing procedure, in such a manner as to enable governments, traders and other interested parties to become acquainted with them. Such publication shall take place, whenever practicable, 45 days before the procedure or modification takes effect, and in any case no later than the date such procedure or modification takes effect and, where appropriate, publication shall take place on any relevant government websites.
2.   The publication of export licensing procedures shall include the following information:
(a)
the texts of the Party's export licensing procedures, or of any modifications the Party makes to those procedures;
(b)
the goods subject to each licensing procedure;
(c)
for each procedure, a description of the process for applying for a licence and any criteria an applicant must meet to be eligible to apply for a licence, such as possessing an activity licence, establishing or maintaining an investment, or operating through a particular form of establishment in a Party's territory;
(d)
a contact point or points from which interested persons can obtain further information on the conditions for obtaining an export licence;
(e)
the administrative body or bodies to which an application or other relevant documentation are to be submitted;
(f)
a description of any measure or measures being implemented through the export licensing procedure;
(g)
the period during which each export licensing procedure will be in effect, unless the procedure remains in effect until withdrawn or revised in a new publication;
(h)
if the Party intends to use a licensing procedure to administer an export quota, the overall quantity and, if applicable, the value of the quota and the opening and closing dates of the quota; and
(i)
any exemptions or exceptions that replace the requirement to obtain an export licence, how to request or use those exemptions or exceptions, and the criteria for granting them.
3.   Within 45 days after the date of entry into force of this Agreement, each Party shall notify the other Party of its existing export licensing procedures. Each Party shall notify to the other Party any new export licensing procedures and any modifications to existing export licensing procedures within 60 days of publication. The notification shall include a reference to the sources where the information required pursuant to paragraph 2 is published and shall include, where appropriate, the address of the relevant government websites.
4.   For greater certainty, nothing in this Article requires a Party to grant an export licence, or prevents a Party from implementing its commitments under United Nations Security Council Resolutions as well as under multilateral non-proliferation regimes and export control arrangements including the Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and Technologies, the Australia Group, the Nuclear Suppliers Group, and the Missile Technology Control Regime, or from adopting, maintaining or implementing independent sanctions regimes.
Article 30
Customs valuation
Each Party shall determine the customs value of goods of the other Party imported into its territory in accordance with Article VII of GATT 1994 and the Customs Valuation Agreement. To that end, Article VII of GATT 1994 including its Notes and Supplementary Provisions, and Articles 1 to 17 of the Customs Valuation Agreement including its Interpretative Notes, are incorporated into and made part of this Agreement, 
mutatis mutandis
.
Article 31
Preference utilisation
1.   For the purpose of monitoring the functioning of this Agreement and calculating preference utilisation rates, the Parties shall annually exchange import statistics for a 10 year-long period starting one year after the entry into force of this Agreement. Unless the Trade Partnership Committee decides otherwise, this period shall be automatically extended for five years, and thereafter the Trade Partnership Committee may decide to extend it further.
2.   The exchange of import statistics shall cover data pertaining to the most recent year available, including value and, where applicable, volume, at the tariff line level for imports of goods of the other Party benefitting from preferential duty treatment under this Agreement and for those that receive non-preferential treatment.
Article 32
Trade remedies
1.   The Parties affirm their rights and obligations under Article VI of GATT 1994, the Anti-Dumping Agreement, the SCM Agreement, Article XIX of GATT 1994, the Safeguards Agreement, and Article 5 of the Agreement on Agriculture.
2.   Chapter 2 of this Title does not apply to anti-dumping, countervailing and safeguard investigations and measures.
3.   Each Party shall apply anti-dumping and countervailing measures in accordance with the requirements of the Anti-Dumping Agreement and the SCM Agreement, and pursuant to a fair and transparent process.
4.   Provided it does not unnecessarily delay the conduct of the investigation, each interested party in an anti-dumping or countervailing investigation 
(
1
)
 shall be granted a full opportunity to defend its interests.
5.   Each Party's investigating authority may, in accordance with the Party's law, consider whether the amount of the anti-dumping duty to be imposed shall be the full margin of dumping or a lesser amount.
6.   Each Party's investigating authority shall, in accordance with the Party's law, consider information provided as to whether imposing an anti-dumping or a countervailing duty would not be in the public interest.
7.   A Party shall not apply or maintain, with respect to the same good, at the same time:
(a)
a measure pursuant to Article 5 of the Agreement on Agriculture; and
(b)
a measure pursuant to Article XIX of GATT 1994 and the Safeguards Agreement.
8.   Title I of Part Six does not apply to paragraphs 1 to 6 of this Article.
Article 33
Use of existing WTO tariff rate quotas
1.   Products originating in one Party shall not be eligible to be imported into the other Party under existing WTO Tariff Rate Quotas ("TRQs") as defined in paragraph 2. This shall include those TRQs as being apportioned between the Parties pursuant to Article XXVIII GATT negotiations initiated by the European Union in WTO document G/SECRET/42/Add.2 and by the United Kingdom in WTO document G/SECRET/44 and as set out in each Party's respective internal legislation. For the purposes of this Article, the originating status of the products shall be determined on the basis of non-preferential rules of origin applicable in the importing Party.
2.   For the purposes of paragraph 1, "existing WTO TRQs" means those tariff rate quotas which are WTO concessions of the European Union included in the draft EU28 schedule of concessions and commitments under GATT 1994 submitted to the WTO in document G/MA/TAR/RS/506 as amended by documents G/MA/TAR/RS/506/Add.1 and G/MA/TAR/RS/506/Add.2.
Article 34
Measures in case of breaches or circumventions of customs legislation
1.   The Parties shall cooperate in preventing, detecting and combating breaches or circumventions of customs legislation, in accordance with their obligations under Chapter 2 of this Title and the Protocol on mutual administrative assistance in customs matters. Each Party shall take appropriate and comparable measures to protect its own and the other Party's financial interests regarding the levying of duties on goods entering the customs territories of the United Kingdom or the Union.
2.   Subject to the possibility of exemption for compliant traders under paragraph 7, a Party may temporarily suspend the relevant preferential treatment of the product or products concerned in accordance with the procedure laid down in paragraphs 3 and 4 if:
(a)
that Party has made a finding, based on objective, compelling and verifiable information, that systematic and large-scale breaches or circumventions of customs legislation have been committed, and;
(b)
the other Party repeatedly and unjustifiably refuses or otherwise fails to comply with the obligations referred to in paragraph 1.
3.   The Party which has made a finding as referred to in paragraph 2 shall notify the Trade Partnership Committee and shall enter into consultations with the other Party within the Trade Partnership Committee with a view to reaching a mutually acceptable solution.
4.   If the Parties fail to agree on a mutually acceptable solution within three months after the date of notification, the Party which has made the finding may decide to suspend temporarily the relevant preferential treatment of the product or products concerned. In this case, the Party which made the finding shall notify the temporary suspension, including the period during which it intends the temporary suspension to apply, to the Trade Partnership Committee without delay.
5.   The temporary suspension shall apply only for the period necessary to counteract the breaches or circumventions and to protect the financial interests of the Party concerned, and in any case not for longer than six months. The Party concerned shall keep the situation under review and, where it decides that the temporary suspension is no longer necessary, it shall bring it to an end before the end of the period notified to the Trade Partnership Committee. Where the conditions that gave rise to the suspension persist at the expiry of the period notified to the Trade Partnership Committee, the Party concerned may decide to renew the suspension. Any suspension shall be subject to periodic consultations within the Trade Partnership Committee.
6.   Each Party shall publish, in accordance with its internal procedures, notices to importers about any decision concerning temporary suspensions referred to in paragraphs 4 and 5.
7.   Notwithstanding paragraph 4, if an importer is able to satisfy the importing customs authority that such products are fully compliant with the importing Party's customs legislation, the requirements of this Agreement, and any other appropriate conditions related to the temporary suspension established by the importing Party in accordance with its laws and regulations, the importing Party shall allow the importer to apply for preferential treatment and recover any duties paid in excess of the applicable preferential tariff rates when the products were imported.
Article 35
Management of administrative errors
In case of systematic errors by the competent authorities or issues concerning the proper management of the preferential system at export, concerning notably the application of the provisions of Chapter 2 of this Title or the application of the Protocol on Mutual Administrative Assistance in Customs Matters, and if these errors or issues lead to consequences in terms of import duties, the Party facing such consequences may request the Trade Partnership Committee to examine the possibility of adopting decisions, as appropriate, to resolve the situation.
Article 36
Cultural property
1.   The Parties shall cooperate in facilitating the return of cultural property illicitly removed from the territory of a Party, having regard to the principles enshrined in the UNESCO Convention on the Means of Prohibiting and Preventing the Illicit Import, Export and Transfer of Ownership of Cultural Property signed in Paris on 17 November 1970.
2.   For the purposes of this Article, the following definitions apply:
(a)
"cultural property" means property classified or defined as being among the national treasures possessing artistic, historic or archaeological value under the respective rules and procedures of each Party; and
(b)
"illicitly removed from the territory of a Party" means:
(i)
removed from the territory of a Party on or after 1 January 1993 in breach of that Party's rules on the protection of national treasures or in breach of its rules on the export of cultural property; or
(ii)
not returned at the end of a period of lawful temporary removal or any breach of another condition governing such temporary removal, on or after 1 January 1993.
3.   The competent authorities of the Parties shall cooperate with each other in particular by:
(a)
notifying the other Party where cultural property is found in their territory and there are reasonable grounds for believing that the cultural property has been illicitly removed from the territory of the other Party;
(b)
addressing requests of the other Party for the return of cultural property which has been illicitly removed from the territory of that Party;
(c)
preventing any actions to evade the return of such cultural property, by means of any necessary interim measures; and
(d)
taking any necessary measures for the physical preservation of cultural property which has been illicitly removed from the territory of the other Party.
4.   Each Party shall identify a contact point responsible for communicating with the contact point of the other Party with respect to any matters arising under this Article, including with respect to the notifications and requests referred to in points (a) and (b) of paragraph 3.
5.   The envisaged cooperation between the Parties shall involve the customs authorities of the Parties responsible for managing export procedures for cultural property as appropriate and necessary.
6.   Title I of Part Six does not apply to this Article.
CHAPTER 2
RULES OF ORIGIN
SECTION 1
RULES OF ORIGIN
Article 37
Objective
The objective of this Chapter is to lay down the provisions determining the origin of goods for the purpose of application of preferential tariff treatment under this Agreement, and setting out related origin procedures.
Article 38
Definitions
For the purposes of this Chapter, the following definitions apply:
(a)
"classification" means the classification of a product or material under a particular chapter, heading, or sub-heading of the Harmonised System;
(b)
"consignment" means products which are either sent simultaneously from one exporter to one consignee or covered by a single transport document covering their shipment from the exporter to the consignee or, in the absence of such a document, by a single invoice;
(c)
"exporter" means a person, located in a Party, who, in accordance with the requirements laid down in the laws and regulations of that Party, exports or produces the originating product and makes out a statement on origin;
(d)
"importer" means a person who imports the originating product and claims preferential tariff treatment for it;
(e)
"material" means any substance used in the production of a product, including any components, ingredients, raw materials, or parts;
(f)
"non-originating material" means a material which does not qualify as originating under this Chapter, including a material whose originating status cannot be determined;
(g)
"product" means the product resulting from the production, even if it is intended for use as a material in the production of another product;
(h)
"production" means any kind of working or processing including assembly.
Article 39
General requirements
1.   For the purposes of applying the preferential tariff treatment by a Party to the originating good of the other Party in accordance with this Agreement, provided that the products satisfy all other applicable requirements of this Chapter, the following products shall be considered as originating in the other Party:
(a)
products wholly obtained in that Party within the meaning of Article 41;
(b)
products produced in that Party exclusively from originating materials in that Party; and
(c)
products produced in that Party incorporating non-originating materials provided they satisfy the requirements set out in Annex 3.
2.   If a product has acquired originating status, the non-originating materials used in the production of that product shall not be considered as non-originating when that product is incorporated as a material in another product.
3.   The acquisition of originating status shall be fulfilled without interruption in the United Kingdom or the Union.
Article 40
Cumulation of origin
1.   A product originating in a Party shall be considered as originating in the other Party if that product is used as a material in the production of another product in that other Party.
2.   Production carried out in a Party on a non-originating material may be taken into account for the purpose of determining whether a product is originating in the other Party.
3.   Paragraphs 1 and 2 do not apply if the production carried out in the other Party does not go beyond the operations referred to in Article 43.
4.   In order for an exporter to complete the statement on origin referred to in point (a) of Article 54(2) for a product referred to in paragraph 2 of this Article, the exporter shall obtain from its supplier a supplier's declaration as provided for in Annex 6 or an equivalent document that contains the same information describing the non-originating materials concerned in sufficient detail to enable them to be identified.
Article 41
Wholly obtained products
1.   The following products shall be considered as wholly obtained in a Party:
(a)
mineral products extracted or taken from its soil or from its seabed;
(b)
plants and vegetable products grown or harvested there;
(c)
live animals born and raised there;
(d)
products obtained from live animals raised there;
(e)
products obtained from slaughtered animals born and raised there;
(f)
products obtained by hunting or fishing conducted there;
(g)
products obtained from aquaculture there if aquatic organisms, including fish, molluscs, crustaceans, other aquatic invertebrates and aquatic plants are born or raised from seed stock such as eggs, roes, fry, fingerlings, larvae, parr, smolts or other immature fish at a post-larval stage by intervention in the rearing or growth processes to enhance production such as regular stocking, feeding or protection from predators;
(h)
products of sea fishing and other products taken from the sea outside any territorial sea by a vessel of a Party;
(i)
products made aboard of a factory ship of a Party exclusively from products referred to in point (h);
(j)
products extracted from the seabed or subsoil outside any territorial sea provided that they have rights to exploit or work such seabed or subsoil;
(k)
waste and scrap resulting from production operations conducted there;
(l)
waste and scrap derived from used products collected there, provided that those products are fit only for the recovery of raw materials;
(m)
products produced there exclusively from the products specified in points (a) to (l).
2.   The terms "vessel of a Party" and "factory ship of a Party" in points (h) and (i) of paragraph 1 mean a vessel and factory ship which:
(a)
is registered in a Member State or in the United Kingdom;
(b)
sails under the flag of a Member State or of the United Kingdom; and
(c)
meets one of the following conditions:
(i)
it is at least 50 % owned by nationals of a Member State or of the United Kingdom; or
(ii)
it is owned by legal persons which each:
(A)
have their head office and main place of business in the Union or the United Kingdom; and
(B)
are at least 50 % owned by public entities, nationals or legal persons of a Member State or the United Kingdom.
Article 42
Tolerances
1.   If a product does not satisfy the requirements set out in Annex 3 due to the use of a non-originating material in its production, that product shall nevertheless be considered as originating in a Party, provided that:
(a)
the total weight of non-originating materials used in the production of products classified under Chapters 2 and 4 to 24 of the Harmonised System, other than processed fishery products classified under Chapter 16, does not exceed 15 % of the weight of the product;
(b)
the total value of non-originating materials for all other products, except for products classified under Chapters 50 to 63 of the Harmonised System, does not exceed 10 % of the ex-works price of the product; or
(c)
for a product classified under Chapters 50 to 63 of the Harmonised System, the tolerances set out in Notes 7 and 8 of Annex 2 apply.
2.   Paragraph 1 does not apply if the value or weight of non-originating materials used in the production of a product exceeds any of the percentages for the maximum value or weight of non-originating materials as specified in the requirements set out in Annex 3.
3.   Paragraph 1 of this Article does not apply to products wholly obtained in a Party within the meaning of Article 41. If Annex 3 requires that the materials used in the production of a product are wholly obtained, paragraphs 1 and 2 of this Article apply.
Article 43
Insufficient production
1.   Notwithstanding point (c) of Article 39(1), a product shall not be considered as originating in a Party if the production of the product in a Party consists only of one or more of the following operations conducted on non-originating materials:
(a)
preserving operations such as drying, freezing, keeping in brine and other similar operations where their sole purpose is to ensure that the products remain in good condition during transport and storage; 
(
2
)
(b)
breaking-up or assembly of packages;
(c)
washing, cleaning; removal of dust, oxide, oil, paint or other coverings;
(d)
ironing or pressing of textiles and textile articles;
(e)
simple painting and polishing operations;
(f)
husking and partial or total milling of rice; polishing and glazing of cereals and rice; bleaching of rice;
(g)
operations to colour or flavour sugar or form sugar lumps; partial or total milling of sugar in solid form;
(h)
peeling, stoning and shelling, of fruits, nuts and vegetables;
(i)
sharpening, simple grinding or simple cutting;
(j)
sifting, screening, sorting, classifying, grading, matching including the making-up of sets of articles;
(k)
simple placing in bottles, cans, flasks, bags, cases, boxes, fixing on cards or boards and all other simple packaging operations;
(l)
affixing or printing marks, labels, logos and other like distinguishing signs on products or their packaging;
(m)
simple mixing of products, whether or not of different kinds; mixing of sugar with any material;
(n)
simple addition of water or dilution with water or another substance that does not materially alter the characteristics of the product, or dehydration or denaturation of products;
(o)
simple assembly of parts of articles to constitute a complete article or disassembly of products into parts;
(p)
slaughter of animals.
2.   For the purposes of paragraph 1, operations shall be considered simple if neither special skills nor machines, apparatus or equipment especially produced or installed are needed for carrying out those operations.
Article 44
Unit of qualification
1.   For the purposes of this Chapter, the unit of qualification shall be the particular product which is considered as the basic unit when classifying the product under the Harmonised System.
2.   For a consignment consisting of a number of identical products classified under the same heading of the Harmonised System, each individual product shall be taken into account when applying the provisions of this Chapter.
Article 45
Packing materials and containers for shipment
Packing materials and containers for shipment that are used to protect a product during transportation shall be disregarded in determining whether a product is originating.
Article 46
Packaging materials and containers for retail sale
Packaging materials and containers in which the product is packaged for retail sale, if classified with the product, shall be disregarded in determining the origin of the product, except for the purposes of calculating the value of non-originating materials if the product is subject to a maximum value of non-originating materials in accordance with Annex 3.
Article 47
Accessories, spare parts and tools
1.   Accessories, spare parts, tools and instructional or other information materials shall be regarded as one product with the piece of equipment, machine, apparatus or vehicle in question if they:
(a)
are classified and delivered with, but not invoiced separately from, the product; and
(b)
are of the types, quantities and value which are customary for that product.
2.   Accessories, spare parts, tools and instructional or other information materials referred to paragraph 1 shall be disregarded in determining the origin of the product except for the purposes of calculating the value of non-originating materials if a product is subject to a maximum value of non-originating materials as set out in Annex 3.
Article 48
Sets
Sets, as defined in General Rule 3 for the Interpretation of the Harmonised System, shall be considered as originating in a Party if all of their components are originating. If a set is composed of originating and non-originating components, the set as a whole shall be considered as originating in a Party if the value of the non-originating components does not exceed 15 % of the ex-works price of the set.
Article 49
Neutral elements
In order to determine whether a product is originating in a Party, it shall not be necessary to determine the origin of the following elements, which might be used in its production:
(a)
fuel, energy, catalysts and solvents;
(b)
plant, equipment, spare parts and materials used in the maintenance of equipment and buildings;
(c)
machines, tools, dies and moulds;
(d)
lubricants, greases, compounding materials and other materials used in production or used to operate equipment and buildings;
(e)
gloves, glasses, footwear, clothing, safety equipment and supplies;
(f)
equipment, devices and supplies used for testing or inspecting the product; and
(g)
other materials used in the production which are not incorporated into the product nor intended to be incorporated into the final composition of the product.
Article 50
Accounting segregation
1.   Originating and non-originating fungible materials or fungible products shall be physically segregated during storage in order to maintain their originating and non-originating status.
2.   For the purpose of paragraph 1, "fungible materials" or "fungible products" means materials or products that are of the same kind and commercial quality, with the same technical and physical characteristics, and that cannot be distinguished from one another for origin purposes.
3.   Notwithstanding paragraph 1, originating and non-originating fungible materials may be used in the production of a product without being physically segregated during storage if an accounting segregation method is used.
4.   Notwithstanding paragraph 1, originating and non-originating fungible products classified under Chapters 10, 15, 27, 28, 29, headings 32.01 to 32.07, or headings 39.01 to 39.14 of the Harmonised System may be stored in a Party before exportation to the other Party without being physically segregated, provided that an accounting segregation method is used.
5.   The accounting segregation method referred to in paragraphs 3 and 4 shall be applied in conformity with a stock management method under accounting principles which are generally accepted in the Party.
6.   The accounting segregation method shall be any method that ensures that at any time no more materials or products receive originating status than would be the case if the materials or products had been physically segregated.
7.   A Party may require, under conditions set out in its laws or regulations, that the use of an accounting segregation method is subject to prior authorisation by the customs authorities of that Party. The customs authorities of the Party shall monitor the use of such authorisations and may withdraw an authorisation if the holder makes improper use of the accounting segregation method or fails to fulfil any of the other conditions laid down in this Chapter.
Article 51
Returned products
If a product originating in a Party exported from that Party to a third country returns to that Party, it shall be considered as a non-originating product unless it can be demonstrated to the satisfaction of the customs authority of that Party that the returning product:
(a)
is the same as that exported; and
(b)
has not undergone any operation other than what was necessary to preserve it in good condition while in that third country or while being exported.
Article 52
Non-alteration
1.   An originating product declared for home use in the importing Party shall not, after exportation and prior to being declared for home use, have been altered, transformed in any way or subjected to operations other than to preserve it in good condition or than adding or affixing marks, labels, seals or any other documentation to ensure compliance with specific domestic requirements of the importing Party.
2.   The storage or exhibition of a product may take place in a third country, provided that the product remains under customs supervision in that third country.
3.   The splitting of consignments may take place in a third country if it is carried out by the exporter or under the responsibility of the exporter, provided that the consignments remain under customs supervision in that third country.
4.   In the case of doubt as to whether the requirements provided for in paragraphs 1 to 3 are complied with, the customs authority of the importing Party may request the importer to provide evidence of compliance with those requirements, which may be given by any means, including contractual transport documents such as bills of lading or factual or concrete evidence based on the marking or numbering of packages or any evidence related to the product itself.
Article 53
Review of drawback of, or exemption from, customs duties
Not earlier than two years from the entry into force of this Agreement, at the request of either Party, the Trade Specialised Committee on Customs Cooperation and Rules of Origin shall review the Parties' respective duty drawback and inward-processing schemes. For that purpose, at the request of a Party, no later than 60 days from that request, the other Party shall provide the requesting Party with available information and detailed statistics covering the period from the entry into force of this Agreement, or the previous five years if that period is shorter, on the operation of its duty-drawback and inward-processing scheme. In the light of this review, the Trade Specialised Committee on Customs Cooperation and Rules of Origin may make recommendations to the Partnership Council for the amendment of the provisions of this Chapter and its Annexes, with a view to introducing limitations or restrictions with respect to drawback of or exemption from customs duties.
SECTION 2
ORIGIN PROCEDURES
Article 54
Claim for preferential tariff treatment
1.   The importing Party, on importation, shall grant preferential tariff treatment to a product originating in the other Party within the meaning of this Chapter on the basis of a claim by the importer for preferential tariff treatment. The importer shall be responsible for the correctness of the claim for preferential tariff treatment and for compliance with the requirements provided for in this Chapter.
2.   A claim for preferential tariff treatment shall be based on:
(a)
a statement on origin that the product is originating made out by the exporter; or
(b)
the importer's knowledge that the product is originating.
3.   The importer making the claim for preferential tariff treatment based on a statement on origin as referred to in point (a) of paragraph 2 shall keep the statement on origin and, when required by the customs authority of the importing Party, shall provide a copy thereof to that customs authority.
Article 55
Time of the claim for preferential tariff treatment
1.   A claim for preferential tariff treatment and the basis for that claim as referred to in Article 54(2) shall be included in the customs import declaration in accordance with the laws and regulations of the importing Party.
2.   By way of derogation from paragraph 1 of this Article, if the importer did not make a claim for preferential tariff treatment at the time of importation, the importing Party shall grant preferential tariff treatment and repay or remit any excess customs duty paid provided that:
(a)
the claim for preferential tariff treatment is made no later than three years after the date of importation, or such longer time period as specified in the laws and regulations of the importing Party;
(b)
the importer provides the basis for the claim as referred to in Article 54(2); and
(c)
the product would have been considered originating and would have satisfied all other applicable requirements within the meaning of Section 1 of this Chapter if it had been claimed by the importer at the time of importation.
The other obligations applicable to the importer under Article 54 remain unchanged.
Article 56
Statement on origin
1.   A statement on origin shall be made out by an exporter of a product on the basis of information demonstrating that the product is originating, including, information on the originating status of materials used in the production of the product. The exporter shall be responsible for the correctness of the statement on origin and the information provided.
2.   A statement on origin shall be made out using one of the language versions set out in Annex 7 in an invoice or on any other document that describes the originating product in sufficient detail to enable the identification of that product. The exporter shall be responsible for providing sufficient detail to allow the identification of the originating product. The importing Party shall not require the importer to submit a translation of the statement on origin.
3.   A statement on origin shall be valid for 12 months from the date it was made out or for such longer period as provided by the Party of import up to a maximum of 24 months.
4.   A statement on origin may apply to:
(a)
a single shipment of one or more products imported into a Party; or
(b)
multiple shipments of identical products imported into a Party within the period specified in the statement on origin, which shall not exceed 12 months.
5.   If, at the request of the importer, unassembled or disassembled products within the meaning of General Rule 2(a) for the Interpretation of the Harmonised System that fall within Sections XV to XXI of the Harmonised System are imported by instalments, a single statement on origin for such products may be used in accordance with the requirements laid down by the customs authority of the importing Party.
Article 57
Discrepancies
The customs authority of the importing Party shall not reject a claim for preferential tariff treatment due to minor errors or discrepancies in the statement on origin, or for the sole reason that an invoice was issued in a third country.
Article 58
Importer's knowledge
1.   For the purposes of a claim for preferential tariff treatment that is made under point (b) of Article 54(2), the importer's knowledge that a product is originating in the exporting Party shall be based on information demonstrating that the product is originating and satisfies the requirements provided for in this Chapter.
2.   Before claiming the preferential treatment, in the event that an importer is unable to obtain the information referred to in paragraph 1 of this Article as a result of the exporter deeming that information to be confidential information or for any other reason, the exporter may provide a statement on origin so that the importer may claim the preferential tariff treatment on the basis of point (a) of Article 54(2).
Article 59
Record-keeping requirements
1.   For a minimum of three years after the date of importation of the product, an importer making a claim for preferential tariff treatment for a product imported into the importing Party shall keep:
(a)
if the claim was based on a statement on origin, the statement on origin made out by the exporter; or
(b)
if the claim was based on the importer's knowledge, all records demonstrating that the product satisfies the requirements for obtaining originating status.
2.   An exporter who has made out a statement on origin shall, for a minimum of four years after that statement on origin was made out, keep a copy of the statement on origin and all other records demonstrating that the product satisfies the requirements to obtain originating status.
3.   The records to be kept in accordance with this Article may be held in electronic format.
Article 60
Small consignments
1.   By way of derogation from Articles 54 to 58, provided that the product has been declared as meeting the requirements of this Chapter and the customs authority of the importing Party has no doubts as to the veracity of that declaration, the importing Party shall grant preferential tariff treatment to:
(a)
a product sent in a small package from private persons to private persons;
(b)
a product forming part of a traveller's personal luggage; and
(c)
for the United Kingdom, in addition to points (a) and (b) of this Article, other low value consignments.
2.   The following products are excluded from the application of paragraph 1 of this Article:
(a)
products, the importation of which forms part of a series of importations that may reasonably be considered to have been made separately for the purpose of avoiding the requirements of Article 54;
(b)
for the Union:
(i)
a product imported by way of trade; the imports which are occasional and consist solely of products for the personal use of the recipients or travellers or their families are not be considered as imports by way of trade if it is evident from the nature and quantity of the products that no commercial purpose is intended; and
(ii)
products, the total value of which exceeds EUR 500 in the case of products sent in small packages, or EUR 1 200 in the case of products forming part of a traveller's personal luggage. The amounts to be used in a given national currency shall be the equivalent in that currency of the amounts expressed in euro as at the first working day of October. The exchange rate amounts shall be those published for that day by the European Central Bank, unless a different amount is communicated to the European Commission by 15 October, and shall apply from 1 January the following year. The European Commission shall notify the United Kingdom of the relevant amounts. The Union may establish other limits which it will communicate to the United Kingdom; and
(c)
for the United Kingdom, products whose total value exceeds the limits set under the domestic law of the United Kingdom. The United Kingdom will communicate these limits to the Union.
3.   The importer shall be responsible for the correctness of the declaration and for the compliance with the requirements provided for in this Chapter. The record-keeping requirements set out in Article 59 shall not apply to the importer under this Article.
Article 61
Verification
1.   The customs authority of the importing Party may conduct a verification as to whether a product is originating or whether the other requirements of this Chapter are satisfied, on the basis of risk assessment methods, which may include random selection. Such verifications may be conducted by means of a request for information from the importer who made the claim referred to in Article 54, at the time the import declaration is submitted, before the release of the products, or after the release of the products.
2.   The information requested pursuant to paragraph 1 shall cover no more than the following elements:
(a)
if the claim was based on a statement on origin, that statement on origin; and
(b)
information pertaining to the fulfilment of origin criteria, which is:
(i)
where the origin criterion is "wholly obtained", the applicable category (such as harvesting, mining, fishing) and the place of production;
(ii)
where the origin criterion is based on change in tariff classification, a list of all the non-originating materials, including their tariff classification (in 2, 4 or 6-digit format, depending on the origin criterion);
(iii)
where the origin criterion is based on a value method, the value of the final product as well as the value of all the non-originating materials used in the production of that product;
(iv)
where the origin criterion is based on weight, the weight of the final product as well as the weight of the relevant non-originating materials used in the final product;
(v)
where the origin criterion is based on a specific production process, a description of that specific process.
3.   When providing the requested information, the importer may add any other information that it considers relevant for the purpose of verification.
4.   If the claim for preferential tariff treatment is based on a statement on origin, the importer shall provide that statement on origin but may reply to the customs authority of the importing Party that the importer is not in a position to provide the information referred to in point (b) of paragraph 2.
5.   If the claim for preferential tariff treatment is based on the importer's knowledge, after having first requested information in accordance with paragraph 1, the customs authority of the importing Party conducting the verification may request the importer to provide additional information if that customs authority considers that additional information is necessary in order to verify the originating status of the product or whether the other requirements of this Chapter are met. The customs authority of the importing Party may request the importer for specific documentation and information, if appropriate.
6.   If the customs authority of the importing Party decides to suspend the granting of preferential tariff treatment to the product concerned while awaiting the results of the verification, the release of the products shall be offered to the importer subject to appropriate precautionary measures including guarantees. Any suspension of preferential tariff treatment shall be terminated as soon as possible after the customs authority of the importing Party has ascertained the originating status of the products concerned, or the fulfilment of the other requirements of this Chapter.
Article 62
Administrative cooperation
1.   In order to ensure the proper application of this Chapter, the Parties shall cooperate, through the customs authority of each Party, in verifying whether a product is originating and is in compliance with the other requirements provided for in this Chapter.
2.   If the claim for preferential tariff treatment was based on a statement on origin, as appropriate after having first requested information in accordance with Article 61(1) and based on the reply from the importer, the customs authority of the importing Party conducting the verification may also request information from the customs authority of the exporting Party within a period of two years after the importation of the products, or from the moment the claim is made pursuant to point (a) of Article 55(2) if the customs authority of the importing Party conducting the verification considers that additional information is necessary in order to verify the originating status of the product or to verify that the other requirements provided for in this Chapter have been met. The request for information shall include the following elements:
(a)
the statement on origin;
(b)
the identity of the customs authority issuing the request;
(c)
the name of the exporter;
(d)
the subject and scope of the verification; and
(e)
any relevant documentation.
In addition, the customs authority of the importing Party may request the customs authority of the exporting Party to provide specific documentation and information, where appropriate.
3.   The customs authority of the exporting Party may, in accordance with its laws and regulations, request documentation or examination by calling for any evidence, or by visiting the premises of the exporter, to review records and observe the facilities used in the production of the product.
4.   Without prejudice to paragraph 5, the customs authority of the exporting Party receiving the request referred to in paragraph 2 shall provide the customs authority of the importing Party with the following information:
(a)
the requested documentation, where available;
(b)
an opinion on the originating status of the product;
(c)
the description of the product that is subject to examination and the tariff classification relevant to the application of this Chapter;
(d)
a description and explanation of the production process that is sufficient to support the originating status of the product;
(e)
information on the manner in which the examination of the product was conducted; and
(f)
supporting documentation, where appropriate.
5.   The customs authority of the exporting Party shall not provide the information referred to in points (a), (d) and (f) of paragraph 4 to the customs authority of the importing Party if that information is deemed confidential by the exporter.
6.   Each Party shall notify the other Party of the contact details of the customs authorities and shall notify the other Party of any change to those contact details within 30 days after the date of the change.
Article 63
Denial of preferential tariff treatment
1.   Without prejudice to paragraph 3, the customs authority of the importing Party may deny preferential tariff treatment, if:
(a)
within three months after the date of a request for information pursuant to Article 61(1):
(i)
no reply has been provided by the importer;
(ii)
where the claim for preferential tariff treatment was based on a statement on origin, no statement on origin has been provided; or
(iii)
where the claim for preferential tariff treatment was based on the importer's knowledge, the information provided by the importer is inadequate to confirm that the product is originating;
(b)
within three months after the date of a request for additional information pursuant to Article 61(5):
(i)
no reply has been provided by the importer; or
(ii)
the information provided by the importer is inadequate to confirm that the product is originating;
(c)
within 10 months 
(
3
)
 after the date of a request for information pursuant to Article 62(2):
(i)
no reply has been provided by the customs authority of the exporting Party; or
(ii)
the information provided by the customs authority of the exporting Party is inadequate to confirm that the product is originating.
2.   The customs authority of the importing Party may deny preferential tariff treatment to a product for which an importer claims preferential tariff treatment where the importer fails to comply with requirements under this Chapter other than those relating to the originating status of the products.
3.   If the customs authority of the importing Party has sufficient justification to deny preferential tariff treatment under paragraph 1 of this Article, in cases where the customs authority of the exporting Party has provided an opinion pursuant to point (b) of Article 62(4) confirming the originating status of the products, the customs authority of the importing Party shall notify the customs authority of the exporting Party of its intention to deny the preferential tariff treatment within two months after the date of receipt of that opinion.
If such notification is made, consultations shall be held at the request of either Party, within three months after the date of the notification. The period for consultation may be extended on a case-by-case basis by mutual agreement between the customs authorities of the Parties. The consultation may take place in accordance with the procedure set by the Trade Specialised Committee on Customs Cooperation and Rules of Origin.
Upon the expiry of the period for consultation, if the customs authority of the importing Party cannot confirm that the product is originating, it may deny the preferential tariff treatment if it has a sufficient justification for doing so and after having granted the importer the right to be heard. However, when the customs authority of the exporting Party confirms the originating status of the products and provides justification for such conclusion, the customs authority of the importing Party shall not deny preferential tariff treatment to a product on the sole ground that Article 62(5) has been applied.
4.   In all cases, the settlement of differences between the importer and the customs authority of the Party of import shall be under the law of the Party of import.
Article 64
Confidentiality
1.   Each Party shall maintain, in accordance with its laws and regulations, the confidentiality of any information provided to it by the other Party, pursuant to this Chapter, and shall protect that information from disclosure.
2.   Where, notwithstanding Article 62(5), confidential business information has been obtained from the exporter by the customs authority of the exporting Party or importing Party through the application of Articles 61 and 62, that information shall not be disclosed.
3.   Each Party shall ensure that confidential information collected pursuant to this Chapter shall not be used for purposes other than the administration and enforcement of decisions and determinations relating to origin and to customs matters, except with the permission of the person or Party who provided the confidential information.
4.   Notwithstanding paragraph 3, a Party may allow information collected pursuant to this Chapter to be used in any administrative, judicial, or quasi-judicial proceedings instituted for failure to comply with customs-related laws implementing this Chapter. A Party shall notify the person or Party who provided the information in advance of such use.
Article 65
Administrative measures and sanctions
Each Party shall ensure the effective enforcement of this Chapter. Each Party shall ensure that the competent authorities are able to impose administrative measures, and, where appropriate, sanctions, in accordance with its laws and regulations, on any person who draws up a document, or causes a document to be drawn up, which contains incorrect information that was provided for the purpose of obtaining a preferential tariff treatment for a product, who does not comply with the requirements set out in Article 59, or who does not provide the evidence, or refuses to submit to a visit, as referred to in Article 62(3).
SECTION 3
OTHER PROVISIONS
Article 66
Ceuta and Melilla
1.   For purposes of this Chapter, in the case of the Union, the term "Party" does not include Ceuta and Melilla.
2.   Products originating in the United Kingdom, when imported into Ceuta and Melilla, shall in all respects be subject to the same customs treatment under this Agreement as that which is applied to products originating in the customs territory of the Union under Protocol 2 of the Act of Accession of the Kingdom of Spain and the Portuguese Republic to the European Union. The United Kingdom shall grant to imports of products covered by this Agreement and originating in Ceuta and Melilla the same customs treatment as that which is granted to products imported from and originating in the Union.
3.   The rules of origin and origin procedures referred to in this Chapter apply 
mutatis mutandis
 to products exported from the United Kingdom to Ceuta and Melilla and to products exported from Ceuta and Melilla to the United Kingdom.
4.   Ceuta and Melilla shall be considered as a single territory.
5.   Article 40 applies to import and exports of products between the Union, the United Kingdom and Ceuta and Melilla.
6.   The exporters shall enter "the United Kingdom" or "Ceuta and Melilla" in field 3 of the text of the statement on origin, depending on the origin of the product.
7.   The customs authority of the Kingdom of Spain shall be responsible for the application and implementation of this Chapter in Ceuta and Melilla.
Article 67
Transitional provisions for products in transit or storage
The provisions of this Agreement may be applied to products which comply with the provisions of this Chapter and which on the date of entry into force of this Agreement are either in transit from the exporting Party to the importing Party or under customs control in the importing Party without payment of import duties and taxes, subject to the making of a claim for preferential tariff treatment referred to in Article 54 to the customs authority of the importing Party, within 12 months of that date.
Article 68
Amendment to this Chapter and its Annexes
The Partnership Council may amend this Chapter and its Annexes.
CHAPTER 3
SANITARY AND PHYTOSANITARY MEASURES
Article 69
Objectives
The objectives of this Chapter are to:
(a)
protect human, animal and plant life or health in the territories of the Parties while facilitating trade between the Parties;
(b)
further the implementation of the SPS Agreement;
(c)
ensure that the Parties' sanitary and phytosanitary ("SPS") measures do not create unnecessary barriers to trade;
(d)
promote greater transparency and understanding on the application of each Party's SPS measures;
(e)
enhance cooperation between the Parties in the fight against antimicrobial resistance, promotion of sustainable food systems, protection of animal welfare, and on electronic certification;
(f)
enhance cooperation in the relevant international organisations to develop international standards, guidelines and recommendations on animal health, food safety and plant health; and
(g)
promote implementation by each Party of international standards, guidelines and recommendations.
Article 70
Scope
1.   This Chapter applies to all SPS measures of a Party that may, directly or indirectly, affect trade between the Parties.
2.   This Chapter also lays down separate provisions regarding cooperation on animal welfare, antimicrobial resistance and sustainable food systems.
Article 71
Definitions
1.   For the purposes of this Chapter, the following definitions apply:
(a)
the definitions contained in Annex A of the SPS Agreement;
(b)
the definitions adopted under the auspices of the Codex Alimentarius Commission (the "Codex");
(c)
the definitions adopted under the auspices of the World Organisation for Animal Health (the "OIE"); and
(d)
the definitions adopted under the auspices of the International Plant Protection Convention (the "IPPC").
2.   For the purposes of this Chapter, the following definitions apply:
(a)
"import conditions" means any SPS measures that are required to be fulfilled for the import of products; and
(b)
"protected zone" for a specified regulated plant pest means an officially defined geographical area in which that pest is not established in spite of favourable conditions and its presence in other parts of the territory of the Party, and into which that pest is not allowed to be introduced.
3.   The Trade Specialised Committee on Sanitary and Phytosanitary Measures may adopt other definitions for the purposes of this Chapter, taking into consideration the glossaries and definitions of the relevant international organisations, such as the Codex, OIE and IPPC.
4.   The definitions under the SPS Agreement prevail to the extent that there is an inconsistency between the definitions adopted by the Trade Specialised Committee on Sanitary and Phytosanitary Measures or adopted under the auspices of the Codex, the OIE, the IPPC and the definitions under the SPS Agreement. In the event of an inconsistency between definitions adopted by the Trade Specialised Committee on Sanitary and Phytosanitary Measures and the definitions set out in the Codex, OIE or IPPC, the definitions set out in the Codex, OIE or IPPC shall prevail.
Article 72
Rights and obligations
The Parties reaffirm their rights and obligations under the SPS Agreement. This includes the right to adopt measures in accordance with Article 5(7) of the SPS Agreement.
Article 73
General principles
1.   The Parties shall apply SPS measures for achieving their appropriate level of protection that are based on risk assessments in accordance with relevant provisions, including Article 5 of the SPS Agreement.
2.   The Parties shall not use SPS measures to create unjustified barriers to trade.
3.   Regarding trade-related SPS procedures and approvals established under this Chapter, each Party shall ensure that those procedures and related SPS measures:
(a)
are initiated and completed without undue delay;
(b)
do not include unnecessary, scientifically and technically unjustified or unduly burdensome information requests that might delay access to each other's markets;
(c)
are not applied in a manner which would constitute arbitrary or unjustifiable discrimination against the other Party's entire territory or parts of the other Party's territory where identical or similar SPS conditions exist; and
(d)
are proportionate to the risks identified and not more trade restrictive than necessary to achieve the importing Party's appropriate level of protection.
4.   The Parties shall not use the procedures referred to in paragraph 3, or any requests for additional information, to delay access to their markets without scientific and technical justification.
5.   Each Party shall ensure that any administrative procedure it requires concerning the import conditions on food safety, animal health or plant health is not more burdensome or trade restrictive than necessary to give the importing Party adequate confidence that these conditions are met. Each Party shall ensure that the negative effects on trade of any administrative procedures are kept to a minimum and that the clearance processes remain simple and expeditious while meeting the importing Party's conditions.
6.   The importing Party shall not put in place any additional administrative system or procedure that unnecessarily hampers trade.
Article 74
Official certification
1.   Where the importing Party requires official certificates, the model certificates shall be:
(a)
set in line with the principles as laid down in the international standards of the Codex, the IPPC and the OIE; and
(b)
applicable to imports from all parts of the territory of the exporting Party.
2.   The Trade Specialised Committee on Sanitary and Phytosanitary Measures may agree on specific cases where the model certificates referred to in paragraph 1 would be established only for a part or parts of the territory of the exporting Party. The Parties shall promote the implementation of electronic certification and other technologies to facilitate trade.
Article 75
Import conditions and procedures
1.   Without prejudice to the rights and obligations each Party has under the SPS Agreement and this Chapter, the import conditions of the importing Party shall apply to the entire territory of the exporting Party in a consistent manner.
2.   The exporting Party shall ensure that products exported to the other Party, such as animals and animal products, plants and plant products, or other related objects, meet the SPS requirements of the importing Party.
3.   The importing Party may require that imports of particular products are subject to authorisation. Such authorisation shall be granted where a request is made by the relevant competent authority of the exporting Party which objectively demonstrates, to the satisfaction of the importing Party, that the authorisation requirements of the importing Party are fulfilled. The relevant competent authority of the exporting Party may make a request for authorisation in respect of the entire territory of the exporting Party. The importing Party shall grant such requests on that basis, where they fulfil the authorisation requirements of the importing Party as set out in this paragraph.
4.   The importing Party shall not introduce authorisation requirements which are additional to those which apply at the end of the transition period, unless the application of such requirements to further products is justified to mitigate a significant risk to human, animal or plant health.
5.   The importing Party shall establish and communicate to the other Party import conditions for all products. The importing Party shall ensure that its import conditions are applied in a proportionate and non-discriminatory manner.
6.   Without prejudice to provisional measures under Article 5(7) of the SPS Agreement, for products, or other related objects, where a phytosanitary concern exists, the import conditions shall be restricted to measures to protect against regulated pests of the importing Party and shall be applicable to the entire territory of the exporting Party.
7.   Notwithstanding paragraphs 1 and 3, in the case of import authorisation requests for a specific product, where the exporting Party has requested to be examined only for a part, or certain parts, of its territory (in the case of the Union, individual Member States), the importing Party shall promptly proceed to the examination of that request. Where the importing Party receives requests in respect of the specific product from more than one part of the exporting Party, or, where further requests are received in respect of a product which has already been authorised, the importing Party shall expedite completion of the authorisation procedure, taking into account the identical or similar SPS regime applicable in the different parts of the exporting Party.
8.   Each Party shall ensure that all SPS control, inspection and approval procedures are initiated and completed without undue delay. Information requirements shall be limited to what is necessary for the approval process to take into account information already available in the importing Party, such as on the legislative framework and audit reports of the exporting Party.
9.   Except in duly justified circumstances related to its level of protection, each Party shall provide a transition period between the publication of any changes to its approval procedures and their application to allow the other Party to become familiar with and adapt to such changes. Each Party shall not unduly prolong the approval process for applications submitted prior to publication of the changes.
10.   In relation to the processes set out in paragraphs 3 to 8, the following actions shall be taken:
(a)
as soon as the importing Party has positively concluded its assessment, it shall promptly take all necessary legislative and administrative measures to allow trade to take place without undue delay;
(b)
the exporting Party shall:
(i)
provide all relevant information required by the importing Party; and
(ii)
give reasonable access to the importing Party for audit and other relevant procedures.
(c)
the importing party shall establish a list of regulated pests for products, or other related objects, where a phytosanitary concern exists. That list shall contain:
(i)
the pests not known to occur within any part of its own territory;
(ii)
the pests known to occur within its own territory and under official control;
(iii)
the pests known to occur within parts of its own territory and for which pest free areas or protected zones are established; and
(iv)
non-quarantine pests known to occur within its own territory and under official control for specified planting material.
11.   The importing Party shall accept consignments without requiring that the importing Party verifies compliance of those consignments before their departure from the territory of the exporting Party.
12.   A Party may collect fees for the costs incurred to conduct specific SPS frontier checks, which should not exceed the recovery of the costs.
13.   The importing Party shall have the right to carry out import checks on products imported from the exporting Party for the purposes of ensuring compliance with its SPS import requirements.
14.   The import checks carried out on products imported from the exporting Party shall be based on the SPS risk associated with such importations. Import checks shall be carried out only to the extent necessary to protect human, animal or plant life and health, without undue delay and with a minimum effect on trade between the Parties.
15.   Information on the proportion of products from the exporting Party checked at import shall be made available by the importing Party upon request of the exporting Party.
16.   If import checks reveal non-compliance with the relevant import conditions the action taken by the importing Party must be based on an assessment of the risk involved and not be more trade restrictive than required to achieve the Party's appropriate level of SPS protection.
Article 76
Lists of approved establishments
1.   Whenever justified, the importing Party may maintain a list of approved establishments meeting its import requirements as a condition to allow imports of animal products from these establishments.
2.   Unless justified to mitigate a significant risk to human or animal health, lists of approved establishments shall only be required for the products for which they were required at the end of the transition period.
3.   The exporting Party shall inform the importing Party of its list of establishments meeting the importing Party's conditions which shall be based on guarantees provided by the exporting Party.
4.   Upon a request from the exporting Party, the importing Party shall approve establishments which are situated in the territory of the exporting Party, based on guarantees provided by the exporting Party, without prior inspection of individual establishments.
5.   Unless the importing Party requests additional information and subject to guarantees being provided by the exporting party, the importing Party shall take the necessary legislative or administrative measures, in accordance with its applicable legal procedures, to allow imports from those establishments without undue delay.
6.   The list of the approved establishments shall be made publicly available by the importing Party.
7.   Where the importing Party decides to reject the request of the exporting Party to accept adding an establishment to the list of approved establishments, it shall inform the exporting Party without delay and shall submit a reply, including information about the non-conformities which led to the rejection of the establishment's approval.
Article 77
Transparency and exchange of information
1.   Each Party shall pursue transparency as regards SPS measures applicable to trade and shall for those purposes undertake the following actions:
(a)
promptly communicate to the other Party any changes to its SPS measures and approval procedures, including changes that may affect its capacity to fulfil the SPS import requirements of the other Party for certain products;
(b)
enhance mutual understanding of its SPS measures and their application;
(c)
exchange information with the other Party on matters related to the development and application of SPS measures, including the progress on new available scientific evidence, that affect, or may affect, trade between the Parties with a view to minimising negative trade effects;
(d)
upon request of the other Party, communicate the conditions that apply for the import of specific products within 20 working days;
(e)
upon request of the other Party, communicate the state of play of the procedure for the authorisation of specific products within 20 working days;
(f)
communicate to the other Party any significant change to the structure or organisation of a Party's competent authority;
(g)
on request, communicate the results of a Party's official control and a report that concerns the results of the control carried out;
(h)
on request, communicate the results of an import check provided for in case of a rejected or a non-compliant consignment; and
(i)
on request, communicate, without undue delay, a risk assessment or scientific opinion produced by a Party that is relevant to this Chapter.
2.   Where a Party has made available the information in paragraph 1 via notification to the WTO's Central Registry of Notifications or to the relevant international standard-setting body, in accordance with its relevant rules, the requirements in paragraph 1, as they apply to that information, are fulfilled.
Article 78
Adaptation to regional conditions
1.   The Parties shall recognise the concept of zoning including disease or pest-free areas, protected zones and areas of low disease or pest prevalence and shall apply it to the trade between the Parties, in accordance with the SPS Agreement, including the guidelines to further the practical implementation of Article 6 of the SPS Agreement (WTO/SPS Committee Decision G/SPS/48) and the relevant recommendations, standards and guidelines of the OIE and IPPC. The Trade Specialised Committee on Sanitary and Phytosanitary Measures may define further details for these procedures, taking into account any relevant SPS Agreement, OIE and IPPC standards, guidelines or recommendations.
2.   The Parties may also agree to cooperate on the concept of compartmentalisation as referred to in Chapters 4.4 and 4.5 of the OIE Terrestrial Animal Health Code and Chapters 4.1 and 4.2 of the OIE Aquatic Animal Health Code.
3.   When establishing or maintaining the zones referred to in paragraph 1, the Parties shall consider factors such as geographical location, ecosystems, epidemiological surveillance and the effectiveness of SPS controls.
4.   With regard to animals and animal products, when establishing or maintaining import conditions upon the request of the exporting Party, the importing Party shall recognise the disease-free areas established by the exporting Party as a basis for consideration towards the determination of allowing or maintaining the import, without prejudice to paragraphs 8 and 9.
5.   The exporting Party shall identify the parts of its territory referred to in paragraph 4 and, if requested, provide a full explanation and supporting data based on the OIE standards, or in other ways established by the Trade Specialised Committee on Sanitary and Phytosanitary Measures, based on the knowledge acquired through experience of the exporting Party's relevant authorities.
6.   With regard to plants, plant products, and other related objects, when establishing or maintaining phytosanitary import conditions on request of the exporting Party, the importing Party shall recognise the pest-free areas, pest-free places of production, pest-free production sites, areas of low pest prevalence and protected zones established by the exporting Party as a basis for consideration towards the determination to allow or maintain the import, without prejudice to paragraphs 8 and 9.
7.   The exporting Party shall identify its pest-free areas, pest-free places of production, pest-free production sites and areas of low pest prevalence or protected zones. If requested by the importing Party, the exporting Party shall provide a full explanation and supporting data based on the International Standards for Phytosanitary Measures developed under the IPPC, or in other ways established by the Trade Specialised Committee on Sanitary and Phytosanitary Measures, based on the knowledge acquired through experience of the exporting Party's relevant phytosanitary authorities.
8.   The Parties shall recognise disease-free areas and protected zones which are in place at the end of the transition period.
9.   Paragraph 8 shall also apply to subsequent adaptations to the disease-free areas and protected zones (in the case of the United Kingdom pest-free areas), except in cases of significant changes in the disease or pest situations.
10.   The Parties may carry out audits and verifications pursuant to Article 79 to implement paragraphs 4 to 9 of this Article.
11.   The Parties shall establish close cooperation with the objective of maintaining confidence in the procedures in relation to the establishment of disease- or pest-free areas, pest-free places of production, pest-free production sites and areas of low pest or disease prevalence and protected zones, with the aim to minimise trade disruption.
12.   The importing Party shall base its own determination of the animal or plant health status of the exporting Party or parts thereof on the information provided by the exporting Party in accordance with the SPS Agreement, OIE and IPPC standards, and take into consideration any determination made by the exporting Party.
13.   Where the importing Party does not accept the determination made by the exporting Party as referred to in paragraph 12 of this Article, the importing Party shall objectively justify and explain to the exporting Party the reasons for that rejection and, upon request, hold consultations, in accordance with Article 80(2).
14.   Each Party shall ensure that the obligations set out in paragraphs 4 to 9, 12 and 13 are carried out without undue delay. The importing Party will expedite the recognition of the disease or pest status when the status has been recovered after an outbreak.
15.   Where a Party considers that a specific region has a special status with respect to a specific disease and which fulfils the criteria laid down in the OIE Terrestrial Animal Health Code Chapter 1.2 or the OIE Aquatic Animal Health Code Chapter 1.2, it may request recognition of this status. The importing Party may request additional guarantees in respect of imports of live animals and animal products appropriate to the agreed status.
Article 79
Audits and verifications
1.   The importing Party may carry out audits and verifications of the following:
(a)
all or part of the other Party's authorities' inspection and certification system;
(b)
the results of the controls carried out under the exporting Party's inspection and certification system.
2.   The Parties shall carry out those audits and verifications in accordance with the provisions of the SPS Agreement, taking into account the relevant international standards, guidelines and recommendations of the Codex, OIE or IPPC.
3.   For the purposes of carrying out such audits and verifications, the importing Party may conduct audits and verifications by means of requests of information from the exporting Party or audit and verification visits to the exporting Party, which may include:
(a)
an assessment of all or part of the responsible authorities' total control programme, including, where appropriate, reviews of regulatory audit and inspection activities;
(b)
on-the-spot checks; and
(c)
the collection of information and data to assess the causes of recurring or emerging problems in relation to exports of products.
4.   The importing Party shall share with the exporting Party the results and conclusions of the audits and verifications carried out pursuant to paragraph 1. The importing Party may make these results publicly available.
5.   Prior to the commencement of an audit or verification, the Parties shall discuss the objectives and scope of the audit or verification, the criteria or requirements against which the exporting Party will be assessed, and the itinerary and procedures for conducting the audit or verification which shall be laid down in an audit or verification plan. Unless otherwise agreed by the Parties, the importing Party shall provide the exporting Party with an audit or verification plan at least 30 days prior to the commencement of the audit or verification.
6.   The importing Party shall provide the exporting Party the opportunity to comment on the draft audit or verification report. The importing Party shall provide a final report in writing to the exporting Party normally within two months from the date of receipt of those comments.
7.   Each Party shall bear its own costs associated with such an audit or verification.
Article 80
Notification and consultation
1.   A Party shall notify the other Party without undue delay of:
(a)
a significant change to pest or disease status;
(b)
the emergence of a new animal disease;
(c)
a finding of epidemiological importance with respect to an animal disease;
(d)
a significant food safety issue identified by a Party;
(e)
any additional measures beyond the basic requirements of their respective SPS measures taken to control or eradicate animal disease or protect human health, and any changes in preventive policies, including vaccination policies;
(f)
on request, the results of a Party's official control and a report that concerns the results of the control carried out; and
(g)
any significant changes to the functions of a system or database.
2.   If a Party has a significant concern with respect to food safety, plant health, or animal health, or an SPS measure that the other Party has proposed or implemented, that Party may request technical consultations with the other Party. The requested Party should respond to the request without undue delay. Each Party shall endeavour to provide the information necessary to avoid a disruption to trade and, as the case may be, to reach a mutually acceptable solution.
3.   Consultations referred to in paragraph 2 may be held via telephone conference, videoconference, or any other means of communication mutually agreed on by the Parties.
Article 81
Emergency measures
1.   If the importing Party considers that there is a serious risk to human, animal or plant life and health, it may take without prior notification the necessary measures for the protection of human, animal or plant life and health. For consignments that are in transit between the Parties, the importing Party shall consider the most suitable and proportionate solution to avoid unnecessary disruptions to trade.
2.   The Party taking the measures shall notify the other Party of an emergency SPS measure as soon as possible after its decision to implement the measure and no later than 24 hours after the decision has been taken. If a Party requests technical consultations to address the emergency SPS measure, the technical consultations must be held within 10 days of the notification of the emergency SPS measure. The Parties shall consider any information provided through the technical consultations. These consultations shall be carried out in order to avoid unnecessary disruptions to trade. The Parties may consider options for the facilitation of the implementation or the replacement of the measures.
3.   The importing Party shall consider, in a timely manner, information that was provided by the exporting Party when it makes its decision with respect to consignments that, at the time of adoption of the emergency SPS measure, are being transported between the Parties, in order to avoid unnecessary disruptions to trade.
4.   The importing Party shall ensure that any emergency measure taken on the grounds referred to in paragraph 1 of this Article is not maintained without scientific evidence or, in cases where scientific evidence is insufficient, is adopted in accordance with Article 5(7) of the SPS Agreement.
Article 82
Multilateral international fora
The Parties agree to cooperate in multilateral international fora on the development of international standards, guidelines and recommendations in the areas under the scope of this Chapter.
Article 83
Implementation and competent authorities
1.   For the purposes of the implementation of this Chapter, each Party shall take all of the following into account:
(a)
decisions of the WTO SPS Committee;
(b)
the work of the relevant international standard setting bodies;
(c)
any knowledge and past experience it has of trading with the exporting Party; and
(d)
information provided by the other Party.
2.   The Parties shall, without delay, provide each other with a description of the competent authorities of the Parties for the implementation of this Chapter. The Parties shall notify each other of any significant change to these competent authorities.
3.   Each Party shall ensure that its competent authorities have the necessary resources to effectively implement this Chapter.
Article 84
Cooperation on animal welfare
1.   The Parties recognise that animals are sentient beings. They also recognise the connection between improved welfare of animals and sustainable food production systems.
2.   The Parties undertake to cooperate in international fora to promote the development of the best possible animal welfare practices and their implementation. In particular, the Parties shall cooperate to reinforce and broaden the scope of the OIE animal welfare standards, as well as their implementation, with a focus on farmed animals.
3.   The Parties shall exchange information, expertise and experiences in the field of animal welfare, particularly related to breeding, holding, handling, transportation and slaughter of food-producing animals.
4.   The Parties shall strengthen their cooperation on research in the area of animal welfare in relation to animal breeding and the treatment of animals on farms, during transport and at slaughter.
Article 85
Cooperation on antimicrobial resistance
1.   The Parties shall provide a framework for dialogue and cooperation with a view to strengthening the fight against the development of antimicrobial resistance.
2.   The Parties recognise that antimicrobial resistance is a serious threat to human and animal health. Misuse of antimicrobials in animal production, including non-therapeutic use, can contribute to antimicrobial resistance that may represent a risk to human life. The Parties recognise that the nature of the threat requires a transnational and One Health approach.
3.   With a view to combating antimicrobial resistance, the Parties shall endeavour to cooperate internationally with regional or multilateral work programmes to reduce the unnecessary use of antibiotics in animal production and to work towards the cessation of the use of antibiotics as growth promotors internationally to combat antimicrobial resistance in line with the One Health approach, and in compliance with the Global Action Plan.
4.   The Parties shall collaborate in the development of international guidelines, standards, recommendations and actions in relevant international organisations aiming to promote the prudent and responsible use of antibiotics in animal husbandry and veterinary practices.
5.   The dialogue referred to in paragraph 1 shall cover, inter alia:
(a)
collaboration to follow up existing and future guidelines, standards, recommendations and actions developed in relevant international organisations and existing and future initiatives and national plans aiming to promote the prudent and responsible use of antibiotics and relating to animal production and veterinary practices;
(b)
collaboration in the implementation of the recommendations of OIE, WHO and Codex, in particular CAC-RCP61/2005;
(c)
the exchange of information on good farming practices;
(d)
the promotion of research, innovation and development;
(e)
the promotion of multidisciplinary approaches to combat antimicrobial resistance, including the One Health approach of the WHO, OIE and Codex.
Article 86
Sustainable food systems
Each Party shall encourage its food safety, animal and plant health services to cooperate with their counterparts in the other Party with the aim of promoting sustainable food production methods and food systems.
Article 87
Trade Specialised Committee on Sanitary and Phytosanitary Measures
The Trade Specialised Committee on Sanitary and Phytosanitary Measures shall supervise the implementation and operation of this Chapter and have the following functions:
(a)
promptly clarifying and addressing, where possible, any issue raised by a Party relating to the development, adoption or application of sanitary and phytosanitary requirements, standards and recommendations under this Chapter or the SPS Agreement;
(b)
discussing ongoing processes on the development of new regulations;
(c)
discussing as expeditiously as possible concerns expressed by a Party with regard to the SPS import conditions and procedures applied by the other Party;
(d)
regularly reviewing the Parties' SPS measures, including certification requirements and border clearance processes, and their application, in order to facilitate trade between the Parties, in accordance with the principles, objectives and procedures set out in Article 5 of the SPS Agreement. Each Party shall identify any appropriate action it will take, including in relation to the frequency of identity and physical checks, taking into consideration the results of this review and based on the criteria laid down in Annex 10 of this Agreement;
(e)
exchanging views, information, and experiences with respect to the cooperation activities on protecting animal welfare and the fight against antimicrobial resistance carried out under Articles 84 and 85;
(f)
on request of a Party, considering what constitutes a significant change in the disease or pest situation referred to in Article 78(9);
(g)
adopting decisions to:
(i)
add definitions as referred to in Article 71;
(ii)
define the specific cases referred to in Article 74(2);
(iii)
define details for the procedures referred to in Article 78(1);
(iv)
establish other ways to support the explanations referred to in Article 78(5) and (7).
CHAPTER 4
TECHNICAL BARRIERS TO TRADE
Article 88
Objective
The objective of this Chapter is to facilitate trade in goods between the Parties by preventing, identifying and eliminating unnecessary technical barriers to trade.
Article 89
Scope
1.   This Chapter applies to the preparation, adoption and application of all standards, technical regulations and conformity assessment procedures, which may affect trade in goods between the Parties.
2.   This Chapter does not apply to:
(a)
purchasing specifications prepared by governmental bodies for production or consumption requirements of such bodies; or
(b)
SPS measures that fall within the scope of Chapter 3 of this Title.
3.   The Annexes to this Chapter apply in addition to this Chapter in respect of products within the scope of those Annexes. Any provision in an Annex to this Chapter that an international standard or body or organisation is to be considered or recognised as relevant shall not prevent a standard developed by any other body or organisation from being considered to be a relevant international standard pursuant to Article 91(4) and (5).
Article 90
Relationship with the TBT Agreement
1.   Articles 2 to 9 of and Annexes 1 and 3 to the TBT Agreement are incorporated into and made part of this Agreement 
mutatis mutandis
.
2.   Terms referred to in this Chapter and in the Annexes to this Chapter shall have the same meaning as they have in the TBT Agreement.
Article 91
Technical regulations
1.   Each Party shall carry out impact assessments of planned technical regulations in accordance with its respective rules and procedures. The rules and procedures referred to in this paragraph and in paragraph 8 may provide for exceptions.
2.   Each Party shall assess the available regulatory and non-regulatory alternatives to the proposed technical regulation that may fulfil the Party's legitimate objectives, in accordance with Article 2.2 of the TBT Agreement.
3.   Each Party shall use relevant international standards as a basis for its technical regulations except when it can demonstrate that such international standards would be an ineffective or inappropriate means for the fulfilment of the legitimate objectives pursued.
4.   International standards developed by the International Organization for Standardization (ISO), the International Electrotechnical Commission (IEC), the International Telecommunication Union (ITU) and the Codex Alimentarius Commission (Codex) shall be the relevant international standards within the meaning of Article 2, Article 5 and Annex 3 of the TBT Agreement.
5.   A standard developed by other international organisations may also be considered a relevant international standard within the meaning of Article 2, Article 5 and Annex 3 of the TBT Agreement, provided that:
(a)
it has been developed by a standardising body which seeks to establish consensus either:
(i)
among national delegations of the participating WTO Members representing all the national standardising bodies in their territory that have adopted, or expect to adopt, standards on the subject matter to which the international standardisation activity relates, or,
(ii)
among governmental bodies of participating WTO Members; and
(b)
it has been developed in accordance with the Decision of the WTO Committee on Technical Barriers to Trade on Principles for the Development of International Standards, Guides and Recommendations with relation to Articles 2, 5, and Annex 3 of the TBT Agreement. 
(
4
)
6.   Where a Party does not use international standards as a basis for a technical regulation, on request of the other Party, it shall identify any substantial deviation from the relevant international standard, explain the reasons why such standards were judged inappropriate or ineffective for the objective pursued, and provide the scientific or technical evidence on which that assessment was based.
7.   Each Party shall review its technical regulations to increase the convergence of those technical regulations with relevant international standards, taking into account, inter alia, any new developments in the relevant international standards or any changes in the circumstances that have given rise to divergence from any relevant international standards.
8.   In accordance with its respective rules and procedures and without prejudice to Title X of this Heading, when developing a major technical regulation which may have a significant effect on trade, each Party shall ensure that procedures exist that allow persons to express their opinion in a public consultation, except where urgent problems of safety, health, environment or national security arise or threaten to arise. Each Party shall allow persons of the other Party to participate in such consultations on terms that are no less favourable than those accorded to its own nationals, and shall make the results of those consultations public.
Article 92
Standards
1.   Each Party shall encourage the standardising bodies established within its territory, as well as the regional standardising bodies of which a Party or the standardising bodies established in its territory are members:
(a)
to participate, within the limits of their resources, in the preparation of international standards by relevant international standardising bodies;
(b)
to use relevant international standards as a basis for the standards they develop, except where such international standards would be ineffective or inappropriate, for example because of an insufficient level of protection, fundamental climatic or geographical factors or fundamental technological problems;
(c)
to avoid duplications of, or overlaps with, the work of international standardising bodies;
(d)
to review national and regional standards that are not based on relevant international standards at regular intervals, with a view to increasing the convergence of those standards with relevant international standards;
(e)
to cooperate with the relevant standardising bodies of the other Party in international standardisation activities, including through cooperation in the international standardising bodies or at regional level;
(f)
to foster bilateral cooperation with the standardising bodies of the other Party; and
(g)
to exchange information between standardising bodies.
2.   The Parties shall exchange information on:
(a)
their respective use of standards in support of technical regulations; and
(b)
their respective standardisation processes, and the extent to which they use international, regional or sub-regional standards as a basis for their national standards.
3.   Where standards are rendered mandatory in a draft technical regulation or conformity assessment procedure, through incorporation or reference, the transparency obligations set out in Article 94 and in Article 2 or 5 of the TBT Agreement shall apply.
Article 93
Conformity assessment
1.   Article 91 concerning the preparation, adoption and application of technical regulations shall also apply to conformity assessment procedures, 
mutatis mutandis
.
2.   Where a Party requires conformity assessment as a positive assurance that a product conforms with a technical regulation, it shall:
(a)
select conformity assessment procedures that are proportionate to the risks involved, as determined on the basis of a risk-assessment;
(b)
consider as proof of compliance with technical regulations the use of a supplier's declaration of conformity, i.e. a declaration of conformity issued by the manufacturer on the sole responsibility of the manufacturer without a mandatory third-party assessment, as assurance of conformity among the options for showing compliance with technical regulations;
(c)
where requested by the other Party, provide information on the criteria used to select the conformity assessment procedures for specific products.
3.   Where a Party requires third party conformity assessment as a positive assurance that a product conforms with a technical regulation and it has not reserved this task to a government authority as specified in paragraph 4, it shall:
(a)
use accreditation, as appropriate, as a means to demonstrate technical competence to qualify conformity assessment bodies. Without prejudice to its right to establish requirements for conformity assessment bodies, each Party recognises the valuable role that accreditation operated with authority derived from government and on a non-commercial basis can play in the qualification of conformity assessment bodies;
(b)
use relevant international standards for accreditation and conformity assessment;
(c)
encourage accreditation bodies and conformity assessment bodies located within its territory to join any relevant functioning international agreements or arrangements for harmonisation or facilitation of acceptance of conformity assessment results;
(d)
if two or more conformity assessment bodies are authorised by a Party to carry out conformity assessment procedures required for placing a product on the market, ensure that economic operators have a choice amongst the conformity assessment bodies designated by the authorities of a Party for a particular product or set of products;
(e)
ensure that conformity assessment bodies are independent of manufacturers, importers and economic operators in general and that there are no conflicts of interest between accreditation bodies and conformity assessment bodies;
(f)
allow conformity assessment bodies to use subcontractors to perform testing or inspections in relation to the conformity assessment, including subcontractors located in the territory of the other Party, and may require subcontractors to meet the same requirements the conformity assessment body must meet to perform such testing or inspections itself; and
(g)
publish on a single website a list of the bodies that it has designated to perform such conformity assessment and the relevant information on the scope of designation of each such body.
4.   Nothing in this Article shall preclude a Party from requiring that conformity assessment in relation to specific products is performed by its specified government authorities. If a Party requires that conformity assessment is performed by its specified government authorities, that Party shall:
(a)
limit the conformity assessment fees to the approximate cost of the services rendered and, at the request of an applicant for conformity assessment, explain how any fees it imposes for that conformity assessment are limited to the approximate cost of services rendered; and
(b)
make publicly available the conformity assessment fees.
5.   Notwithstanding paragraphs 2 to 4, each Party shall accept a supplier's declaration of conformity as proof of compliance with its technical regulations in those product areas where it does so on the date of entry into force of this Agreement.
6.   Each Party shall publish and maintain a list of the product areas referred to in paragraph 5 for information purposes, together with the references to the applicable technical regulations.
7.   Notwithstanding paragraph 5, either Party may introduce requirements for the mandatory third party testing or certification of the product areas referred to in that paragraph, provided that such requirements are justified on grounds of legitimate objectives and are proportionate to the purpose of giving the importing Party adequate confidence that products conform with the applicable technical regulations or standards, taking account of the risks that non-conformity would create.
8.   A Party proposing to introduce the conformity assessment procedures referred to in paragraph 7 shall notify the other Party at an early stage and shall take the comments of the other Party into account in devising any such conformity assessment procedures.
Article 94
Transparency
1.   Except where urgent problems of safety, health, environmental protection or national security arise or threaten to arise, each Party shall allow the other Party to provide written comments on notified proposed technical regulations and conformity assessment procedures within a period of at least 60 days from the date of the transmission of the notification of such regulations or procedures to the WTO Central Registry of Notifications. A Party shall give positive consideration to a reasonable request to extend that comment period.
2.   Each Party shall provide the electronic version of the full notified text together with the notification. In the event that the notified text is not in one of the official WTO languages, the notifying Party shall provide a detailed and comprehensive description of the content of the measure in the WTO notification format.
3.   If a Party receives written comments on its proposed technical regulation or conformity assessment procedure from the other Party, it shall:
(a)
if requested by the other Party, discuss the written comments with the participation of its competent regulatory authority, at a time when they can be taken into account; and
(b)
reply in writing to the comments no later than the date of publication of the technical regulation or conformity assessment procedure.
4.   Each Party shall endeavour to publish on a website its responses to the comments it receives following the notification referred to in paragraph 1 no later than on the date of publication of the adopted technical regulation or conformity assessment procedure.
5.   Each Party shall, where requested by the other Party, provide information regarding the objectives of, legal basis for and rationale for, any technical regulation or conformity assessment procedure that the Party has adopted or is proposing to adopt.
6.   Each Party shall ensure that the technical regulations and conformity assessment procedures it has adopted are published on a website that is accessible free of charge.
7.   Each Party shall provide information on the adoption and the entry into force of technical regulations or conformity assessment procedures and the adopted final texts through an addendum to the original notification to the WTO.
8.   Each Party shall allow a reasonable interval between the publication of technical regulations and their entry into force, in order to allow time for the economic operators of the other Party to adapt. "Reasonable interval" means a period of at least six months, unless this would be ineffective in fulfilling the legitimate objectives pursued.
9.   A Party shall give positive consideration to a reasonable request from the other Party received prior to the end of the comment period set out in paragraph 1 to extend the period of time between the adoption of the technical regulation and its entry into force, except where the delay would be ineffective in fulfilling the legitimate objectives pursued.
10.   Each Party shall ensure that the enquiry point established in accordance with Article 10 of the TBT Agreement provides information and answers in one of the official WTO languages to reasonable enquiries from the other Party or from interested persons of the other Party regarding adopted technical regulations and conformity assessment procedures.
Article 95
Marking and labelling
1.   The technical regulations of a Party may include or exclusively address mandatory marking or labelling requirements. In such cases, the principles of Article 2.2 of the TBT Agreement apply to these technical regulations.
2.   Where a Party requires mandatory marking or labelling of products, all of the following conditions shall apply:
(a)
it shall only require information which is relevant for consumers or users of the product or information that indicates that the product conforms to the mandatory technical requirements;
(b)
it shall not require any prior approval, registration or certification of the labels or markings of products, nor any fee disbursement, as a precondition for placing on its market products that otherwise comply with its mandatory technical requirements unless it is necessary in view of legitimate objectives;
(c)
where the Party requires the use of a unique identification number by economic operators, it shall issue such a number to the economic operators of the other Party without undue delay and on a non-discriminatory basis;
(d)
unless the information listed in point (i), (ii) or (iii) would be misleading, contradictory or confusing in relation to the information that the importing Party requires with respect to the goods, the importing Party shall permit:
(i)
information in other languages in addition to the language required in the importing Party of the goods;
(ii)
internationally-accepted nomenclatures, pictograms, symbols or graphics; and
(iii)
additional information to that required in the importing Party of the goods;
(e)
it shall accept that labelling, including supplementary labelling or corrections to labelling, take place in customs warehouses or other designated areas in the country of import as an alternative to labelling in the country of origin, unless such labelling is required to be carried out by approved persons for reasons of public health or safety; and
(f)
unless it considers that legitimate objectives may be undermined, it shall endeavour to accept the use of non-permanent or detachable labels, or marking or labelling in the accompanying documentation, rather than requiring labels or marking to be physically attached to the product.
Article 96
Cooperation on market surveillance and non-food product safety and compliance
1.   The Parties recognise the importance of cooperation on market surveillance, compliance and the safety of non-food products for the facilitation of trade and for the protection of consumers and other users, and the importance of building mutual trust based on shared information.
2.   To guarantee the independent and impartial functioning of market surveillance, the Parties shall ensure:
(a)
the separation of market surveillance functions from conformity assessment functions; and
(b)
the absence of any interests that would affect the impartiality of market surveillance authorities in the performance of their control or supervision of economic operators.
3.   The Parties shall cooperate and exchange information in the area of non-food product safety and compliance, which may include in particular the following:
(a)
market surveillance and enforcement activities and measures;
(b)
risk assessment methods and product testing;
(c)
coordinated product recalls or other similar actions;
(d)
scientific, technical and regulatory matters in order to improve non-food product safety and compliance;
(e)
emerging issues of significant health and safety relevance;
(f)
standardisation-related activities;
(g)
exchanges of officials.
4.   The Partnership Council shall use its best endeavours to establish in Annex 16, as soon as possible and preferably within six months of entry into force of this Agreement, an arrangement for the regular exchange of information between the Rapid Alert System for non-food products (RAPEX), or its successor, and the database relating to market surveillance and product safety established under the General Product Safety Regulations 2005, or its successor, in relation to the safety of non-food products and related preventive, restrictive and corrective measures.
The arrangement shall set out the modalities under which:
(a)
the Union is to provide the United Kingdom with selected information from its RAPEX alert system, or its successor, as referred to in Directive 2001/95/EC of the European Parliament and of the Council of 3 December 2001 on general product safety, or its successor;
(b)
the United Kingdom is to provide the Union with selected information from its database relating to market surveillance and product safety established under the General Product Safety Regulations 2005, or its successor; and
(c)
the Parties are to inform each other of any follow-up actions and measures taken in response to the information exchanged.
5.   The Partnership Council may establish in Annex 17 an arrangement on the regular exchange of information, including the exchange of information by electronic means, regarding measures taken on non-compliant non-food products, other than those covered by paragraph 4.
6.   Each Party shall use the information obtained pursuant to paragraphs 3, 4 and 5 for the sole purpose of protecting consumers, health, safety or the environment.
7.   Each Party shall treat the information obtained pursuant to paragraphs 3, 4 and 5 as confidential.
8.   The arrangements referred to in paragraphs 4 and 5 shall specify the type of information to be exchanged, the modalities for the exchange and the application of confidentiality and personal data protection rules. The Partnership Council shall have the power to adopt decisions in order to determine or amend the arrangements set out in Annexes 16 and 17.
9.   For the purposes of this Article, "market surveillance" means activities conducted and measures taken by market surveillance and enforcement authorities, including activities conducted and measures taken in cooperation with economic operators, on the basis of procedures of a Party to enable that Party to monitor or address safety of products and their compliance with the requirements set out in its laws and regulations.
10.   Each Party shall ensure that any measure taken by its market surveillance or enforcement authorities to withdraw or recall from its market or to prohibit or restrict the making available on its market of a product imported from the territory of the other Party, for reasons related to non-compliance with the applicable legislation, is proportionate, states the exact grounds on which the measure is based and is communicated without delay to the relevant economic operator.
Article 97
Technical discussions
1.   If a Party considers that a draft or proposed technical regulation or conformity assessment procedure of the other Party might have a significant effect on trade between the Parties, it may request technical discussions on the matter. The request shall be made in writing to the other Party and shall identify:
(a)
the measure at issue;
(b)
the provisions of this Chapter or of an Annex to this Chapter to which the concerns relate; and
(c)
the reasons for the request, including a description of the requesting Party's concerns regarding the measure.
2.   A Party shall deliver its request to the contact point of the other Party designated pursuant to Article 99.
3.   At the request of either Party, the Parties shall meet to discuss the concerns raised in the request, in person or via videoconference or teleconference, within 60 days of the date of the request and shall endeavour to resolve the matter as expeditiously as possible. If a requesting Party believes that the matter is urgent, it may request that any meeting take place within a shorter time frame. In such cases, the responding Party shall give positive consideration to such a request.
Article 98
Cooperation
1.   The Parties shall cooperate in the field of technical regulations, standards and conformity assessment procedures, where it is in their mutual interest, and without prejudice to the autonomy of their own respective decision-making and legal orders. The Trade Specialised Committee on Technical Barriers to Trade may exchange views with respect to the cooperation activities carried out under this Article or the Annexes to this Chapter.
2.   For the purposes of paragraph 1, the Parties shall seek to identify, develop and promote cooperation activities of mutual interest. These activities may in particular relate to:
(a)
the exchange of information, experience and data related to technical regulations, standards and conformity assessment procedures;
(b)
ensuring efficient interaction and cooperation of their respective regulatory authorities at international, regional or national level;
(c)
exchanging information, to the extent possible, about international agreements and arrangements regarding technical barriers to trade to which one or both Parties are party; and
(d)
establishment of or participation in trade facilitating initiatives.
3.   For the purposes of this Article and the provisions on cooperation under the Annexes to this Chapter, the European Commission shall act on behalf of the Union.
Article 99
Contact points
1.   Upon the entry into force of this Agreement, each Party shall designate a contact point for the implementation of this Chapter and shall notify the other Party of the contact details for the contact point, including information regarding the relevant officials. The Parties shall promptly notify each other of any change of those contact details.
2.   The contact point shall provide any information or explanation requested by the contact point of the other Party in relation to the implementation of this Chapter within a reasonable period of time and, if possible, within 60 days of the date of receipt of the request.
Article 100
Trade Specialised Committee on Technical Barriers to Trade
The Trade Specialised Committee on Technical Barriers to Trade shall supervise the implementation and operation of this Chapter and its Annexes and shall promptly clarify and address, where possible, any issue raised by a Party relating to the development, adoption or application of technical regulations, standards and conformity assessment procedures under this Chapter or the TBT Agreement.
CHAPTER 5
CUSTOMS AND TRADE FACILITATION
Article 101
Objective
The objectives of this Chapter are:
(a)
to reinforce cooperation between the Parties in the area of customs and trade facilitation and to support or maintain, where relevant, appropriate levels of compatibility of their customs legislation and practices with a view to ensuring that relevant legislation and procedures, as well as the administrative capacity of the relevant administrations, fulfil the objectives of promoting trade facilitation while ensuring effective customs controls and effective enforcement of customs legislation and trade related laws and regulations, the proper protection of security and safety of citizens and the respect of prohibitions and restrictions and financial interests of the Parties;
(b)
to reinforce administrative cooperation between the Parties in the field of VAT and mutual assistance in claims related to taxes and duties;
(c)
to ensure that the legislation of each Party is non-discriminatory and that customs procedures are based upon the use of modern methods and effective controls to combat fraud and to promote legitimate trade; and
(d)
to ensure that legitimate public policy objectives, including in relation to security, safety and the fight against fraud are not compromised in any way.
Article 102
Definitions
For the purposes of this Chapter and Annex 18 and the Protocol on mutual administrative assistance in customs matters and the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties, the following definitions apply:
(a)
"Agreement on Pre-shipment Inspection" means the Agreement on Pre-shipment Inspection, contained in Annex 1A to the WTO Agreement;
(b)
"ATA and Istanbul Conventions" means the Customs Convention on the ATA Carnet for the Temporary Admission of Goods done in Brussels on 6 December 1961 and the Istanbul Convention on Temporary Admission done on 26 June 1990;
(c)
"Common Transit Convention" means the Convention of 20 May 1987 on a common transit procedure;
(d)
"Customs Data Model of the WCO" means the library of data components and electronic templates for the exchange of business data and compilation of international standards on data and information used in applying regulatory facilitation and controls in global trade, as published by the WCO Data Model Project Team from time to time;
(e)
"customs legislation" means any legal or regulatory provision applicable in the territory of either Party, governing the entry or import of goods, exit or export of goods, the transit of goods and the placing of goods under any other customs regime or procedure, including measures of prohibition, restriction and control;
(f)
"information" means any data, document, image, report, communication or authenticated copy, in any format, including in electronic format, whether or not processed or analysed;
(g)
"person" means any person as defined in point (l) of Article 512 
(
5
)
;
(h)
"SAFE Framework" means the SAFE Framework of Standards to Secure and Facilitate Global Trade adopted at the June 2005 World Customs Organisation Session in Brussels and as updated from time to time; and
(i)
"WTO Trade Facilitation Agreement" means the Agreement on Trade Facilitation annexed to the Protocol Amending the WTO Agreement (decision of 27 November 2014).
Article 103
Customs cooperation
1.   The relevant authorities of the Parties shall cooperate on customs matters to support the objectives set out in Article 101, taking into account the resources of their respective authorities. For the purpose of this Title, the Convention of 20 May 1987 on the Simplification of Formalities in Trade in Goods applies.
2.   The Parties shall develop cooperation, including in the following areas:
(a)
exchanging information concerning customs legislation, the implementation of customs legislation and customs procedures; particularly in the following areas:
(i)
the simplification and modernisation of customs procedures;
(ii)
the facilitation of transit movements and transhipment;
(iii)
relations with the business community; and
(iv)
supply chain security and risk management;
(b)
working together on the customs-related aspects of securing and facilitating the international trade supply chain in accordance with the SAFE Framework;
(c)
considering developing joint initiatives relating to import, export and other customs procedures including technical assistance, as well as towards ensuring an effective service to the business community;
(d)
strengthening their cooperation in the field of customs in international organisations such as the WTO and the WCO, and exchanging information or holding discussions with a view to establishing where possible common positions in those international organisations and in UNCTAD, UNECE;
(e)
endeavouring to harmonise their data requirements for import, export and other customs procedures by implementing common standards and data elements in accordance with the Customs Data Model of the WCO;
(f)
strengthening their cooperation on risk management techniques, including sharing best practices, and, where appropriate, risk information and control results. Where relevant and appropriate, the Parties may also consider mutual recognition of risk management techniques, risk standards and controls and customs security measures; the Parties may also consider, where relevant and appropriate, the development of compatible risk criteria and standards, control measures and priority control areas;
(g)
establishing mutual recognition of Authorised Economic Operator programmes to secure and facilitate trade;
(h)
fostering cooperation between customs and other government authorities or agencies in relation to Authorised Economic Operator programmes, which may be achieved, inter alia, by agreeing on the highest standards, facilitating access to benefits and minimising unnecessary duplication;
(i)
enforcing intellectual property rights by customs authorities, including exchanging information and best practices in customs operations focusing in particular on intellectual property rights enforcement;
(j)
maintaining compatible customs procedures, where appropriate and practicable to do so, including the application of a single administrative document for customs declaration; and
(k)
exchanging, where relevant and appropriate and under arrangements to be agreed, certain categories of customs-related information between the customs authorities of the Parties through structured and recurrent communication, for the purposes of improving risk management and the effectiveness of customs controls, targeting goods at risk in terms of revenue collection or safety and security, and facilitating legitimate trade; such exchanges may include export and import declaration data on trade between the Parties, with the possibility of exploring, through pilot initiatives, the development of interoperable mechanisms to avoid duplication in the submission of such information. Exchanges under this point shall be without prejudice to exchanges of information that may take place between the Parties pursuant to the Protocol on mutual administrative assistance in customs matters.
3.   Without prejudice to other forms of cooperation envisaged in this Agreement, the customs authorities of the Parties shall provide each other with mutual administrative assistance in the matters covered by this Chapter in accordance with the Protocol on mutual administrative assistance in customs matters.
4.   Any exchange of information between the Parties under this Chapter shall be subject to the confidentiality and protection of information set out in Article 12 of the Protocol on mutual administrative assistance in customs matters, 
mutatis mutandis
, as well as to any confidentiality requirements set out in the legislation of the Parties.
Article 104
Customs and other trade related legislation and procedures
1.   Each Party shall ensure that its customs provisions and procedures:
(a)
are consistent with international instruments and standards applicable in the area of customs and trade, including the WTO Trade Facilitation Agreement, the substantive elements of the Revised Kyoto Convention on the Simplification and Harmonisation of Customs Procedures, the International Convention on the Harmonised Commodity Description and Coding System, as well as the SAFE Framework and the Customs Data Model of the WCO;
(b)
provide the protection and facilitation of legitimate trade taking into account the evolution of trade practices through effective enforcement including in case of breaches of its laws and regulations, duty evasion and smuggling and through ensuring compliance with legislative requirements;
(c)
are based on legislation that is proportionate and non-discriminatory, avoids unnecessary burdens on economic operators, provides for further facilitation for operators with high levels of compliance including favourable treatment with respect to customs controls prior to the release of goods, and ensures safeguards against fraud and illicit or damageable activities while ensuring a high level of protection of security and safety of citizens and the respect of prohibitions and restrictions and financial interests of the Parties; and
(d)
contain rules that ensure that any penalty imposed for breaches of customs regulations or procedural requirements is proportionate and non-discriminatory and that the imposition of such penalties does not result in unjustified delays.
Each Party should periodically review its legislation and customs procedures. Customs procedures should also be applied in a manner that is predictable, consistent and transparent.
2.   In order to improve working methods and to ensure non-discrimination, transparency, efficiency, integrity and the accountability of operations, each Party shall:
(a)
simplify and review requirements and formalities wherever possible with a view to ensuring the rapid release and clearance of goods;
(b)
work towards the further simplification and standardisation of the data and documentation required by customs and other agencies; and
(c)
promote coordination between all border agencies, both internally and across borders, to facilitate border-crossing processes and enhance control, taking into account joint border controls where feasible and appropriate.
Article 105
Release of goods
1.   Each Party shall adopt or maintain customs procedures that:
(a)
provide for the prompt release of goods within a period that is no longer than necessary to ensure compliance with its laws and regulations;
(b)
provide for advance electronic submission and processing of documentation and any other required information prior to the arrival of the goods, to enable the release of goods promptly upon arrival if no risk has been identified through risk analysis or if no random checks or other checks are to be performed;
(c)
provide for the possibility, where appropriate and if the necessary conditions are satisfied, of releasing goods for free circulation at the first point of arrival; and
(d)
allow for the release of goods prior to the final determination of customs duties, taxes, fees and charges, if such a determination is not done prior to, or upon arrival, or as rapidly as possible after arrival and provided that all other regulatory requirements have been met.
2.   As a condition for such release, each Party may require a guarantee for any amount not yet determined in the form of a surety, a deposit or another appropriate instrument provided for in its laws and regulations. Such guarantee shall not be greater than the amount the Party requires to ensure payment of customs duties, taxes, fees and charges ultimately due for the goods covered by the guarantee. The guarantee shall be discharged when it is no longer required.
3.   The Parties shall ensure that the customs and other authorities responsible for border controls and procedures dealing with importation, exportation and transit of goods cooperate with one another and coordinate their activities in order to facilitate trade and expedite the release of goods.
Article 106
Simplified customs procedures
1.   Each Party shall work towards simplification of its requirements and formalities for customs procedures in order to reduce the time and costs thereof for traders or operators, including small and medium-sized enterprises.
2.   Each Party shall adopt or maintain measures allowing traders or operators fulfilling criteria specified in its laws and regulations to benefit from further simplification of customs procedures. Such measures may include inter alia:
(a)
customs declarations containing a reduced set of data or supporting documents;
(b)
periodical customs declarations for the determination and payment of customs duties and taxes covering multiple imports within a given period after the release of those imported goods;
(c)
self-assessment of and the deferred payment of customs duties and taxes until after the release of those imported goods; and
(d)
the use of a guarantee with a reduced amount or a waiver from the obligation to provide a guarantee.
3.   Where a Party chooses to adopt one of these measures, it will offer, where considered appropriate and practicable by that Party and in accordance with its laws and regulations, these simplifications to all traders who meet the relevant criteria.
Article 107
Transit and transhipment
1.   For the purposes of Article 20, the Common Transit Convention shall apply.
2.   Each Party shall ensure the facilitation and effective control of transhipment operations and transit movements through their respective territories.
3.   Each Party shall promote and implement regional transit arrangements with a view to facilitating trade in compliance with the Common Transit Convention.
4.   Each Party shall ensure cooperation and coordination between all concerned authorities and agencies in their respective territories in order to facilitate traffic in transit.
5.   Each Party shall allow goods intended for import to be moved within its territory under customs control from a customs office of entry to another customs office in its territory from where the goods would be released or cleared.
Article 108
Risk management
1.   Each Party shall adopt or maintain a risk management system for customs controls with a view to reducing the likelihood and the impact of an event which would prevent the correct application of customs legislation, compromise the financial interest of the Parties or pose a threat to the security and safety of the Parties and their residents, to human, animal or plant health, to the environment or to consumers.
2.   Customs controls, other than random checks, shall primarily be based on risk analysis using electronic data-processing techniques.
3.   Each Party shall design and apply risk management in such a manner as to avoid arbitrary or unjustifiable discrimination, or disguised restrictions to international trade.
4.   Each Party shall concentrate customs controls and other relevant border controls on high-risk consignments and shall expedite the release of low-risk consignments. Each Party may also select consignments for such controls on a random basis as part of its risk management.
5.   Each Party shall base risk management on the assessment of risk through appropriate selectivity criteria.
Article 109
Post-clearance audit
1.   With a view to expediting the release of goods, each Party shall adopt or maintain post-clearance audit to ensure compliance with customs and other related laws and regulations.
2.   Each Party shall select persons and consignments for post-clearance audits in a risk-based manner, which may include using appropriate selectivity criteria. Each Party shall conduct post-clearance audits in a transparent manner. Where a person is involved in the audit process and conclusive results have been achieved, the Party shall notify the person whose record is audited of the results, the person's rights and obligations and the reasons for the results, without delay.
3.   The information obtained in post-clearance audits may be used in further administrative or judicial proceedings.
4.   The Parties shall, wherever practicable, use the results of post-clearance audit for risk management purposes.
Article 110
Authorised Economic Operators
1.   Each Party shall maintain a partnership programme for operators who meet the specified criteria in Annex 18.
2.   The Parties shall recognise their respective programmes for Authorised Economic Operators in accordance with Annex 18.
Article 111
Publication and availability of information
1.   Each Party shall ensure that its customs legislation and other trade-related laws and regulations, as well as its general administrative procedures and relevant information of general application that relate to trade, are published and readily available to any interested person in an easily accessible manner, including, as appropriate, through the Internet.
2.   Each Party shall promptly publish new legislation and general procedures related to customs and trade facilitation issues as early as possible prior to the entry into force of any such legislation or procedures, and shall promptly publish any changes to and interpretations of such legislation and procedures. Such publication shall include:
(a)
relevant notices of an administrative nature;
(b)
importation, exportation and transit procedures (including port, airport, and other entry-point procedures) and required forms and documents;
(c)
applied rates of duty and taxes of any kind imposed on or in connection with importation or exportation;
(d)
fees and charges imposed by or for governmental agencies on or in connection with importation, exportation or transit;
(e)
rules for the classification or valuation of products for customs purposes;
(f)
laws, regulations and administrative rulings of general application relating to rules of origin;
(g)
import, export or transit restrictions or prohibitions;
(h)
penalty provisions against breaches of import, export or transit formalities;
(i)
appeal procedures;
(j)
agreements or parts thereof with any country or countries relating to importation, exportation or transit;
(k)
procedures relating to the administration of tariff quotas;
(l)
hours of operation and operating procedures for customs offices at ports and border crossing points; and
(m)
points of contact for information enquiries.
3.   Each Party shall ensure there is a reasonable time period between the publication of new or amended legislation, procedures and fees or charges and their entry into force.
4.   Each Party shall make the following available through the internet:
(a)
a description of its importation, exportation and transit procedures, including appeal procedures, informing of the practical steps needed to import and export, and for transit;
(b)
the forms and documents required for importation into, exportation from, or transit through the territory of that Party; and
(c)
contact information regarding enquiry points.
Each party shall ensure that the descriptions, forms, documents and information referred to in points (a), (b) and (c) of the first subparagraph are kept up to date.
5.   Each Party shall establish or maintain one or more enquiry points to answer enquiries of governments, traders and other interested parties regarding customs and other trade-related matters within a reasonable time. The Parties shall not require the payment of a fee for answering enquiries.
Article 112
Advance rulings
1.   Each Party, through its customs authorities, shall issue advance rulings upon application by economic operators setting forth the treatment to be accorded to the goods concerned. Such rulings shall be issued in writing or in electronic format in a time bound manner and shall contain all necessary information in accordance with the legislation of the issuing Party.
2.   Advance rulings shall be valid for a period of at least three years from the starting date of their validity unless the ruling no longer conforms to the law or the facts or circumstances supporting the original ruling have changed.
3.   A Party may refuse to issue an advance ruling if the question raised in the application is the subject of an administrative or judicial review, or if the application does not relate to any intended use of the advance ruling or any intended use of a customs procedure. If a Party declines to issue an advance ruling, it shall promptly notify the applicant in writing, setting out the relevant facts and the basis for its decision.
4.   Each Party shall publish, at least:
(a)
the requirements for applying for an advance ruling, including the information to be provided and the format;
(b)
the time period by which it will issue an advance ruling; and
(c)
the length of time for which the advance ruling is valid.
5.   If a Party revokes, modifies, invalidates or annuls an advance ruling, it shall provide written notice to the applicant setting out the relevant facts and the basis for its decision. A Party shall only revoke, modify, invalidate or annul an advance ruling with retroactive effect if the ruling was based on incomplete, incorrect, false or misleading information.
6.   An advance ruling issued by a Party shall be binding on that Party in respect of the applicant that sought it. The Party may provide that the advance ruling is binding on the applicant.
7.   Each Party shall provide, at the written request of the holder, a review of an advance ruling or of a decision to revoke, modify or invalidate an advance ruling.
8.   Each Party shall make publicly available information on advance rulings, taking into account the need to protect personal and commercially confidential information.
9.   Advance rulings shall be issued with regard to:
(a)
the tariff classification of goods;
(b)
the origin of goods; and
(c)
any other matter the Parties may agree upon.
Article 113
Customs brokers
The customs provisions and procedures of a Party shall not require the mandatory use of customs brokers or other agents. Each Party shall publish its measures on the use of customs brokers. Each Party shall apply transparent, non-discriminatory and proportionate rules if and when licensing customs brokers.
Article 114
Pre-shipment inspections
A Party shall not require the mandatory use of pre-shipment inspections as defined in the WTO Agreement on Pre-shipment Inspection, or any other inspection activity performed at destination, by private companies, before customs clearance.
Article 115
Review and appeal
1.   Each Party shall provide effective, prompt, non-discriminatory and easily accessible procedures that guarantee the right of appeal against administrative actions, rulings and decisions of customs or other competent authorities that affect the import or export of goods or goods in transit.
2.   The procedures referred to in paragraph 1 shall include:
(a)
an administrative appeal to or review by an administrative authority higher than or independent of the official or office that issued the decision; and
(b)
a judicial appeal or review of the decision.
3.   Each Party shall ensure that, in cases where the decision on appeal or review under point (a) of paragraph 2 is not given within the time period provided for in its laws and regulations or is not given without undue delay, the petitioner has the right to further administrative or judicial appeal or review or any other recourse to judicial authority in accordance with that Party's laws and regulations.
4.   Each Party shall ensure that the petitioner is provided with the reasons for the administrative decision so as to enable the petitioner to have recourse to appeal or review procedures where necessary.
Article 116
Relations with the business community
1.   Each Party shall hold timely and regular consultations with trade representatives on legislative proposals and general procedures related to customs and trade facilitation issues. To that end, appropriate consultation between administrations and the business community shall be maintained by each Party.
2.   Each Party shall ensure that its customs and related requirements and procedures continue to meet the needs of the trading community, follow best practices, and restrict trade as little as possible.
Article 117
Temporary admission
1.   For the purposes of this Article, "temporary admission" means the customs procedure under which certain goods, including means of transport, can be brought into a customs territory with conditional relief from the payment of import duties and taxes and without the application of import prohibitions or restrictions of an economic character, on the condition that the goods are imported for a specific purpose and are intended for re-exportation within a specified period without having undergone any change except normal depreciation due to the use made of those goods.
2.   Each Party shall grant temporary admission, with total conditional relief from import duties and taxes and without application of import restrictions or prohibitions of economic character, as provided for in its laws and regulations, to the following types of goods:
(a)
goods for display or use at exhibitions, fairs, meetings or similar events (goods intended for display or demonstration at an event; goods intended for use in connection with the display of foreign products at an event; equipment including interpretation equipment, sound and image recording apparatus and films of an educational, scientific or cultural character intended for use at international meetings, conferences or congresses); products obtained incidentally during the event from temporarily imported goods, as a result of the demonstration of displayed machinery or apparatus;
(b)
professional equipment (equipment for the press, for sound or television broadcasting which is necessary for representatives of the press, of broadcasting or television organisations visiting the territory of another country for purposes of reporting, in order to transmit or record material for specified programmes; cinematographic equipment necessary for a person visiting the territory of another country in order to make a specified film or films; any other equipment necessary for the exercise of the calling, trade or profession of a person visiting the territory of another country to perform a specified task, insofar as it is not to be used for the industrial manufacture or packaging of goods or (except in the case of hand tools) for the exploitation of natural resources, for the construction, repair or maintenance of buildings or for earth moving and like projects; ancillary apparatus for the equipment mentioned above, and accessories therefor); component parts imported for repair of professional equipment temporarily admitted;
(c)
goods imported in connection with a commercial operation but whose importation does not in itself constitute a commercial operation (packings which are imported filled for re-exportation empty or filled, or are imported empty for re-exportation filled; containers, whether or not filled with goods, and accessories and equipment for temporarily admitted containers, which are either imported with a container to be re-exported separately or with another container, or are imported separately to be re-exported with a container and component parts intended for the repair of containers granted temporary admission; pallets; samples; advertising films; other goods imported in connection with a commercial operation);
(d)
goods imported in connection with a manufacturing operation (matrices, blocks, plates, moulds, drawings, plans, models and other similar articles; measuring, controlling and checking instruments and other similar articles; special tools and instruments, imported for use during a manufacturing process); replacement means of production (instruments, apparatus and machines made available to a customer by a supplier or repairer, pending the delivery or repair of similar goods);
(e)
goods imported exclusively for educational, scientific or cultural purposes (scientific equipment, pedagogic material, welfare material for seafarers, and any other goods imported in connection with educational, scientific or cultural activities); spare parts for scientific equipment and pedagogic material which has been granted temporary admission; tools specially designed for the maintenance, checking, gauging or repair of such equipment;
(f)
personal effects (all articles, new or used, which a traveller may reasonably require for his or her personal use during the journey, taking into account all the circumstances of the journey, but excluding any goods imported for commercial purposes); goods imported for sports purposes (sports requisites and other articles for use by travellers in sports contests or demonstrations or for training in the territory of temporary admission);
(g)
tourist publicity material (goods imported for the purpose of encouraging the public to visit another foreign country, in particular in order to attend cultural, religious, touristic, sporting or professional meetings or demonstrations held there);
(h)
goods imported for humanitarian purposes (medical, surgical and laboratory equipment and relief consignments, such as vehicles and other means of transport, blankets, tents, prefabricated houses or other goods of prime necessity, forwarded as aid to those affected by natural disaster and similar catastrophes); and
(i)
animals imported for specific purposes (dressage, training, breeding, shoeing or weighing, veterinary treatment, testing (for example, with a view to purchase), participation in shows, exhibitions, contests, competitions or demonstrations, entertainment (circus animals, etc.), touring (including pet animals of travellers), exercise of function (police dogs or horses; detector dogs, dogs for the blind, etc.), rescue operations, transhumance or grazing, performance of work or transport, medical purposes (delivery of snake poison, etc.).
3.   Each Party shall, for the temporary admission of the goods referred to in paragraph 2 and regardless of their origin, accept a carnet as prescribed for the purposes of the ATA and Istanbul Conventions issued in the other Party, endorsed there and guaranteed by an association forming part of the international guarantee chain, certified by the competent authorities and valid in the customs territory of the importing Party.
Article 118
Single window
Each Party shall endeavour to establish a single window that enables traders to submit documentation or data required for importation, exportation, or transit of goods through a single entry point to the participating authorities or agencies.
Article 119
Facilitation of roll-on, roll-off traffic
1.   In recognition of the high volume of sea-crossings and, in particular, the high volume of roll on, roll off traffic between their respective customs territories, the Parties agree to cooperate in order to facilitate such traffic as well as other alternative modes of traffic.
2.   The Parties acknowledge:
(a)
the right of each Party to adopt trade facilitating customs formalities and procedures for traffic between the Parties within their respective legal frameworks; and
(b)
the right of ports, port authorities and operators to act, within the legal orders of their respective Parties, in accordance with their rules and their operating and business models.
3.   To this effect the Parties:
(a)
shall adopt or maintain procedures allowing for the submission of import documentation and other required information, including manifests, in order to begin processing prior to the arrival of goods with a view to expediting the release of goods upon arrival; and
(b)
undertake to facilitate the use by operators of the transit procedure, including simplifications of the transit procedure as provided for under the Common Transit Convention.
4.   The Parties agree to encourage cooperation between their respective customs authorities on bilateral sea-crossing routes, and to exchange information on the functioning of ports handling traffic between them and on the applicable rules and procedures. They will make public, and promote knowledge by operators of, information on the measures they have in place and the processes established by ports to facilitate such traffic.
Article 120
Administrative cooperation in VAT and mutual assistance for recovery of taxes and duties
The competent authorities of the Parties shall cooperate with each other to ensure compliance with VAT legislation and in recovering claims relating to taxes and duties in accordance with the Protocol on administrative cooperation and combating fraud in the field of value added tax and on mutual assistance for the recovery of claims relating to taxes and duties.
Article 121
Trade Specialised Committee on Customs Cooperation and Rules of Origin
1.   The Trade Specialised Committee on Customs Cooperation and Rules of Origin shall:
(a)
hold regular consultations; and
(b)
in relation to the review of the provisions of Annex 18:
(i)
jointly validate programme members to identify strengths and weaknesses in implementing Annex 18; and
(ii)
exchange views on data to be shared and treatment of operators.
2.   The Trade Specialised Committee on Customs Cooperation and Rules of Origin may adopt decisions or recommendations:
(a)
on the exchange of customs-related information, on mutual recognition of risk management techniques, risk standards and controls, customs security measures, on advanced rulings, on common approaches to customs valuation and on other issues related to the implementation of this Chapter;
(b)
on the arrangements relating to the automatic exchange of information as referred to in Article 10 of the Protocol on mutual administrative assistance in customs matters, and on other issues relating to the implementation of that Protocol;
(c)
on any issues relating to the implementation of Annex 18; and
(d)
on the procedures for the consultation established in Article 63 and on any technical or administrative matters relating to the implementation of Chapter 2 of this Title, including on interpretative notes aimed at ensuring the uniform administration of the rules of origin.
Article 122
Amendments
1.   The Partnership Council may amend:
(a)
Annex 18, the Protocol on mutual administrative assistance in customs matters and the list of goods set out in Article 117(2); and
(b)
the Protocol on administrative cooperation and combating fraud in the field of value added tax and on mutual assistance for the recovery of claims relating to taxes and duties.
2.   The Trade Specialised Committee on Administrative Cooperation in VAT and Recovery of Taxes and Duties may amend the value referred to in Article 33(4) of the Protocol on administrative cooperation and combating fraud in the field of value added tax and on mutual assistance for the recovery of claims relating to taxes and duties.
TITLE II
SERVICES AND INVESTMENT
CHAPTER 1
GENERAL PROVISIONS
Article 123
Objective and scope
1.   The Parties affirm their commitment to establish a favourable climate for the development of trade and investment between them.
2.   The Parties reaffirm the right to regulate within their territories to achieve legitimate policy objectives, such as: the protection of public health; social services; public education; safety; the environment, including climate change; public morals; social or consumer protection; privacy and data protection or the promotion and protection of cultural diversity.
3.   This Title does not apply to measures affecting natural persons of a Party seeking access to the employment market of the other Party or to measures regarding nationality, citizenship, residence or employment on a permanent basis.
4.   This Title shall not prevent a Party from applying measures to regulate the entry of natural persons into, or their temporary stay in, its territory, including those measures necessary to protect the integrity of its borders and to ensure the orderly movement of natural persons across them, provided that such measures are not applied in such a manner as to nullify or impair the benefits accruing to the other Party under the terms of this Title. The sole fact of requiring a visa for natural persons of certain countries and not for those of others shall not be regarded as nullifying or impairing benefits under this Title.
5.   This Title does not apply to:
(a)
air services or related services in support of air services 
(
6
)
, other than:
(i)
aircraft repair and maintenance services;
(ii)
computer reservation system services;
(iii)
ground handling services;
(iv)
the following services provided using a manned aircraft, subject to compliance with the Parties' respective laws and regulations governing the admission of aircrafts to, departure from and operation within, their territory: aerial fire-fighting; flight training; spraying; surveying; mapping; photography; and other airborne agricultural, industrial and inspection services; and
(v)
the selling and marketing of air transport services;
(b)
audio-visual services;
(c)
national maritime cabotage 
(
7
)
; and
(d)
inland waterways transport.
6.   This Title does not apply to any measure of a Party with respect to public procurement of a good or service purchased for governmental purposes, and not with a view to commercial resale or with a view to use in the supply of a good or service for commercial sale, whether or not that procurement is "covered procurement" within the meaning of Article 277.
7.   Except for Article 132, this Title does not apply to subsidies or grants provided by the Parties, including government-supported loans, guarantees and insurance.
Article 124
Definitions
For the purposes of this Title, the following definitions apply:
(a)
"activities performed in the exercise of governmental authority" means activities which are performed, including services which are supplied, neither on a commercial basis nor in competition with one or more economic operators; 
(
8
)
(b)
"aircraft repair and maintenance services" means such activities when undertaken on an aircraft or a part thereof while it is withdrawn from service and does not include so-called line maintenance;
(c)
"computer reservation system services" means services provided by computerised systems that contain information about air carriers' schedules, availability, fares and fare rules, through which reservations can be made or tickets may be issued;
(d)
"covered enterprise" means an enterprise in the territory of a Party established in accordance with point (h) by an investor of the other Party, in accordance with the applicable law, existing on the date of entry into force of this Agreement or established thereafter;
(e)
"cross-border trade in services" means the supply of a service:
(i)
from the territory of a Party into the territory of the other Party; or
(ii)
in the territory of a Party to the service consumer of the other Party;
(f)
"economic activity" means any activity of an industrial, commercial or professional character or activities of craftsmen, including the supply of services, except for activities performed in the exercise of governmental authority;
(g)
"enterprise" means a legal person or a branch or a representative office of a legal person;
(h)
"establishment" means the setting up or the acquisition of a legal person, including through capital participation, or the creation of a branch or representative office in the territory of a Party, with a view to creating or maintaining lasting economic links;
(i)
"ground handling services" means the supply at an airport, on a fee or contract basis, of the following services: airline representation, administration and supervision; passenger handling; baggage handling; ramp services; catering; air cargo and mail handling; fuelling of an aircraft; aircraft servicing and cleaning; surface transport; and flight operations, crew administration and flight planning; ground handling services do not include: self-handling; security; aircraft repair and maintenance; or management or operation of essential centralised airport infrastructure, such as de-icing facilities, fuel distribution systems, baggage handling systems and fixed intra airport transport systems;
(j)
"investor of a Party" means a natural or legal person of a Party that seeks to establish, is establishing or has established an enterprise in accordance with point (h) in the territory of the other Party;
(k)
"legal person of a Party" 
(
9
)
 means:
(i)
for the Union:
(A)
a legal person constituted or organised under the law of the Union or at least one of its Member States and engaged, in the territory of the Union, in substantive business operations, understood by the Union, in line with its notification of the Treaty establishing the European Community to the WTO (WT/REG39/1), as equivalent to the concept of "effective and continuous link" with the economy of a Member State enshrined in Article 54 of the Treaty on the Functioning of the European Union (TFEU); and
(B)
shipping companies established outside the Union, and controlled by natural persons of a Member State, whose vessels are registered in, and fly the flag of, a Member State;
(ii)
for the United Kingdom:
(A)
a legal person constituted or organised under the law of the United Kingdom and engaged in substantive business operations in the territory of the United Kingdom; and
(B)
shipping companies established outside the United Kingdom and controlled by natural persons of the United Kingdom, whose vessels are registered in, and fly the flag of, the United Kingdom;
(l)
"operation" means the conduct, management, maintenance, use, enjoyment, or sale or other form of disposal of an enterprise;
(m)
"professional qualifications" means qualifications attested by evidence of formal qualification, professional experience, or other attestation of competence;
(n)
"selling and marketing of air transport services" means opportunities for the air carrier concerned to sell and market freely its air transport services including all aspects of marketing such as market research, advertising and distribution, but not including the pricing of air transport services nor the applicable conditions;
(o)
"service" means any service in any sector except services supplied in the exercise of governmental authority;
(p)
"services supplied in the exercise of governmental authority" means any service which is supplied neither on a commercial basis, nor in competition with one or more service suppliers;
(q)
"service supplier" means any natural or legal person that seeks to supply or supplies a service;
(r)
"service supplier of a Party" means a natural or legal person of a Party that seeks to supply or supplies a service.
Article 125
Denial of benefits
1.   A Party may deny the benefits of this Title and Title IV of this Heading to an investor or service supplier of the other Party, or to a covered enterprise, if the denying Party adopts or maintains measures related to the maintenance of international peace and security, including the protection of human rights, which:
(a)
prohibit transactions with that investor, service supplier or covered enterprise; or
(b)
would be violated or circumvented if the benefits of this Title and Title IV of this Heading were accorded to that investor, service supplier or covered enterprise, including where the measures prohibit transactions with a natural or legal person which owns or controls any of them.
2.   For greater certainty, paragraph 1 is applicable to Title IV of this Heading to the extent that it relates to services or investment with respect to which a Party has denied the benefits of this Title.
Article 126
Review
1.   With a view to introducing possible improvements to the provisions of this Title, and consistent with their commitments under international agreements, the Parties shall review their legal framework relating to trade in services and investment, including this Agreement, in accordance with Article 776.
2.   The Parties shall endeavour, where appropriate, to review the non-conforming measures and reservations set out in Annexes 19, 20, 21 and 22 and the activities for short term business visitors set out in Annex 21, with a view to agreeing to possible improvements in their mutual interest.
3.   This Article shall not apply with respect to financial services.
CHAPTER 2
INVESTMENT LIBERALISATION
Article 127
Scope
This Chapter applies to measures of a Party affecting the establishment of an enterprise to perform economic activities and the operation of such an enterprise by:
(a)
investors of the other Party;
(b)
covered enterprises; and
(c)
for the purposes of Article 132, any enterprise in the territory of the Party which adopts or maintains the measure.
Article 128
Market access
A Party shall not adopt or maintain, with regard to establishment of an enterprise by an investor of the other Party or by a covered enterprise, or operation of a covered enterprise, either on the basis of its entire territory or on the basis of a territorial sub-division, measures that:
(a)
impose limitations on:
(i)
the number of enterprises that may carry out a specific economic activity, whether in the form of numerical quotas, monopolies, exclusive rights or the requirement of an economic needs test;
(ii)
the total value of transactions or assets in the form of numerical quotas or the requirement of an economic needs test;
(iii)
the total number of operations or on the total quantity of output expressed in terms of designated numerical units in the form of quotas or the requirement of an economic needs test; 
(
10
)
 
(
11
)
(iv)
the participation of foreign capital in terms of maximum percentage limit on foreign shareholding or the total value of individual or aggregate foreign investment; or
(v)
the total number of natural persons that may be employed in a particular sector or that an enterprise may employ and who are necessary for, and directly related to, the performance of an economic activity, in the form of numerical quotas or the requirement of an economic needs test; or
(b)
restrict or require specific types of legal entity or joint venture through which an investor of the other Party may perform an economic activity.
Article 129
National treatment
1.   Each Party shall accord to investors of the other Party and to covered enterprises treatment no less favourable than that it accords, in like situations, to its own investors and to their enterprises, with respect to their establishment and operation in its territory.
2.   The treatment accorded by a Party under paragraph 1 means:
(a)
with respect to a regional or local level of government of the United Kingdom, treatment no less favourable than the most favourable treatment accorded, in like situations, by that level of government to investors of the United Kingdom and to their enterprises in its territory; and
(b)
with respect to a government of, or in, a Member State, treatment no less favourable than the most favourable treatment accorded, in like situations, by that government to investors of that Member State and to their enterprises in its territory.
Article 130
Most-favoured-nation-treatment
1.   Each Party shall accord to investors of the other Party and to covered enterprises treatment no less favourable than that it accords, in like situations, to investors of a third country and to their enterprises, with respect to establishment in its territory.
2.   Each Party shall accord to investors of the other Party and to covered enterprises treatment no less favourable than that it accords, in like situations, to investors of a third country and to their enterprises, with respect to operation in its territory.
3.   Paragraphs 1 and 2 shall not be construed as obliging a Party to extend to investors of the other Party or to covered enterprises the benefit of any treatment resulting from:
(a)
an international agreement for the avoidance of double taxation or other international agreement or arrangement relating wholly or mainly to taxation; or
(b)
measures providing for recognition, including the recognition of the standards or criteria for the authorisation, licencing, or certification of a natural person or enterprise to carry out an economic activity, or the recognition of prudential measures as referred to in paragraph 3 of the GATS Annex on Financial Services.
4.   For greater certainty, the "treatment" referred to in paragraphs 1 and 2 does not include investor-to-state dispute settlement procedures provided for in other international agreements.
5.   For greater certainty, the existence of substantive provisions in other international agreements concluded by a Party with a third country, or the mere formal transposition of those provisions into domestic law to the extent that it is necessary in order to incorporate them into the domestic legal order, do not in themselves constitute the "treatment" referred to in paragraphs 1 and 2. Measures of a Party pursuant to those provisions may constitute such treatment and thus give rise to a breach of this Article.
Article 131
Senior management and boards of directors
A Party shall not require a covered enterprise to appoint individuals of any particular nationality as executives, managers or members of boards of directors.
Article 132
Performance requirements
1.   A Party shall not impose or enforce any requirement, or enforce any commitment or undertaking, in connection with the establishment or operation of any enterprise in its territory:
(a)
to export a given level or percentage of goods or services;
(b)
to achieve a given level or percentage of domestic content;
(c)
to purchase, use or accord a preference to goods produced or services provided in its territory or to purchase goods or services from natural or legal persons or any other entities in its territory;
(d)
to relate in any way the volume or value of imports to the volume or value of exports or to the amount of foreign exchange inflows associated with such enterprise;
(e)
to restrict sales of goods or services in its territory that such enterprise produces or supplies, by relating those sales in any way to the volume or value of its exports or foreign exchange inflows;
(f)
to transfer technology, a production process or other proprietary knowledge to a natural or legal person or any other entity in its territory 
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12
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;
(g)
to supply exclusively from the territory of that Party a good produced or a service supplied by the enterprise to a specific regional or world market;
(h)
to locate the headquarters for a specific region of the world which is broader than the territory of the Party or the world market in its territory;
(i)
to employ a given number or percentage of natural persons of that Party;
(j)
to achieve a given level or value of research and development in its territory;
(k)
to restrict the exportation or sale for export; or
(l)
with regard to any licence contract in existence at the time the requirement is imposed or enforced, or any commitment or undertaking is enforced, or with regard to any future licence contract freely entered into between the enterprise and a natural or legal person or any other entity in its territory, if the requirement is imposed or enforced or the commitment or undertaking is enforced, in a manner that constitutes direct interference with that licence contract by an exercise of non-judicial governmental authority of a Party, to adopt:
(i)
a rate or amount of royalty below a certain level; or
(ii)
a given duration of the term of a licence contract.
This point does not apply where the licence contract is concluded between the enterprise and the Party. For the purposes of this point, a "licence contract" means any contract concerning the licensing of technology, a production process, or other proprietary knowledge.
2.   A Party shall not condition the receipt or continued receipt of an advantage, in connection with the establishment or operation of an enterprise in its territory, on compliance with any of the following requirements:
(a)
achieving a given level or percentage of domestic content;
(b)
purchasing, using or according a preference to goods produced or services supplied in its territory, or to purchase goods or services from natural or legal persons or any other entity in its territory;
(c)
relating in any way the volume or value of imports to the volume or value of exports or to the amount of foreign exchange inflows associated with that enterprise;
(d)
restricting the sales of goods or services in its territory that that enterprise produces or supplies by relating those sales in any way to the volume or value of its exports or foreign exchange inflows; or
(e)
restricting the exportation or sale for export.
3.   Paragraph 2 shall not be construed as preventing a Party from conditioning the receipt or continued receipt of an advantage, in connection with the establishment or operation of any enterprise in its territory, on compliance with a requirement to locate production, supply a service, train or employ workers, construct or expand particular facilities, or carry out research and development, in its territory.
4.   Points (f) and (l) of paragraph 1 of this Article do not apply where:
(a)
the requirement is imposed or enforced, or the commitment or undertaking is enforced, by a court or administrative tribunal, or by a competition authority pursuant to a Party's competition law to prevent or remedy a restriction or a distortion of competition; or
(b)
a Party authorises the use of an intellectual property right in accordance with Article 31 or Article 31bis of the TRIPS Agreement, or adopts or maintains measures requiring the disclosure of data or proprietary information that fall within the scope of, and are consistent with, paragraph 3 of Article 39 of the TRIPS Agreement.
5.   Points (a) to (c) of paragraph 1 and points (a) and (b) of paragraph 2 do not apply to qualification requirements for goods or services with respect to participation in export promotion and foreign aid programmes.
6.   For greater certainty, this Article does not preclude the enforcement by the competent authorities of a Party of any commitment or undertaking given between persons other than a Party which was not directly or indirectly imposed or required by that Party.
7.   For greater certainty, points (a) and (b) of paragraph 2 do not apply to requirements imposed by an importing Party in relation to the content of goods necessary to qualify for preferential tariffs or preferential quotas.
8.   Point (l) of paragraph 1 does not apply if the requirement is imposed or enforced, or the commitment or undertaking is enforced, by a tribunal as equitable remuneration under the Party's copyright laws.
9.   A Party shall neither impose nor enforce any measure inconsistent with its obligations under the Agreement on Trade-Related Investment Measures (TRIMs), even where such measure has been listed by that Party in Annex 19 or 20.
10.   For greater certainty, this Article shall not be construed as requiring a Party to permit a particular service to be supplied on a cross-border basis where that Party adopts or maintains restrictions or prohibitions on such provision of services which are consistent with the reservations, conditions or qualifications specified with respect to a sector, subsector or activity listed in Annex 19 or 20.
11.   A condition for the receipt or continued receipt of an advantage referred to in paragraph 2 does not constitute a requirement or a commitment or undertaking for the purposes of paragraph 1.
Article 133
Non-conforming measures and exceptions
1.   Articles 128, 129, 130, 131 and 132 do not apply to:
(a)
any existing non-conforming measure of a Party at the level of:
(i)
for the Union:
(A)
the Union, as set out in the Schedule of the Union in Annex 19;
(B)
The central government of a Member State, as set out in the Schedule of the Union in Annex 19;
(C)
a regional government of a Member State, as set out in the Schedule of the Union in Annex 19; or
(D)
a local government, other than that referred to in point (C); and
(ii)
for the United Kingdom:
(A)
the central government, as set out in the Schedule of the United Kingdom in Annex 19;
(B)
a regional government, as set out in the Schedule of the United Kingdom in Annex 19;
or
(C)
a local government;
(b)
the continuation or prompt renewal of any non-conforming measure referred to in point (a) of this paragraph; or
(c)
a modification to any non-conforming measure referred to in points (a) and (b) of this paragraph, to the extent that it does not decrease the conformity of the measure, as it existed immediately before the modification, with Article 128, 129, 130, 131 or 132.
2.   Articles 128, 129, 130, 131 and 132 do not apply to a measure of a Party which is consistent with the reservations, conditions or qualifications specified with respect to a sector, subsector or activity listed in Annex 20.
3.   Articles 129 and 130 of this Agreement do not apply to any measure that constitutes an exception to, or a derogation from, Article 3 or 4 of the TRIPS Agreement, as specifically provided for in Articles 3 to 5 of that Agreement.
4.   For greater certainty, Articles 129 and 130 shall not be construed as preventing a Party from prescribing information requirements, including for statistical purposes, in connection with the establishment or operation of investors of the other Party or of covered enterprises, provided that it does not constitute a means to circumvent that Party's obligations under those Articles.
CHAPTER 3
CROSS-BORDER TRADE IN SERVICES
Article 134
Scope
This Chapter applies to measures of a Party affecting the cross-border trade in services by service suppliers of the other Party.
Article 135
Market access
A Party shall not adopt or maintain, either on the basis of its entire territory or on the basis of a territorial sub-division, measures that:
(a)
impose limitations on:
(i)
the number of service suppliers that may supply a specific service, whether in the form of numerical quotas, monopolies, exclusive service suppliers or the requirement of an economic needs test;
(ii)
the total value of service transactions or assets in the form of numerical quotas or the requirement of an economic needs test; or
(iii)
the total number of service operations or on the total quantity of service output expressed in the terms of designated numerical units in the form of quotas or the requirement of an economic needs test 
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; or
(b)
restrict or require specific types of legal entity or joint venture through which a service supplier may supply a service.
Article 136
Local presence
A Party shall not require a service supplier of the other Party to establish or maintain an enterprise or to be resident in its territory as a condition for the cross-border supply of a service.
Article 137
National treatment
1.   Each Party shall accord to services and service suppliers of the other Party treatment no less favourable than that it accords, in like situations, to its own services and service suppliers.
2.   A Party may meet the requirement of paragraph 1 by according to services and service suppliers of the other Party either formally identical treatment or formally different treatment to that it accords to its own services and service suppliers.
3.   Formally identical or formally different treatment shall be considered to be less favourable if it modifies the conditions of competition in favour of services or service suppliers of the Party compared to services or service suppliers of the other Party.
4.   Nothing in this Article shall be construed as requiring either Party to compensate for inherent competitive disadvantages which result from the foreign character of the relevant services or service suppliers.
Article 138
Most-favoured-nation treatment
1.   Each Party shall accord to services and service suppliers of the other Party treatment no less favourable than that it accords, in like situations, to services and service suppliers of a third country.
2.   Paragraph 1 shall not be construed as obliging a Party to extend to services and service suppliers of the other Party the benefit of any treatment resulting from:
(a)
an international agreement for the avoidance of double taxation or other international agreement or arrangement relating wholly or mainly to taxation; or
(b)
measures providing for recognition, including of the standards or criteria for the authorisation, licencing, or certification of a natural person or enterprise to carry out an economic activity, or of prudential measures as referred to in paragraph 3 of the GATS Annex on Financial Services.
3.   For greater certainty, the existence of substantive provisions in other international agreements concluded by a Party with a third country, or mere formal transposition of those provisions into domestic law to the extent that it is necessary in order to incorporate them into the domestic legal order, do not in themselves constitute the "treatment" referred to in paragraph 1. Measures of a Party pursuant to those provisions may constitute such treatment and thus give rise to a breach of this Article.
Article 139
Non-conforming measures
1.   Articles 135, 136, 137 and 138 do not apply to:
(a)
any existing non-conforming measure of a Party at the level of:
(i)
for the Union:
(A)
the Union, as set out in the Schedule of the Union in Annex 19;
(B)
the central government of a Member State, as set out in the Schedule of the Union in Annex 19;
(C)
a regional government of a Member State, as set out in the Schedule of the Union in Annex 19; or
(D)
a local government, other than that referred to in point (C); and
(ii)
for the United Kingdom:
(A)
the central government, as set out in the Schedule of the United Kingdom in Annex 19;
(B)
a regional government, as set out in the Schedule of the United Kingdom in Annex 19; or
(C)
a local government;
(b)
the continuation or prompt renewal of any non-conforming measure referred to in point (a) of this paragraph; or
(c)
a modification to any non-conforming measure referred to in points (a) and (b) of this paragraph to the extent that it does not decrease the conformity of the measure, as it existed immediately before the modification, with Articles 135, 136, 137 and 138.
2.   Articles 135, 136, 137 and 138 do not apply to any measure of a Party which is consistent with the reservations, conditions or qualifications specified with respect to a sector, subsector or activity listed in Annex 20.
CHAPTER 4
ENTRY AND TEMPORARY STAY OF NATURAL PERSONS FOR BUSINESS PURPOSES
Article 140
Scope and definitions
1.   This Chapter applies to measures of a Party affecting the performance of economic activities through the entry and temporary stay in its territory of natural persons of the other Party, who are business visitors for establishment purposes, contractual service suppliers, independent professionals, intra-corporate transferees and short-term business visitors.
2.   To the extent that commitments are not undertaken in this Chapter, all requirements provided for in the law of a Party regarding the entry and temporary stay of natural persons shall continue to apply, including laws and regulations concerning the period of stay.
3.   Notwithstanding the provisions of this Chapter, all requirements provided for in the law of a Party regarding work and social security measures shall continue to apply, including laws and regulations concerning minimum wages and collective wage agreements.
4.   Commitments on the entry and temporary stay of natural persons for business purposes do not apply in cases where the intent or effect of the entry and temporary stay is to interfere with or otherwise affect the outcome of any labour or management dispute or negotiation, or the employment of any natural person who is involved in that dispute.
5.   For the purposes of this Chapter:
(a)
"business visitors for establishment purposes" means natural persons working in a senior position within a legal person of a Party, who:
(i)
are responsible for setting up an enterprise of such legal person in the territory of the other Party;
(ii)
do not offer or provide services or engage in any economic activity other than that which is required for the purposes of the establishment of that enterprise; and
(iii)
do not receive remuneration from a source located within the other Party;
(b)
"contractual service suppliers" means natural persons employed by a legal person of a Party (other than through an agency for placement and supply services of personnel), which is not established in the territory of the other Party and has concluded a 
bona fide
 contract, not exceeding 12 months, to supply services to a final consumer in the other Party requiring the temporary presence of its employees who:
(i)
have offered the same type of services as employees of the legal person for a period of not less than one year immediately preceding the date of their application for entry and temporary stay;
(ii)
possess, on that date, at least three years professional experience, obtained after having reached the age of majority, in the sector of activity that is the object of the contract, a university degree or a qualification demonstrating knowledge of an equivalent level and the professional qualifications legally required to exercise that activity in the other Party 
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; and
(iii)
do not receive remuneration from a source located within the other Party;
(c)
"independent professionals" means natural persons engaged in the supply of a service and established as self-employed in the territory of a Party who:
(i)
have not established in the territory of the other Party;
(ii)
have concluded a 
bona fide
 contract (other than through an agency for placement and supply services of personnel) for a period not exceeding 12 months to supply services to a final consumer in the other Party, requiring their presence on a temporary basis; and
(iii)
possess, on the date of their application for entry and temporary stay, at least six years professional experience in the relevant activity, a university degree or a qualification demonstrating knowledge of an equivalent level and the professional qualifications legally required to exercise that activity in the other Party 
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15
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;
(d)
"intra-corporate transferees" means natural persons, who:
(i)
have been employed by a legal person of a Party, or have been partners in it, for a period, immediately preceding the date of the intra-corporate transfer, of not less than one year in the case of managers and specialists and of not less than six months in the case of trainee employees;
(ii)
at the time of application reside outside the territory of the other Party;
(iii)
are temporarily transferred to an enterprise of the legal person in the territory of the other Party which is a member of the same group as the originating legal person, including its representative office, subsidiary, branch or head company 
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; and
(iv)
belong to one of the following categories:
(A)
managers 
(
17
)
;
(B)
specialists; or
(C)
trainee employees;
(e)
"manager" means a natural person working in a senior position, who primarily directs the management of the enterprise in the other Party, receiving general supervision or direction principally from the board of directors or from shareholders of the business or their equivalent and whose responsibilities include:
(i)
directing the enterprise or a department or subdivision thereof;
(ii)
supervising and controlling the work of other supervisory, professional or managerial employees; and
(iii)
having the authority to recommend hiring, dismissing or other personnel-related actions;
(f)
"specialist" means a natural person possessing specialised knowledge, essential to the enterprise's areas of activity, techniques or management, which is to be assessed taking into account not only knowledge specific to the enterprise, but also whether the person has a high level of qualification, including adequate professional experience of a type of work or activity requiring specific technical knowledge, including possible membership of an accredited profession; and
(g)
"trainee employee" means a natural person possessing a university degree who is temporarily transferred for career development purposes or to obtain training in business techniques or methods and is paid during the period of the transfer. 
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6.   The service contract referred to in points (b) and (c) of paragraph 5 shall comply with the requirements of the law of the Party where the contract is executed.
Article 141
Intra-corporate transferees and business visitors for establishment purposes
1.   Subject to the relevant conditions and qualifications specified in Annex 21:
(a)
each Party shall allow:
(i)
the entry and temporary stay of intra-corporate transferees;
(ii)
the entry and temporary stay of business visitors for establishment purposes without requiring a work permit or other prior approval procedure of similar intent; and
(iii)
the employment in its territory of intra-corporate transferees of the other Party;
(b)
a Party shall not maintain or adopt limitations in the form of numerical quotas or economic needs tests regarding the total number of natural persons that, in a specific sector, are allowed entry as business visitors for establishment purposes or that an investor of the other Party may employ as intra-corporate transferees, either on the basis of a territorial subdivision or on the basis of its entire territory; and
(c)
each Party shall accord to intra-corporate transferees and business visitors for establishment purposes of the other Party, during their temporary stay in its territory, treatment no less favourable than that it accords, in like situations, to its own natural persons.
2.   The permissible length of stay shall be for a period of up to three years for managers and specialists, up to one year for trainee employees and up to 90 days within any six-month period for business visitors for establishment purposes.
Article 142
Short-term business visitors
1.   Subject to the relevant conditions and qualifications specified in Annex 21, each Party shall allow the entry and temporary stay of short-term business visitors of the other Party for the purposes of carrying out the activities listed in Annex 21, subject to the following conditions:
(a)
the short-term business visitors are not engaged in selling their goods or supplying services to the general public;
(b)
the short-term business visitors do not, on their own behalf, receive remuneration from within the Party where they are staying temporarily; and
(c)
the short-term business visitors are not engaged in the supply of a service in the framework of a contract concluded between a legal person that has not established in the territory of the Party where they are staying temporarily, and a consumer there, except as provided for in Annex 21.
2.   Unless otherwise specified in Annex 21, a Party shall allow entry of short-term business visitors without the requirement of a work permit, economic needs test or other prior approval procedures of similar intent.
3.   If short-term business visitors of a Party are engaged in the supply of a service to a consumer in the territory of the Party where they are staying temporarily in accordance with Annex 21, that Party shall accord to them, with regard to the supply of that service, treatment no less favourable than that it accords, in like situations, to its own service suppliers.
4.   The permissible length of stay shall be for a period of up to 90 days in any six-month period.
Article 143
Contractual service suppliers and independent professionals
1.   In the sectors, subsectors and activities specified in Annex 22 and subject to the relevant conditions and qualifications specified therein:
(a)
a Party shall allow the entry and temporary stay of contractual service suppliers and independent professionals in its territory;
(b)
a Party shall not adopt or maintain limitations on the total number of contractual service suppliers and independent professionals of the other Party allowed entry and temporary stay, in the form of numerical quotas or an economic needs test; and
(c)
each Party shall accord to contractual service suppliers and independent professionals of the other Party, with regard to the supply of their services in its territory, treatment no less favourable than that it accords, in like situations, to its own service suppliers.
2.   Access accorded under this Article relates only to the service which is the subject of the contract and does not confer entitlement to use the professional title of the Party where the service is provided.
3.   The number of persons covered by the service contract shall not be greater than necessary to fulfil the contract, as it may be required by the law of the Party where the service is supplied.
4.   The permissible length of stay shall be for a cumulative period of 12 months, or for the duration of the contract, whichever is less.
Article 144
Non-conforming measures
To the extent that the relevant measure affects the temporary stay of natural persons for business purposes, points (b) and (c) of Article 141(1), Article 142(3) and points (b) and (c) of Article 143(1) do not apply to:
(a)
any existing non-conforming measure of a Party at the level of:
(i)
for the Union:
(A)
the Union, as set out in the Schedule of the Union in Annex 19;
(B)
the central government of a Member State, as set out in the Schedule of the Union in Annex 19;
(C)
a regional government of a Member State, as set out in the Schedule of the Union in Annex 19; or
(D)
a local government, other than that referred to in point (C); and
(ii)
for the United Kingdom:
(A)
the central government, as set out in the Schedule of the United Kingdom in Annex 19;
(B)
a regional subdivision, as set out in the Schedule of the United Kingdom in Annex 19; or
(C)
a local government;
(b)
the continuation or prompt renewal of any non-conforming measure referred to in point (a) of this Article;
(c)
a modification to any non-conforming measure referred to in points (a) and (b) of this Article to the extent that it does not decrease the conformity of the measure, as it existed immediately before the modification, with points (b) and (c) of Article 141(1), Article 142(3) and points (b) and (c) of Article 143(1); or
(d)
any measure of a Party consistent with a condition or qualification specified in Annex 20.
Article 145
Transparency
1.   Each Party shall make publicly available information on relevant measures that pertain to the entry and temporary stay of natural persons of the other Party, referred to in Article 140(1).
2.   The information referred to in paragraph 1 shall, to the extent possible, include the following information relevant to the entry and temporary stay of natural persons:
(a)
categories of visa, permits or any similar type of authorisation regarding the entry and temporary stay;
(b)
documentation required and conditions to be met;
(c)
method of filing an application and options on where to file, such as consular offices or online;
(d)
application fees and an indicative timeframe of the processing of an application;
(e)
the maximum length of stay under each type of authorisation described in point (a);
(f)
conditions for any available extension or renewal;
(g)
rules regarding accompanying dependants;
(h)
available review or appeal procedures; and
(i)
relevant laws of general application pertaining to the entry and temporary stay of natural persons for business purposes.
3.   With respect to the information referred to in paragraphs 1 and 2, each Party shall endeavour to promptly inform the other Party of the introduction of any new requirements and procedures or of the changes in any requirements and procedures that affect the effective application for the grant of entry into, temporary stay in and, where applicable, permission to work in the former Party.
CHAPTER 5
REGULATORY FRAMEWORK
SECTION 1
DOMESTIC REGULATION
Article 146
Scope and definitions
1.   This Section applies to measures by the Parties relating to licensing requirements and procedures, qualification requirements and procedures, formalities and technical standards that affect:
(a)
cross-border trade in services;
(b)
establishment or operation; or
(c)
the supply of a service through the presence of a natural person of a Party in the territory of the other Party as set out in Article 140.
As far as measures relating to technical standards are concerned, this Section only applies to measures that affect trade in services. For the purposes of this Section, the term "technical standards" does not include regulatory or implementing technical standards for financial services.
2.   This Section does not apply to licensing requirements and procedures, qualification requirements and procedures, formalities and technical standards pursuant to a measure:
(a)
that does not conform with Article 128 or 129 and is referred to in points (a) to (c) of Article 133(1) or with Article 135, 136 or 137 and is referred to in points (a) to (c) of Article 139(1) or with points (b) and (c) of Article 141(1), or Article 142(3) or with points (b) and (c) of Article 143(1) and is referred to in Article 144; or
(b)
referred to in Article 133(2) or Article 139(2).
3.   For the purposes of this Section, the following definitions apply:
(a)
"authorisation" means the permission to carry out any of the activities referred to in points (a) to (c) of paragraph 1 resulting from a procedure a natural or legal person must adhere to in order to demonstrate compliance with licensing requirements, qualification requirements, technical standards or formalities for the purposes of obtaining, maintaining or renewing that permission; and
(b)
"competent authority" means a central, regional or local government or authority or non-governmental body in the exercise of powers delegated by central, regional or local governments or authorities, which is entitled to take a decision concerning the authorisation referred to in point (a).
Article 147
Submission of applications
Each Party shall, to the extent practicable, avoid requiring an applicant to approach more than one competent authority for each application for authorisation. If an activity for which authorisation is requested is within the jurisdiction of multiple competent authorities, multiple applications for authorisation may be required.
Article 148
Application timeframes
If a Party requires authorisation, it shall ensure that its competent authorities, to the extent practicable, permit the submission of an application at any time throughout the year. If a specific time period for applying for authorisation exists, the Party shall ensure that the competent authorities allow a reasonable period of time for the submission of an application.
Article 149
Electronic applications and acceptance of copies
If a Party requires authorisation, it shall ensure that its competent authorities:
(a)
to the extent possible provide for applications to be completed by electronic means, including from within the territory of the other Party; and
(b)
accept copies of documents, that are authenticated in accordance with the Party's domestic law, in place of original documents, unless the competent authorities require original documents to protect the integrity of the authorisation process.
Article 150
Processing of applications
1.   If a Party requires authorisation, it shall ensure that its competent authorities:
(a)
process applications throughout the year. Where that is not possible, this information should be made public in advance, to the extent practicable;
(b)
to the extent practicable, provide an indicative timeframe for the processing of an application. That timeframe shall be reasonable to the extent practicable;
(c)
at the request of the applicant, provide without undue delay information concerning the status of the application;
(d)
to the extent practicable, ascertain without undue delay the completeness of an application for processing under the Party's domestic laws and regulations;
(e)
if they consider an application complete for the purposes of processing under the Party's domestic laws and regulations, 
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 within a reasonable period of time after the submission of the application ensure that:
(i)
the processing of the application is completed; and
(ii)
the applicant is informed of the decision concerning the application, to the extent possible, in writing; 
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(f)
if they consider an application incomplete for the purposes of processing under the Party's domestic laws and regulations, within a reasonable period of time, to the extent practicable:
(i)
inform the applicant that the application is incomplete;
(ii)
at the request of the applicant identify the additional information required to complete the application or otherwise provide guidance on why the application is considered incomplete; and
(iii)
provide the applicant with the opportunity to provide the additional information that is required to complete the application; 
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however, if none of the actions referred to in points (i), (ii) and (iii) is practicable, and the application is rejected due to incompleteness, the competent authorities shall ensure that they inform the applicant within a reasonable period of time; and
(g)
if an application is rejected, either upon their own initiative or upon request of the applicant, inform the applicant of the reasons for rejection and of the timeframe for an appeal against that decision and, if applicable, the procedures for resubmission of an application; an applicant shall not be prevented from submitting another application solely on the basis of a previously rejected application.
2.   The Parties shall ensure that their competent authorities grant an authorisation as soon as it is established, on the basis of an appropriate examination, that the applicant meets the conditions for obtaining it.
3.   The Parties shall ensure that, once granted, an authorisation enters into effect without undue delay, subject to the applicable terms and conditions. 
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Article 151
Fees
1.   For all economic activities other than financial services, each Party shall ensure that the authorisation fees charged by its competent authorities are reasonable and transparent and do not in themselves restrict the supply of the relevant service or the pursuit of any other economic activity. Having regard to the cost and administrative burden, each Party is encouraged to accept payment of authorisation fees by electronic means.
2.   With regard to financial services, each Party shall ensure that its competent authorities, with respect to authorisation fees that they charge, provide applicants with a schedule of fees or information on how fee amounts are determined, and do not use the fees as a means of avoiding the Party's commitments or obligations.
3.   Authorisation fees do not include fees for the use of natural resources, payments for auction, tendering or other non-discriminatory means of awarding concessions or mandated contributions to universal service provision.
Article 152
Assessment of qualifications
If a Party requires an examination to assess the qualifications of an applicant for authorisation, it shall ensure that its competent authorities schedule such an examination at reasonably frequent intervals and provide a reasonable period of time to enable applicants to request to take the examination. To the extent practicable, each Party shall accept requests in electronic format to take such examinations and shall consider the use of electronic means in other aspects of examination processes.
Article 153
Publication and information available
1.   If a Party requires authorisation, the Party shall promptly publish the information necessary for persons carrying out or seeking to carry out the activities referred to in Article 146(1) for which the authorisation is required to comply with the requirements, formalities, technical standards and procedures for obtaining, maintaining, amending and renewing such authorisation. Such information shall include, to the extent it exists:
(a)
the licensing and qualification requirements and procedures and formalities;
(b)
contact information of relevant competent authorities;
(c)
authorisation fees;
(d)
applicable technical standards;
(e)
procedures for appeal or review of decisions concerning applications;
(f)
procedures for monitoring or enforcing compliance with the terms and conditions of licences or qualifications;
(g)
opportunities for public involvement, such as through hearings or comments; and
(h)
indicative timeframes for the processing of an application.
For the purposes of this Section, "publish" means to include in an official publication, such as an official journal, or on an official website. Parties shall consolidate electronic publications into a single online portal or otherwise ensure that competent authorities make them easily accessible through alternative electronic means.
2.   Each Party shall require each of its competent authorities to respond to any request for information or assistance, to the extent practicable.
Article 154
Technical standards
Each Party shall encourage its competent authorities, when adopting technical standards, to adopt technical standards developed through open and transparent processes, and shall encourage any body, including relevant international organisations, designated to develop technical standards to do so through open and transparent processes.
Article 155
Conditions for authorisation
1.   Each Party shall ensure that measures relating to authorisation are based on criteria which preclude the competent authorities from exercising their power of assessment in an arbitrary manner and may include, inter alia, competence and the ability to supply a service or any other economic activity, including to do so in compliance with a Party's regulatory requirements such as health and environmental requirements. For the avoidance of doubt, the Parties understand that in reaching decisions a competent authority may balance criteria.
2.   The criteria referred to in paragraph 1 shall be:
(a)
clear and unambiguous;
(b)
objective and transparent;
(c)
pre-established;
(d)
made public in advance;
(e)
impartial; and
(f)
easily accessible.
3.   If a Party adopts or maintains a measure relating to authorisation, it shall ensure that:
(a)
the competent authority concerned processes applications, and reaches and administers its decisions, objectively and impartially and in a manner independent of the undue influence of any person carrying out the economic activity for which authorisation is required; and
(b)
the procedures themselves do not prevent fulfilment of the requirements.
Article 156
Limited numbers of licences
If the number of licences available for a given activity is limited because of the scarcity of available natural resources or technical capacity, a Party shall apply a selection procedure to potential candidates which provides full guarantees of impartiality, objectivity and transparency, including, in particular, adequate publicity about the launch, conduct and completion of the procedure. In establishing the rules for the selection procedure, a Party may take into account legitimate policy objectives, including considerations of health, safety, the protection of the environment and the preservation of cultural heritage.
SECTION 2
PROVISIONS OF GENERAL APPLICATION
Article 157
Review procedures for administrative decisions
A Party shall maintain judicial, arbitral or administrative tribunals or procedures which provide, on request of an affected investor or service supplier of the other Party, for the prompt review of, and if justified appropriate remedies for, administrative decisions that affect establishment or operation, cross-border trade in services or the supply of a service through the presence of a natural person of a Party in the territory of the other Party. For the purposes of this Section, "administrative decisions" means a decision or action with a legal effect that applies to a specific person, good or service in an individual case and covers the failure to take an administrative decision or take such action when that is so required by a Party's law. If such procedures are not independent of the competent authority entrusted with the administrative decision concerned, a Party shall ensure that the procedures in fact provide for an objective and impartial review.
Article 158
Professional qualifications
1.   Nothing in this Article shall prevent a Party from requiring that natural persons possess the necessary professional qualifications specified in the territory where the activity is performed, for the sector of activity concerned 
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.
2.   The professional bodies or authorities, which are relevant for the sector of activity concerned in their respective territories, may develop and provide joint recommendations on the recognition of professional qualifications to the Partnership Council. Such joint recommendations shall be supported by an evidence-based assessment of:
(a)
the economic value of an envisaged arrangement on the recognition of professional qualifications; and
(b)
the compatibility of the respective regimes, that is, the extent to which the requirements applied by each Party for the authorisation, licensing, operation and certification are compatible.
3.   On receipt of a joint recommendation, the Partnership Council shall review its consistency with this Title within a reasonable period of time. The Partnership Council may, following such review, develop and adopt an arrangement on the conditions for the recognition of professional qualifications by decision as an annex to this Agreement, which shall be considered to form an integral part of this Title. 
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4.   An arrangement referred to in paragraph 3 shall provide for the conditions for recognition of professional qualifications acquired in the Union and professional qualifications acquired in the United Kingdom relating to an activity covered by this Title and Title III of this Heading.
5.   The Guidelines for arrangements on the recognition of professional qualifications set out in Annex 24 shall be taken into account in the development of the joint recommendations referred to in paragraph 2 of this Article and by the Partnership Council when assessing whether to adopt such an Arrangement, as referred to in paragraph 3 of this Article.
SECTION 3
DELIVERY SERVICES
Article 159
Scope and definitions
1.   This Section applies to measures of a Party affecting the supply of delivery services in addition to Chapters 1, 2, 3 and 4 of this Title, and to Sections 1 and 2 of this Chapter.
2.   For the purposes of this Section, the following definitions apply:
(a)
"delivery services" means postal services, courier services, express delivery services or express mail services, which include the following activities: the collection, sorting, transport, and delivery of postal items;
(b)
"express delivery services" means the collection, sorting, transport and delivery of postal items at accelerated speed and reliability and may include value added elements such as collection from point of origin, personal delivery to the addressee, tracing, possibility of changing the destination and addressee in transit or confirmation of receipt;
(c)
"express mail services" means international express delivery services supplied through the EMS Cooperative, which is the voluntary association of designated postal operators under Universal Postal Union (UPU);
(d)
"licence" means an authorisation that a regulatory authority of a Party may require of an individual supplier in order for that supplier to offer postal or courier services;
(e)
"postal item" means an item up to 31.5 kg addressed in the final form in which it is to be carried by any type of supplier of delivery services, whether public or private and may include items such as a letter, parcel, newspaper or catalogue;
(f)
"postal monopoly" means the exclusive right to supply specified delivery services within a Party's territory or a subdivision thereof pursuant to the law of that Party; and
(g)
"universal service" means the permanent supply of a delivery service of specified quality at all points in the territory of a Party or a subdivision thereof at affordable prices for all users.
Article 160
Universal service
1.   Each Party has the right to define the kind of universal service obligation it wishes to maintain and to decide on its scope and implementation. Any universal service obligation shall be administered in a transparent, non-discriminatory and neutral manner with regard to all suppliers subject to the obligation.
2.   If a Party requires inbound express mail services to be supplied on a universal service basis, it shall not accord preferential treatment to those services over other international express delivery services.
Article 161
Universal service funding
A party shall not impose fees or other charges on the supply of a delivery service that is not a universal service for the purposes of funding the supply of a universal service. This Article does not apply to generally applicable taxation measures or administrative fees.
Article 162
Prevention of market distortive practices
Each party shall ensure that suppliers of delivery services subject to a universal service obligation or postal monopolies do not engage in market distortive practices such as:
(a)
using revenues derived from the supply of the service subject to a universal service obligation or from a postal monopoly to cross-subsidise the supply of an express delivery service or any delivery service which is not subject to a universal service obligation; or
(b)
unjustifiably differentiating between consumers with respect to tariffs or other terms and conditions for the supply of a service subject to a universal service or a postal monopoly.
Article 163
Licences
1.   If a Party requires a licence for the provision of delivery services, it shall make publicly available:
(a)
all the licensing requirements and the period of time normally required to reach a decision concerning an application for a licence; and
(b)
the terms and conditions of licences.
2.   The procedures, obligations and requirements of a licence shall be transparent, non-discriminatory and based on objective criteria.
3.   If a licence application is rejected by the competent authority, it shall inform the applicant of the reasons for the rejection in writing. Each Party shall establish an appeal procedure through an independent body available to applicants whose licence has been rejected. That body may be a court.
Article 164
Independence of the regulatory body
1.   Each Party shall establish or maintain a regulatory body which shall be legally distinct from and functionally independent from any supplier of delivery services. If a Party owns or controls a supplier of delivery services, it shall ensure the effective structural separation of the regulatory function from activities associated with ownership or control.
2.   The regulatory bodies shall perform their tasks in a transparent and timely manner and have adequate financial and human resources to carry out the task assigned to them. Their decisions shall be impartial with respect to all market participants.
SECTION 4
TELECOMMUNICATIONS SERVICES
Article 165
Scope
This Section applies to measures of a Party affecting the supply of telecommunications services in addition to Chapters 1, 2, 3 and 4 of this Title, and to Sections 1 and 2 of this Chapter.
Article 166
Definitions
For the purposes of this Section, the following definitions apply:
(a)
"associated facilities" means associated services, physical infrastructure and other facilities or elements associated with a telecommunications network or telecommunications service which enable or support the supply of services via that network or service or have the potential to do so;
(b)
"end user" means a final consumer of, or subscriber to, a public telecommunications service, including a service supplier other than a supplier of public telecommunications services;
(c)
"essential facilities" means facilities of a public telecommunications network or a public telecommunications service that:
(i)
are exclusively or predominantly provided by a single or limited number of suppliers; and
(ii)
cannot feasibly be economically or technically substituted in order to provide a service;
(d)
"interconnection" means the linking of public telecommunications networks used by the same or different suppliers of telecommunications networks or telecommunications services in order to allow the users of one supplier to communicate with users of the same or another supplier or to access services provided by another supplier, irrespective of whether those services are provided by the suppliers involved or any other supplier who has access to the network;
(e)
"international mobile roaming service" means a commercial mobile service provided pursuant to a commercial agreement between suppliers of public telecommunications services that enables an end user to use its home mobile handset or other device for voice, data or messaging services while outside the territory in which the end user's home public telecommunications network is located;
(f)
"internet access service" means a public telecommunications service that provides access to the internet and thereby connectivity to virtually all end points of the internet, irrespective of the network technology and terminal equipment used;
(g)
"leased circuit" means telecommunications services or facilities, including those of a virtual nature, that set aside capacity for the dedicated use by, or availability to, a user between two or more designated points;
(h)
"major supplier" means a supplier of telecommunications networks or telecommunications services which has the ability to materially affect the terms of participation, having regard to price and supply, in a relevant market for telecommunications networks or telecommunications services as a result of control over essential facilities or the use of its position in that market;
(i)
"network element" means a facility or equipment used in supplying a telecommunications service, including features, functions and capabilities provided by means of that facility or equipment;
(j)
"number portability" means the ability of subscribers who so request to retain the same telephone numbers, at the same location in the case of a fixed line, without impairment of quality, reliability or convenience when switching between the same category of suppliers of public telecommunications services;
(k)
"public telecommunications network" means any telecommunications network used wholly or mainly for the provision of public telecommunications services which supports the transfer of information between network termination points;
(l)
"public telecommunications service" means any telecommunications service that is offered to the public generally;
(m)
"subscriber" means any natural or legal person which is party to a contract with a supplier of public telecommunications services for the supply of such services;
(n)
"telecommunications" means the transmission and reception of signals by any electromagnetic means;
(o)
"telecommunications network" means transmission systems and, where applicable, switching or routing equipment and other resources, including network elements which are not active, which permit the transmission and reception of signals by wire, radio, optical, or other electromagnetic means;
(p)
"telecommunications regulatory authority" means the body or bodies charged by a Party with the regulation of telecommunications networks and telecommunications services covered by this Section;
(q)
"telecommunications service" means a service which consists wholly or mainly in the transmission and reception of signals, including broadcasting signals, over telecommunications networks, including those used for broadcasting, but not a service providing, or exercising editorial control over, content transmitted using telecommunications networks and telecommunications services;
(r)
"universal service" means the minimum set of services of specified quality that must be made available to all users, or to a set of users, in the territory of a Party, or in a subdivision thereof, regardless of their geographical location and at an affordable price; and
(s)
"user" means any natural or legal person using a public telecommunications service.
Article 167
Telecommunications regulatory authority
1.   Each Party shall establish or maintain a telecommunications regulatory authority that:
(a)
is legally distinct and functionally independent from any supplier of telecommunications networks, telecommunications services or telecommunications equipment;
(b)
uses procedures and issues decisions that are impartial with respect to all market participants;
(c)
acts independently and does not seek or take instructions from any other body in relation to the exercise of the tasks assigned to it by law to enforce the obligations set out in Articles 169, 170, 171, 173 and 174;
(d)
has the regulatory power, as well as adequate financial and human resources, to carry out the tasks mentioned in point (c) of this Article;
(e)
has the power to ensure that suppliers of telecommunications networks or telecommunications services provide it, promptly upon request, with all the information 
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, including financial information, which is necessary to enable it to carry out the tasks mentioned in point (c) of this Article; and
(f)
exercises its powers transparently and in a timely manner.
2.   Each Party shall ensure that the tasks assigned to the telecommunications regulatory authority are made public in an easily accessible and clear form, in particular where those tasks are assigned to more than one body.
3.   A Party that retains ownership or control of suppliers of telecommunications networks or telecommunications services shall ensure the effective structural separation of the regulatory function from activities associated with ownership or control.
4.   Each Party shall ensure that a user or supplier of telecommunications networks or telecommunications services affected by a decision of the telecommunications regulatory authority has a right of appeal before an appeal body which is independent of the regulatory authority and other affected parties. Pending the outcome of the appeal, the decision shall stand, unless interim measures are granted in accordance with the Party's law.
Article 168
Authorisation to provide telecommunications networks or services
1.   Each Party shall permit the provision of telecommunications networks or telecommunications services without a prior formal authorisation.
2.   Each Party shall make publicly available all the criteria, applicable procedures and terms and conditions under which suppliers are permitted to provide telecommunications networks or telecommunications services.
3.   Any authorisation criteria and applicable procedures shall be as simple as possible, objective, transparent, non-discriminatory and proportionate. Any obligations and conditions imposed on or associated with an authorisation shall be non-discriminatory, transparent and proportionate, and shall be related to the services or networks provided.
4.   Each Party shall ensure that an applicant for an authorisation receives in writing the reasons for any denial or revocation of an authorisation or the imposition of supplier-specific conditions. In such cases, the applicant shall have a right of appeal before an appeal body.
5.   Administrative fees imposed on suppliers shall be objective, transparent, non-discriminatory and commensurate with the administrative costs reasonably incurred in the management, control and enforcement of the obligations set out in this Section 
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.
Article 169
Interconnection
Each Party shall ensure that a supplier of public telecommunications networks or public telecommunications services has the right and, when so requested by another supplier of public telecommunications networks or public telecommunications services, the obligation to negotiate interconnection for the purposes of providing public telecommunications networks or public telecommunications services.
Article 170
Access and use
1.   Each Party shall ensure that any covered enterprise or service supplier of the other Party is accorded access to and use of public telecommunications networks or public telecommunications services on reasonable and non-discriminatory 
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 terms and conditions. This obligation shall be applied, inter alia, to paragraphs 2 to 5.
2.   Each Party shall ensure that covered enterprises or service suppliers of the other Party have access to and use of any public telecommunications network or public telecommunications service offered within or across its border, including private leased circuits, and to that end shall ensure, subject to paragraph 5, that such enterprises and suppliers are permitted:
(a)
to purchase or lease and attach terminal or other equipment which interfaces with the network and which is necessary to conduct their operations;
(b)
to interconnect private leased or owned circuits with public telecommunications networks or with circuits leased or owned by another covered enterprise or service supplier; and
(c)
to use the operating protocols of their choice in their operations, other than as necessary to ensure the availability of telecommunications services to the public generally.
3.   Each Party shall ensure that covered enterprises or service suppliers of the other Party may use public telecommunications networks and public telecommunications services for the movement of information within and across borders, including for their intra-corporate communications, and for access to information contained in databases or otherwise stored in machine-readable form in the territory of either Party.
4.   Notwithstanding paragraph 3, a Party may take such measures as are necessary to ensure the security and confidentiality of communications, subject to the requirement that such measures are not applied in a manner which would constitute either a disguised restriction on trade in services or a means of arbitrary or unjustifiable discrimination or of nullification or impairment of benefits under this Title.
5.   Each Party shall ensure that no condition is imposed on access to and use of public telecommunications networks or services other than as necessary:
(a)
to safeguard the public service responsibilities of suppliers of public telecommunications networks or public telecommunications services, in particular their ability to make their services available to the public generally; or
(b)
to protect the technical integrity of public telecommunications networks or services.
Article 171
Resolution of telecommunications disputes
1.   Each Party shall ensure that, in the event of a dispute arising between suppliers of telecommunications networks or telecommunications services in connection with rights and obligations that arise from this Section, and upon request of either party involved in the dispute, the telecommunications regulatory authority issues a binding decision within a reasonable timeframe to resolve the dispute.
2.   The decision by the telecommunications regulatory authority shall be made available to the public, having regard to the requirements of business confidentiality. The parties concerned shall be given a full statement of the reasons on which it is based and shall have the right of appeal referred to in Article 167(4).
3.   The procedure referred to in paragraphs 1 and 2 shall not preclude either party concerned from bringing an action before a judicial authority.
Article 172
Competitive safeguards on major suppliers
Each Party shall introduce or maintain appropriate measures for the purpose of preventing suppliers of telecommunications networks or telecommunications services who, alone or together, are a major supplier from engaging in or continuing anti-competitive practices. These anti-competitive practices shall include in particular:
(a)
engaging in anti-competitive cross-subsidisation;
(b)
using information obtained from competitors with anti-competitive results; and
(c)
not making available to other service suppliers on a timely basis technical information about essential facilities and commercially relevant information which are necessary for them to provide services.
Article 173
Interconnection with major suppliers
1.   Each Party shall ensure that major suppliers of public telecommunications networks or public telecommunications services provide interconnection at any technically feasible point in the network. Such interconnection shall be provided:
(a)
under non-discriminatory terms and conditions (including as regards rates, technical standards, specifications, quality and maintenance) and of a quality no less favourable than that provided for the own like services of such major supplier, or for like services of its subsidiaries or other affiliates;
(b)
in a timely fashion, on terms and conditions (including as regards rates, technical standards, specifications, quality and maintenance) that are transparent, reasonable, having regard to economic feasibility, and sufficiently unbundled so that the supplier need not pay for network elements or facilities that it does not require for the service to be provided; and
(c)
upon request, at points in addition to the network termination points offered to the majority of users, subject to charges that reflect the cost of construction of necessary additional facilities.
2.   The procedures applicable for interconnection to a major supplier shall be made publicly available.
3.   Major suppliers shall make publicly available either their interconnection agreements or their reference interconnection offers as appropriate.
Article 174
Access to major suppliers' essential facilities
Each Party shall ensure that major suppliers in its territory make their essential facilities available to suppliers of telecommunications networks or telecommunications services on reasonable, transparent and non-discriminatory terms and conditions for the purpose of providing public telecommunications services, except where this is not necessary to achieve effective competition on the basis of the facts collected and the assessment of the market conducted by the telecommunications regulatory authority. The major supplier's essential facilities may include network elements, leased circuits services and associated facilities.
Article 175
Scarce resources
1.   Each Party shall ensure that the allocation and granting of rights of use of scarce resources, including radio spectrum, numbers and rights of way, is carried out in an open, objective, timely, transparent, non-discriminatory and proportionate manner and by taking into account general interest objectives. Procedures, and conditions and obligations attached to rights of use, shall be based on objective, transparent, non-discriminatory and proportionate criteria.
2.   The current use of allocated frequency bands shall be made publicly available, but detailed identification of radio spectrum allocated for specific government uses is not required.
3.   Parties may rely on market-based approaches, such as bidding procedures, to assign spectrum for commercial use.
4.   The Parties understand that measures of a Party allocating and assigning spectrum and managing frequency are not in and of themselves inconsistent with Articles 128 and 135. Each Party retains the right to establish and apply spectrum and frequency management measures that may have the effect of limiting the number of suppliers of telecommunications services, provided that it does so in a manner consistent with this Agreement. This includes the ability to allocate frequency bands taking into account current and future needs and spectrum availability.
Article 176
Universal service
1.   Each Party has the right to define the kind of universal service obligations it wishes to maintain and to decide on their scope and implementation.
2.   Each Party shall administer the universal service obligations in a proportionate, transparent, objective and non-discriminatory way, which is neutral with respect to competition and not more burdensome than necessary for the kind of universal service defined by the Party.
3.   Each Party shall ensure that procedures for the designation of universal service suppliers are open to all suppliers of public telecommunications networks or public telecommunications services. Such designation shall be made through an efficient, transparent and non-discriminatory mechanism.
4.   If a Party decides to compensate the universal service suppliers, it shall ensure that such compensation does not exceed the net cost caused by the universal service obligation.
Article 177
Number portability
Each Party shall ensure that suppliers of public telecommunications services provide number portability on reasonable terms and conditions.
Article 178
Open internet access
1.   Each Party shall ensure that, subject to its laws and regulations, suppliers of internet access services enable users of those services to:
(a)
access and distribute information and content, use and provide applications and services of their choice, subject to non-discriminatory, reasonable, transparent and proportionate network management; and
(b)
use devices of their choice, provided that such devices do not harm the security of other devices, the network or services provided over the network.
2.   For greater certainty, nothing in this Article shall prevent the Parties from adopting measures with the aim of protecting public safety with regards to users online.
Article 179
Confidentiality of information
1.   Each Party shall ensure that suppliers that acquire information from another supplier in the process of negotiating arrangements pursuant to Articles 169, 170, 173 and 174 use that information solely for the purpose for which it was supplied and respect at all times the confidentiality of information transmitted or stored.
2.   Each Party shall ensure the confidentiality of communications and related traffic data transmitted in the use of public telecommunications networks or public telecommunications services subject to the requirement that measures applied to that end do not constitute a means of arbitrary or unjustifiable discrimination or a disguised restriction on trade in services.
Article 180
Foreign shareholding
With regard to the provision of telecommunications networks or telecommunications services through establishment and notwithstanding Article 133, a Party shall not impose joint venture requirements or limit the participation of foreign capital in terms of maximum percentage limits on foreign shareholding or the total value of individual or aggregate foreign investment.
Article 181
International mobile roaming 
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1.   The Parties shall endeavour to cooperate on promoting transparent and reasonable rates for international mobile roaming services in ways that can help promote the growth of trade among the Parties and enhance consumer welfare.
2.   Parties may choose to take steps to enhance transparency and competition with respect to international mobile roaming rates and technological alternatives to roaming services, such as:
(a)
ensuring that information regarding retail rates is easily accessible to end users; and
(b)
minimising impediments to the use of technological alternatives to roaming, whereby end users visiting the territory of a Party from the territory of the other Party can access telecommunications services using the device of their choice.
3.   Each Party shall encourage suppliers of public telecommunications services in its territory to make publicly available information on retail rates for international mobile roaming services for voice, data and text messages offered to their end users when visiting the territory of the other Party.
4.   Nothing in this Article shall require a Party to regulate rates or conditions for international mobile roaming services.
SECTION 5
FINANCIAL SERVICES
Article 182
Scope
1.   This Section applies to measures of a Party affecting the supply of financial services in addition to Chapters 1, 2, 3 and 4 of this Title, and to Sections 1 and 2 of this Chapter.
2.   For the purposes of this Section, the term "activities performed in the exercise of governmental authority" referred to in point (f) of Article 124 means the following 
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:
(a)
activities conducted by a central bank or a monetary authority or by any other public entity in pursuit of monetary or exchange rate policies;
(b)
activities forming part of a statutory system of social security or public retirement plans; and
(c)
other activities conducted by a public entity for the account or with the guarantee or using the financial resources of the Party or its public entities.
3.   For the purposes of the application of point (f) of Article 124 to this Section, if a Party allows any of the activities referred to in point (b) or (c) of paragraph 2 of this Article to be conducted by its financial service suppliers in competition with a public entity or a financial service supplier, "activities performed in the exercise of governmental authority" does not include those activities.
4.   Point (a) of Article 124 does not apply to services covered by this Section.
Article 183
Definitions
For the purposes of this Title, the following definitions apply:
(a)
"financial service" means any service of a financial nature offered by a financial service supplier of a Party and includes the following activities:
(i)
insurance and insurance-related services:
(A)
direct insurance (including co-insurance):
(aa)
life;
(bb)
non-life;
(B)
reinsurance and retrocession;
(C)
insurance intermediation, such as brokerage and agency; and
(D)
services auxiliary to insurance, such as consultancy, actuarial, risk assessment and claim settlement services;
(ii)
banking and other financial services (excluding insurance):
(A)
acceptance of deposits and other repayable funds from the public;
(B)
lending of all types, including consumer credit, mortgage credit, factoring and financing of commercial transaction;
(C)
financial leasing;
(D)
all payment and money transmission services, including credit, charge and debit cards, travellers cheques and bankers drafts;
(E)
guarantees and commitments;
(F)
trading for own account or for account of customers, whether on an exchange, in an over-the-counter market or otherwise, the following:
(aa)
money market instruments (including cheques, bills, certificates of deposits);
(bb)
foreign exchange;
(cc)
derivative products including, but not limited to, futures and options;
(dd)
exchange rate and interest rate instruments, including products such as swaps, forward rate agreements;
(ee)
transferable securities; and
(ff)
other negotiable instruments and financial assets, including bullion;
(G)
participation in issues of all kinds of securities, including underwriting and placement as agent (whether publicly or privately) and provision of services related to such issues;
(H)
money broking;
(I)
asset management, such as cash or portfolio management, all forms of collective investment management, pension fund management, custodial, depository and trust services;
(J)
settlement and clearing services for financial assets, including securities, derivative products, and other negotiable instruments;
(K)
provision and transfer of financial information, and financial data processing and related software; and
(L)
advisory, intermediation and other auxiliary financial services on all the activities listed in points (A) to (K), including credit reference and analysis, investment and portfolio research and advice, advice on acquisitions and on corporate restructuring and strategy;
(b)
"financial service supplier" means any natural or legal person of a Party that seeks to supply or supplies financial services and does not include a public entity;
(c)
"new financial service" means a service of a financial nature including services related to existing and new products or the manner in which a product is delivered, that is not supplied by any financial service supplier in the territory of a Party but which is supplied in the territory of the other Party;
(d)
"public entity" means:
(i)
a government, a central bank or a monetary authority, of a Party, or an entity owned or controlled by a Party, that is principally engaged in carrying out governmental functions or activities for governmental purposes, not including an entity principally engaged in supplying financial services on commercial terms; or
(ii)
a private entity, performing functions normally performed by a central bank or monetary authority, when exercising those functions;
(e)
"self-regulatory organisation" means any non-governmental body, including a securities or futures exchange or market, clearing agency, other organisation or association, that exercises regulatory or supervisory authority over financial service suppliers by statute or delegation from central, regional or local governments or authorities, where applicable.
Article 184
Prudential carve-out
1.   Nothing in this Agreement shall prevent a Party from adopting or maintaining measures for prudential reasons 
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, such as:
(a)
the protection of investors, depositors, policy-holders or persons to whom a fiduciary duty is owed by a financial service supplier; or
(b)
ensuring the integrity and stability of a Party's financial system.
2.   Where such measures do not conform with the provisions of this Agreement, they shall not be used as a means of avoiding the Party's commitments or obligations under this Agreement.
Article 185
Confidential information
Without prejudice to Part Three, nothing in this Agreement shall be construed to require a Party to disclose information relating to the affairs and accounts of individual consumers or any confidential or proprietary information in the possession of public entities.
Article 186
International standards
The Parties shall make their best endeavours to ensure that internationally agreed standards in the financial services sector for regulation and supervision, for the fight against money laundering and terrorist financing and for the fight against tax evasion and avoidance, are implemented and applied in their territory. Such internationally agreed standards are, inter alia, those adopted by: the G20; the Financial Stability Board; the Basel Committee on Banking Supervision, in particular its "Core Principle for Effective Banking Supervision"; the International Association of Insurance Supervisors, in particular its "Insurance Core Principles"; the International Organisation of Securities Commissions, in particular its "Objectives and Principles of Securities Regulation"; the Financial Action Task Force; and the Global Forum on Transparency and Exchange of Information for Tax Purposes of the Organisation for Economic Cooperation and Development.
Article 187
Financial services new to the territory of a Party
1.   Each Party shall permit a financial service supplier of the other Party established in its territory to supply any new financial service that it would permit its own financial service suppliers to supply in accordance with its law in like situations, provided that the introduction of the new financial service does not require the adoption of a new law or the amendment of an existing law. This does not apply to branches of the other Party established in the territory of a Party.
2.   A Party may determine the institutional and legal form through which the service may be supplied and require authorisation for the supply of the service. Where such authorisation is required, a decision shall be made within a reasonable time and the authorisation may only be refused for prudential reasons.
Article 188
Self-regulatory organisations
Where a Party requires membership of, participation in, or access to, any self-regulatory organisation in order for financial service suppliers of the other Party to supply financial services in its territory, the Party shall ensure observance by that self-regulatory organisation of the obligations under Articles 129, 130, 137 and 138.
Article 189
Clearing and payment systems
Under terms and conditions that accord national treatment, each Party shall grant to financial service suppliers of the other Party established in its territory access to payment and clearing systems operated by public entities, and to official funding and refinancing facilities available in the normal course of ordinary business. This Article does not confer access to the Party's lender of last resort facilities.
SECTION 6
INTERNATIONAL MARITIME TRANSPORT SERVICES
Article 190
Scope and definitions
1.   This Section applies to measures of a Party affecting the supply of international maritime transport services in addition to Chapters 1, 2, 3, 4 and Section 1 of this Chapter.
2.   For the purposes of this Section and Chapters 1, 2, 3 and 4 of this Title, the following definitions apply:
(a)
"international maritime transport services" means the transport of passengers or cargo by sea-going vessels between a port of one Party and a port of the other Party or of a third country, or between ports of different Member States, including the direct contracting with providers of other transport services, with a view to covering door-to-door or multimodal transport operations under a single transport document, but does not include the right to provide such other transport services;
(b)
"door-to-door or multimodal transport operations" means the transport of international cargo using more than one mode of transport, that includes an international sea-leg, under a single transport document;
(c)
"international cargo" means cargo transported between a port of one Party and a port of the other Party or of a third country, or between ports of different Member States;
(d)
"maritime auxiliary services" means maritime cargo handling services, customs clearance services, container station and depot services, maritime agency services, maritime freight forwarding services and storage and warehousing services;
(e)
"maritime cargo handling services" means activities exercised by stevedore companies, including terminal operators but not including the direct activities of dockers if the workforce is organised independently of the stevedoring or terminal operator companies; the activities covered include the organisation and supervision of:
(i)
loading or discharging of cargo to or from a ship;
(ii)
the lashing or unlashing of cargo; and
(iii)
the reception or delivery and safekeeping of cargoes before shipment or after discharge;
(f)
"customs clearance services" means activities consisting in carrying out, on behalf of another party, customs formalities concerning import, export or through transport of cargoes, irrespective of whether these services are the main activity of the service supplier or a usual complement of its main activity;
(g)
"container station and depot services" means activities that consist of storing, stuffing, stripping or repairing of containers and making containers available for shipment, whether in port areas or inland;
(h)
"maritime agency services" means activities that consist of representing, within a given geographic area, as an agent the business interests of one or more shipping lines or shipping companies, for the following purposes:
(i)
marketing and sales of maritime transport and related services, from quotation to invoicing, issuance of bills of lading on behalf of the lines or companies, acquisition and resale of the necessary related services, preparation of documentation and provision of business information; and
(ii)
acting on behalf of the lines or companies organising the call of the ship or taking over cargoes when required;
(i)
"feeder services" means, without prejudice to the scope of activities that may be considered cabotage under the relevant national legislation, the pre- and onward transportation by sea of international cargo, including containerised, break bulk and dry or liquid bulk cargo, between ports located in the territory of a Party, provided such international cargo is "en route", that is, directed to a destination, or coming from a port of shipment, outside the territory of that Party;
(j)
"maritime freight forwarding services" means the activity consisting of organising and monitoring shipment operations on behalf of shippers, through the arrangement of transport and related services, preparation of documentation and provision of business information;
(k)
"port services" means services provided inside a maritime port area or on the waterway access to such area by the managing body of a port, its subcontractors, or other service providers to support the transport of cargo or passengers; and
(l)
"storage and warehousing services" means storage services of frozen or refrigerated goods, bulk storage services of liquids or gases, and other storage or warehousing services.
Article 191
Obligations
1.   Without prejudice to non-conforming measures or other measures referred to in Articles 133 and 139, each Party shall implement the principle of unrestricted access to the international maritime markets and trades on a commercial and non-discriminatory basis by:
(a)
according to ships flying the flag of the other Party, or operated by service suppliers of the other Party, treatment no less favourable than that accorded to its own ships with regard to, inter alia:
(i)
access to ports;
(ii)
the use of port infrastructure;
(iii)
the use of maritime auxiliary services; and
(iv)
customs facilities and the assignment of berths and facilities for loading and unloading, including related fees and charges;
(b)
making available to international maritime transport service suppliers of the other Party, on terms and conditions which are both reasonable and no less favourable than those applicable to its own suppliers or vessels or to vessels or suppliers of a third country (including fees and charges, specifications and quality of the service to be provided), the following port services: pilotage, towing and tug assistance, provisioning, fuelling and watering, garbage collecting and ballast waste disposal, port captain's services, navigation aids, emergency repair facilities, anchorage, berth, berthing and unberthing services and shore-based operational services essential to ship operations, including communications, water and electrical supplies;
(c)
permitting international maritime transport service suppliers of the other Party, subject to the authorisation by the competent authority where applicable, to re-position owned or leased empty containers, which are not being carried as cargo against payment, between ports of the United Kingdom or between ports of a Member State; and
(d)
permitting international maritime transport service suppliers of the other Party to provide feeder services between ports of the United Kingdom or between ports of a Member State, subject to the authorisation by the competent authority where applicable.
2.   In applying the principle referred to in paragraph 1, a Party shall:
(a)
not introduce cargo-sharing arrangements in future agreements with third countries concerning international maritime transport services, including dry and liquid bulk and liner trade, and terminate, within a reasonable period of time, such cargo-sharing arrangements in case they exist in previous agreements;
(b)
not adopt or maintain a measure that requires all or part of any international cargo to be transported exclusively by vessels registered in that Party or owned or controlled by natural persons of that Party;
(c)
abolish and abstain from introducing any unilateral measures or administrative, technical and other obstacles which could constitute a disguised restriction or have discriminatory effects on the free supply of international maritime transport services; and
(d)
not prevent international maritime transport service suppliers of the other Party from directly contracting with other transport service suppliers for door-to-door or multimodal transport operations.
SECTION 7
LEGAL SERVICES
Article 192
Scope
1.   This Section applies to measures of a Party affecting the supply of designated legal services in addition to Chapters 1, 2, 3 and 4 of this Title and to Sections 1 and 2 of this Chapter.
2.   Nothing in this Section shall affect the right of a Party to regulate and supervise the supply of designated legal services in its territory in a non-discriminatory manner.
Article 193
Definitions
For the purposes of this Section, the following definitions apply:
(a)
"designated legal services" means legal services in relation to home jurisdiction law and public international law, excluding Union law;
(b)
"home jurisdiction" means the jurisdiction (or a part of the jurisdiction) of the Member State or of the United Kingdom in which a lawyer acquired their home jurisdiction professional title or, in the case of a lawyer who has acquired a home jurisdiction professional title in more than one jurisdiction, any of those jurisdictions;
(c)
"home jurisdiction law" means the law of the lawyer's home jurisdiction 
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;
(d)
"home jurisdiction professional title" means:
(i)
for a lawyer of the Union, a professional title acquired in a Member State authorising the supply of legal services in that Member State; or
(ii)
for a lawyer of the United Kingdom, the title of advocate, barrister or solicitor, authorising the supply of legal services in any part of the jurisdiction of the United Kingdom;
(e)
"lawyer" means:
(i)
a natural person of the Union who is authorised in a Member State to supply legal services under a home jurisdiction professional title; or
(ii)
a natural person of the United Kingdom who is authorised in any part of the jurisdiction of the United Kingdom to supply legal services under a home jurisdiction professional title;
(f)
"lawyer of the other Party" means:
(i)
where "the other Party" is the Union, a lawyer referred to in point (e)(i); or
(ii)
where "the other Party" is the United Kingdom, a lawyer referred to in point (e)(ii); and
(g)
"legal services" means the following services:
(i)
legal advisory services; and
(ii)
legal arbitration, conciliation and mediation services (but excluding such services when supplied by natural persons as set out in Article 140). 
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"Legal services" do not include legal representation before administrative agencies, the courts, and other duly constituted official tribunals of a Party, legal advisory and legal authorisation, documentation and certification services supplied by legal professionals entrusted with public functions in the administration of justice such as notaries, "huissiers de justice" or other "officiers publics et ministériels", and services supplied by bailiffs who are appointed by an official act of government.
Article 194
Obligations
1.   A Party shall allow a lawyer of the other Party to supply in its territory designated legal services under that lawyer's home jurisdiction professional title in accordance with Articles 128, 129, 135, 137 and 143.
2.   Where a Party (the "host jurisdiction") requires registration in its territory as a condition for a lawyer of the other Party to supply designated legal services pursuant to paragraph 1, the requirements and process for such registration shall not:
(a)
be less favourable than those which apply to a natural person of a third country who is supplying legal services in relation to third country law or public international law under that person's third country professional title in the territory of the host jurisdiction; and
(b)
amount to or be equivalent to any requirement to requalify into or be admitted to the legal profession of the host jurisdiction.
3.   Paragraph 4 applies to the supply of designated legal services pursuant to paragraph 1 through establishment.
4.   A Party shall allow a legal person of the other Party to establish a branch in its territory through which designated legal services 
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 are supplied pursuant to paragraph 1, in accordance with and subject to the conditions set out in Chapter 2 of this Title. This shall be without prejudice to requirements that a certain percentage of the shareholders, owners, partners, or directors of a legal person be qualified or practice a certain profession such as lawyers or accountants.
Article 195
Non-conforming measures
1.   Article 194 does not apply to:
(a)
any existing non-conforming measure of a Party at the level of:
(i)
for the Union:
(A)
the Union, as set out in the Schedule of the Union in Annex 19;
(B)
the central government of a Member State, as set out in the Schedule of the Union in Annex 19;
(C)
a regional government of a Member State, as set out in the Schedule of the Union in Annex 19; or
(D)
a local government, other than that referred to in point (C); and
(ii)
for the United Kingdom:
(A)
the central government, as set out in the Schedule of the United Kingdom in Annex 19;
(B)
a regional government, as set out in the Schedule of the United Kingdom in Annex 19; or
(C)
a local government;
(b)
the continuation or prompt renewal of any non-conforming measure referred to in point (a) of this paragraph; or
(c)
a modification to any non-conforming measure referred to in points (a) and (b) of this paragraph to the extent that it does not decrease the conformity of the measure, as it existed immediately before the modification, with Article 194.
2.   Article 194 does not apply to any measure of a Party which is consistent with the reservations, conditions or qualifications specified with respect to a sector, subsector or activity listed in Annex 20.
3.   This Section applies without prejudice to Annex 22.
TITLE III
DIGITAL TRADE
CHAPTER 1
GENERAL PROVISIONS
Article 196
Objective
The objective of this Title is to facilitate digital trade, to address unjustified barriers to trade enabled by electronic means and to ensure an open, secure and trustworthy online environment for businesses and consumers.
Article 197
Scope
1.   This Title applies to measures of a Party affecting trade enabled by electronic means.
2.   This Title does not apply to audio-visual services.
Article 198
Right to regulate
The Parties reaffirm the right to regulate within their territories to achieve legitimate policy objectives, such as the protection of public health, social services, public education, safety, the environment including climate change, public morals, social or consumer protection, privacy and data protection, or the promotion and protection of cultural diversity.
Article 199
Exceptions
For greater certainty, nothing in this Title prevents the Parties from adopting or maintaining measures in accordance with Articles 184, 412 and 415 for the public interest reasons set out therein.
Article 200
Definitions
1.   The definitions in Article 124 apply to this Title.
2.   For the purposes of this Title, the following definitions apply:
(a)
"consumer" means any natural person using a public telecommunications service for other than professional purposes;
(b)
"direct marketing communication" means any form of commercial advertising by which a natural or legal person communicates marketing messages directly to a user via a public telecommunications service and covers at least electronic mail and text and multimedia messages (SMS and MMS);
(c)
"electronic authentication" means an electronic process that enables the confirmation of:
(i)
the electronic identification of a natural or legal person, or
(ii)
the origin and integrity of data in electronic form;
(d)
"electronic registered delivery service" means a service that makes it possible to transmit data between third parties by electronic means and provides evidence relating to the handling of the transmitted data, including proof of sending and receiving the data, and that protects transmitted data against the risk of loss, theft, damage or any unauthorised alterations;
(e)
"electronic seal" means data in electronic form used by a legal person which is attached to or logically associated with other data in electronic form to ensure the latter's origin and integrity;
(f)
"electronic signature" means data in electronic form which is attached to or logically associated with other data in electronic form that:
(i)
is used by a natural person to agree on the data in electronic form to which it relates; and
(ii)
is linked to the data in electronic form to which it relates in such a way that any subsequent alteration in the data is detectable;
(g)
"electronic time stamp" means data in electronic form which binds other data in electronic form to a particular time establishing evidence that the latter data existed at that time;
(h)
"electronic trust service" means an electronic service consisting of:
(i)
the creation, verification and validation of electronic signatures, electronic seals, electronic time stamps, electronic registered delivery services and certificates related to those services;
(ii)
the creation, verification and validation of certificates for website authentication; or
(iii)
the preservation of electronic signatures, seals or certificates related to those services;
(i)
"government data" means data owned or held by any level of government and by non-governmental bodies in the exercise of powers conferred on them by any level of government;
(j)
"public telecommunications service" means any telecommunications service that is offered to the public generally;
(k)
"user" means any natural or legal person using a public telecommunications service.
CHAPTER 2
DATA FLOWS AND PERSONAL DATA PROTECTION
Article 201
Cross-border data flows
1.   The Parties are committed to ensuring cross-border data flows to facilitate trade in the digital economy. To that end, cross-border data flows shall not be restricted between the Parties by a Party:
(a)
requiring the use of computing facilities or network elements in the Party's territory for processing, including by imposing the use of computing facilities or network elements that are certified or approved in the territory of a Party;
(b)
requiring the localisation of data in the Party's territory for storage or processing;
(c)
prohibiting the storage or processing in the territory of the other Party; or
(d)
making the cross-border transfer of data contingent upon use of computing facilities or network elements in the Parties' territory or upon localisation requirements in the Parties' territory.
2.   The Parties shall keep the implementation of this provision under review and assess its functioning within three years of the date of entry into force of this Agreement. A Party may at any time propose to the other Party to review the list of restrictions listed in paragraph 1. Such a request shall be accorded sympathetic consideration.
Article 202
Protection of personal data and privacy
1.   Each Party recognises that individuals have a right to the protection of personal data and privacy and that high standards in this regard contribute to trust in the digital economy and to the development of trade.
2.   Nothing in this Agreement shall prevent a Party from adopting or maintaining measures on the protection of personal data and privacy, including with respect to cross-border data transfers, provided that the law of the Party provides for instruments enabling transfers under conditions of general application 
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 for the protection of the data transferred.
3.   Each Party shall inform the other Party about any measure referred to in paragraph 2 that it adopts or maintains.
CHAPTER 3
SPECIFIC PROVISIONS
Article 203
Customs duties on electronic transmissions
1.   Electronic transmissions shall be considered as the supply of a service within the meaning of Title II of this Heading.
2.   The Parties shall not impose customs duties on electronic transmissions.
Article 204
No prior authorisation
1.   A Party shall not require prior authorisation of the provision of a service by electronic means solely on the ground that the service is provided online, and shall not adopt or maintain any other requirement having an equivalent effect.
A service is provided online when it is provided by electronic means and without the parties being simultaneously present.
2.   Paragraph 1 does not apply to telecommunications services, broadcasting services, gambling services, legal representation services or to the services of notaries or equivalent professions to the extent that they involve a direct and specific connection with the exercise of public authority.
Article 205
Conclusion of contracts by electronic means
1.   Each Party shall ensure that contracts may be concluded by electronic means and that its law neither creates obstacles for the use of electronic contracts nor results in contracts being deprived of legal effect and validity solely on the ground that the contract has been made by electronic means.
2.   Paragraph 1 does not apply to the following:
(a)
broadcasting services;
(b)
gambling services;
(c)
legal representation services;
(d)
the services of notaries or equivalent professions involving a direct and specific connection with the exercise of public authority;
(e)
contracts that require witnessing in person;
(f)
contracts that establish or transfer rights in real estate;
(g)
contracts requiring by law the involvement of courts, public authorities or professions exercising public authority;
(h)
contracts of suretyship granted, collateral securities furnished by persons acting for purposes outside their trade, business or profession; or
(i)
contracts governed by family law or by the law of succession.
Article 206
Electronic authentication and electronic trust services
1.   A Party shall not deny the legal effect and admissibility as evidence in legal proceedings of an electronic document, an electronic signature, an electronic seal or an electronic time stamp, or of data sent and received using an electronic registered delivery service, solely on the ground that it is in electronic form.
2.   A Party shall not adopt or maintain measures that would:
(a)
prohibit parties to an electronic transaction from mutually determining the appropriate electronic authentication methods for their transaction; or
(b)
prevent parties to an electronic transaction from being able to prove to judicial and administrative authorities that the use of electronic authentication or an electronic trust service in that transaction complies with the applicable legal requirements.
3.   Notwithstanding paragraph 2, a Party may require that for a particular category of transactions, the method of electronic authentication or trust service is certified by an authority accredited in accordance with its law or meets certain performance standards which shall be objective, transparent and non-discriminatory and only relate to the specific characteristics of the category of transactions concerned.
Article 207
Transfer of or access to source code
1.   A Party shall not require the transfer of, or access to, the source code of software owned by a natural or legal person of the other Party.
2.   For greater certainty:
(a)
the general exceptions, security exceptions and prudential carve-out referred to in Article 199 apply to measures of a Party adopted or maintained in the context of a certification procedure; and
(b)
paragraph 1 of this Article does not apply to the voluntary transfer of, or granting of access to, source code on a commercial basis by a natural or legal person of the other Party, such as in the context of a public procurement transaction or a freely negotiated contract.
3.   Nothing in this Article shall affect:
(a)
a requirement by a court or administrative tribunal, or a requirement by a competition authority pursuant to a Party's competition law to prevent or remedy a restriction or a distortion of competition;
(b)
a requirement by a regulatory body pursuant to a Party's laws or regulations related to the protection of public safety with regard to users online, subject to safeguards against unauthorised disclosure;
(c)
the protection and enforcement of intellectual property rights; and
(d)
the right of a Party to take measures in accordance with Article III of the GPA as incorporated by Article 277 of this Agreement.
Article 208
Online consumer trust
1.   Recognising the importance of enhancing consumer trust in digital trade, each Party shall adopt or maintain measures to ensure the effective protection of consumers engaging in electronic commerce transactions, including but not limited to measures that:
(a)
proscribe fraudulent and deceptive commercial practices;
(b)
require suppliers of goods and services to act in good faith and abide by fair commercial practices, including through the prohibition of charging consumers for unsolicited goods and services;
(c)
require suppliers of goods or services to provide consumers with clear and thorough information, including when they act through intermediary service suppliers, regarding their identity and contact details, the transaction concerned, including the main characteristics of the goods or services and the full price inclusive of all applicable charges, and the applicable consumer rights (in the case of intermediary service suppliers, this includes enabling the provision of such information by the supplier of goods or services); and
(d)
grant consumers access to redress for breaches of their rights, including a right to remedies if goods or services are paid for and are not delivered or provided as agreed.
2.   The Parties recognise the importance of entrusting their consumer protection agencies or other relevant bodies with adequate enforcement powers and the importance of cooperation between these agencies in order to protect consumers and enhance online consumer trust.
Article 209
Unsolicited direct marketing communications
1.   Each Party shall ensure that users are effectively protected against unsolicited direct marketing communications.
2.   Each Party shall ensure that direct marketing communications are not sent to users who are natural persons unless they have given their consent in accordance with each Party's laws to receiving such communications.
3.   Notwithstanding paragraph 2, a Party shall allow natural or legal persons who have collected, in accordance with conditions laid down in the law of that Party, the contact details of a user in the context of the supply of goods or services, to send direct marketing communications to that user for their own similar goods or services.
4.   Each Party shall ensure that direct marketing communications are clearly identifiable as such, clearly disclose on whose behalf they are made and contain the necessary information to enable users to request cessation free of charge and at any moment.
5.   Each Party shall provide users with access to redress against suppliers of direct marketing communications that do not comply with the measures adopted or maintained pursuant to paragraphs 1 to 4.
Article 210
Open government data
1.   The Parties recognise that facilitating public access to, and use of, government data contributes to stimulating economic and social development, competitiveness, productivity and innovation.
2.   To the extent that a Party chooses to make government data accessible to the public, it shall endeavour to ensure, to the extent practicable, that the data:
(a)
is in a format that allows it to be easily searched, retrieved, used, reused, and redistributed;
(b)
is in a machine-readable and spatially-enabled format;
(c)
contains descriptive metadata, which is as standard as possible;
(d)
is made available via reliable, user-friendly and freely available Application Programming Interfaces;
(e)
is regularly updated;
(f)
is not subject to use conditions that are discriminatory or that unnecessarily restrict re-use; and
(g)
is made available for re-use in full compliance with the Parties' respective personal data protection rules.
3.   The Parties shall endeavour to cooperate to identify ways in which each Party can expand access to, and use of, government data that the Party has made public, with a view to enhancing and generating business opportunities, beyond its use by the public sector.
Article 211
Cooperation on regulatory issues with regard to digital trade
1.   The Parties shall exchange information on regulatory matters in the context of digital trade, which shall address the following:
(a)
the recognition and facilitation of interoperable electronic authentication and electronic trust services;
(b)
the treatment of direct marketing communications;
(c)
the protection of consumers; and
(d)
any other matter relevant for the development of digital trade, including emerging technologies.
2.   Paragraph 1 shall not apply to a Party's rules and safeguards for the protection of personal data and privacy, including on cross-border transfers of personal data.
Article 212
Understanding on computer services
1.   The Parties agree that, for the purpose of liberalising trade in services and investment in accordance with Title II of this Heading, the following services shall be considered as computer and related services, regardless of whether they are delivered via a network, including the internet:
(a)
consulting, adaptation, strategy, analysis, planning, specification, design, development, installation, implementation, integration, testing, debugging, updating, support, technical assistance or management of or for computers or computer systems;
(b)
computer programmes defined as the sets of instructions required to make computers work and communicate (in and of themselves), as well as consulting, strategy, analysis, planning, specification, design, development, installation, implementation, integration, testing, debugging, updating, adaptation, maintenance, support, technical assistance, management or use of or for computer programmes;
(c)
data processing, data storage, data hosting or database services;
(d)
maintenance and repair services for office machinery and equipment, including computers; and
(e)
training services for staff of clients, related to computer programmes, computers or computer systems, and not elsewhere classified.
2.   For greater certainty, services enabled by computer and related services, other than those listed in paragraph 1, shall not be regarded as computer and related services in themselves.
TITLE IV
CAPITAL MOVEMENTS, PAYMENTS, TRANSFERS AND TEMPORARY SAFEGUARD MEASURES
Article 213
Objectives
The objective of this Title is to enable the free movement of capital and payments related to transactions liberalised under this Agreement.
Article 214
Current account
Each Party shall allow, in freely convertible currency and in accordance with the Articles of Agreement of the International Monetary Fund, any payments and transfers with respect to transactions on the current account of the balance of payments that fall within the scope of this Agreement.
Article 215
Capital movements
1.   Each Party shall allow, with regard to transactions on the capital and financial account of the balance of payments, the free movement of capital for the purpose of liberalisation of investment and other transactions as provided for in Title II of this Heading.
2.   The Parties shall consult each other in the Trade Specialised Committee on Services, Investment and Digital Trade to facilitate the movement of capital between them in order to promote trade and investment.
Article 216
Measures affecting capital movements, payments or transfers
1.   Articles 214 and 215 shall not be construed as preventing a Party from applying its laws and regulations relating to:
(a)
bankruptcy, insolvency, or the protection of the rights of creditors;
(b)
issuing, trading or dealing in securities, or futures, options and other financial instruments;
(c)
financial reporting or record keeping of capital movements, payments or transfers where necessary to assist law enforcement or financial regulatory authorities;
(d)
criminal or penal offences, deceptive or fraudulent practices;
(e)
ensuring compliance with orders or judgments in judicial or administrative proceedings; or
(f)
social security, public retirement or compulsory savings schemes.
2.   The laws and regulations referred to in paragraph 1 shall not be applied in an arbitrary or discriminatory manner, or otherwise constitute a disguised restriction on capital movements, payments or transfers.
Article 217
Temporary safeguard measures
1.   In exceptional circumstances of serious difficulties for the operation of the Union's economic and monetary union, or threat thereof, the Union may adopt or maintain safeguard measures with regard to capital movements, payments or transfers for a period not exceeding six months.
2.   The measures referred to in paragraph 1 shall be limited to the extent that is strictly necessary.
Article 218
Restrictions in case of balance of payments and external financial difficulties
1.   If a Party experiences serious balance of payments or external financial difficulties, or threat thereof, it may adopt or maintain restrictive measures with regard to capital movements, payments or transfers 
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.
2.   The measures referred to in paragraph 1 shall:
(a)
be consistent with the Articles of Agreement of the International Monetary Fund;
(b)
not exceed those necessary to deal with the circumstances described in paragraph 1;
(c)
be temporary and be phased out progressively as the situation specified in paragraph 1 improves;
(d)
avoid unnecessary damage to the commercial, economic and financial interests of the other Party; and
(e)
be non-discriminatory as compared with third countries in like situations.
3.   In the case of trade in goods, each Party may adopt or maintain restrictive measures in order to safeguard its external financial position or balance of payments. Those measures shall be in accordance with GATT 1994 and the Understanding on the Balance of Payments provisions of the General Agreement on Tariffs and Trade 1994.
4.   In the case of trade in services, each Party may adopt or maintain restrictive measures in order to safeguard its external financial position or balance of payments. Those measures shall be in accordance with Article XII of GATS.
5.   A Party maintaining or having adopted measures referred to in paragraphs 1 and 2 shall promptly notify them to the other Party.
6.   If a Party adopts or maintains restrictions under this Article, the Parties shall promptly hold consultations in the Trade Specialised Committee on Services, Investment and Digital Trade unless consultations are held in other fora. That Committee shall assess the balance of payments or external financial difficulties that led to the respective measures, taking into account factors such as:
(a)
the nature and extent of the difficulties;
(b)
the external economic and trading environment; and
(c)
alternative corrective measures which may be available.
7.   The consultations under paragraph 6 shall address the compliance of any restrictive measures with paragraphs 1 and 2. All relevant findings of a statistical or factual nature presented by the International Monetary Fund, where available, shall be accepted and conclusions shall take into account the assessment by the International Monetary Fund of the balance of payments and the external financial situation of the Party concerned.
TITLE V
INTELLECTUAL PROPERTY
CHAPTER 1
GENERAL PROVISIONS
Article 219
Objectives
The objectives of this Title are to:
(a)
facilitate the production, provision and commercialisation of innovative and creative products and services between the Parties by reducing distortions and impediments to such trade, thereby contributing to a more sustainable and inclusive economy; and
(b)
ensure an adequate and effective level of protection and enforcement of intellectual property rights.
Article 220
Scope
1.   This Title shall complement and further specify the rights and obligations of each Party under the TRIPS Agreement and other international treaties in the field of intellectual property to which they are parties.
2.   This Title does not preclude either Party from introducing more extensive protection and enforcement of intellectual property rights than required under this Title, provided that such protection and enforcement does not contravene this Title.
Article 221
Definitions
For the purposes of this Title, the following definitions apply:
(a)
"Paris Convention" means the Paris Convention for the Protection of Industrial Property of 20 March 1883, as last revised at Stockholm on 14 July 1967;
(b)
"Berne Convention" means the Berne Convention for the Protection of Literary and Artistic Works of 9 September 1886 revised at Paris on 24 July 1971 and amended on 28 September 1979;
(c)
"Rome Convention" means the International Convention for the Protection of Performers, Producers of Phonograms and Broadcasting Organisations done at Rome on 26 October 1961;
(d)
"WIPO" means the World Intellectual Property Organisation;
(e)
"intellectual property rights" means all categories of intellectual property that are covered by Articles 225 to 255 of this Agreement or Sections 1 to 7 of Part II of the TRIPS Agreement. The protection of intellectual property includes protection against unfair competition as referred to in Article 10bis of the Paris Convention;
(f)
"national" means, in respect of the relevant intellectual property right, a person of a Party that would meet the criteria for eligibility for protection provided for in the TRIPS Agreement and multilateral agreements concluded and administered under the auspices of WIPO, to which a Party is a contracting party.
Article 222
International agreements
1.   The Parties affirm their commitment to comply with the international agreements to which they are party:
(a)
the TRIPS Agreement;
(b)
the Rome Convention;
(c)
the Berne Convention;
(d)
the WIPO Copyright Treaty, adopted at Geneva on 20 December 1996;
(e)
the WIPO Performances and Phonograms Treaty, adopted at Geneva on 20 December 1996;
(f)
the Protocol Relating to the Madrid Agreement Concerning the International Registration of Marks, adopted at Madrid on 27 June 1989, as last amended on 12 November 2007;
(g)
the Trademark Law Treaty, adopted at Geneva on 27 October 1994;
(h)
the Marrakesh Treaty to Facilitate Access to Published Works for Persons Who Are Blind, Visually Impaired or Otherwise Print Disabled, adopted at Marrakesh on 27 June 2013;
(i)
the Geneva Act of the Hague Agreement Concerning the International Registration of Industrial Designs, adopted at Geneva on 2 July 1999.
2.   Each Party shall make all reasonable efforts to ratify or accede to the following international agreements:
(a)
the Beijing Treaty on Audiovisual Performances, adopted at Beijing on 24 June 2012;
(b)
the Singapore Treaty on the Law of Trademarks adopted at Singapore on 27 March 2006.
Article 223
Exhaustion
This Title does not affect the freedom of the parties to determine whether and under what conditions the exhaustion of intellectual property rights applies.
Article 224
National treatment
1.   In respect of all categories of intellectual property covered by this Title, each Party shall accord to the nationals of the other Party treatment no less favourable than the treatment it accords to its own nationals with regard to the protection of intellectual property subject where applicable to the exceptions already provided for in, respectively, the Paris Convention, the Berne Convention, the Rome Convention and the Treaty on Intellectual Property in Respect of Integrated Circuits, done at Washington on 26 May 1989. In respect of performers, producers of phonograms and broadcasting organisations, this obligation only applies in respect of the rights provided for under this Agreement.
2.   For the purposes of paragraph 1 of this Article, "protection" shall include matters affecting the availability, acquisition, scope, maintenance, and enforcement of intellectual property rights as well as matters affecting the use of intellectual property rights specifically addressed in this Title, including measures to prevent the circumvention of effective technological measures as referred to in Article 234 and measures concerning rights management information as referred to in Article 235.
3.   A Party may avail itself of the exceptions permitted pursuant to paragraph 1 in relation to its judicial and administrative procedures, including requiring a national of the other Party to designate an address for service in its territory, or to appoint an agent in its territory, if such exceptions are:
(a)
necessary to secure compliance with the Party's laws or regulations which are not inconsistent with this Title; or
(b)
not applied in a manner which would constitute a disguised restriction on trade.
4.   Paragraph 1 does not apply to procedures provided in multilateral agreements concluded under the auspices of WIPO relating to the acquisition or maintenance of intellectual property rights.
CHAPTER 2
STANDARDS CONCERNING INTELLECTUAL PROPERTY RIGHTS
SECTION 1
COPYRIGHT AND RELATED RIGHTS
Article 225
Authors
Each Party shall provide authors with the exclusive right to authorise or prohibit:
(a)
direct or indirect, temporary or permanent reproduction by any means and in any form, in whole or in part, of their works;
(b)
any form of distribution to the public by sale or otherwise of the original of their works or of copies thereof;
(c)
any communication to the public of their works by wire or wireless means, including the making available to the public of their works in such a way that members of the public may access them from a place and at a time individually chosen by them;
(d)
the commercial rental to the public of originals or copies of their works; each Party may provide that this point does not apply to buildings or works of applied art.
Article 226
Performers
Each Party shall provide performers with the exclusive right to authorise or prohibit:
(a)
the fixation of their performances;
(b)
the direct or indirect, temporary or permanent reproduction by any means and in any form, in whole or in part, of fixations of their performances;
(c)
the distribution to the public, by sale or otherwise, of the fixations of their performances;
(d)
the making available to the public of fixations of their performances, by wire or wireless means, in such a way that members of the public may access them from a place and at a time individually chosen by them;
(e)
the broadcasting by wireless means and the communication to the public of their performances, except where the performance is itself already a broadcast performance or is made from a fixation;
(f)
the commercial rental to the public of the fixation of their performances.
Article 227
Producers of phonograms
Each Party shall provide phonogram producers with the exclusive right to authorise or prohibit:
(a)
the direct or indirect, temporary or permanent, reproduction by any means and in any form, in whole or in part, of their phonograms;
(b)
the distribution to the public, by sale or otherwise, of their phonograms, including copies thereof;
(c)
the making available to the public of their phonograms, by wire or wireless means, in such a way that members of the public may access them from a place and at a time individually chosen by them;
(d)
the commercial rental of their phonograms to the public.
Article 228
Broadcasting organisations
Each Party shall provide broadcasting organisations with the exclusive right to authorise or prohibit:
(a)
the fixation of their broadcasts, whether these broadcasts are transmitted by wire or over the air, including by cable or satellite;
(b)
the direct or indirect, temporary or permanent reproduction by any means and in any form, in whole or in part, of fixations of their broadcasts, whether those broadcasts are transmitted by wire or over the air, including by cable or satellite;
(c)
the making available to the public, by wire or wireless means, of fixations of their broadcasts, whether those broadcasts are transmitted by wire or over the air, including by cable or satellite, in such a way that members of the public may access them from a place and at a time individually chosen by them;
(d)
the distribution to the public, by sale or otherwise, of fixations, including copies thereof, of their broadcasts, whether these broadcasts are transmitted by wire or over the air, including by cable or satellite;
(e)
the rebroadcasting of their broadcasts by wireless means, as well as the communication to the public of their broadcasts if such communication is made in places accessible to the public against payment of an entrance fee.
Article 229
Broadcasting and communication to the public of phonograms published for commercial purposes
1.   Each Party shall provide a right in order to ensure that a single equitable remuneration is paid by the user to the performers and producers of phonograms, if a phonogram published for commercial purposes, or a reproduction of such phonogram, is used for broadcasting or any communication to the public.
2.   Each Party shall ensure that the single equitable remuneration is shared between the relevant performers and phonogram producers. Each Party may enact legislation that, in the absence of an agreement between performers and producers of phonograms, sets the terms according to which performers and producers of phonograms shall share the single equitable remuneration.
3.   Each Party may grant more extensive rights, as regards the broadcasting and communication to the public of phonograms published for commercial purposes, to performers and producers of phonograms.
Article 230
Term of protection
1.   The rights of an author of a work shall run for the life of the author and for 70 years after the author's death, irrespective of the date when the work is lawfully made available to the public.
2.   For the purpose of implementing paragraph 1, each Party may provide for specific rules on the calculation of the term of protection of musical composition with words, works of joint authorship as well as cinematographic or audiovisual works. Each Party may provide for specific rules on the calculation of the term of protection of anonymous or pseudonymous works.
3.   The rights of broadcasting organisations shall expire 50 years after the first transmission of a broadcast, whether this broadcast is transmitted by wire or over the air, including by cable or satellite.
4.   The rights of performers for their performances otherwise than in phonograms shall expire 50 years after the date of the fixation of the performance or, if lawfully published or lawfully communicated to the public during this time, 50 years from the first such publication or communication to the public, whichever is the earlier.
5.   The rights of performers for their performances fixed in phonograms shall expire 50 years after the date of fixation of the performance or, if lawfully published or lawfully communicated to the public during this time, 70 years from such act, whichever is the earlier.
6.   The rights of producers of phonograms shall expire 50 years after the fixation is made or, if lawfully published to the public during this time, 70 years from such publication. In the absence of a lawful publication, if the phonogram has been lawfully communicated to the public during this time, the term of protection shall be 70 years from such act of communication. Each Party may provide for effective measures in order to ensure that the profit generated during the 20 years of protection beyond 50 years is shared fairly between the performers and the producers of phonograms.
7.   The terms laid down in this Article shall be counted from the first of January of the year following the year of the event which gives rise to them.
8.   Each Party may provide for longer terms of protection than those provided for in this Article.
Article 231
Resale right
1.   Each Party shall provide, for the benefit of the author of an original work of graphic or plastic art, a resale right, to be defined as an inalienable right, which cannot be waived, even in advance, to receive a royalty based on the sale price obtained for any resale of the work, subsequent to the first transfer of the work by the author.
2.   The right referred to in paragraph 1 shall apply to all acts of resale involving as sellers, buyers or intermediaries art market professionals, such as salesrooms, art galleries and, in general, any dealers in works of art.
3.   Each Party may provide that the right referred to in paragraph 1 shall not apply to acts of resale, where the seller has acquired the work directly from the author less than three years before that resale and where the resale price does not exceed a certain minimum amount.
4.   The procedure for collection of the remuneration and their amounts shall be determined by the law of each Party.
Article 232
Collective management of rights
1.   The Parties shall promote cooperation between their respective collective management organisations for the purpose of fostering the availability of works and other protected subject matter in their respective territories and the transfer of rights revenue between the respective collective management organisations for the use of such works or other protected subject matter.
2.   The Parties shall promote the transparency of collective management organisations, in particular regarding the rights revenue they collect, the deductions they apply to the rights revenue they collect, the use of the rights revenue collected, the distribution policy and their repertoire.
3.   The Parties shall endeavour to facilitate arrangements between their respective collective management organisations on non-discriminatory treatment of right holders whose rights these organisations manage under representation agreements.
4.   The Parties shall cooperate to support the collective management organisations established in their territory and representing another collective management organisation established in the territory of the other Party by way of a representation agreement with a view to ensuring that they accurately, regularly and diligently pay amounts owed to the represented collective management organisations and provide the represented collective management organisation with the information on the amount of rights revenue collected on its behalf and any deductions made to that rights revenue.
Article 233
Exceptions and limitations
Each Party shall confine limitations or exceptions to the rights set out in Articles 225 to 229 to certain special cases which do not conflict with a normal exploitation of the work or other subject-matter and do not unreasonably prejudice the legitimate interests of the right holders.
Article 234
Protection of technological measures
1.   Each Party shall provide adequate legal protection against the circumvention of any effective technological measures, which the person concerned carries out in the knowledge, or with reasonable grounds to know, that he or she is pursuing that objective. Each Party may provide for a specific regime for legal protection of technological measures used to protect computer programs.
2.   Each Party shall provide adequate legal protection against the manufacture, import, distribution, sale, rental, advertisement for sale or rental, or possession for commercial purposes of devices, products or components or the provision of services which:
(a)
are promoted, advertised or marketed for the purpose of circumvention of;
(b)
have only a limited commercially significant purpose or use other than to circumvent; or
(c)
are primarily designed, produced, adapted or performed for the purpose of enabling or facilitating the circumvention of, any effective technological measures.
3.   For the purposes of this Section, the expression "technological measures" means any technology, device or component that, in the normal course of its operation, is designed to prevent or restrict acts, in respect of works or other subject-matter, which are not authorised by the right holder of any copyright or related right covered by this Section. Technological measures shall be deemed "effective" where the use of a protected work or other subject matter is controlled by the right holders through application of an access control or protection process, such as encryption, scrambling or other transformation of the work or other subject-matter or a copy control mechanism, which achieves the protection objective.
4.   Notwithstanding the legal protection provided for in paragraph 1 of this Article, each Party may take appropriate measures, as necessary, to ensure that the adequate legal protection against the circumvention of effective technological measures provided for in accordance with this Article does not prevent beneficiaries of exceptions or limitations provided for in accordance with Article 233 from enjoying such exceptions or limitations.
Article 235
Obligations concerning rights management information
1.   Each Party shall provide adequate legal protection against any person knowingly performing without authority any of the following acts:
(a)
the removal or alteration of any electronic rights-management information;
(b)
the distribution, importation for distribution, broadcasting, communication or making available to the public of works or other subject-matter protected pursuant to this Section from which electronic rights-management information has been removed or altered without authority;
if such person knows, or has reasonable grounds to know, that by so doing he or she is inducing, enabling, facilitating or concealing an infringement of any copyright or any related rights as provided by the law of a Party.
2.   For the purposes of this Article, "rights-management information" means any information provided by right holders which identifies the work or other subject-matter referred to in this Article, the author or any other right holder, or information about the terms and conditions of use of the work or other subject-matter, and any numbers or codes that represent such information.
3.   Paragraph 2 applies if any of these items of information is associated with a copy of, or appears in connection with the communication to the public of, a work or other subject-matter referred to in this Article.
SECTION 2
TRADE MARKS
Article 236
Trade mark classification
Each Party shall maintain a trade mark classification system that is consistent with the Nice Agreement Concerning the International Classification of Goods and Services for the Purposes of the Registration of Marks of 15 June 1957, as amended and revised.
Article 237
Signs of which a trade mark may consist
A trade mark may consist of any signs, in particular words, including personal names, or designs, letters, numerals, colours, the shape of goods or of the packaging of goods, or sounds, provided that such signs are capable of:
(a)
distinguishing the goods or services of one undertaking from those of other undertakings; and
(b)
being represented on the respective trade mark register of each Party, in a manner which enables the competent authorities and the public to determine the clear and precise subject matter of the protection afforded to its proprietor.
Article 238
Rights conferred by a trade mark
1.   Each Party shall provide that the registration of a trade mark confers on the proprietor exclusive rights therein. The proprietor shall be entitled to prevent all third parties not having the proprietor's consent from using in the course of trade:
(a)
any sign which is identical with the registered trade mark in relation to goods or services which are identical with those for which the trade mark is registered;
(b)
any sign where, because of its identity with, or similarity to, the registered trade mark and the identity or similarity of the goods or services covered by this trade mark and the sign, there exists a likelihood of confusion on the part of the public, including the likelihood of association between the sign and the registered trade mark.
2.   The proprietor of a registered trade mark shall be entitled to prevent all third parties from bringing goods, in the course of trade, into the Party where the trade mark is registered without being released for free circulation there, where such goods, including packaging, come from other countries or the other Party and bear without authorisation a trade mark which is identical to the trade mark registered in respect of such goods, or which cannot be distinguished in its essential aspects from that trade mark.
3.   The entitlement of the proprietor of a trade mark pursuant to paragraph 2 shall lapse if during the proceedings to determine whether the registered trade mark has been infringed, evidence is provided by the declarant or the holder of the goods that the proprietor of the registered trade mark is not entitled to prohibit the placing of the goods on the market in the country of final destination.
Article 239
Registration procedure
1.   Each Party shall provide for a system for the registration of trade marks in which each final negative decision taken by the relevant trade mark administration, including partial refusals of registration, shall be communicated in writing to the relevant party, duly reasoned and subject to appeal.
2.   Each Party shall provide for the possibility for third parties to oppose trade mark applications or, where appropriate, trade mark registrations. Such opposition proceedings shall be adversarial.
3.   Each Party shall provide a publicly available electronic database of trade mark applications and trade mark registrations.
4.   Each Party shall make best efforts to provide a system for the electronic application for and processing, registration and maintenance of trade marks.
Article 240
Well-known trade marks
For the purpose of giving effect to protection of well-known trade marks, as referred to in Article 6
bis
 of the Paris Convention and Article 16(2) and (3) of the TRIPS Agreement, each Party shall apply the Joint Recommendation Concerning Provisions on the Protection of Well-Known Marks, adopted by the Assembly of the Paris Union for the Protection of Industrial Property and the General Assembly of the WIPO at the Thirty-Fourth Series of Meetings of the Assemblies of the Member States of WIPO on 20 to 29 September 1999.
Article 241
Exceptions to the rights conferred by a trade mark
1.   Each Party shall provide for limited exceptions to the rights conferred by a trade mark such as the fair use of descriptive terms including geographical indications, and may provide other limited exceptions, provided such exceptions take account of the legitimate interests of the proprietor of the trade mark and of third parties.
2.   The trade mark shall not entitle the proprietor to prohibit a third party from using, in the course of trade:
(a)
the name or address of the third party, where the third party is a natural person;
(b)
signs or indications concerning the kind, quality, quantity, intended purpose, value, geographical origin, the time of production of goods or of rendering of the service, or other characteristics of goods or services; or
(c)
the trade mark for the purpose of identifying or referring to goods or services as those of the proprietor of that trade mark, in particular where the use of that trade mark is necessary to indicate the intended purpose of a product or service, in particular as accessories or spare parts,
provided the third party uses them in accordance with honest practices in industrial or commercial matters.
3.   The trade mark shall not entitle the proprietor to prohibit a third party from using, in the course of trade, an earlier right which only applies in a particular locality if that right is recognised by the laws of the Party in question and is used within the limits of the territory in which it is recognised.
Article 242
Grounds for revocation
1.   Each Party shall provide that a trade mark shall be liable to revocation if, within a continuous period of five years it has not been put to genuine use in the relevant territory of a Party by the proprietor or with the proprietor's consent in relation to the goods or services for which it is registered, and there are no proper reasons for non-use.
2.   Each Party shall also provide that a trade mark shall be liable to revocation if within the period of five years following the date of completion of the registration procedure it has not been put to genuine use in the relevant territory by the proprietor or with the proprietor's consent, in relation to the goods or services for which it is registered, and there are no proper reasons for non-use.
3.   However, no person may claim that the proprietor's rights in a trade mark should be revoked where, during the interval between expiry of the five-year period and filing of the application for revocation, genuine use of the trade mark has been started or resumed. The commencement or resumption of use within a period of three months preceding the filing of the application for revocation which began at the earliest on expiry of the continuous period of five years of non-use, shall, however, be disregarded where preparations for the commencement or resumption occur only after the proprietor becomes aware that the application for revocation may be filed.
4.   A trade mark shall also be liable to revocation if, after the date on which it was registered:
(a)
as a consequence of acts or inactivity of the proprietor, it has become the common name in the trade for a good or service in respect of which it is registered;
(b)
as a consequence of the use made of the trade mark by the proprietor of the trade mark or with the proprietor's consent in respect of the goods or services for which it is registered, it is liable to mislead the public, particularly as to the nature, quality or geographical origin of those goods or services.
Article 243
The right to prohibit preparatory acts in relation to the use of packaging or other means
Where the risk exists that the packaging, labels, tags, security or authenticity features or devices, or any other means to which the trade mark is affixed could be used in relation to goods or services and that use would constitute an infringement of the rights of the proprietor of the trade mark, the proprietor of that trade mark shall have the right to prohibit the following acts if carried out in the course of trade:
(a)
affixing a sign identical with, or similar to, the trade mark on packaging, labels, tags, security or authenticity features or devices, or any other means to which the mark may be affixed; or
(b)
offering or placing on the market, or stocking for those purposes, or importing or exporting, packaging, labels, tags, security or authenticity features or devices, or any other means to which the mark is affixed.
Article 244
Bad faith applications
A trade mark shall be liable to be declared invalid where the application for registration of the trade mark was made in bad faith by the applicant. Each Party may provide that such a trade mark shall not be registered.
SECTION 3
DESIGN
Article 245
Protection of registered designs
1.   Each Party shall provide for the protection of independently created designs that are new and original. This protection shall be provided by registration and shall confer exclusive rights upon their holders in accordance with this Section.
For the purposes of this Article, a Party may consider that a design having individual character is original.
2.   The holder of a registered design shall have the right to prevent third parties not having the holder's consent at least from making, offering for sale, selling, importing, exporting, stocking the product bearing and embodying the protected design or using articles bearing or embodying the protected design where such acts are undertaken for commercial purposes.
3.   A design applied to or incorporated in a product which constitutes a component part of a complex product shall only be considered to be new and original:
(a)
if the component part, once it has been incorporated into the complex product, remains visible during normal use of the latter; and
(b)
to the extent that those visible features of the component part fulfil in themselves the requirements as to novelty and originality.
4.   For the purposes of point (a) of paragraph 3, "normal use" means use by the end user, excluding maintenance, servicing or repair work.
Article 246
Duration of protection
The duration of protection available for registered designs, including renewals of registered designs, shall amount to a total term of 25 years from the date on which the application was filed 
(
36
)
.
Article 247
Protection of unregistered designs
1.   Each Party shall confer on holders of an unregistered design the right to prevent the use of the unregistered design by any third party not having the holder's consent only if the contested use results from copying the unregistered design in their respective territory 
(
37
)
. Such use shall at least cover the offering for sale, putting on the market, importing or exporting the product.
2.   The duration of protection available for the unregistered design shall amount to at least three years as from the date on which the design was first made available to the public in the territory of the respective Party.
Article 248
Exceptions and exclusions
1.   Each Party may provide limited exceptions to the protection of designs, including unregistered designs, provided that such exceptions do not unreasonably conflict with the normal exploitation of designs, and do not unreasonably prejudice the legitimate interests of the holder of the design, taking account of the legitimate interests of third parties.
2.   Protection shall not extend to designs solely dictated by technical or functional considerations. A design shall not subsist in features of appearance of a product which must necessarily be reproduced in their exact form and dimensions in order to permit the product in which the design is incorporated or to which it is applied to be mechanically connected to or placed in, around or against another product so that either product may perform its function.
3.   By way of derogation from paragraph 2 of this Article, a design shall, in accordance with the conditions set out in Article 245(1), subsist in a design, which has the purpose of allowing the multiple assembly or connection of mutually interchangeable products within a modular system.
Article 249
Relationship to copyright
Each Party shall ensure that designs, including unregistered designs, shall also be eligible for protection under the copyright law of that Party as from the date on which the design was created or fixed in any form. The extent to which, and the conditions under which, such a protection is conferred, including the level of originality required, shall be determined by each Party.
SECTION 4
PATENTS
Article 250
Patents and public health
1.   The Parties recognise the importance of the Declaration on the TRIPS Agreement and Public Health, adopted on 14 November 2001 by the Ministerial Conference of the WTO at Doha (the "Doha Declaration"). In interpreting and implementing the rights and obligations under this Section, each Party shall ensure consistency with the Doha Declaration.
2.   Each Party shall implement Article 31
bis
 of the TRIPS Agreement, as well as the Annex to the TRIPS Agreement and the Appendix to the Annex to the TRIPS Agreement.
Article 251
Extension of the period of protection conferred by a patent on medicinal products and on plant protection products
1.   The Parties recognise that medicinal products and plant protection products 
(
38
)
 protected by a patent in their respective territory may be subject to an administrative authorisation procedure before being put on their respective markets. The Parties recognise that the period that elapses between the filing of the application for a patent and the first authorisation to place the product on the market, as defined for that purpose by the relevant legislation, may shorten the period of effective protection under the patent.
2.   Each Party shall provide for further protection, in accordance with its laws and regulations, for a product which is protected by a patent and which has been subject to an administrative authorisation procedure referred to in paragraph 1 to compensate the holder of a patent for the reduction of effective patent protection. The terms and conditions for the provision of such further protection, including its length, shall be determined in accordance with the laws and regulations of the Parties.
3.   For the purposes of this Title, "medicinal product" means:
(a)
any substance or combination of substances presented as having properties for treating or preventing disease in human beings or animals; or
(b)
any substance or combination of substances which may be used in or administered to human beings or animals either with a view to restoring, correcting or modifying physiological functions by exerting a pharmacological, immunological or metabolic action, or to making a medical diagnosis.
SECTION 5
PROTECTION OF UNDISCLOSED INFORMATION
Article 252
Protection of trade secrets
1.   Each Party shall provide for appropriate civil judicial procedures and remedies for any trade secret holder to prevent, and obtain redress for, the acquisition, use or disclosure of a trade secret whenever carried out in a manner contrary to honest commercial practices.
2.   For the purposes of this Section, the following definitions apply:
(a)
"trade secret" means information which meets all of the following requirements:
(i)
it is secret in the sense that it is not, as a body or in the precise configuration and assembly of its components, generally known among or readily accessible to persons within the circles that normally deal with the kind of information in question;
(ii)
it has commercial value because it is secret; and
(iii)
it has been subject to reasonable steps under the circumstances, by the person lawfully in control of the information, to keep it secret;
(b)
"trade secret holder" means any natural or legal person lawfully controlling a trade secret.
3.   For the purposes of this Section, at least the following conduct shall be considered contrary to honest commercial practices:
(a)
the acquisition of a trade secret without the consent of the trade secret holder, whenever obtained by unauthorised access to, or by appropriation or copying of, any documents, objects, materials, substances or electronic files that are lawfully under the control of the trade secret holder, and that contain the trade secret or from which the trade secret can be deduced;
(b)
the use or disclosure of a trade secret whenever it is carried out, without the consent of the trade secret holder, by a person who is found to meet any of the following conditions:
(i)
having acquired the trade secret in a manner referred to in point (a);
(ii)
being in breach of a confidentiality agreement or any other duty not to disclose the trade secret; or
(iii)
being in breach of a contractual or any other duty to limit the use of the trade secret;
(c)
the acquisition, use or disclosure of a trade secret whenever carried out by a person who, at the time of the acquisition, use or disclosure, knew, or ought to have known, under the circumstances that the trade secret had been obtained directly or indirectly from another person who was using or disclosing the trade secret unlawfully within the meaning of point (b).
4.   Nothing in this Section shall be understood as requiring either Party to consider any of the following conducts as contrary to honest commercial practices:
(a)
independent discovery or creation;
(b)
the reverse engineering of a product that has been made available to the public or that is lawfully in the possession of the acquirer of the information, where the acquirer of the information is free from any legally valid duty to limit the acquisition of the trade secret;
(c)
the acquisition, use or disclosure of a trade secret required or allowed by the law of each Party;
(d)
the exercise of the right of workers or workers' representatives to information and consultation in accordance with the laws and regulations of that Party.
5.   Nothing in this Section shall be understood as affecting the exercise of freedom of expression and information, including the freedom and pluralism of the media, as protected in each Party, restricting the mobility of employees, or as affecting the autonomy of social partners and their right to enter into collective agreements, in accordance with the laws and regulations of the Parties.
Article 253
Protection of data submitted to obtain an authorisation to put a medicinal product on the market
1.   Each Party shall protect commercially confidential information submitted to obtain an authorisation to place medicinal products on the market ("marketing authorisation") against disclosure to third parties, unless steps are taken to ensure that the data are protected against unfair commercial use or except where the disclosure is necessary for an overriding public interest.
2.   Each Party shall ensure that for a limited period of time to be determined by its domestic law and in accordance with any conditions set out in its domestic law, the authority responsible for the granting of a marketing authorisation does not accept any subsequent application for a marketing authorisation that relies on the results of pre-clinical tests or clinical trials submitted in the application to that authority for the first marketing authorisation, without the explicit consent of the holder of the first marketing authorisation, unless international agreements to which the Parties are both party provide otherwise.
3.   Each Party shall also ensure that, for a limited period of time to be determined by its domestic law and in accordance with any conditions set out in its domestic law, a medicinal product subsequently authorised by that authority on the basis of the results of the pre-clinical tests and clinical trials referred to in paragraph 2 is not placed on the market without the explicit consent of the holder of the first marketing authorisation, unless international agreements to which the Parties are both party provide otherwise.
4.   This Article is without prejudice to additional periods of protection which each Party may provide in that Party's law.
Article 254
Protection of data submitted to obtain marketing authorisation for plant protection products or biocidal products
1.   Each Party shall recognise a temporary right of the owner of a test or study report submitted for the first time to obtain a marketing authorisation concerning safety and efficacy of an active substance, plant protection product or biocidal product. During such period, the test or study report shall not be used for the benefit of any other person who seeks to obtain a marketing authorisation for an active substance, plant protection product or biocidal product, unless the explicit consent of the first owner has been proved. For the purposes of this Article, that right is referred to as data protection.
2.   The test or study report submitted for marketing authorisation of an active substance or plant protection product should fulfil the following conditions:
(a)
be necessary for the authorisation or for an amendment of an authorisation in order to allow the use on other crops; and
(b)
be certified as compliant with the principles of good laboratory practice or of good experimental practice.
3.   The period of data protection shall be at least 10 years from the grant of the first authorisation by a relevant authority in the territory of the Party.
4.   Each Party shall ensure that the public bodies responsible for the granting of a marketing authorisation will not use the information referred to in paragraphs 1 and 2 for the benefit of a subsequent applicant for any successive marketing authorisation, regardless whether or not it has been made available to the public.
5.   Each Party shall establish rules to avoid duplicative testing on vertebrate animals.
SECTION 6
PLANT VARIETIES
Article 255
Protection of plant varieties rights
Each Party shall protect plant varieties rights in accordance with the International Convention for the Protection of New Varieties of Plants (UPOV) as lastly revised in Geneva on 19 March 1991. The Parties shall cooperate to promote and enforce these rights.
CHAPTER 3
ENFORCEMENT OF INTELLECTUAL PROPERTY RIGHTS
SECTION 1
GENERAL PROVISIONS
Article 256
General obligations
1.   Each Party shall provide under its respective law for the measures, procedures and remedies necessary to ensure the enforcement of intellectual property rights.
For the purposes of Sections 1, 2 and 4 of this Chapter, the term "intellectual property rights" does not include rights covered by Section 5 of Chapter 2.
2.   The measures, procedures and remedies referred to in paragraph 1 shall:
(a)
be fair and equitable;
(b)
not be unnecessarily complicated or costly, or entail unreasonable time-limits or unwarranted delays;
(c)
be effective, proportionate and dissuasive;
(d)
be applied in such a manner as to avoid the creation of barriers to legitimate trade and to provide for safeguards against their abuse.
Article 257
Persons entitled to apply for the application of the measures, procedures and remedies
Each Party shall recognise as persons entitled to seek application of the measures, procedures and remedies referred to in Sections 2 and 4 of this Chapter:
(a)
the holders of intellectual property rights in accordance with the law of a Party;
(b)
all other persons authorised to use those rights, in particular licensees, in so far as permitted by and in accordance with the law of a Party; and
(c)
federations and associations 
(
39
)
, in so far as permitted by and in accordance with the law of a Party.
SECTION 2
CIVIL AND ADMINISTRATIVE ENFORCEMENT
Article 258
Measures for preserving evidence
1.   Each Party shall ensure that, even before the commencement of proceedings on the merits of the case, the competent judicial authorities may, on application by a party who has presented reasonably available evidence to support their claims that their intellectual property right has been infringed or is about to be infringed, order prompt and effective provisional measures to preserve relevant evidence in respect of the alleged infringement, subject to appropriate safeguards and the protection of confidential information.
2.   Such measures may include the detailed description, with or without the taking of samples, or the physical seizure of the alleged infringing goods, and, in appropriate cases, the materials and implements used in the production and/or distribution of these goods and the documents relating thereto.
Article 259
Evidence
1.   Each Party shall take the measures necessary to enable the competent judicial authorities to order, on application by a party which has presented reasonably available evidence sufficient to support its claims and has, in substantiating those claims, specified evidence which lies in the control of the opposing party, that this evidence be produced by the opposing party, subject to the protection of confidential information.
2.   Each Party shall also take the necessary measures to enable the competent judicial authorities to order, where appropriate, in cases of infringement of an intellectual property right committed on a commercial scale, under the same conditions as in paragraph 1, the communication of banking, financial or commercial documents under the control of the opposing party, subject to the protection of confidential information.
Article 260
Right of information
1.   Each Party shall ensure that, in the context of civil proceedings concerning an infringement of an intellectual property right and in response to a justified and proportionate request of the claimant, the competent judicial authorities may order the infringer or any other person to provide information on the origin and distribution networks of the goods or services which infringe an intellectual property right.
2.   For the purposes of paragraph 1 "any other person" means a person who:
(a)
was found in possession of the infringing goods on a commercial scale;
(b)
was found to be using the infringing services on a commercial scale;
(c)
was found to be providing on a commercial scale services used in infringing activities; or
(d)
was indicated by the person referred to in point (a), (b) or (c), as being involved in the production, manufacture or distribution of the goods or the provision of the services.
3.   The information referred to in paragraph 1 shall, as appropriate, comprise:
(a)
the names and addresses of the producers, manufacturers, distributors, suppliers and other previous holders of the goods or services, as well as the intended wholesalers and retailers;
(b)
information on the quantities produced, manufactured, delivered, received or ordered, as well as the price obtained for the goods or services in question.
4.   Paragraphs 1 and 2 shall apply without prejudice to other laws of a Party which:
(a)
grant the right holder rights to receive fuller information;
(b)
govern the use in civil proceedings of the information communicated pursuant to this Article;
(c)
govern responsibility for misuse of the right of information;
(d)
afford an opportunity for refusing to provide information which would force the person referred to in paragraph 1 to admit their own participation or that of their close relatives in an infringement of an intellectual property right;
(e)
govern the protection of confidentiality of information sources or the processing of personal data.
Article 261
Provisional and precautionary measures
1.   Each Party shall ensure that its judicial authorities may, at the request of the applicant, issue against the alleged infringer an interlocutory injunction intended to prevent any imminent infringement of an intellectual property right, or to forbid, on a provisional basis and subject, where appropriate, to a recurring penalty payment where provided for by the law of that Party, the continuation of the alleged infringements of that right, or to make such continuation subject to the lodging of guarantees intended to ensure the compensation of the right holder. An interlocutory injunction may also be issued, under the same conditions, against an intermediary whose services are being used by a third party to infringe an intellectual property right.
2.   Each Party shall ensure that its judicial authorities may, at the request of the applicant, order the seizure or delivery up of goods suspected of infringing an intellectual property right, so as to prevent their entry into or movement within the channels of commerce.
3.   In the case of an alleged infringement committed on a commercial scale, each Party shall ensure that, if the applicant demonstrates circumstances likely to endanger the recovery of damages, the judicial authorities may order the precautionary seizure of the movable and immovable property of the alleged infringer, including the blocking of their bank accounts and other assets. To that end, the competent authorities may order the communication of bank, financial or commercial documents, or appropriate access to the relevant information.
4.   Each Party shall ensure that its judicial authorities shall, in respect of the measures referred to in paragraphs 1, 2 and 3, have the authority to require the applicant to provide any reasonably available evidence in order to satisfy themselves with a sufficient degree of certainty that the applicant is the right holder and that the applicant's right is being infringed, or that such infringement is imminent.
Article 262
Corrective measures
1.   Each Party shall ensure that its judicial authorities may order, at the request of the applicant, without prejudice to any damages due to the right holder by reason of the infringement, and without compensation of any sort, the destruction of goods that they have found to be infringing an intellectual property right or at least the definitive removal of those goods from the channels of commerce. If appropriate, under the same conditions, the judicial authorities may also order destruction of materials and implements predominantly used in the creation or manufacture of those goods.
2.   Each Party's judicial authorities shall have the authority to order that those measures shall be carried out at the expense of the infringer, unless particular reasons are invoked for not doing so.
Article 263
Injunctions
Each Party shall ensure that, where a judicial decision is taken finding an infringement of an intellectual property right, the judicial authorities may issue against the infringer an injunction aimed at prohibiting the continuation of the infringement. Each Party shall also ensure that the judicial authorities may issue an injunction against intermediaries whose services are used by a third party to infringe an intellectual property right.
Article 264
Alternative measures
Each Party may provide that the judicial authorities, in appropriate cases and at the request of the person liable to be subject to the measures provided for in Article 262 or 263, may order pecuniary compensation to be paid to the injured party instead of applying the measures provided for in these two Articles if that person acted unintentionally and without negligence, if execution of the measures in question would cause the person disproportionate harm and if pecuniary compensation to the injured party appears reasonably satisfactory.
Article 265
Damages
1.   Each Party shall ensure that its judicial authorities, on application of the injured party, order the infringer who knowingly engaged, or had reasonable grounds to know it was engaging, in an infringing activity, to pay to the right holder damages appropriate to the actual prejudice suffered by the right holder as a result of the infringement.
2.   Each Party shall ensure that when its judicial authorities set the damages:
(a)
they take into account all appropriate aspects, such as the negative economic consequences, including lost profits, which the injured party has suffered, any unfair profits made by the infringer and, in appropriate cases, elements other than economic factors, such as the moral prejudice caused to the right holder by the infringement; or
(b)
as an alternative to point (a), they may, in appropriate cases, set the damages as a lump sum on the basis of elements such as at least the amount of royalties or fees which would have been due if the infringer had requested authorisation to use the intellectual property right in question.
3.   Where the infringer did not knowingly, or with reasonable grounds to know, engage in infringing activity, each Party may lay down that the judicial authorities may order the recovery of profits or the payment of damages which may be pre-established.
Article 266
Legal costs
Each Party shall ensure that reasonable and proportionate legal costs and other expenses incurred by the successful party shall, as a general rule, be borne by the unsuccessful party, unless equity does not allow this.
Article 267
Publication of judicial decisions
Each Party shall ensure that, in legal proceedings instituted for infringement of an intellectual property right, the judicial authorities may order, at the request of the applicant and at the expense of the infringer, appropriate measures for the dissemination of the information concerning the decision, including displaying the decision and publishing it in full or in part.
Article 268
Presumption of authorship or ownership
For the purposes of applying the measures, procedures and remedies provided for in Chapter 3:
(a)
for the author of a literary or artistic work, in the absence of proof to the contrary, to be regarded as such, and consequently to be entitled to institute infringement proceedings, it shall be sufficient for the author's name to appear on the work in the usual manner; and
(b)
point (a) applies 
mutatis mutandis
 to the holders of rights related to copyright with regard to their protected subject matter.
Article 269
Administrative procedures
To the extent that any civil remedy can be ordered on the merits of a case as a result of administrative procedures, such procedures shall conform to principles equivalent in substance to those set forth in this Section.
SECTION 3
CIVIL JUDICIAL PROCEDURES AND REMEDIES OF TRADE SECRETS
Article 270
Civil judicial procedures and remedies of trade secrets
1.   Each Party shall ensure that any person participating in the civil judicial proceedings referred to in Article 252(1), or who has access to documents which form part of those proceedings, is not permitted to use or disclose any trade secret or alleged trade secret which the competent judicial authorities have, in response to a duly reasoned application by an interested party, identified as confidential and of which they have become aware as a result of such participation or access.
2.   Each Party shall ensure that the obligation referred to in paragraph 1 remains in force after the civil judicial proceedings have ended, for as long as appropriate.
3.   In the civil judicial proceedings referred to Article 252(1), each Party shall provide that its judicial authorities have the authority at least to:
(a)
order provisional measures, in accordance with their respective laws and regulations, to cease and prohibit the use or disclosure of the trade secret in a manner contrary to honest commercial practices;
(b)
order measures, in accordance with their respective laws and regulations, ordering the cessation of, or as the case may be, the prohibition of the use or disclosure of the trade secret in a manner contrary to honest commercial practices;
(c)
order, in accordance with their respective laws and regulations, any person who has acquired, used or disclosed a trade secret in a manner contrary to honest commercial practices and that knew or ought to have known that he or she or it was acquiring, using or disclosing a trade secret in a manner contrary to honest commercial practices to pay the trade secret holder damages appropriate to the actual prejudice suffered as a result of such acquisition, use or disclosure of the trade secret;
(d)
take specific measures necessary to preserve the confidentiality of any trade secret or alleged trade secret used or referred to in proceedings as referred to in Article 252(1). Such specific measures may include, in accordance with each Party's respective laws and regulations, including the rights of defence, the possibility of restricting access to certain documents in whole or in part; of restricting access to hearings and their corresponding records or transcript; and of making available a non-confidential version of judicial decision in which the passages containing trade secrets have been removed or redacted.
(e)
impose sanctions on any person participating in the legal proceedings who fail or refuse to comply with the court orders concerning the protection of the trade secret or alleged trade secret.
4.   Each Party shall ensure that an application for the measure, procedures or remedies provided for in this Article is dismissed where the alleged acquisition, use or disclosure of a trade secret contrary to honest commercial practices was carried out, in accordance with its laws and regulations:
(a)
to reveal misconduct, wrongdoing or illegal activity for the purpose of protecting the general public interest;
(b)
as a disclosure by employees to their representatives as part of, and necessary for, the legitimate exercise by those representatives of their functions;
(c)
to protect a legitimate interest recognised by the laws and regulations of that Party.
SECTION 4
BORDER ENFORCEMENT
Article 271
Border measures
1.   With respect to goods under customs control, each Party shall adopt or maintain procedures under which a right holder may submit applications to a competent authority 
(
40
)
 to suspend the release of or detain suspected goods. For the purposes of this Section, "suspected goods" means goods suspected of infringing trade marks, copyrights and related rights, geographical indications, patents, utility models, industrial designs, topographies of integrated circuits and plant variety rights.
2.   Each Party shall have in place electronic systems for the management by customs of the applications granted or recorded.
3.   Each Party shall ensure that its competent authorities do not charge a fee to cover the administrative costs resulting from the processing of an application or a recordation.
4.   Each Party shall ensure that its competent authorities decide about granting or recording applications within a reasonable period of time.
5.   Each Party shall provide for the applications referred to in paragraph 1 to apply to multiple shipments.
6.   With respect to goods under customs control, each Party shall ensure that its customs authorities may act upon their own initiative to suspend the release of or detain suspected goods.
7.   Each Party shall ensure that its customs authorities use risk analysis to identify suspected goods.
8.   Each Party may authorise its customs authority to provide a right holder, upon request, with information about goods, including a description and the actual or estimated quantities thereof, and if known, the name and address of the consignor, importer, exporter or consignee, and the country of origin or provenance of the goods, whose release has been suspended, or which have been detained.
9.   Each Party shall have in place procedures allowing for the destruction of suspected goods, without there being any need for prior administrative or judicial proceedings for the formal determination of the infringements, where the persons concerned agree or do not oppose the destruction. In case suspected goods are not destroyed, each Party shall ensure that, except in exceptional circumstances, such goods are disposed of outside the commercial channel in a manner which avoids any harm to the right holder.
10.   Each Party shall have in place procedures allowing for the swift destruction of counterfeit trade mark and pirated goods sent in postal or express couriers' consignments.
11.   Each Party shall provide that, where requested by the customs authorities, the holder of the granted or recorded application shall be obliged to reimburse the costs incurred by the customs authorities, or other parties acting on behalf of customs authorities, from the moment of detention or suspension of the release of the goods, including storage, handling, and any costs relating to the destruction or disposal of the goods.
12.   Each Party may decide not to apply this Article to the import of goods put on the market in another country by or with the consent of the right holders. A Party may exclude from the application of this Article goods of a non-commercial nature contained in travellers' personal luggage.
13.   Each Party shall allow its customs authorities to maintain a regular dialogue and promote cooperation with the relevant stakeholders and with other authorities involved in the enforcement of intellectual property rights.
14.   The Parties shall cooperate in respect of international trade in suspected goods. In particular, the Parties shall, as far as possible, share relevant information on trade in suspected goods affecting the other Party.
15.   Without prejudice to other forms of cooperation, the Protocol on mutual administrative assistance in customs matters applies with regard to breaches of legislation on intellectual property rights for the enforcement of which the customs authorities of a Party are competent in accordance with this Article.
Article 272
Consistency with GATT 1994 and the TRIPS Agreement
In implementing border measures for the enforcement of intellectual property rights by customs, whether or not covered by this Section, the Parties shall ensure consistency with their obligations under GATT 1994 and the TRIPS Agreement and, in particular, with Article V of GATT 1994 and Article 41 and Section 4 of Part III of the TRIPS Agreement.
CHAPTER 4
OTHER PROVISIONS
Article 273
Cooperation
1.   The Parties shall cooperate with a view to supporting the implementation of the commitments and obligations undertaken under this Title.
2.   The areas of cooperation include, but are not limited to, the following activities:
(a)
exchange of information on the legal framework concerning intellectual property rights and relevant rules of protection and enforcement;
(b)
exchange of experience on legislative progress, on the enforcement of intellectual property rights and on enforcement at central and sub-central level by customs, police, administrative and judiciary bodies;
(c)
coordination to prevent exports of counterfeit goods, including coordination with other countries;
(d)
technical assistance, capacity building, exchange and training of personnel;
(e)
protection and defence of intellectual property rights and the dissemination of information in this regard in, among others, to business circles and civil society;
(f)
public awareness of consumers and right holders;
(g)
the enhancement of institutional cooperation, particularly between the intellectual property offices of the Parties;
(h)
educating and promoting awareness among the general public regarding policies concerning the protection and enforcement of intellectual property rights;
(i)
the promotion of protection and enforcement of intellectual property rights with public-private collaboration involving small and medium-size enterprises;
(j)
the formulation of effective strategies to identify audiences and communication programmes to increase consumer and media awareness of the impact of intellectual property rights' violations, including the risk to health and safety and the connection to organised crime.
3.   The Parties shall, either directly or through the Trade Specialised Committee on Intellectual Property, maintain contact on all matters related to the implementation and functioning of this Title.
Article 274
Voluntary stakeholder initiatives
Each Party shall endeavour to facilitate voluntary stakeholder initiatives to reduce intellectual property rights infringement, including online and in other marketplaces focusing on concrete problems and seeking practical solutions that are realistic, balanced, proportionate and fair for all concerned including in the following ways:
(a)
each Party shall endeavour to convene stakeholders consensually in its territory to facilitate voluntary initiatives to find solutions and resolve differences regarding the protection and enforcement of intellectual property rights and reducing infringement;
(b)
the Parties shall endeavour to exchange information with each other regarding efforts to facilitate voluntary stakeholder initiatives in their respective territories; and
(c)
the Parties shall endeavour to promote open dialogue and cooperation among the Parties' stakeholders, and to encourage the Parties' stakeholders to jointly find solutions and resolve differences regarding the protection and enforcement of intellectual property rights and reducing infringement.
Article 275
Review in relation to geographical indications
Noting the relevant provisions of any earlier bilateral agreement between the United Kingdom of the one part and the European Union and European Atomic Energy Community of the other part, the Parties may jointly use reasonable endeavours to agree rules for the protection and effective domestic enforcement of their geographical indications.
TITLE VI
PUBLIC PROCUREMENT
CHAPTER 1
SCOPE
Article 276
Objective
The objective of this Title is to guarantee each Party's suppliers access to increased opportunities to participate in public procurement procedures and to enhance the transparency of public procurement procedures.
Article 277
Incorporation of certain provisions of the GPA and covered procurement
1.   The provisions of the GPA that are specified in Section A of Annex 25, including the Annexes of each Party to Appendix I to the GPA, are hereby incorporated into this Title.
2.   For the purposes of this Title, "covered procurement" means procurement to which Article II of the GPA applies and, in addition, procurement listed in Section B of Annex 25.
3.   With regard to covered procurement, each Party shall apply, 
mutatis mutandis
, the provisions of the GPA specified in Section A of Annex 25 to suppliers, goods or services of the other Party.
CHAPTER 2
ADDITIONAL RULES FOR COVERED PROCUREMENT
Article 278
Use of electronic means in procurement
1.   Each Party shall ensure that its procuring entities conduct covered procurement by electronic means to the widest extent practicable.
2.   A procuring entity is considered as conducting covered procurement by electronic means, if the entity uses electronic means of information and communication for:
(a)
the publication of notices and tender documentation in procurement procedures; and
(b)
the submission of requests to participate and of tenders.
3.   Except for specific situations, such electronic means of information and communication shall be non-discriminatory, generally available and interoperable with the information and communication technology products in general use and shall not restrict access to the procurement procedure.
4.   Each Party shall ensure that its procuring entities receive and process electronic invoices in accordance with its legislation.
Article 279
Electronic publication
With regard to covered procurement, all procurement notices including notices of intended procurement, summary notices, notices of planned procurement and contract award notices shall be directly accessible by electronic means, free of charge, through a single point of access on the internet.
Article 280
Supporting evidence
Each Party shall ensure that at the time of submission of requests to participate or at the time of submission of tenders, procuring entities do not require suppliers to submit all or part of the supporting evidence that they are not in one of the situations in which a supplier may be excluded and that they fulfil the conditions for participation unless this is necessary to ensure the proper conduct of the procurement.
Article 281
Conditions for participation
Each Party shall ensure that where its procuring entities require a supplier, as a condition for participation in a covered procurement, to demonstrate prior experience they do not require that the supplier has such experience in the territory of that Party.
Article 282
Registration systems and qualification procedures
A Party that maintains a supplier registration system shall ensure that interested suppliers may request registration at any time. Any interested supplier having made a request shall be informed within a reasonable period of time of the decision to grant or reject this request.
Article 283
Selective tendering
Each Party shall ensure that where a procuring entity uses a selective tendering procedure, the procuring entity addresses invitations to submit a tender to a number of suppliers that is sufficient to ensure genuine competition without affecting the operational efficiency of the procurement system.
Article 284
Abnormally low prices
Further to paragraph 6 of Article XV of the GPA, if a procuring entity receives a tender with a price that is abnormally lower than the prices in other tenders submitted, it may also verify with the supplier whether the price takes into account the grant of subsidies.
Article 285
Environmental, social and labour considerations
Each Party shall ensure that its procuring entities may take into account environmental, labour and social considerations throughout the procurement procedure, provided that those considerations are compatible with the rules established by Chapters 1 and 2 and are indicated in the notice of intended procurement or in another notice used as a notice of intended procurement or tender documentation.
Article 286
Domestic review procedures
1.   Where an impartial administrative authority is designated by a Party under paragraph 4 of Article XVIII of the GPA, that Party shall ensure that:
(a)
the members of the designated authority are independent, impartial, and free from external influence during the term of appointment;
(b)
the members of the designated authority are not dismissed against their will while they are in office, unless their dismissal is required by the provisions governing the designated authority; and
(c)
the President or at least one other member of the designated authority, has legal and professional qualifications equivalent to those necessary for judges, lawyers or other legal experts qualified under the laws and regulations of the Party.
2.   Each Party shall adopt or maintain procedures that provide for rapid interim measures to preserve the supplier's opportunity to participate in the procurement. Such interim measures, provided for in subparagraph 7(a) of Article XVIII of the GPA, may result in suspension of the procurement process or, if a contract has been concluded by the procuring entity and if a Party has so provided, in suspension of performance of the contract. The procedures may provide that overriding adverse consequences for the interests concerned, including the public interest, may be taken into account when deciding whether such measures should be applied. Just cause for not acting shall be provided in writing.
3.   In case an interested or participating supplier has submitted a challenge with the designated authority referred to in paragraph 1, each Party shall, in principle, ensure that a procuring entity shall not conclude the contract until that authority has made a decision or recommendation on the challenge with regard to interim measures, corrective action or compensation for the loss or damages suffered as referred to in paragraphs 2, 5 and 6 in accordance with its rules, regulations and procedures. Each Party may provide that in unavoidable and duly justified circumstances, the contract can be nevertheless concluded.
4.   Each Party may provide for:
(a)
a standstill period between the contract award decision and the conclusion of a contract in order to give sufficient time to unsuccessful suppliers to assess whether it is appropriate to initiate a review procedure; or
(b)
a sufficient period for an interested supplier to submit a challenge, which may constitute grounds for the suspension of the execution of a contract.
5.   Corrective action under subparagraph 7(b) of Article XVIII of the GPA may include one or more of the following:
(a)
the removal of discriminatory technical, economic or financial specifications in the invitation to tender, the contract documents or any other document relating to the tendering procedure and conduct of new procurement procedures;
(b)
the repetition of the procurement procedure without changing the conditions;
(c)
the setting aside of the contract award decision and the adoption of a new contract award decision;
(d)
the termination of a contract or the declaration of its ineffectiveness; or
(e)
the adoption of other measures with the aim to remedy a breach of Chapters 1 and 2, for example an order to pay a particular sum until the breach has been effectively remedied.
6.   In accordance with subparagraph 7(b) of Article XVIII of the GPA, each Party may provide for the award of compensation for the loss or damages suffered. In this regard, if the review body of the Party is not a court and a supplier believes that there has been a breach of the domestic laws and regulations implementing the obligations under Chapters 1 and 2 of this Title, the supplier may bring the matter before a court, including with a view to seeking compensation, in accordance with judicial procedures of the Party.
7.   Each Party shall adopt or maintain the necessary procedures by which the decisions or recommendations made by review bodies are effectively implemented, or the decisions by judicial review bodies are effectively enforced.
CHAPTER 3
NATIONAL TREATMENT BEYOND COVERED PROCUREMENT
Article 287
Definitions
1.   For the purposes of this Chapter, the treatment accorded by a Party under this Chapter means:
(a)
with respect to the United Kingdom, treatment no less favourable than the most favourable treatment accorded, in like situations, to suppliers of the United Kingdom; and
(b)
with respect to a Member State, treatment no less favourable than the most favourable treatment accorded, in like situations, within that Member State to suppliers of that Member State.
2.   For the purposes of this Chapter, a supplier of a Party, which is a legal person means:
(a)
for the Union, a legal person constituted or organised under the law of the Union or at least one of its Member States and engaged in substantive business operations, understood by the Union, in line with its notification of the Treaty establishing the European Community to the WTO (WT/REG39/1), as equivalent to the concept of "effective and continuous link" with the economy of a Member State enshrined in Article 54 of the TFEU, in the territory of the Union; and
(b)
for the United Kingdom, a legal person constituted or organised under the law of the United Kingdom and engaged in substantive business operations in the territory of the United Kingdom.
Article 288
National treatment of locally established suppliers
1.   With regard to any procurement, a measure of a Party shall not result for suppliers of the other Party established in its territory through the constitution, acquisition or maintenance of a legal person in treatment less favourable than that Party accords to its own like suppliers 
(
41
)
.
2.   The application of the national treatment obligation provided for in this Article remains subject to security and general exceptions as defined in Article III of the GPA, even if the procurement is not covered procurement in accordance with this Title.
CHAPTER 4
OTHER PROVISIONS
Article 289
Modifications and rectifications of market access commitments
Each Party may modify or rectify its market access commitments in its respective Sub-section under Section B of Annex 25 in accordance with the procedures set out in Articles 290 to 293.
Article 290
Modifications
1.   A Party intending to modify a Sub-section of Section B of Annex 25, shall:
(a)
notify the other Party in writing; and
(b)
include in the notification a proposal for appropriate compensatory adjustments to the other Party to maintain a level of market access commitments comparable to that existing prior to the modification.
2.   Notwithstanding point (b) of paragraph 1, a Party is not required to provide compensatory adjustments to the other Party if the proposed modification covers a procuring entity over which the Party has effectively eliminated its control or influence in respect of covered procurement.
A Party's control or influence over the covered procurement of procuring entities is presumed to be effectively eliminated if the procuring entity is exposed to competition in markets to which access is not restricted.
3.   The other Party may object to the modification referred to in point (a) of paragraph 1 if it disputes that:
(a)
a compensatory adjustment proposed under point (b) of paragraph 1 is adequate to maintain a comparable level of mutually agreed market access commitments; or
(b)
the modification covers a procuring entity over which the Party has effectively eliminated its control or influence as provided for in paragraph 2.
The other Party shall object in writing within 45 days of receipt of the notification referred to in point (a) of paragraph 1 or be deemed to have accepted the compensatory adjustment or modification, including for the purposes of Title I of Part Six.
Article 291
Rectifications
1.   A Party intending to rectify a Sub-section under Section B of Annex 25 shall notify the other Party in writing.
The following changes to a Sub-section under Section B of Annex 25 shall be considered a rectification, provided that they do not affect the mutually agreed market access commitments provided for in this Title:
(a)
a change in the name of a procuring entity;
(b)
a merger of two or more procuring entities listed within that Sub-section; and
(c)
the separation of a procuring entity listed in that Sub-section into two or more procuring entities that are added to the procuring entities listed in the same Sub-section.
2.   A Party may notify the other Party of an objection to a proposed rectification within 45 days from having received the notification. A Party submitting an objection shall set out the reasons for considering the proposed rectification not as a change provided for in paragraph 1, and describe the effect of the proposed rectification on the mutually agreed market access commitments provided for in this Title. If no such objection is submitted in writing within 45 days after having received the notification, the Party shall be deemed to have agreed to the proposed rectification.
Article 292
Consultations and dispute resolution
If a Party objects to the proposed modification or the proposed compensatory adjustments referred to in Article 290 or to the proposed rectification referred to in Article 291, the Parties shall seek to resolve the issue through consultations. If no agreement is found within 60 days of receipt of the objection, the Party seeking to modify or rectify its Sub-section under Section B of Annex 25 may refer the matter to dispute settlement in accordance with Title I of Part Six, to determine whether the objection is justified.
Article 293
Amendment of Section B of Annex 25
If a Party does not object to the modification pursuant to Article 290(3) or to a rectification pursuant to Article 291(2), or the modifications or rectifications are agreed between the Parties through the consultations referred to in Article 292, or there is a final settlement of the matter under Title I of Part Six, the Partnership Council shall amend the relevant Sub-section under Section B of Annex 25 to reflect the corresponding modifications or rectifications or the compensatory adjustments.
Article 294
Cooperation
1.   The Parties recognise the benefits that may arise from cooperating in the international promotion of the mutual liberalisation of public procurement markets.
2.   The Parties shall make available to each other annual statistics on covered procurement subject to technical availability.
TITLE VII
SMALL AND MEDIUM-SIZED ENTERPRISES
Article 295
Objective
The objective of this Title is to enhance the ability of small and medium-sized enterprises to benefit from this Heading.
Article 296
Information sharing
1.   Each Party shall establish or maintain its own publicly accessible website for small and medium-sized enterprises with information regarding this Heading, including:
(a)
a summary of this Heading;
(b)
a description of the provisions in this Heading that each Party considers to be relevant to small and medium-sized enterprises of both Parties; and
(c)
any additional information that each Party considers would be useful for small and medium-sized enterprises interested in benefitting from this Heading.
2.   Each Party shall include an internet link in the website provided for in paragraph 1 to the:
(a)
text of this Heading;
(b)
equivalent website of the other Party; and
(c)
websites of its own authorities that the Party considers would provide useful information to persons interested in trading and doing business in its territory.
3.   Each Party shall include an internet link in the website referred to in paragraph 1 to websites of its own authorities with information related to the following:
(a)
customs laws and regulations, procedures for importation, exportation and transit as well as relevant forms, documents and other information required;
(b)
laws, regulations and procedures concerning intellectual property rights, including geographical indications;
(c)
technical laws and regulations including, where necessary, obligatory conformity assessment procedures and links to lists of conformity assessment bodies, in cases where third party conformity assessment is obligatory, as provided for in Chapter 4 of Title I;
(d)
laws and regulations on sanitary and phytosanitary measures relating to importation and exportation as provided for in Chapter 3 of Title I;
(e)
laws and regulations on public procurement, single point of access on the internet to public procurement notices as provided for in Title VI and other relevant provisions contained in that Title;
(f)
company registration procedures; and
(g)
other information which the Party considers may be of assistance to small and medium-sized enterprises.
4.   Each Party shall include an internet link in the website provided for in paragraph 1 to a database that is electronically searchable by tariff nomenclature code and that includes the following information with respect to access to its market:
(a)
in respect of tariff measures and tariff-related information:
(i)
rates of customs duties and quotas, including most-favoured nation, rates concerning non most-favoured nation countries and preferential rates and tariff rate quotas;
(ii)
excise duties;
(iii)
taxes (value added tax/ sales tax);
(iv)
customs or other fees, including other product specific fees;
(v)
rules of origin as provided for in Chapter 2 of Title I;
(vi)
duty drawback, deferral, or other types of relief that reduce, refund, or waive customs duties;
(vii)
criteria used to determine the customs value of the good; and
(viii)
other tariff measures;
(b)
in respect of tariff nomenclature related non-tariff measures:
(i)
information needed for import procedures; and
(ii)
information related to non-tariff measures.
5.   Each Party shall regularly, or if requested by the other Party, update the information and links referred to in paragraphs 1 to 4 that it maintains on its website to ensure such information and links are up-to-date and accurate.
6.   Each Party shall ensure that the information and links referred to in paragraphs 1 to 4 is presented in an adequate manner to use for small and medium-sized enterprises. Each Party shall endeavour to make the information available in English.
7.   No fee shall apply for access to the information provided pursuant to paragraphs 1 to 4 for any person of either Party.
Article 297
Small and medium-sized enterprises contact points
1.   Upon the entry into force of this Agreement, each Party shall designate a contact point to carry out the functions listed in this Article and notify the other Party of its contact details. The Parties shall promptly notify each other of any change of those contact details.
2.   The small and medium-sized enterprises contact points of the Parties shall:
(a)
seek to ensure that the needs of small and medium-sized enterprises are taken into account in the implementation of this Heading and that small and medium-sized enterprises of both Parties can take advantage of this Heading;
(b)
consider ways for strengthening the cooperation on matters of relevance to small and medium-sized enterprises between the Parties in view of increasing trade and investment opportunities for small and medium-sized enterprises;
(c)
ensure that the information referred to in Article 296 is up-to-date, accurate and relevant for small and medium-sized enterprises. Either Party may, through the small and medium-sized enterprises contact point, suggest additional information that the other Party may include in its websites to be maintained in accordance with Article 296;
(d)
examine any matter relevant to small and medium-sized enterprises in connection with the implementation of this Heading, including:
(i)
exchanging information to assist the Partnership Council in its task to monitor and implement the small and medium-sized enterprises-related aspects of this Heading;
(ii)
assisting specialised committees, joint working groups and contact points established by this Agreement in considering matters of relevance to small and medium-sized enterprises;
(e)
report periodically on their activities, jointly or individually, to the Partnership Council for its consideration; and
(f)
consider any other matter arising under this Agreement pertaining to small and medium-sized enterprises as the Parties may agree.
3.   The small and medium-sized enterprises contact points of the Parties shall carry out their work through the communication channels decided by the Parties, which may include electronic mail, videoconferencing or other means. They may also meet, as appropriate.
4.   Small and medium-sized enterprises contact points may seek to cooperate with experts and external organisations, as appropriate, in carrying out their activities.
Article 298
Relation with Part Six
Title I of Part Six does not apply to this Title.
TITLE VIII
ENERGY
CHAPTER 1
GENERAL PROVISIONS
Article 299
Objectives
The objectives of this Title are to facilitate trade and investment between the Parties in the areas of energy and raw materials, and to support security of supply and environmental sustainability, notably in contributing to the fight against climate change in those areas.
Article 300
Definitions
1.   For the purposes of this Title, the following definitions apply:
(a)
"Agency for the Cooperation of Energy Regulators" means the Agency established by Regulation (EU) 2019/942 of the European Parliament and of the Council 
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;
(b)
"authorisation" means the permission, licence, concession or similar administrative or contractual instrument by which the competent authority of a Party entitles an entity to exercise a certain economic activity in its territory;
(c)
"balancing" means:
(i)
for electricity systems, all actions and processes, in all timelines, through which electricity transmission system operators ensure, in an ongoing manner, maintenance of the system frequency within a predefined stability range and compliance with the amount of reserves needed with respect to the required quality;
(ii)
for gas systems, actions undertaken by gas transmission system operators to change the gas flows onto or off the transmission network, excluding those actions related to gas unaccounted for as off-taken from the system and gas used by the transmission system operator for the operation of the system;
(d)
"distribution" means:
(i)
in relation to electricity, the transport of electricity on high-voltage, medium-voltage and low-voltage distribution systems with a view to its delivery to customers, but does not include supply;
(ii)
in relation to gas, the transport of natural gas through local or regional pipeline networks with a view to its delivery to customers, but does not include supply;
(e)
"distribution system operator" means a natural or legal person who is responsible for operating, ensuring the maintenance of, and, if necessary, developing the electricity or gas distribution system in a given area and, where applicable, its interconnections with other systems, and for ensuring the long-term ability of the system to meet reasonable demands for the distribution of electricity or gas;
(f)
"electricity interconnector" means a transmission line:
(i)
between the Parties, excluding any such line wholly within the single electricity market in Ireland and Northern Ireland;
(ii)
between Great Britain and the single electricity market in Ireland and Northern Ireland that is outside the scope of point (i);
(g)
"energy goods" means the goods from which energy is generated, listed by the corresponding Harmonised System (HS) code in Annex 26;
(h)
"entity" means any natural person, legal person or enterprise or group thereof;
(i)
"gas interconnector" means a transmission line which crosses or spans the border between the Parties;
(j)
"generation" means the production of electricity;
(k)
"hydrocarbons" means the goods listed by the corresponding HS code in Annex 26;
(l)
"interconnection point" means, in relation to gas, a physical or virtual point connecting Union and United Kingdom entry-exit systems or connecting an entry-exit system with an interconnector, in so far as these points are subject to booking procedures by network users;
(m)
"raw materials" means the goods listed by the corresponding HS chapter in Annex 26;
(n)
"renewable energy" means a type of energy, including electrical energy, produced from renewable non-fossil sources;
(o)
"standard capacity product" means, in relation to gas, a certain amount of transport capacity over a given period of time, at a specific interconnection point;
(p)
"transmission" means:
(i)
in relation to electricity, the transport of electricity on the extra high-voltage and high-voltage system with a view to its delivery to customers or to distributors, but does not include supply;
(ii)
in relation to gas, the transport of natural gas through a network, which mainly contains high-pressure pipelines, other than an upstream pipeline network and other than the part of high-pressure pipelines primarily used in the context of local distribution of natural gas, with a view to its delivery to customers, but not including supply;
(q)
"transmission system operator" means a natural or legal person who carries out the function of transmission or is responsible for operating, ensuring the maintenance of, and, if necessary, developing the electricity or gas transmission system in a given area and, where applicable, its interconnections with other systems, and for ensuring the long-term ability of the system to meet reasonable demands for the transport of gas or electricity, as the case may be;
(r)
"upstream pipeline network" means any pipeline or network of pipelines operated or constructed as part of an oil or gas production project, or used to convey natural gas from one or more such projects to a processing plant or terminal or final coastal landing terminal.
2.   For the purposes of this Title, references to "non-discriminatory" and "non-discrimination" mean most-favoured-nation treatment as defined in Articles 130 and 138 and national treatment as defined in Articles 129 and 137, as well as treatment under terms and conditions no less favourable than that accorded to any other like entity in like situations.
Article 301
Relationship with other Titles
1.   Chapter 2 and Chapter 3 of Title II of this Heading apply to energy and raw materials. In the event of any inconsistency between this Title and Title II of this Heading and Annexes 19 to 24, Title II of this Heading and Annexes 19 to 24 shall prevail.
2.   For the purposes of Article 20 where a Party maintains or implements a system of virtual trading of natural gas or electricity using pipelines or electricity grids, meaning a system which does not require physical identification of the transited natural gas or electricity but is based on a system of netting inputs and outputs, the routes most convenient for international transit as referred to in that Article shall be deemed to include such virtual trading.
3.   When applying Chapter 3 of Title XI of this Heading, Annex 27 also applies. Chapter 3 of Title XI of this Heading applies to Annex 27. Article 375 applies to disputes arising between the Parties concerning the interpretation and application of Annex 27.
Article 302
Principles
Each Party preserves the right to adopt, maintain and enforce measures necessary to pursue legitimate public policy objectives, such as securing the supply of energy goods and raw materials, protecting society, the environment, including fighting against climate change, public health and consumers and promoting security and safety, consistent with the provisions of this Agreement.
CHAPTER 2
ELECTRICITY AND GAS
SECTION 1
COMPETITION IN ELECTRICITY AND GAS MARKETS
Article 303
Competition in markets and non-discrimination
1.   With the objective of ensuring fair competition, each Party shall ensure that its regulatory framework for the production, generation, transmission, distribution or supply of electricity or natural gas is non-discriminatory with regard to rules, fees and treatment.
2.   Each Party shall ensure that customers are free to choose, or switch to, the electricity or natural gas supplier of their choice within their respective retail markets in accordance with the applicable laws and regulations.
3.   Without prejudice to the right of each Party to define quality requirements, the provisions in this Chapter related to natural gas also apply to biogas and gas from biomass or other types of gas in so far as such gas can technically and safely be injected into, and transported through, the natural gas system.
4.   This Article does not apply to cross-border trade and is without prejudice to each Party's right to regulate in order to achieve legitimate public policy goals based on objective and non-discriminatory criteria.
Article 304
Provisions relating to wholesale electricity and gas markets
1.   Each Party shall ensure that wholesale electricity and natural gas prices reflect actual supply and demand. To that end, each Party shall ensure that wholesale electricity and natural gas market rules:
(a)
encourage free price formation;
(b)
do not set any technical limits on pricing that restrict trade;
(c)
enable the efficient dispatch of electricity generation assets, energy storage and demand response and the efficient use of the electricity system;
(d)
enable the efficient use of the natural gas system; and
(e)
enable the integration of electricity from renewable energy sources, and ensure the efficient and secure operation and development of the electricity system.
2.   Each Party shall ensure that balancing markets are organised in such a way as to ensure:
(a)
non-discrimination between participants and non-discriminatory access to participants;
(b)
that services are defined in a transparent manner;
(c)
that services are procured in a transparent, market-based manner, taking account of the advent of new technologies; and
(d)
that producers of renewable energy are accorded reasonable and non-discriminatory terms when procuring products and services.
A Party may decide not to apply point (c) if there is a lack of competition in the market for balancing services.
3.   Each Party shall ensure that any capacity mechanism in electricity markets is clearly defined, transparent, proportionate and non-discriminatory. Neither Party is required to permit capacity situated in the territory of the other Party to participate in any capacity mechanism in its electricity markets.
4.   Each Party shall assess the necessary actions to facilitate the integration of gas from renewable sources.
5.   This Article is without prejudice to each Party's right to regulate in order to achieve legitimate public policy goals based on objective and non-discriminatory criteria.
Article 305
Prohibition of market abuse on wholesale electricity and gas markets
1.   Each Party shall prohibit market manipulation and insider trading on wholesale electricity and natural gas markets, including over-the-counter markets, electricity and natural gas exchanges and markets for the trading of electricity and natural gas, capacity, balancing and ancillary services in all timeframes, including forward, day-ahead and intraday markets.
2.   Each Party shall monitor trading activity on these markets with a view to detecting and preventing trading based on inside information and market manipulation.
3.   The Parties shall cooperate, including in accordance with Article 318, with a view to detecting and preventing trading based on inside information and market manipulation and, where appropriate, may exchange information including on market monitoring and enforcement activities.
Article 306
Third-party access to transmission and distribution networks
1.   Each Party shall ensure the implementation of a system of third-party access to their transmission and distribution networks based on published tariffs that are applied objectively and in a non-discriminatory manner.
2.   Without prejudice to Article 302, each Party shall ensure that transmission and distribution system operators in its territory grant access to their transmission or distribution systems to entities in that Party's market within a reasonable period of time from the date of the request for access.
Each Party shall ensure that transmission system operators treat producers of renewable energy on reasonable and non-discriminatory terms regarding connection to, and use of, the electricity network.
The transmission or distribution system operator may refuse access where it lacks the necessary capacity. Duly substantiated reasons shall be given for any such refusal.
3.   Without prejudice to legitimate public policy objectives, each Party shall ensure that charges applied to entities in that Party's market by transmission and distribution system operators for access to, connection to or the use of networks, and, where applicable, charges for related network reinforcements, are appropriately cost-reflective and transparent. Each Party shall ensure publication of the terms, conditions, tariffs and all such information that may be necessary for the effective exercise of the right of access to and use of transmission and distribution systems.
4.   Each Party shall ensure that the tariffs and charges referred to in paragraphs 1 and 3 are applied in a non-discriminatory manner with respect to entities in that Party's market.
Article 307
System operation and unbundling of transmission network operators
1.   Each Party shall ensure that transmission system operators carry out their functions in a transparent, non-discriminatory way.
2.   Each Party shall implement arrangements for transmission system operators which are effective in removing any conflicts of interest arising as a result of the same person exercising control over a transmission system operator and a producer or supplier.
Article 308
Public policy objectives for third-party access and ownership unbundling
1.   Where necessary to fulfil a legitimate public policy objective and based on objective criteria, a Party may decide not to apply Articles 306 and 307 to the following:
(a)
emergent or isolated markets or systems;
(b)
infrastructure which meets the conditions set out in Annex 28.
2.   Where necessary to fulfil a legitimate public policy objective and based on objective criteria, a Party may decide not to apply Articles 303 and 304 to:
(a)
small or isolated electricity markets or systems;
(b)
small, emergent or isolated natural gas markets or systems.
Article 309
Existing exemptions for interconnectors
Each Party shall ensure that exemptions granted to interconnections between the Union and the United Kingdom under Article 63 of Regulation (EU) 2019/943 of the European Parliament and of the Council 
(
43
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 and under the law transposing Article 36 of Directive 2009/73/EC of the European Parliament and of the Council 
(
44
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 in their respective jurisdictions, the terms of which extend beyond the transition period, continue to apply in accordance with the laws of their respective jurisdictions and the terms applicable.
Article 310
Independent regulatory authority
1.   Each Party shall ensure the designation and maintenance of an operationally independent regulatory authority or authorities for electricity and gas with the following powers and duties:
(a)
fixing or approving the tariffs, charges and conditions for access to networks referred to in Article 306, or the methodologies underlying them;
(b)
ensuring compliance with the arrangements referred to in Articles 307 and 308;
(c)
issuing binding decisions at least in relation to points (a) and (b);
(d)
imposing effective remedies.
2.   In performing those duties and exercising those powers, the independent regulatory authority or authorities shall act impartially and transparently.
SECTION 2
TRADING OVER INTERCONNECTORS
Article 311
Efficient use of electricity interconnectors
1.   With the aim of ensuring the efficient use of electricity interconnectors and reducing barriers to trade between the Union and the United Kingdom, each Party shall ensure that:
(a)
capacity allocation and congestion management on electricity interconnectors is market based, transparent and non-discriminatory;
(b)
the maximum level of capacity of electricity interconnectors is made available, respecting the:
(i)
need to ensure secure system operation; and
(ii)
most efficient use of systems;
(c)
electricity interconnector capacity may only be curtailed in emergency situations and any such curtailment takes place in a non-discriminatory manner;
(d)
information on capacity calculation is published to support the objectives of this Article;
(e)
there are no network charges on individual transactions on, and no reserve prices for the use of, electricity interconnectors;
(f)
capacity allocation and congestion management across electricity interconnectors is coordinated between concerned Union transmission system operators and United Kingdom transmission system operators; this coordination shall involve the development of arrangements to deliver robust and efficient outcomes for all relevant timeframes, being forward, day-ahead, intraday and balancing; and
(g)
capacity allocation and congestion management arrangements contribute to supportive conditions for the development of, and investment in, economically efficient electricity interconnection.
2.   The coordination and arrangements referred to in point (f) of paragraph 1 shall not involve or imply participation by United Kingdom transmission system operators in Union procedures for capacity allocation and congestion management.
3.   Each Party shall take the necessary steps to ensure the conclusion as soon as possible of a multi-party agreement relating to the compensation for the costs of hosting cross-border flows of electricity between:
(a)
transmission system operators participating in the inter-transmission system operator compensation mechanism established by Commission Regulation (EU) No 838/2010 
(
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)
; and
(b)
United Kingdom transmission system operators.
4.   The multi-party agreement referred to in paragraph 3 shall aim to ensure:
(a)
that United Kingdom transmission system operators are treated on an equivalent basis to a transmission system operator in a country participating in the inter-transmission system operator compensation mechanism; and
(b)
the treatment of United Kingdom transmission system operators is not more favourable in comparison to that which would apply to a transmission system operator participating in the inter-transmission system operator compensation mechanism.
5.   Notwithstanding point (e) of paragraph 1, until such time as the multi-party agreement referred to in paragraph 3 has been concluded, a transmission system use fee may be levied on scheduled imports and exports between the Union and the United Kingdom.
Article 312
Electricity trading arrangements at all timeframes
1.   For capacity allocation and congestion management at the day ahead stage, the Specialised Committee on Energy, as a matter of priority, shall take the necessary steps in accordance with Article 317 to ensure that transmission system operators develop arrangements setting out technical procedures in accordance with Annex 29 within a specific timeline.
2.   If the Specialised Committee on Energy does not recommend that the Parties implement such technical procedures in accordance with Article 317(4), it shall take decisions and make recommendations as necessary for electricity interconnector capacity to be allocated at the day-ahead market timeframe in accordance with Annex 29.
3.   The Specialised Committee on Energy shall keep under review the arrangements for all timeframes, and for balancing and intraday timeframes in particular, and may recommend that each Party requests its transmission system operators to prepare technical procedures in accordance with Article 317 to improve arrangements for a particular timeframe.
4.   The Specialised Committee on Energy shall keep under review whether the technical procedures developed in accordance with paragraph 1 continue to meet the requirements of Annex 29, and shall promptly address any issues that are identified.
Article 313
Efficient use of gas interconnectors
1.   With the aim of ensuring the efficient use of gas interconnectors and reducing barriers to trade between the Union and the United Kingdom, each Party shall ensure that:
(a)
the maximum level of capacity of gas interconnectors is made available, respecting the principle of non-discrimination and taking account of:
(i)
the need to ensure secure system operation; and
(ii)
the most efficient use of systems;
(b)
capacity allocation mechanisms and congestion management procedures for gas interconnectors are market-based, transparent and non-discriminatory, and that auctions are generally used for the allocation of capacity at interconnection points.
2.   Each Party shall take the necessary steps to ensure that:
(a)
transmission system operators endeavour to offer jointly standard capacity products which consist of corresponding entry and exit capacity at both sides of an interconnection point;
(b)
transmission system operators coordinate procedures relating to the use of gas interconnectors between Union transmission system operators and United Kingdom transmission system operators concerned.
3.   The coordination referred to in point (b) of paragraph 2 shall not involve or imply participation by United Kingdom transmission system operators in Union procedures relating to the use of gas interconnectors.
SECTION 3
NETWORK DEVELOPMENT AND SECURITY OF SUPPLY
Article 314
Network development
1.   The Parties shall cooperate to facilitate the timely development and interoperability of energy infrastructure connecting their territories.
2.   Each Party shall ensure that network development plans for electricity and gas transmission systems are drawn up, published and regularly updated.
Article 315
Cooperation on security of supply
1.   The Parties shall cooperate with respect to the security of supply of electricity and natural gas.
2.   The Parties shall exchange information on any risks identified pursuant to Article 316 in a timely manner.
3.   The Parties shall share the plans referred to in Article 316. For the Union, these plans may be at Member State or regional level.
4.   The Parties shall inform each other without undue delay where there is reliable information that a disruption or other crisis relating to the supply of electricity or natural gas may occur and on measures planned or taken.
5.   The Parties shall immediately inform each other in the event of an actual disruption or other crisis, in view of possible coordinated mitigation and restoration measures.
6.   The Parties shall share best practices regarding short-term and seasonal adequacy assessments.
7.   The Parties shall develop appropriate frameworks for cooperation with respect to the security of supply of electricity and natural gas.
Article 316
Risk preparedness and emergency plans
1.   Each Party shall assess risks affecting the security of supply of electricity or natural gas, including the likelihood and impact of such risks, and including cross-border risks.
2.   Each Party shall establish and regularly update plans to address identified risks affecting the security of supply of electricity or natural gas. Such plans shall contain the measures needed to remove or mitigate the likelihood and impact of any risk identified under paragraph 1 and the measures needed to prepare for, and mitigate the impact of, an electricity or natural gas crisis.
3.   The measures contained in the plans referred to in paragraph 2 shall:
(a)
be clearly defined, transparent, proportionate, non-discriminatory and verifiable;
(b)
not significantly distort trade between the Parties; and
(c)
not endanger the security of supply of electricity or natural gas of the other Party.
In the event of a crisis, the Parties shall only activate non-market based measures as a last resort.
SECTION 4
TECHNICAL COOPERATION
Article 317
Cooperation between transmission system operators
1.   Each Party shall ensure that transmission system operators develop working arrangements that are efficient and inclusive in order to support the planning and operational tasks associated with meeting the objectives of this Title, including, when recommended by the Specialised Committee on Energy, the preparation of technical procedures to implement effectively the provisions of Articles 311 to 315.
The working arrangements referred to in the first subparagraph shall include frameworks for cooperation between the European Network of Transmission System Operators for Electricity established in accordance with Regulation (EU) 2019/943 ("ENTSO-E") and the European Network of Transmission System Operators for Gas established in accordance with Regulation (EC) No 715/2009 of the European Parliament and of the Council 
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 ("ENTSOG"), on the one side, and the transmission system operators for electricity and gas in the United Kingdom, on the other. Those frameworks shall cover at least the following areas:
(a)
electricity and gas markets;
(b)
access to networks;
(c)
the security of electricity and gas supply;
(d)
offshore energy;
(e)
infrastructure planning;
(f)
the efficient use of electricity and gas interconnectors; and
(g)
gas decarbonisation and gas quality.
The Specialised Committee on Energy shall agree on guidance on the working arrangements and frameworks for cooperation for dissemination to transmission system operators as soon as practicable.
The frameworks for cooperation mentioned in the second subparagraph shall not involve, or confer a status comparable to, membership in ENTSO-E or ENTSOG by United Kingdom transmission system operators.
2.   The Specialised Committee on Energy may recommend that each Party requests its transmission system operators to prepare the technical procedures as referred to in the first subparagraph of paragraph 1.
3.   Each Party shall ensure that its respective transmission system operators request the opinions of the Agency for the Cooperation of Energy Regulators and the regulatory authority in the United Kingdom designated in accordance with Article 310 on the technical procedures, respectively, in the event of a disagreement and in any event before the finalisation of those technical procedures. The Parties' respective transmission system operators shall submit those opinions together with the draft technical procedures to the Specialised Committee on Energy.
4.   The Specialised Committee on Energy shall review the draft technical procedures, and may recommend that the Parties implement such procedures in their respective domestic arrangements, taking due account of the opinions of the Agency for the Cooperation of Energy Regulators and the regulatory authority in the United Kingdom designated in accordance with Article 310. The Specialised Committee on Energy shall monitor the effective operation of such technical procedures and may recommend that they be updated.
Article 318
Cooperation between regulatory authorities
1.   The Parties shall ensure that the Agency for the Cooperation of Energy Regulators and the regulatory authority in the United Kingdom designated in accordance with Article 310 develop contacts and enter into administrative arrangements as soon as possible in order to facilitate meeting the objectives of this Agreement. The contacts and administrative arrangements shall cover at least the following areas:
(a)
electricity and gas markets;
(b)
access to networks;
(c)
the prevention of market abuse on wholesale electricity and gas markets;
(d)
the security of electricity and gas supply;
(e)
infrastructure planning;
(f)
offshore energy;
(g)
the efficient use of electricity and gas interconnectors;
(h)
cooperation between transmission system operators; and
(i)
gas decarbonisation and gas quality.
The Specialised Committee on Energy shall agree on guidance on the administrative arrangements for such cooperation for dissemination to regulatory authorities as soon as practicable.
2.   The administrative arrangements referred to in paragraph 1 shall not involve, or confer a status comparable to, participation in the Agency for the Cooperation of Energy Regulators by the regulatory authority in the United Kingdom designated in accordance with Article 310.
CHAPTER 3
SAFE AND SUSTAINABLE ENERGY
Article 319
Renewable energy and energy efficiency
1.   Each Party shall promote energy efficiency and the use of energy from renewable sources.
Each Party shall ensure that its rules that apply to licencing or equivalent measures applicable to energy from renewable sources are necessary and proportionate.
2.   The Union reaffirms the target for the share of gross final energy consumption from renewable energy sources in 2030 as set out in Directive (EU) 2018/2001 of the European Parliament and of the Council 
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.
The Union reaffirms its energy efficiency targets for 2030 as set out in the Directive 2012/27/EU of the European Parliament and of the Council 
(
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)
.
3.   The United Kingdom reaffirms:
(a)
its ambition for the share of energy from renewable sources in gross final energy consumption in 2030 as set out in its National Energy and Climate Plan;
(b)
its ambition for the absolute level of primary and final energy consumption in 2030 as set out in its National Energy and Climate Plan.
4.   The Parties shall keep each other informed in relation to the matters referred to in paragraphs 2 and 3.
Article 320
Support for renewable energy
1.   Each Party shall ensure that support for electricity from renewable sources facilitates the integration of electricity from renewable sources in the electricity market.
2.   Biofuels, bioliquids and biomass shall only be supported as renewable energy if they meet robust criteria for sustainability and greenhouse gas emissions saving, which are subject to verification.
3.   Each Party shall clearly define any technical specifications which are to be met by renewable energy equipment and systems in order to benefit from support schemes. Such technical specifications shall take into account cooperation developed under Articles 91, 92 and 323.
Article 321
Cooperation in the development of offshore renewable energy
1.   The Parties shall cooperate in the development of offshore renewable energy by sharing best practices and, where appropriate, by facilitating the development of specific projects.
2.   Building on the North Seas Energy Cooperation, the Parties shall enable the creation of a specific forum for technical discussions between the European Commission, ministries and public authorities of the Member States, United Kingdom ministries and public authorities, transmission system operators and the offshore energy industry and stakeholders more widely, in relation to offshore grid development and the large renewable energy potential of the North Seas region. That cooperation shall include at least the following areas:
(a)
hybrid and joint projects;
(b)
maritime spatial planning;
(c)
support framework and finance;
(d)
best practices on respective onshore and offshore grid planning;
(e)
the sharing of information on new technologies; and
(f)
the exchange of best practices in relation to the relevant rules, regulations and technical standards.
Article 322
Offshore risk and safety
1.   The Parties shall cooperate and exchange information with the aim of maintaining high levels of safety and environmental protection for all offshore oil and gas operations.
2.   The Parties shall take appropriate measures to prevent major accidents from offshore oil and gas operations and to limit the consequences of such accidents.
3.   The Parties shall promote the exchange of best practices among their authorities that are competent for the safety and environmental protection of offshore oil and gas operations. The regulation of the safety and environmental protection of offshore oil and gas operations shall be independent from any functions relating to licensing of offshore oil and gas operations.
Article 323
Cooperation on standards
In accordance with Articles 92 and 98, the Parties shall promote cooperation between the regulators and standardisation bodies located within their respective territories to facilitate the development of international standards with respect to energy efficiency and renewable energy, with a view to contributing to sustainable energy and climate policy.
Article 324
Research, development and innovation
The Parties shall promote research, development and innovation in the areas of energy efficiency and renewable energy.
CHAPTER 4
ENERGY GOODS AND RAW MATERIALS
Article 325
Export pricing
A Party shall not impose a higher price for exports of energy goods or raw materials to the other Party than the price charged for those energy goods or raw materials when destined for the domestic market, by means of any measures such as licences or minimum price requirements.
Article 326
Regulated pricing
If a Party decides to regulate the price of the domestic supply to consumers of electricity or natural gas, it may do so only to achieve a public policy objective, and only by imposing a regulated price that is clearly defined, transparent, non-discriminatory and proportionate.
Article 327
Authorisation for exploration and production of hydrocarbons and generation of electricity
1.   If a Party requires an authorisation for exploration or production of hydrocarbons or generation of electricity, that Party shall grant such authorisations on the basis of objective and non-discriminatory criteria which are drawn up and published before the start of the period for submission of applications in accordance with the general conditions and procedures set out in Section 1 of Chapter 5 of Title II of this Heading.
2.   Notwithstanding paragraph 1 of this Article and Article 301, each Party may grant authorisations related to exploration for or the production of hydrocarbons without complying with the conditions and procedures related to publication set out in Article 153 on the basis of duly justified exemptions as provided for in applicable legislation.
3.   Financial contributions or contributions in kind required from entities to which an authorisation is granted shall not interfere with the management and decision-making process of such entities.
4.   Each Party shall provide that an applicant for authorisation has the right to appeal any decision concerning the authorisation to an authority higher than or independent from the authority that issued the decision or to request that such a higher or independent authority review that decision. Each Party shall ensure that the applicant is provided with the reasons for the administrative decision to enable the applicant to have recourse to the procedures for appeal or review if necessary. The applicable rules for appeal or review shall be published.
Article 328
Safety and integrity of energy equipment and infrastructure
This Title shall not be construed as preventing a Party from adopting temporary measures necessary to protect the safety and preserve the integrity of energy equipment or infrastructure, provided that those measures are not applied in a manner which would constitute a disguised restriction on trade or investment between the Parties.
CHAPTER 5
FINAL PROVISIONS
Article 329
Effective implementation and amendments
1.   The Partnership Council may amend Annex 26 and Annex 28. The Partnership Council may update Annex 27 as necessary to ensure the operation of that Annex over time.
2.   The Specialised Committee on Energy may amend Annex 29.
3.   The Specialised Committee on Energy shall make recommendations as necessary to ensure the effective implementation of the Chapters of this Title for which it is responsible.
Article 330
Dialogue
The Parties shall establish a regular dialogue to facilitate meeting the objectives of this Title.
Article 331
Termination of this Title
1.   This Title shall cease to apply on 30 June 2026.
2.   Notwithstanding paragraph 1, between 1 July 2026 and 31 December 2026, the Partnership Council may decide that this Title will apply until 31 March 2027. Between 1 April 2027 and 31 December 2027, as well as at any point of time in any subsequent year, the Partnership Council may decide that this Title will apply until 31 March of the following year.
3.   This Article applies without prejudice to Articles 509, 521 and 779.
TITLE IX
TRANSPARENCY
Article 332
Objective
1.   Recognising the impact that their respective regulatory environments may have on trade and investment between them, the Parties aim to provide a predictable regulatory environment and efficient procedures for economic operators, especially for small and medium-sized enterprises.
2.   The Parties affirm their commitments in relation to transparency under the WTO Agreement, and build on those commitments in the provisions laid down in this Title.
Article 333
Definition
For the purposes of this Title, "administrative decision" means a decision or action with legal effect that applies to a specific person, good or service in an individual case, and covers the failure to take a decision or take such action when that is so required by the law of a Party.
Article 334
Scope
This Title applies with respect to Titles I to VIII and Titles X to XII of this Heading and Heading Six.
Article 335
Publication
1.   Each Party shall ensure that its laws, regulations, procedures and administrative rulings of general application are promptly published via an officially designated medium, and, where feasible, by electronic means, or are otherwise made available in such a manner as to enable any person to become acquainted with them.
2.   To the extent appropriate, each Party shall provide an explanation of the objective of and rationale for measures referred to in paragraph 1.
3.   Each Party shall provide a reasonable period of time between publication and entry into force of its laws and regulations, except when this is not possible for reasons of urgency.
Article 336
Enquiries
1.   Each Party shall establish or maintain appropriate and proportionate mechanisms for responding to questions from any person regarding any laws or regulations.
2.   Each Party shall promptly provide information and respond to questions by the other Party pertaining to any law or regulation whether in force or planned, unless a specific mechanism is established under another provision of this Agreement.
Article 337
Administration of measures of general application
1.   Each Party shall administer its laws, regulations, procedures and administrative rulings of general application in an objective, impartial, and reasonable manner.
2.   When administrative proceedings relating to persons, goods or services of the other Party are initiated in respect of the application of laws or regulations, each Party shall:
(a)
endeavour to provide persons who are directly affected by the administrative proceedings with reasonable notice in accordance with its laws and regulations, including a description of the nature of the proceedings, a statement of the legal authority under which the proceedings are initiated and a general description of any issues in controversy; and
(b)
afford such persons a reasonable opportunity to present facts and arguments in support of their positions prior to any final administrative decision insofar as time, the nature of the proceedings and the public interest permit.
Article 338
Review and appeal
1.   Each Party shall establish or maintain judicial, arbitral or administrative tribunals and procedures for the purpose of the prompt review and, if warranted, correction of administrative decisions. Each Party shall ensure that its tribunals carry out procedures for appeal or review in a non-discriminatory and impartial manner. Those tribunals shall be impartial and independent of the authority entrusted with administrative enforcement.
2.   Each Party shall ensure that the parties to the proceedings as referred to in paragraph 1 are provided with a reasonable opportunity to support or defend their respective positions.
3.   In accordance with its law, each Party shall ensure that any decisions adopted in proceedings as referred to in paragraph 1 are based on the evidence and submissions of record or, where applicable, on the record compiled by the competent administrative authority.
4.   Each Party shall ensure that decisions as referred to in paragraph 3 shall be implemented by the authority entrusted with administrative enforcement, subject to appeal or further review as provided for in its law.
Article 339
Relation to other Titles
The provisions set out in this Title supplement the specific transparency rules set out in those Titles of this Heading with respect to which this Title applies.
TITLE X
GOOD REGULATORY PRACTICES AND REGULATORY COOPERATION
Article 340
General principles
1.   Each Party shall be free to determine its approach to good regulatory practices under this Agreement in a manner consistent with its own legal framework, practice, procedures and fundamental principles 
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 underlying its regulatory system.
2.   Nothing in this Title shall be construed as requiring a Party to:
(a)
deviate from its domestic procedures for preparing and adopting regulatory measures;
(b)
take actions that would undermine or impede the timely adoption of regulatory measures to achieve its public policy objectives; or
(c)
achieve any particular regulatory outcome.
3.   Nothing in this Title shall affect the right of a Party to define or regulate its own levels of protection in pursuit or furtherance of its public policy objectives in areas such as:
(a)
public health;
(b)
human, animal or plant life and health, and animal welfare;
(c)
occupational health and safety;
(d)
labour conditions;
(e)
environment including climate change;
(f)
consumer protection;
(g)
social protection and social security;
(h)
data protection and cybersecurity;
(i)
cultural diversity;
(j)
integrity and stability of the financial system, and protection of investors;
(k)
energy security; and
(l)
anti-money laundering.
For greater certainty, for the purposes of in particular point (c) and (d) of the first subparagraph, the different models of industrial relations, including the role and autonomy of social partners, as provided for in the law or national practices of a Party, shall continue to apply, including laws and practices concerning collective bargaining and the enforcement of collective agreements.
4.   Regulatory measures shall not constitute a disguised barrier to trade.
Article 341
Definitions
For the purposes of this Title, the following definitions apply:
(a)
"regulatory authority" means:
(i)
for the Union, the European Commission; and
(ii)
for the United Kingdom, Her Majesty's Government of the United Kingdom of Great Britain and Northern Ireland, and the devolved administrations of the United Kingdom.
(b)
"regulatory measures" means:
(i)
for the Union:
(A)
regulations and directives, as provided for in Article 288 TFEU; and
(B)
implementing and delegated acts, as provided for in Articles 290 and 291 TFEU, respectively; and
(ii)
for the United Kingdom:
(A)
primary legislation; and
(B)
secondary legislation.
Article 342
Scope
1.   This Title applies to regulatory measures proposed or issued, as relevant, by the regulatory authority of each Party in respect of any matter covered by Titles I to IX, Title XI and Title XII of this Heading and Heading Six.
2.   Articles 351 and 352 also apply to other measures of general application issued or proposed by the regulatory authority of a Party in respect of any matter covered by the Titles referred to in paragraph 1 of this Article which are relevant to regulatory cooperation activities, such as guidelines, policy documents or recommendations.
3.   This Title does not apply to regulatory authorities and regulatory measures, regulatory practices or approaches of the Member States.
4.   Any specific provisions in the Titles referred to in paragraph 1 of this Article shall prevail over the provisions of this Title to the extent necessary for the application of the specific provisions.
Article 343
Internal coordination
Each Party shall have in place internal coordination or review processes or mechanisms with respect to regulatory measures that its regulatory authority is preparing. Such processes or mechanisms should seek, inter alia, to:
(a)
foster good regulatory practices, including those set forth in this Title;
(b)
identify and avoid unnecessary duplication and inconsistent requirements between the Party's own regulatory measures;
(c)
ensure compliance with the Party's international trade and investment obligations; and
(d)
promote the consideration of the impact of the regulatory measures under preparation, including the impact on small and medium-sized enterprises 
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, in accordance with its respective rules and procedures.
Article 344
Description of processes and mechanisms
Each Party shall make publicly available descriptions of the processes or mechanisms used by its regulatory authority to prepare, evaluate or review regulatory measures. Those descriptions shall refer to relevant rules, guidelines or procedures, including those regarding opportunities for the public to provide comments.
Article 345
Early information on planned regulatory measures
1.   Each Party shall make publicly available, in accordance with its respective rules and procedures on at least an annual basis, a list of planned major 
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 regulatory measures that its regulatory authority reasonably expects to propose or adopt within a year. The regulatory authority of each Party may determine what constitutes a major regulatory measure for the purposes of its obligations under this Title.
2.   With respect to each major regulatory measure included in the list referred to in paragraph 1, each Party should also make publicly available, as early as possible:
(a)
a brief description of its scope and objectives; and
(b)
if available, the estimated time for its adoption, including any opportunities for public consultation.
Article 346
Public consultation
1.   When preparing a major regulatory measure, each Party, in accordance with its respective rules and procedures, shall ensure that its regulatory authority:
(a)
publishes either the draft regulatory measure or consultation documents providing sufficient details about the regulatory measure under preparation to allow any person to assess whether and how that person's interests might be significantly affected;
(b)
offers, on a non-discriminatory basis, reasonable opportunities for any person to provide comments; and
(c)
considers the comments received.
2.   Each Party shall ensure that its regulatory authority makes use of electronic means of communication and shall seek to maintain online services that are available to the public free of charge for the purposes of publishing the relevant regulatory measures or documents of the kind referred to in point (a) of paragraph 1 and of receiving comments related to public consultations.
3.   Each Party shall ensure that its regulatory authority makes publicly available, in accordance with its respective rules and procedures, a summary of the results of the public consultations referred to in this Article.
Article 347
Impact assessment
1.   Each Party affirms its intention to ensure that its regulatory authority carries out, in accordance with its respective rules and procedures, impact assessments for any major regulatory measures it prepares. Such rules and procedures may provide for exceptions.
2.   When carrying out an impact assessment, each Party shall ensure that its regulatory authority has processes and mechanisms in place that promote the consideration of the following factors:
(a)
the need for the regulatory measure, including the nature and the significance of the problem that the regulatory measure intends to address;
(b)
any feasible and appropriate regulatory or non-regulatory options that would achieve the Party's public policy objectives, including the option of not regulating;
(c)
to the extent possible and relevant, the potential social, economic and environmental impact of those options, including the impact on international trade and investment and, in accordance with its respective rules and procedures, the impact on small and medium-sized enterprises; and
(d)
where appropriate, how the options under consideration relate to relevant international standards, including the reasons for any divergence.
3.   With respect to an impact assessment that a regulatory authority has conducted for a regulatory measure, each Party shall ensure that its regulatory authority prepares a final report detailing the factors it considered in its assessment and its relevant findings. To the extent possible, each Party shall make such reports publicly available no later than when the proposal for a regulatory measure as referred to in point (b)(i)(A) or (b)(ii)(A) of Article 341 or a regulatory measure as referred to in point (b)(i)(B) or (b)(ii)(B) of that Article has been made publicly available.
Article 348
Retrospective evaluation
1.   Each Party shall ensure that its regulatory authority has in place processes or mechanisms for the purpose of carrying out periodic retrospective evaluations of regulatory measures in force, where appropriate.
2.   When conducting a periodic retrospective evaluation, each Party shall endeavour to consider whether there are opportunities to more effectively achieve its public policy objectives and to reduce unnecessary regulatory burdens, including on small and medium-sized enterprises.
3.   Each Party shall ensure that its regulatory authority makes publicly available any existing plans for and the results of such retrospective evaluations.
Article 349
Regulatory register
Each Party shall ensure that regulatory measures that are in effect are published in a designated register that identifies regulatory measures and that is publicly available online free of charge. The register should allow searches for regulatory measures by citations or by word. Each Party shall periodically update its register.
Article 350
Exchange of information on good regulatory practices
The Parties shall endeavour to exchange information on their good regulatory practices as set out in this Title, including in the Trade Specialised Committee on Regulatory Cooperation.
Article 351
Regulatory cooperation activities
1.   The Parties may engage in regulatory cooperation activities on a voluntary basis, without prejudice to the autonomy of their own decision-making and their respective legal orders. A Party may refuse to engage in or it may withdraw from regulatory cooperation activities. A Party that refuses to engage in or that withdraws from regulatory cooperation activities should explain the reasons for its decision to the other Party.
2.   Each Party may propose a regulatory cooperation activity to the other Party. It shall present its proposal via the contact point designated in accordance with Article 353. The other Party shall review that proposal within a reasonable period and shall inform the proposing Party whether it considers the proposed activity to be suitable for regulatory cooperation.
3.   In order to identify activities that are suitable for regulatory cooperation, each Party shall consider:
(a)
the list referred to in Article 345(1); and
(b)
proposals for regulatory cooperation activities submitted by persons of a Party that are substantiated and accompanied by relevant information.
4.   If the Parties decide to engage in a regulatory cooperation activity, the regulatory authority of each Party shall endeavour, where appropriate:
(a)
to inform the regulatory authority of the other Party about the preparation of new or the revision of existing regulatory measures and other measures of general application referred to in Article 342(2) that are relevant to the regulatory cooperation activity;
(b)
on request, to provide information and discuss regulatory measures and other measures of general application referred to in Article 342(2) that are relevant to the regulatory cooperation activity; and
(c)
when preparing new or revising existing regulatory measures or other measures of general application referred to in Article 342(2), consider, to the extent feasible, any regulatory approach by the other Party on the same or a related matter.
Article 352
Trade Specialised Committee on Regulatory Cooperation
1.   The Trade Specialised Committee on Regulatory Cooperation shall have the following functions:
(a)
enhancing and promoting good regulatory practices and regulatory cooperation between the Parties;
(b)
exchanging views with respect to the cooperation activities proposed or carried out under Article 351;
(c)
encouraging regulatory cooperation and coordination in international fora, including, when appropriate, periodic bilateral exchanges of information on relevant ongoing or planned activities.
2.   The Trade Specialised Committee on Regulatory Cooperation may invite interested persons to participate in its meetings.
Article 353
Contact points
Within a month after the entry into force of this Agreement, each Party shall designate a contact point to facilitate the exchange of information between the Parties.
Article 354
Non-application of dispute settlement
Title I of Part Six does not apply in respect of disputes regarding the interpretation and application of this Title.
TITLE XI
LEVEL PLAYING FIELD FOR OPEN AND FAIR COMPETITION AND SUSTAINABLE DEVELOPMENT
CHAPTER 1
GENERAL PROVISIONS
Article 355
Principles and objectives
1.   The Parties recognise that trade and investment between the Union and the United Kingdom under the terms set out in this Agreement, require conditions that ensure a level playing field for open and fair competition between the Parties and that ensure that trade and investment take place in a manner conducive to sustainable development.
2.   The Parties recognise that sustainable development encompasses economic development, social development and environmental protection, all three being interdependent and mutually reinforcing, and affirm their commitment to promoting the development of international trade and investment in a way that contributes to the objective of sustainable development.
3.   Each Party reaffirms its ambition of achieving economy-wide climate neutrality by 2050.
4.   The Parties affirm their common understanding that their economic relationship can only deliver benefits in a mutually satisfactory way if the commitments relating to a level playing field for open and fair competition stand the test of time, by preventing distortions of trade or investment, and by contributing to sustainable development. However the Parties recognise that the purpose of this Title is not to harmonise the standards of the Parties. The Parties are determined to maintain and improve their respective high standards in the areas covered by this Title.
Article 356
Right to regulate, precautionary approach 
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 and scientific and technical information
1.   The Parties affirm the right of each Party to set its policies and priorities in the areas covered by this Title, to determine the levels of protection it deems appropriate and to adopt or modify its law and policies in a manner consistent with each Party's international commitments, including its commitments under this Title.
2.   The Parties acknowledge that, in accordance with the precautionary approach, where there are reasonable grounds for concern that there are potential threats of serious or irreversible damage to the environment or human health, the lack of full scientific certainty shall not be used as a reason for preventing a Party from adopting appropriate measures to prevent such damage.
3.   When preparing or implementing measures aimed at protecting the environment or labour conditions that may affect trade or investment, each Party shall take into account relevant and available scientific and technical information, international standards, guidelines and recommendations.
Article 357
Dispute settlement
Title I of Part Six does not apply to this Chapter, except for Article 356(2). Articles 408 and 409 apply to Article 355(3).
CHAPTER 2
COMPETITION POLICY
Article 358
Principles and definitions
1.   The Parties recognise the importance of free and undistorted competition in their trade and investment relations. The Parties acknowledge that anticompetitive business practices may distort the proper functioning of markets and undermine the benefits of trade liberalisation.
2.   For the purposes of this Chapter, an "economic actor" means an entity or a group of entities constituting a single economic entity, regardless of its legal status, that is engaged in an economic activity by offering goods or services on a market.
Article 359
Competition law
1.   In recognition of the principles set out in Article 358, each Party shall maintain a competition law which effectively addresses the following anticompetitive business practices:
(a)
agreements between economic actors, decisions by associations of economic actors and concerted practices which have as their object or effect the prevention, restriction or distortion of competition;
(b)
abuse by one or more economic actors of a dominant position; and
(c)
for the United Kingdom, mergers or acquisitions and, for the Union, concentrations, between economic actors which may have significant anticompetitive effects.
2.   The competition law referred to in paragraph 1 shall apply to all economic actors irrespective of their nationality or ownership status.
3.   Each Party may provide for exemptions from its competition law in pursuit of legitimate public policy objectives, provided that those exemptions are transparent and are proportionate to those objectives.
Article 360
Enforcement
1.   Each Party shall take appropriate measures to enforce its competition law in its territory.
2.   Each Party shall maintain an operationally independent authority or authorities competent for the effective enforcement of its competition law.
3.   Each Party shall apply its competition law in a transparent and non-discriminatory manner, respecting the principles of procedural fairness, including the rights of defence of the economic actors concerned, irrespective of their nationality or ownership status.
Article 361
Cooperation
1.   To achieve the objectives of this Chapter and to enhance the effective enforcement of their respective competition law, the Parties recognise the importance of cooperation between their respective competition authorities with regard to developments in competition policy and enforcement activities.
2.   For the purposes of paragraph 1, the European Commission or the competition authorities of the Member States, on the one side, and the United Kingdom's competition authority or authorities, on the other side, shall endeavour to cooperate and coordinate, with respect to their enforcement activities concerning the same or related conduct or transactions, where doing so is possible and appropriate.
3.   To facilitate the cooperation and coordination referred to in paragraphs 1 and 2, the European Commission and the competition authorities of the Member States, on the one side, and the United Kingdom's competition authority or authorities, on the other side, may exchange information to the extent permitted by each Party's law.
4.   To implement the objectives of this Article, the Parties may enter into a separate agreement on cooperation and coordination between the European Commission, the competition authorities of the Member States and the United Kingdom's competition authority or authorities, which may include conditions for the exchange and use of confidential information.
Article 362
Dispute settlement
This Chapter shall not be subject to dispute settlement under Title I of Part Six.
CHAPTER 3
SUBSIDY CONTROL
Article 363
Definitions
1.   For the purposes of this Chapter, the following definitions apply:
(a)
"economic actor" means an entity or a group of entities constituting a single economic entity, regardless of its legal status, that is engaged in an economic activity by offering goods or services on a market;
(b)
"subsidy" means financial assistance which:
(i)
arises from the resources of the Parties, including:
(A)
a direct or contingent transfer of funds such as direct grants, loans or loan guarantees;
(B)
the forgoing of revenue that is otherwise due; or
(C)
the provision of goods or services, or the purchase of goods or services;
(ii)
confers an economic advantage on one or more economic actors;
(iii)
is specific insofar as it benefits, as a matter of law or fact, certain economic actors over others in relation to the production of certain goods or services; and
(iv)
has, or could have, an effect on trade or investment between the Parties.
2.   For the purposes of point (b)(iii) of paragraph 1:
(a)
a tax measure shall not be considered as specific unless:
(i)
certain economic actors obtain a reduction in the tax liability that they otherwise would have borne under the normal taxation regime; and
(ii)
those economic actors are treated more advantageously than others in a comparable position within the normal taxation regime; for the purposes of this point, a normal taxation regime is defined by its internal objective, by its features (such as the tax base, the taxable person, the taxable event or the tax rate) and by an authority which is autonomous institutionally, procedurally, economically and financially and has the competence to design the features of the taxation regime;
(b)
notwithstanding point (a), a subsidy shall not be regarded as specific if it is justified by principles inherent to the design of the general system; in the case of tax measures, examples of such inherent principles are the need to fight fraud or tax evasion, administrative manageability, the avoidance of double taxation, the principle of tax neutrality, the progressive nature of income tax and its redistributive purpose, or the need to respect taxpayers' ability to pay;
(c)
notwithstanding point (a), special purpose levies shall not be regarded as specific if their design is required by non-economic public policy objectives, such as the need to limit the negative impacts of certain activities or products on the environment or human health, insofar as the public policy objectives are not discriminatory 
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.
Article 364
Scope and exceptions
1.   Articles 366, 367 and 374 do not apply to subsidies granted to compensate the damage caused by natural disasters or other exceptional non-economic occurrences.
2.   Nothing in this Chapter prevents the Parties from granting subsidies of a social character that are targeted at final consumers.
3.   Subsidies that are granted on a temporary basis to respond to a national or global economic emergency shall be targeted, proportionate and effective in order to remedy that emergency. Articles 367 and 374 do not apply to such subsidies.
4.   This Chapter does not apply to subsidies where the total amount granted to a single economic actor is below 325 000 Special Drawing Rights over any period of three fiscal years. The Partnership Council may amend this threshold.
5.   This Chapter does not apply to subsidies that are subject to the provisions of Part IV or Annex 2 of the Agreement on Agriculture and subsidies related to trade in fish and fish products.
6.   This Chapter does not apply to subsidies related to the audio-visual sector.
7.   Article 371 does not apply to subsidies financed by resources of a Party at supranational level.
8.   For the purposes of subsidies to air carriers, any reference to "effect on trade or investment between the Parties" in this Chapter shall be read as "effect on competition between air carriers of the Parties in the provision of air transport services", including those air transport services not covered under Title I of Heading Two.
Article 365
Services of public economic interest
1.   Subsidies granted to economic actors assigned with particular tasks in the public interest, including public service obligations, are subject to Article 366 insofar as the application of the principles set out in that Article does not obstruct the performance in law or fact of the particular task assigned to the economic actor concerned. The task shall be assigned in advance in a transparent manner.
2.   The Parties shall ensure that the amount of compensation granted to an economic actor that is assigned with a task in the public interest is limited to what is necessary to cover all or part of the costs incurred in the discharge of that task, taking into account the relevant receipts and a reasonable profit for discharging that task. The Parties shall ensure that the compensation granted is not used to cross-subsidise activities falling outside the scope of the assigned task. Compensation below 15 million Special Drawing Rights per task shall not be subject to the obligations under Article 369. The Partnership Council may amend this threshold.
3.   This Chapter does not apply where the total compensation to an economic actor providing tasks in the public interest is below 750 000 Special Drawing Rights over any period of three fiscal years. The Partnership Council may amend this threshold.
Article 366
Principles
1.   With a view to ensuring that subsidies are not granted where they have or could have a material effect on trade or investment between the Parties, each Party shall have in place and maintain an effective system of subsidy control that ensures that the granting of a subsidy respects the following principles:
(a)
subsidies pursue a specific public policy objective to remedy an identified market failure or to address an equity rationale such as social difficulties or distributional concerns ("the objective");
(b)
subsidies are proportionate and limited to what is necessary to achieve the objective;
(c)
subsidies are designed to bring about a change of economic behaviour of the beneficiary that is conducive to achieving the objective and that would not be achieved in the absence of subsidies being provided;
(d)
subsidies should not normally compensate for the costs the beneficiary would have funded in the absence of any subsidy;
(e)
subsidies are an appropriate policy instrument to achieve a public policy objective and that objective cannot be achieved through other less distortive means;
(f)
subsidies' positive contributions to achieving the objective outweigh any negative effects, in particular the negative effects on trade or investment between the Parties.
2.   Without prejudice to paragraph 1 of this Article, each Party shall apply the conditions set out in Article 367, where relevant, if the subsidies concerned have or could have a material effect on trade or investment between the Parties.
3.   It is for each Party to determine how its obligations under paragraphs 1 and 2 are implemented in the design of its subsidy control system in its own domestic law, provided that each Party shall ensure that the obligations under paragraphs 1 and 2 are implemented in its law in such a manner that the legality of an individual subsidy will be determined by the principles.
Article 367
Prohibited subsidies and subsidies subject to conditions
1.   The categories of the subsidies referred to in Article 366(2) and the conditions to be applied to them are as follows. The Partnership Council may update these provisions as necessary to ensure the operation of this Article over time.
Subsidies in the form of unlimited guarantees
2.   Subsidies in the form of a guarantee of debts or liabilities of an economic actor without any limitation as to the amount of those debts and liabilities or the duration of that guarantee shall be prohibited.
Rescue and restructuring
3.   Subsidies for restructuring an ailing or insolvent economic actor without the economic actor having prepared a credible restructuring plan shall be prohibited. The restructuring plan shall be based on realistic assumptions with a view to ensuring the return to long-term viability of the ailing or insolvent economic actor within a reasonable time period. During the preparation of the restructuring plan, the economic actor may receive temporary liquidity support in the form of loans or loan guarantees. Except for small and medium-sized enterprises, an economic actor or its owners, creditors or new investors shall contribute significant funds or assets to the cost of restructuring. For the purposes of this paragraph, an ailing or insolvent economic actor is one that would almost certainly go out of business in the short to medium term without the subsidy.
4.   Other than in exceptional circumstances, subsidies for the rescue and restructuring of insolvent or ailing economic actors should only be allowed if they contribute to an objective of public interest by avoiding social hardship or preventing a severe market failure, in particular with regard to job losses or disruption of an important service that is difficult to replicate. Except in the case of unforeseeable circumstances not caused by the beneficiary, they should not be granted more than once in any five year period.
5.   Paragraphs 3 and 4 do not apply to subsidies to ailing or insolvent banks, credit institutions and insurance companies.
Banks, credit institutions and insurance companies
6.   Without prejudice to Article 184, subsidies to restructure banks, credit institutions and insurance companies may only be granted on the basis of a credible restructuring plan that restores long-term viability. If a return to long-term viability cannot be credibly demonstrated, any subsidy to banks, credit institutions and insurance companies shall be limited to what is needed to ensure their orderly liquidation and exit from the market while minimising the amount of the subsidy and its negative effect on trade or investment between the Parties.
7.   It shall be ensured that the granting authority is properly remunerated for the restructuring subsidy and that the beneficiary, its shareholders, its creditors or the business group to which the beneficiary belongs, contribute significantly to the restructuring or liquidation costs from their own resources. Subsidies to support liquidity provisions shall be temporary, shall not be used to absorb losses and shall not become capital support. Proper remuneration shall be paid to the granting authority for the subsidies granted to support liquidity provisions.
Export subsidies
8.   Subsidies that are contingent in law or in fact 
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, whether solely or as one of several other conditions, upon export performance relating to goods or services, shall be prohibited, except in relation to:
(a)
short-term credit insurance for non-marketable risks; or
(b)
export credits and export credit guarantee or insurance programmes that are permissible in accordance with the SCM Agreement, read with any adjustments necessary for context.
9.   For the purposes of point (a) of paragraph 8, "marketable risk" means commercial and political risks with a maximum risk period of less than two years on public and non-public buyers in marketable risk countries 
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. A country may be understood to be temporarily removed from the group of marketable risk countries if there is a lack of sufficient private market capacity because of:
(a)
a significant contraction of private credit insurance capacity;
(b)
a significant deterioration of sovereign sector rating; or
(c)
a significant deterioration of corporate sector performance.
10.   Such temporary removal of a marketable risk country shall take effect, as far as a Party is concerned, in accordance with a decision of that Party on the basis of the criteria in paragraph 9, and only if that Party adopts such a decision. The publication of that decision shall be deemed to constitute notice to the other Party of such temporary removal as far as the former Party is concerned.
11.   If a subsidised insurer provides export credit insurance, any insurance for marketable risks shall be provided on a commercial basis. In such a case, the insurer shall not directly or indirectly benefit from subsidies for the provision of insurance for marketable risks.
Subsidies contingent upon the use of domestic content
12.   Without prejudice to Articles 132 and 133, subsidies contingent, whether solely or as one of several other conditions, upon the use of domestic over imported goods or services shall be prohibited.
Large cross-border or international cooperation projects
13.   Subsidies may be granted in the context of large cross-border or international cooperation projects, such as those for transport, energy, the environment, research and development, and first deployment projects to incentivise the emergence and deployment of new technologies (excluding manufacturing). The benefits of such cross-border or international cooperation projects must not be limited to the economic actors or to the sector or the States participating, but must have wider benefit and relevance through spillover effects that do not exclusively accrue to the State that grants the subsidy, the relevant sector and beneficiary.
Energy and environment
14.   The Parties recognise the importance of a secure, affordable and sustainable energy system and environmental sustainability, notably in relation to the fight against climate change which represents an existential threat to humanity. Therefore, without prejudice to Article 366, subsidies in relation to energy and environment shall be aimed at, and incentivise the beneficiary in, delivering a secure, affordable and sustainable energy system and a well-functioning and competitive energy market or increasing the level of environmental protection compared to the level that would be achieved in absence of the subsidy. Such subsidies shall not relieve the beneficiary from liabilities arising from its responsibilities as a polluter under the law of the relevant Party.
Subsidies to air carriers for the operation of routes
15.   Subsidies shall not be granted to an air carrier 
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 for the operation of routes except:
(a)
where there is a public service obligation, in accordance with Article 365;
(b)
in special cases where this funding provides benefits for society at large; or
(c)
as start-up subsidies for opening new routes to regional airports provided that such subsidies increase the mobility of citizens and stimulate regional development.
Article 368
Use of subsidies
Each Party shall ensure that economic actors use subsidies only for the specific purpose for which they are granted.
Article 369
Transparency
1.   With respect to any subsidy granted or maintained within its territory, each Party shall within six months from the granting of the subsidy make publicly available, on an official website or a public database, the following information:
(a)
the legal basis and policy objective or purpose of the subsidy;
(b)
the name of the recipient of the subsidy when available;
(c)
the date of the grant of the subsidy, the duration of the subsidy and any other time limits attached to the subsidy; and
(d)
the amount of the subsidy or the amount budgeted for the subsidy.
2.   For subsidies in the form of tax measures, information shall be made public within one year from the date the tax declaration is due. The transparency obligations for subsidies in the form of tax measures concern the same information as listed in paragraph 1, except for the information required under point (d) of that paragraph, which may be provided as a range.
3.   In addition to the obligation set out in paragraph 1, the Parties shall make subsidy information available in accordance with paragraph 4 or 5.
4.   For the Union, compliance with paragraph 3 of this Article means that with respect to any subsidy granted or maintained within its territory, within six months from the grant of the subsidy, information is made publicly available, on an official website or a public database, that allows interested parties to assess compliance with the principles set out in Article 366.
5.   For the United Kingdom, compliance with paragraph 3 means that the United Kingdom shall ensure that:
(a)
if an interested party communicates to the granting authority that it may apply for a review by a court or tribunal of:
(i)
the grant of a subsidy by a granting authority; or
(ii)
any relevant decision by the granting authority or the independent body or authority;
(b)
then, within 28 days of the request being made in writing, the granting authority, independent body or authority shall provide that interested party with the information that allows the interested party to assess the application of the principles set out in Article 366, subject to any proportionate restrictions which pursue a legitimate objective, such as commercial sensitivity, confidentiality or legal privilege.
The information referred to in point (b) of the first subparagraph shall be provided to the interested party for the purposes of enabling it to make an informed decision as to whether to make a claim or to understand and properly identify the issues in dispute in the proposed claim.
6.   For the purposes of this Article and Articles 372 and 373, "interested party" means any natural or legal person, economic actor or association of economic actors whose interest might be affected by the granting of a subsidy, in particular the beneficiary, economic actors competing with the beneficiary or relevant trade associations.
7.   The obligations in this Article are without prejudice to the obligations of the Parties under their respective laws concerning the freedom of information or access to documents.
Article 370
Consultations on subsidy control
1.   If a Party considers that a subsidy has been granted by the other Party or that there is clear evidence that the other Party intends to grant a subsidy and that the granting of the subsidy has or could have a negative effect on trade or investment between the Parties, it may request to the other Party to provide an explanation of how the principles set out in Article 366 have been respected with regard to that subsidy.
2.   A Party may also request the information listed in Article 369(1) to the extent that the information has not already been made publicly available on an official website or a public database as referred to in Article 369(1), or to the extent that the information has not been made available in an easily and readily accessible manner.
3.   The other Party shall provide the requested information in writing no later than 60 days of the receipt of the request. If any requested information cannot be provided, that Party shall explain the absence of such information in its written response.
4.   If after receiving the information requested, the requesting Party still considers that the subsidy granted or intended to be granted by the other Party has or could have a negative effect on trade or investment between the Parties, the requesting Party may request consultations within the Trade Specialised Committee on Level Playing Field for Open and Fair Competition and Sustainable Development. The request shall be in writing and shall include an explanation of the requesting Party's reasons for requesting the consultation.
5.   The Trade Specialised Committee on Level Playing Field for Open and Fair Competition and Sustainable Development shall make every attempt to arrive at a mutually satisfactory resolution of the matter. It shall hold its first meeting within 30 days of the request for consultation.
6.   The timeframes for the consultations referred to in paragraphs 3 and 5 may be extended by agreement between the Parties.
Article 371
Independent authority or body and cooperation
1.   Each Party shall establish or maintain an operationally independent authority or body with an appropriate role in its subsidy control regime. That independent authority or body shall have the necessary guarantees of independence in exercising its operational functions and shall act impartially.
2.   The Parties shall encourage their respective independent authorities or bodies to cooperate with each other on issues of common interest within their respective functions, including the application of Articles 363 to 369 as applicable, within the limits established by their respective legal frameworks. The Parties, or their respective independent authorities or bodies, may agree upon a separate framework regarding cooperation between those independent authorities.
Article 372
Courts and tribunals
1.   Each Party shall ensure, in accordance with its general and constitutional laws and procedures, that its courts or tribunals are competent to:
(a)
review subsidy decisions taken by a granting authority or, where relevant, the independent authority or body for compliance with that Party's law implementing Article 366;
(b)
review any other relevant decisions of the independent authority or body and any relevant failure to act;
(c)
impose remedies that are effective in relation to point (a) or (b), including the suspension, prohibition or requirement of action by the granting authority, the award of damages, and the recovery of a subsidy from its beneficiary, if and to the extent that those remedies are available under the respective laws on the date of entry into force of this Agreement;
(d)
hear claims from interested parties in respect of subsidies that are subject to this Chapter where an interested party has standing to bring a claim in respect of a subsidy under that Party's law.
2.   Each Party shall have the right to intervene with the permission, where required, of the court or tribunal concerned, in accordance with the general laws and procedures of the other Party in cases referred to in paragraph 1.
3.   Without prejudice to the obligations to maintain or, where necessary, to create the competencies, remedies and rights of intervention referred to in paragraphs 1 and 2 of this Article, and Article 373, nothing in this Article requires either Party to create rights of action, remedies, procedures, or widen the scope or grounds of review of decisions of their respective public authorities, beyond those existing under its law on the date of entry into force of this Agreement.
4.   Nothing in this Article requires either Party to widen the scope or grounds of review by its courts and tribunals of Acts of the United Kingdom Parliament, of acts of the European Parliament and the Council of the European Union, or of acts of the Council of the European Union beyond those existing under its law on the date of entry into force of this Agreement. 
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Article 373
Recovery
1.   Each Party shall have in place an effective mechanism of recovery in respect of subsidies in accordance with the following provisions, without prejudice to other remedies that exist in that Party's law. 
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2.   Each Party shall ensure that, provided that the interested party as defined in Article 369 has challenged a decision to grant a subsidy before a court or a tribunal within the specified time period, as defined in paragraph 3 of this Article, recovery may be ordered if a court or tribunal of a Party makes a finding of a material error of law, in that:
(a)
a measure constituting a subsidy was not treated by the grantor as a subsidy;
(b)
the grantor of a subsidy has failed to apply the principles set out in Article 366, as implemented in that Party's law, or applied them in a manner which falls below the standard of review applicable in that Party's law; or
(c)
the grantor of a subsidy has, by deciding to grant that subsidy, acted outside the scope of its powers or misused those powers in relation to the principles set out in Article 366, as implemented in that Party's law.
3.   For the purposes of this Article, the specified time period shall be determined as follows:
(a)
for the Union, it shall commence on the date on which information specified in Article 369(1), (2) and (4) was made available on the official website or public database and be no shorter than one month.
(b)
for the United Kingdom:
(i)
it shall commence on the date on which information specified in Article 369(1) and (2) was made available on the official website or public database;
(ii)
it shall terminate one month later, unless, prior to that date, the interested party has requested information under the process specified in Article 369(5);
(iii)
once the interested party has received the information identified in point (b) of Article 369(5) sufficient for the purposes identified in Article 369(5), there shall be a further one month period at the end of which the specified time period shall terminate;
(iv)
the date of receipt of the information in point (iii) will be the date on which the granting authority certifies that it has provided the information identified in point (b) of Article 369(5) sufficient for those purposes, irrespective of further or clarificatory correspondence after that date;
(v)
the time periods identified in points (i), (ii) and (iii) may be increased by legislation.
4.   For the purposes of point (b) of paragraph 3 in relation to schemes, the specified time period commences when the information under point (b) of this paragraph is published, not when subsequent payments are made, where:
(a)
a subsidy is ostensibly granted in accordance with the terms of a scheme;
(b)
the maker of the scheme has made publicly available the information required to be published by Article 369(1) and (2) in respect of the scheme; and
(c)
the information provided about the scheme under point (b) of this paragraph contains information about the subsidy that would enable an interested party to determine whether it may be affected by the scheme, which at a minimum shall cover the purpose of the subsidy, the categories of beneficiary, the terms and conditions of eligibility for the subsidy and the basis for the calculation of the subsidy (including any relevant conditions relating to subsidy ratios or amounts).
5.   For the purposes of this Article, recovery of a subsidy is not required where a subsidy is granted on the basis of an Act of the Parliament of the United Kingdom, of an act of the European Parliament and of the Council of the European Union or of an act of the Council of the European Union.
6.   Nothing in this Article prevents a Party from choosing to provide additional situations where recovery is a remedy, beyond those specified in this Article, in accordance with its law.
7.   The Parties recognise that recovery is an important remedial tool in any system of subsidy control. At the request of either Party, the Parties shall within the Partnership Council consider additional or alternative mechanisms for recovery, as well as corresponding amendments to this Article. Within the Partnership Council, either Party may propose amendments to allow for different arrangements for their respective mechanisms for recovery. A Party shall consider a proposal made by the other Party in good faith and agree to it, provided that that Party considers that it contains arrangements which represent at least as effective a means of securing recovery as the existing mechanisms of the other Party. The Partnership Council may then make corresponding amendments to this Article. 
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Article 374
Remedial measures
1.   A Party may deliver to the other Party a written request for information and consultations regarding a subsidy that it considers causes, or there is a serious risk that it will cause, a significant negative effect on trade or investment between the Parties. The requesting Party should provide in that request all relevant information to enable the Parties to find a mutually acceptable solution, including a description of the subsidy and the concerns of the requesting Party regarding its effect on trade or investment.
2.   No later than 30 days from the date of delivery of the request, the requested Party shall deliver a written response providing the requested information to the requesting Party, and the Parties shall enter into consultations, which shall be deemed concluded 60 days from the date of delivery of that request, unless the Parties agree otherwise. Such consultations, and in particular all information designated as confidential and positions taken by the Parties during consultations, shall be confidential and shall be without prejudice to the rights of either Party in any further proceedings.
3.   No earlier than 60 days from the date of delivery of the request referred to in paragraph 1, the requesting Party may unilaterally take appropriate remedial measures if there is evidence that a subsidy of the requested Party causes, or there is a serious risk that it will cause, a significant negative effect on trade or investment between the Parties.
4.   No earlier than 45 days from the date of delivery of the request referred to in paragraph 1, the requesting Party shall notify the requested Party of the remedial measures that it intends to take in accordance with paragraph 3. The requesting Party shall provide all relevant information in relation to the measures that it intends to take to enable the Parties to find a mutually acceptable solution. The requesting Party may not take those remedial measures earlier than 15 days from the date of delivery of the notification of those measures to the requested Party.
5.   A Party's assessment of the existence of a serious risk of a significant negative effect shall be based on facts and not merely on allegation, conjecture or remote possibility. The change in circumstances that would create a situation in which the subsidy would cause such a significant negative effect must be clearly predictable.
6.   A Party's assessment of the existence of a subsidy or of a significant negative effect on trade or investment between the Parties caused by the subsidy shall be based on reliable evidence and not merely on conjecture or remote possibility, and shall relate to identifiable goods, service suppliers or other economic actors, including, if relevant, in the case of subsidy schemes.
7.   The Partnership Council may maintain an illustrative list of what would amount to a significant negative effect on trade or investment between the Parties within the meaning of this Article. This shall be without prejudice to the right of the Parties to take remedial measures.
8.   The remedial measures taken pursuant to paragraph 3 shall be restricted to what is strictly necessary and proportionate in order to remedy the significant negative effect caused or to address the serious risk of such an effect. Priority shall be given to measures that will least disturb the functioning of this Agreement.
9.   Within five days from the date on which the remedial measures referred to in paragraph 3 enter into effect and without having prior recourse to consultations in accordance with Article 738, the notified Party may request, in accordance with Article 739(2), the establishment of an arbitration tribunal by means of a written request delivered to the requesting Party in order for the arbitration tribunal to decide whether:
(a)
a remedial measure taken by the requesting Party is inconsistent with paragraph 3 or 8;
(b)
the requesting Party did not participate in the consultations after the requested Party delivered the requested information and agreed to the holding of such consultations; or
(c)
there was a failure to take or notify a remedial measure in accordance with the time periods referred to in paragraph 3 or 4 respectively.
That request shall not have a suspensive effect on the remedial measures. Furthermore, the arbitration tribunal shall not assess the application by the Parties of Articles 366 and 367.
10.   The arbitration tribunal established following the request referred to in paragraph 9 of this Article shall conduct its proceedings in accordance with Article 760 and deliver its final ruling within 30 days from its establishment.
11.   In the case of a finding against the respondent Party, the respondent Party shall, at the latest 30 days from the date of delivery of the ruling of the arbitration tribunal, deliver a notification to the complaining Party of any measure that it has taken to comply with that ruling.
12.   Following a finding against the respondent Party in the procedure referred to paragraph 10 of this Article, the complaining Party may request the arbitration tribunal, within 30 days from its ruling, to determine a level of suspension of obligations under this Agreement or a supplementing agreement not exceeding the level equivalent to the nullification or impairment caused by the application of the remedial measures, if it finds that the inconsistency of the remedial measures with paragraph 3 or 8 of this Article is significant. The request shall propose a level of suspension of obligations in accordance with the principles set out in Article 761. The complaining Party may suspend obligations under this Agreement or a supplementing agreement in accordance with the level of suspension of obligations determined by the arbitration tribunal. Such suspension shall not be applied sooner than 15 days following such ruling.
13.   A Party shall not invoke the WTO Agreement or any other international agreement to preclude the other Party from taking measures pursuant to this Article, including where those measures consist in the suspension of obligations under this Agreement or under a supplementing agreement.
14.   For the purposes of assessing whether imposing or maintaining remedial measures on imports of the same product is restricted to what is strictly necessary or proportionate for the purposes of this Article, a Party:
(a)
shall take into account countervailing measures applied or maintained pursuant to Article 32(3); and
(b)
may take into account anti-dumping measures applied or maintained pursuant to Article 32(3).
15.   A Party shall not apply simultaneously a remedial measure under this Article and a rebalancing measure under Article 411 to remedy the impact on trade or investment caused directly by the same subsidy.
16.   If the Party against which remedial measures were taken does not submit a request pursuant to paragraph 9 of this Article within the time period laid down in that paragraph, that Party may initiate the arbitration procedure referred to in Article 739 to challenge a remedial measure on the grounds set out in paragraph 9 of this Article without having prior recourse to consultations in accordance with Article 738. An arbitration tribunal shall treat the issue as a case of urgency for the purpose of Article 744.
17.   For the purposes of the proceedings under paragraphs 9 and 16, in assessing whether a remedial measure is strictly necessary or proportionate, the arbitration tribunal shall pay due regard to the principles set out in paragraphs 5 and 6, as well as to paragraphs 13, 14 and 15.
Article 375
Dispute settlement
1.   Subject to paragraphs 2 and 3 of this Article, Title I of Part Six applies to disputes between the Parties concerning the interpretation and application of this Chapter, except for Articles 371 and 372.
2.   An arbitration tribunal shall have no jurisdiction regarding:
(a)
an individual subsidy, including whether such a subsidy has respected the principles set out in Article 366(1), other than with regard to the conditions set out in Article 367(2), Article 367(3), (4) and (5), Article 367(8) to (11) and Article 367(12); and
(b)
whether the recovery remedy within the meaning of Article 373 has been correctly applied in any individual case.
3.   Title I of Part Six shall apply to Article 374 in accordance with that Article and Article 760.
CHAPTER 4
STATE-OWNED ENTERPRISES, ENTERPRISES GRANTED SPECIAL RIGHTS OR PRIVILEGES AND DESIGNATED MONOPOLIES
Article 376
Definitions
1.   For the purposes of this Chapter, the following definitions apply:
(a)
"Arrangement" means the Arrangement on Officially Supported Export Credits, developed within the framework of the OECD or a successor undertaking, whether developed within or outside of the OECD framework, that has been adopted by at least 12 original WTO Members that were Participants to the Arrangement as of 1 January 1979;
(b)
"commercial activities" means activities, the end result of which is the production of a good or the supply of a service to be sold in the relevant market in quantities and at prices determined by an enterprise on the basis of the conditions of supply and demand, and which are undertaken with an orientation towards profit-making; activities undertaken by an enterprise which operates on a non-profit basis or a cost-recovery basis are not activities undertaken with an orientation towards profit-making;
(c)
"commercial considerations" means considerations of price, quality, availability, marketability, transportation and other terms and conditions of purchase or sale, or other factors that would normally be taken into account in the commercial decisions of a privately owned enterprise operating according to market economy principles in the relevant business or industry;
(d)
"covered entity" means:
(i)
a designated monopoly;
(ii)
an enterprise granted special rights or privileges; or
(iii)
a State-owned enterprise;
(e)
"designated monopoly" means an entity, including a consortium or a government agency, that, in a relevant market in the territory of a Party, is designated as the sole supplier or purchaser of a good or service, but does not include an entity that has been granted an exclusive intellectual property right solely by reason of such grant; in this context, designate means to establish or authorise a monopoly, or to expand the scope of a monopoly to cover an additional good or service;
(f)
"enterprise" means enterprise as defined in point (g) of Article 124;
(g)
"enterprise granted special rights or privileges" means any enterprise, public or private, to which a Party has granted special rights or privileges, in law or in fact;
(h)
"service supplied in the exercise of governmental authority" means a service supplied in the exercise of governmental authority as defined in GATS;
(i)
"special rights or privileges" means rights or privileges by which a Party designates or limits to two or more the number of enterprises authorised to supply a good or service, other than according to objective, proportional and non-discriminatory criteria, substantially affecting the ability of any other enterprise to supply the same good or service in the same geographical area or product market under substantially equivalent conditions;
(j)
"State-owned enterprise" means an enterprise in which a Party:
(i)
directly owns more than 50 % of the share capital;
(ii)
controls, directly or indirectly, the exercise of more than 50 % of the voting rights;
(iii)
holds the power to appoint a majority of the members of the board of directors or any other equivalent management body; or
(iv)
has the power to exercise control over the enterprise. For the establishment of control, all relevant legal and factual elements shall be taken into account on a case-by-case basis.
Article 377
Scope
1.   This Chapter applies to covered entities, at all levels of government, engaged in commercial activities. If a covered entity engages in both commercial and non-commercial activities, only the commercial activities are covered by this Chapter.
2.   This Chapter does not apply to:
(a)
covered entities when acting as procuring entities, as defined in each Party's Annexes 1 to 3 to Appendix I to the GPA and paragraph 1 of each Party's respective subsections of Section B of Annex 25, conducting covered procurement as defined in Article 277(2);
(b)
any service supplied in the exercise of governmental authority.
3.   This Chapter does not apply to a covered entity, if in any one of the three previous consecutive fiscal years the annual revenue derived from the commercial activities of the enterprise or monopoly concerned was less than 100 million Special Drawing Rights.
4.   Article 380 does not apply to the supply of financial services by a covered entity pursuant to a government mandate, if that supply of financial services:
(a)
supports exports or imports, provided that those services are:
(i)
not intended to displace commercial financing; or
(ii)
offered on terms no more favourable than those that could be obtained for comparable financial services in the commercial market; or
(b)
supports private investment outside the territory of the Party, provided that those services are:
(i)
not intended to displace commercial financing; or
(ii)
offered on terms no more favourable than those that could be obtained for comparable financial services in the commercial market; or
(c)
is offered on terms consistent with the Arrangement, if the supply of those services falls within the scope of the Arrangement.
5.   Without prejudice to paragraph 3 of this Article, Article 380 does not apply to the following sectors: audio-visual services; national maritime cabotage 
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; and inland waterways transport, as set out in Article 123(5).
6.   Article 380 does not apply to the extent that a covered entity of a Party makes purchases or sales of goods or services pursuant to:
(a)
any existing non-conforming measure that the Party maintains, continues, renews or amends in accordance with Article 133(1) or 139(1) as set out in its Schedules to Annexes 19 and 20, as applicable; or
(b)
any non-conforming measure that the Party adopts or maintains with respect to sectors, subsectors, or activities in accordance with Article 133(2) or 139(2) as set out in its Schedules to Annexes 19 and 20, as applicable.
Article 378
Relationship with the WTO Agreement
The Parties affirm their rights and obligations under paragraphs 1 to 3 of Article XVII of GATT 1994, the Understanding on the Interpretation of Article XVII of the GATT 1994, as well as under paragraphs 1, 2 and 5 of Article VIII of GATS.
Article 379
General provisions
1.   Without prejudice to the rights and obligations of each Party under this Chapter, nothing in this Chapter prevents a Party from establishing or maintaining a covered entity.
2.   Neither Party shall require or encourage a covered entity to act in a manner inconsistent with this Chapter.
Article 380
Non-discriminatory treatment and commercial considerations
1.   Each Party shall ensure that each of its covered entities, when engaging in commercial activities:
(a)
acts in accordance with commercial considerations in its purchase or sale of a good or service, except to fulfil any terms of its public service mandate that are not inconsistent with point (b) or (c);
(b)
in its purchase of a good or service:
(i)
accords to a good or service supplied by an enterprise of the other Party treatment no less favourable than it accords to a like good or a like service supplied by enterprises of the Party; and
(ii)
accords to a good or service supplied by a covered entity in the Party's territory treatment no less favourable than it accords to a like good or a like service supplied by enterprises of the Party in the relevant market in the Party's territory; and
(c)
in its sale of a good or service:
(i)
accords to an enterprise of the other Party treatment no less favourable than it accords to enterprises of the Party; and
(ii)
accords to a covered entity in the Party's territory, treatment no less favourable than it accords to enterprises of the Party in the relevant market in the Party's territory. 
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2.   Points (b) and (c) of paragraph 1 do not preclude a covered entity from:
(a)
purchasing or supplying goods or services on different terms or conditions, including terms or conditions relating to price, provided that those different terms or conditions are in accordance with commercial considerations; or
(b)
refusing to purchase or supply goods or services, provided that such refusal is made in accordance with commercial considerations.
Article 381
Regulatory framework
1.   Each Party shall respect and make best use of relevant international standards including the OECD Guidelines on Corporate Governance of State-Owned Enterprises.
2.   Each Party shall ensure that any regulatory body, and any other body exercising a regulatory function, that that Party establishes or maintains:
(a)
is independent from, and not accountable to, any of the enterprises regulated by that body; and
(b)
in like circumstances, acts impartially with respect to all enterprises regulated by that body, including covered entities; the impartiality with which the body exercises its regulatory functions is to be assessed by reference to a general pattern or practice of that body.
For those sectors in which the Parties have agreed to specific obligations relating to such a body in this Agreement, the relevant provisions of this Agreement shall prevail.
3.   Each Party shall apply its laws and regulations to covered entities in a consistent and non-discriminatory manner.
Article 382
Information exchange
1.   A Party which has reason to believe that its interests under this Chapter are being adversely affected by the commercial activities of an entity of the other Party may request the other Party in writing to provide information on the commercial activities of that entity related to the carrying out of the provisions of this Chapter in accordance with paragraph 2.
2.   Provided that the request referred to in paragraph 1 includes an explanation of how the activities of the entity may be affecting the interests of the requesting Party under this Chapter and indicates which of the following categories of information is or are to be provided, the requested Party shall provide the information so requested:
(a)
the ownership and the voting structure of the entity, indicating the cumulative percentage of shares and the percentage of voting rights that the requested Party and its covered entities cumulatively have in the entity;
(b)
a description of any special shares or special voting or other rights that the requested Party or its covered entities hold, to the extent that such rights are different from those attached to the general common shares of the entity;
(c)
a description of the organisational structure of the entity and the composition of its board of directors or of any equivalent body;
(d)
a description of the government departments or public bodies which regulate or monitor the entity, a description of the reporting requirements imposed on it by those departments or public bodies, and the rights and practices of those departments or public bodies with respect to the appointment, dismissal or remuneration of senior executives and members of its board of directors or any equivalent body;
(e)
the annual revenue and total assets of the entity over the most recent three-year period for which information is available;
(f)
any exemptions, immunities and related measures from which the entity benefits under the laws and regulations of the requested Party;
(g)
any additional information regarding the entity that is publicly available, including annual financial reports and third-party audits.
3.   Paragraphs 1 and 2 do not require a Party to disclose confidential information the disclosure of which would be inconsistent with its laws and regulations, would impede law enforcement, or otherwise would be contrary to the public interest or would prejudice the legitimate commercial interests of particular enterprises.
4.   If the requested information is not available, the requested Party shall provide to the requesting Party, in writing, the reasons why that information is not available.
CHAPTER 5
TAXATION
Article 383
Good governance
The Parties recognise and commit to implementing the principles of good governance in the area of taxation, in particular the global standards on tax transparency and exchange of information and fair tax competition. The Parties reiterate their support for the OECD Base Erosion and Profit Shifting (BEPS) Action Plan and affirm their commitment to implementing the OECD minimum standards against BEPS. The Parties will promote good governance in tax matters, improve international cooperation in the area of taxation and facilitate the collection of tax revenues.
Article 384
Taxation standards
1.   A Party shall not weaken or reduce the level of protection provided for in its legislation at the end of the transition period below the level provided for by the standards and rules which have been agreed in the OECD at the end of the transition period, in relation to:
(a)
the exchange of information, whether upon request, spontaneously or automatically, concerning financial accounts, cross-border tax rulings, country-by-country reports between tax administrations, and potential cross-border tax planning arrangements;
(b)
rules on interest limitation, controlled foreign companies and hybrid mismatches.
2.   A Party shall not weaken or reduce the level of protection provided for in its legislation at the end of the transition period in respect of public country-by-country reporting by credit institutions and investment firms, other than small and non-interconnected investment firms.
Article 385
Dispute settlement
This Chapter shall not be subject to dispute settlement under Title I of Part Six.
CHAPTER 6
LABOUR AND SOCIAL STANDARDS
Article 386
Definition
1.   For the purposes of this Chapter, "labour and social levels of protection" means the levels of protection provided overall in a Party's law and standards 
(
62
)
, in each of the following areas:
(a)
fundamental rights at work;
(b)
occupational health and safety standards;
(c)
fair working conditions and employment standards;
(d)
information and consultation rights at company level; or
(e)
restructuring of undertakings.
2.   For the Union, "labour and social levels of protection" means labour and social levels of protection that are applicable to and in, and are common to, all Member States.
Article 387
Non-regression from levels of protection
1.   The Parties affirm the right of each Party to set its policies and priorities in the areas covered by this Chapter, to determine the labour and social levels of protection it deems appropriate and to adopt or modify its law and policies in a manner consistent with each Party's international commitments, including those under this Chapter.
2.   A Party shall not weaken or reduce, in a manner affecting trade or investment between the Parties, its labour and social levels of protection below the levels in place at the end of the transition period, including by failing to effectively enforce its law and standards.
3.   The Parties recognise that each Party retains the right to exercise reasonable discretion and to make 
bona fide
 decisions regarding the allocation of labour enforcement resources with respect to other labour law determined to have higher priority, provided that the exercise of that discretion, and those decisions, are not inconsistent with its obligations under this Chapter.
4.   The Parties shall continue to strive to increase their respective labour and social levels of protection referred to in this Chapter.
Article 388
Enforcement
For the purposes of enforcement as referred to in Article 387 each Party shall have in place and maintain a system for effective domestic enforcement and, in particular, an effective system of labour inspections in accordance with its international commitments relating to working conditions and the protection of workers; ensure that administrative and judicial proceedings are available that allow public authorities and individuals with standing to bring timely actions against violations of the labour law and social standards; and provide for appropriate and effective remedies, including interim relief, as well as proportionate and dissuasive sanctions. In the domestic implementation and enforcement of Article 387, each Party shall respect the role and autonomy of the social partners at a national level, where relevant, in line with applicable law and practice.
Article 389
Dispute settlement
1.   The Parties shall make all efforts through dialogue, consultation, exchange of information and cooperation to address any disagreement on the application of this Chapter.
2.   By way of derogation from Title I of Part Six, in the event of a dispute between the Parties regarding the application of this Chapter, the Parties shall have recourse exclusively to the procedures established under Articles 408, 409 and 410.
CHAPTER 7
ENVIRONMENT AND CLIMATE
Article 390
Definitions
1.   For the purposes of this Chapter, "environmental levels of protection" means the levels of protection provided overall in a Party's law which have the purpose of protecting the environment, including the prevention of a danger to human life or health from environmental impacts, including in each of the following areas:
(a)
industrial emissions;
(b)
air emissions and air quality;
(c)
nature and biodiversity conservation;
(d)
waste management;
(e)
the protection and preservation of the aquatic environment;
(f)
the protection and preservation of the marine environment;
(g)
the prevention, reduction and elimination of risks to human health or the environment arising from the production, use, release or disposal of chemical substances; or
(h)
the management of impacts on the environment from agricultural or food production, notably through the use of antibiotics and decontaminants.
2.   For the Union, "environmental levels of protection" means environmental levels of protection that are applicable to and in, and are common to, all Member States.
3.   For the purposes of this Chapter, "climate level of protection" means the level of protection with respect to emissions and removals of greenhouse gases and the phase-out of ozone depleting substances. With regard to greenhouse gases, this means:
(a)
for the Union, the 40 % economy-wide 2030 target, including the Union's system of carbon pricing;
(b)
for the United Kingdom, the United Kingdom's economy-wide share of this 2030 target, including the United Kingdom's system of carbon pricing.
Article 391
Non-regression from levels of protection
1.   The Parties affirm the right of each Party to set its policies and priorities in the areas covered by this Chapter, to determine the environmental levels of protection and climate level of protection it deems appropriate and to adopt or modify its law and policies in a manner consistent with each Party's international commitments, including those under this Chapter.
2.   A Party shall not weaken or reduce, in a manner affecting trade or investment between the Parties, its environmental levels of protection or its climate level of protection below the levels that are in place at the end of the transition period, including by failing to effectively enforce its environmental law or climate level of protection.
3.   The Parties recognise that each Party retains the right to exercise reasonable discretion and to make 
bona fide
 decisions regarding the allocation of environmental enforcement resources with respect to other environmental law and climate policies determined to have higher priorities, provided that the exercise of that discretion, and those decisions, are not inconsistent with its obligations under this Chapter.
4.   For the purposes of this Chapter, insofar as targets are provided for in a Party's environmental law in the areas listed in Article 390, they are included in a Party's environmental levels of protection at the end of the transition period. These targets include those whose attainment is envisaged for a date that is subsequent to the end of the transition period. This paragraph shall also apply to ozone depleting substances.
5.   The Parties shall continue to strive to increase their respective environmental levels of protection or their respective climate level of protection referred to in this Chapter.
Article 392
Carbon pricing
1.   Each Party shall have in place an effective system of carbon pricing as of 1 January 2021.
2.   Each system shall cover greenhouse gas emissions from electricity generation, heat generation, industry and aviation.
3.   The effectiveness of the Parties' respective carbon pricing systems shall uphold the level of protection provided for by Article 391.
4.   By way of derogation from paragraph 2, aviation shall be included within two years at the latest, if not included already. The scope of the Union system of carbon pricing shall cover departing flights from the European Economic Area to the United Kingdom.
5.   Each Party shall maintain its system of carbon pricing insofar as it is an effective tool for each Party in the fight against climate change and shall in any event uphold the level of protection provided for by Article 391.
6.   The Parties shall cooperate on carbon pricing. They shall give serious consideration to linking their respective carbon pricing systems in a way that preserves the integrity of these systems and provides for the possibility to increase their effectiveness.
Article 393
Environmental and climate principles
1.   Taking into account the fact that the Union and the United Kingdom share a common biosphere in respect of cross-border pollution, each Party commits to respecting the internationally recognised environmental principles to which it has committed, such as in the Rio Declaration on Environment and Development, adopted at Rio de Janeiro on 14 June 1992 (the "1992 Rio Declaration on Environment and Development") and in multilateral environmental agreements, including in the United Nations Framework Convention on Climate Change, done at New York on 9 May 1992 ("UNFCCC") and the Convention on Biological Diversity, done at Rio de Janeiro on 5 June 1992 (the "Convention on Biological Diversity"), in particular:
(a)
the principle that environmental protection should be integrated into the making of policies, including through impact assessments;
(b)
the principle of preventative action to avert environmental damage;
(c)
the precautionary approach referred to in Article 356(2);
(d)
the principle that environmental damage should as a priority be rectified at source; and
(e)
the polluter pays principle.
2.   The Parties reaffirm their respective commitments to procedures for evaluating the likely impact of a proposed activity on the environment, and where specified projects, plans and programmes are likely to have significant environmental, including health, effects, this includes an environmental impact assessment or a strategic environmental assessment, as appropriate.
3.   These procedures shall comprise, where appropriate and in accordance with a Party's laws, the determination of the scope of an environmental report and its preparation, the carrying out of public participation and consultations and the taking into account of the environmental report and the results of the public participation and consultations in the consented project, or adopted plan or programme.
Article 394
Enforcement
1.   For the purposes of enforcement as referred to in Article 391, each Party shall, in accordance with its law, ensure that:
(a)
domestic authorities competent to enforce the relevant law with regard to environment and climate give due consideration to alleged violations of such law that come to their attention; those authorities shall have adequate and effective remedies available to them, including injunctive relief as well as proportionate and dissuasive sanctions, if appropriate; and
(b)
national administrative or judicial proceedings are available to natural and legal persons with a sufficient interest to bring actions against violations of such law and to seek effective remedies, including injunctive relief, and that the proceedings are not prohibitively costly and are conducted in a fair, equitable and transparent way.
Article 395
Cooperation on monitoring and enforcement
The Parties shall ensure that the European Commission and the supervisory bodies of the United Kingdom regularly meet with each other and co-operate on the effective monitoring and enforcement of the law with regard to environment and climate as referred to in Article 391.
Article 396
Dispute settlement
1.   The Parties shall make all efforts through dialogue, consultation, exchange of information and cooperation to address any disagreement on the application of this Chapter.
2.   By way of derogation from Title I of Part Six, in the event of a dispute between the Parties regarding the application of this Chapter, the Parties shall have recourse exclusively to the procedures established under Articles 408, 409 and 410.
CHAPTER 8
OTHER INSTRUMENTS FOR TRADE AND SUSTAINABLE DEVELOPMENT
Article 397
Context and objectives
1.   The Parties recall the Agenda 21 and the 1992 Rio Declaration on Environment and Development, the Johannesburg Plan of Implementation of the World Summit on Sustainable Development of 2002, the International Labour Organization (ILO) Declaration on Social Justice for a Fair Globalization, adopted at Geneva on 10 June 2008 by the International Labour Conference at its 97th Session (the "2008 ILO Declaration on Social Justice for a Fair Globalization"), the Outcome Document of the UN Conference on Sustainable Development of 2012 entitled "The Future We Want", endorsed by the UN General Assembly Resolution 66/288 adopted on 27 July 2012, and the UN 2030 Agenda for Sustainable Development, adopted by the UN General Assembly Resolution 70/1 on 25 September 2015 and its Sustainable Development Goals.
2.   In light of paragraph 1 of this Article, the objective of this Chapter is to enhance the integration of sustainable development, notably its labour and environmental dimensions, in the Parties' trade and investment relationship and in this respect to complement the commitments of the Parties under Chapters 6 and 7.
Article 398
Transparency
1.   The Parties stress the importance of ensuring transparency as a necessary element to promote public participation and of making information public within the context of this Chapter. In accordance with their laws and regulations, the provisions of this Chapter, of Title IX and of Title X, each Party shall:
(a)
ensure that any measure of general application pursuing the objectives of this Chapter is administered in a transparent manner, including by providing the public with reasonable opportunities and sufficient time to comment, and by publishing such measures;
(b)
ensure that the general public is given access to relevant environmental information held by or for public authorities, as well as ensuring the active dissemination of that information to the general public by electronic means;
(c)
encourage public debate with and among non-state actors as regards the development and definition of policies that may lead to the adoption of law relevant to this Chapter by its public authorities; this includes, in relation to the environment, public participation in projects, plans and programmes; and
(d)
promote public awareness of its laws and standards relevant to this Chapter, as well as enforcement and compliance procedures, by taking steps to further the knowledge and understanding of the public; in relation to labour laws and standards, this includes workers, employers and their representatives.
Article 399
Multilateral labour standards and agreements
1.   The Parties affirm their commitment to promoting the development of international trade in a way that is conducive to decent work for all, as expressed in the 2008 ILO Declaration on Social Justice for a Fair Globalization.
2.   In accordance with the ILO Constitution and the ILO Declaration on Fundamental Principles and Rights at Work and its Follow-up, adopted at Geneva on 18 June 1998 by the International Labour Conference at its 86th Session, each Party commits to respecting, promoting and effectively implementing the internationally recognised core labour standards, as defined in the fundamental ILO Conventions, which are:
(a)
freedom of association and the effective recognition of the right to collective bargaining;
(b)
the elimination of all forms of forced or compulsory labour;
(c)
the effective abolition of child labour; and
(d)
the elimination of discrimination in respect of employment and occupation.
3.   Each Party shall make continued and sustained efforts to ratify the fundamental ILO Conventions if they have not yet done so.
4.   The Parties shall exchange information, regularly and as appropriate, on the respective situations and progress of the Member States and of the United Kingdom with regard to the ratification of ILO Conventions or protocols classified as up-to-date by the ILO and of other relevant international instruments.
5.   Each Party commits to implementing all the ILO Conventions that the United Kingdom and the Member States have respectively ratified and the different provisions of the European Social Charter that, as members of the Council of Europe, the Member States and the United Kingdom have respectively accepted 
(
63
)
.
6.   Each Party shall continue to promote, through its laws and practices, the ILO Decent Work Agenda as set out in the 2008 ILO Declaration on Social Justice for a Fair Globalization (the "ILO Decent Work Agenda") and in accordance with relevant ILO Conventions, and other international commitments, in particular with regard to:
(a)
decent working conditions for all, with regard to, inter alia, wages and earnings, working hours, maternity leave and other conditions of work;
(b)
health and safety at work, including the prevention of occupational injury or illness and compensation in cases of such injury or illness; and
(c)
non-discrimination in respect of working conditions, including for migrant workers.
7.   Each Party shall protect and promote social dialogue on labour matters among workers and employers, and their respective organisations, and with relevant government authorities.
8.   The Parties shall work together on trade-related aspects of labour policies and measures, including in multilateral fora, such as the ILO, as appropriate. Such cooperation may cover inter alia:
(a)
trade-related aspects of implementation of fundamental, priority and other up-to-date ILO Conventions;
(b)
trade-related aspects of the ILO Decent Work Agenda, including on the interlinkages between trade and full and productive employment, labour market adjustment, core labour standards, decent work in global supply chains, social protection and social inclusion, social dialogue and gender equality;
(c)
the impact of labour law and standards on trade and investment, or the impact of trade and investment law on labour;
(d)
dialogue and information-sharing on the labour provisions in the context of their respective trade agreements, and the implementation thereof; and
(e)
any other form of cooperation deemed appropriate.
9.   The Parties shall consider any views provided by representatives of workers, employers, and civil society organisations when identifying areas of cooperation and when carrying out cooperative activities.
Article 400
Multilateral environmental agreements
1.   The Parties recognise the importance of the UN Environment Assembly of the UN Environment Programme and of multilateral environmental governance and agreements as a response of the international community to global or regional environmental challenges and stress the need to enhance the mutual supportiveness between trade and environment policies, rules and measures.
2.   In light of paragraph 1, each Party commits to effectively implementing the multilateral environmental agreements, protocols and amendments that it has ratified in its law and practices.
3.   The Parties shall regularly and as appropriate exchange information on:
(a)
their respective situations as regards the ratification and implementation of multilateral environmental agreements, including their protocols and amendments;
(b)
on-going negotiations of new multilateral environmental agreements; and
(c)
each Party's respective views on becoming a party to additional multilateral environmental agreements.
4.   The Parties reaffirm the right of each Party to adopt or maintain measures to further the objectives of multilateral environmental agreements to which it is party. The Parties recall that measures adopted or enforced to implement such multilateral environmental agreements may be justified under Article 412.
5.   The Parties shall work together on trade-related aspects of environmental policies and measures, including in multilateral fora, such as the UN High-level Political Forum for Sustainable Development, the UN Environment Programme, the UN Environment Assembly, multilateral environmental agreements, the International Civil Aviation Organization (ICAO) or the WTO as appropriate. Such cooperation may cover inter alia:
(a)
initiatives on sustainable production and consumption, including those aimed at promoting a circular economy and green growth and pollution abatement;
(b)
initiatives to promote environmental goods and services, including by addressing related tariff and non-tariff barriers;
(c)
the impact of environmental law and standards on trade and investment; or the impact of trade and investment law on the environment;
(d)
the implementation of Annex 16 to the Convention on International Civil Aviation, done at Chicago on 7 December 1944, and other measures to reduce the environmental impact of aviation, including in the area of air traffic management; and
(e)
other trade-related aspects of multilateral environmental agreements, including their protocols, amendments and implementation.
6.   Cooperation pursuant to paragraph 5 may include technical exchanges, exchanges of information and best practices, research projects, studies, reports, conferences and workshops.
7.   The Parties will consider views or input from the public and interested stakeholders for the definition and implementation of their cooperation activities, and they may involve such stakeholders further in those activities, as appropriate.
Article 401
Trade and climate change
1.   The Parties recognise the importance of taking urgent action to combat climate change and its impacts, and the role of trade and investment in pursuing that objective, in line with the UNFCCC, with the purpose and goals of the Paris Agreement adopted at Paris on 12 December 2015 by the Conference of the Parties to the United Nations Framework Convention on Climate Change at its 21st session (the "Paris Agreement"), and with other multilateral environmental agreements and multilateral instruments in the area of climate change.
2.   In light of paragraph 1, each Party:
(a)
commits to effectively implementing the UNFCCC, and the Paris Agreement of which one principal aim is strengthening the global response to climate change and holding the increase in the global average temperature to well below 2 
o
C above pre-industrial levels and pursuing efforts to limit the temperature increase to 1,5 
o
C above pre-industrial levels;
(b)
shall promote the mutual supportiveness of trade and climate policies and measures thereby contributing to the transition to a low greenhouse gas emission, resource-efficient economy and to climate-resilient development; and
(c)
shall facilitate the removal of obstacles to trade and investment in goods and services of particular relevance for climate change mitigation and adaptation, such as renewable energy, energy efficient products and services, for instance through addressing tariff and non-tariff barriers or through the adoption of policy frameworks conducive to the deployment of the best available solutions.
3.   The Parties shall work together to strengthen their cooperation on trade-related aspects of climate change policies and measures bilaterally, regionally and in international fora, as appropriate, including in the UNFCCC, the WTO, the Montreal Protocol on Substances that Deplete the Ozone Layer done at Montreal on 26 August 1987 (the "Montreal Protocol"), the International Maritime Organisation (IMO) and the ICAO. Such cooperation may cover inter alia:
(a)
policy dialogue and cooperation regarding the implementation of the Paris Agreement, such as on means to promote climate resilience, renewable energy, low-carbon technologies, energy efficiency, sustainable transport, sustainable and climate-resilient infrastructure development, emissions monitoring, international carbon markets;
(b)
supporting the development and adoption of ambitious and effective greenhouse gas emissions reduction measures by the IMO to be implemented by ships engaged in international trade;
(c)
supporting the development and adoption of ambitious and effective greenhouse gas emissions reduction measures by the ICAO; and
(d)
supporting an ambitious phase-out of ozone depleting substances and phase-down of hydrofluorocarbons under the Montreal Protocol through measures to control their production, consumption and trade; the introduction of environmentally friendly alternatives to them; the updating of safety and other relevant standards as well as through combating the illegal trade of substances regulated by the Montreal Protocol.
Article 402
Trade and biological diversity
1.   The Parties recognise the importance of conserving and sustainably using biological diversity and the role of trade in pursuing these objectives, including by promoting sustainable trade or controlling or restricting trade in endangered species, in line with the relevant multilateral environmental agreements to which they are party, and the decisions adopted thereunder, notably the Convention on Biological Diversity and its protocols, and the Convention on International Trade in Endangered Species of Wild Fauna and Flora, done at Washington D.C. on 3 March 1973 ("CITES").
2.   In light of paragraph 1, each Party shall:
(a)
implement effective measures to combat illegal wildlife trade, including with respect to third countries, as appropriate;
(b)
promote the use of CITES as an instrument for conservation and sustainable management of biodiversity, including through the inclusion of animal and plant species in the Appendices to CITES where the conservation status of that species is considered at risk because of international trade;
(c)
encourage trade in products derived from a sustainable use of biological resources and contributing to the conservation of biodiversity; and
(d)
continue to take measures to conserve biological diversity when it is subject to pressures linked to trade and investment, in particular through measures to prevent the spread of invasive alien species.
3.   The Parties shall work together on trade-related matters of relevance to this Article, including in multilateral fora, such as CITES and the Convention on Biological Diversity, as appropriate. Such cooperation may cover inter alia: trade in wildlife and natural resource-based products, the valuation and assessment of ecosystems and related services, and the access to genetic resources and the fair and equitable sharing of benefits arising from their utilisation consistent with the Nagoya Protocol on Access to Genetic Resources and the Fair and Equitable Sharing of Benefits Arising from their Utilization to the Convention on Biological Diversity, done at Nagoya on 29 October 2010.
Article 403
Trade and forests
1.   The Parties recognise the importance of conservation and sustainable forest management for providing environmental functions and economic and social opportunities for present and future generations, and the role of trade in pursuing that objective.
2.   In light of paragraph 1 and in a manner consistent with its international obligations, each Party shall:
(a)
continue to implement measures to combat illegal logging and related trade, including with respect to third countries, as appropriate, and to promote trade in legally harvested forest products;
(b)
promote the conservation and sustainable management of forests and trade and consumption of timber and timber products harvested in accordance with the law of the country of harvest and from sustainably managed forests; and
(c)
exchange information with the other Party on trade-related initiatives on sustainable forest management, forest governance and on the conservation of forest cover and cooperate to maximise the impact and mutual supportiveness of their respective policies of mutual interest.
3.   The Parties shall work together to strengthen their cooperation on trade-related aspects of sustainable forest management, the conservation of forest cover and illegal logging, including in multilateral fora, as appropriate.
Article 404
Trade and sustainable management of marine biological resources and aquaculture
1.   The Parties recognise the importance of conserving and sustainably managing marine biological resources and ecosystems as well as of promoting responsible and sustainable aquaculture, and the role of trade in pursuing those objectives.
2.   In light of paragraph 1, each Party:
(a)
commits to acting consistently and complying, as appropriate, with the relevant UN and Food and Agriculture Organization ("FAO") agreements, the United Nations Convention on the Law of the Sea, the Agreement for the Implementation of the Provisions of the United Nations Convention on the Law of the Sea of 10 December 1982 relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks, done at New York on 4 August 1995, the FAO Agreement to Promote Compliance with International Conservation and Management Measures by Fishing Vessels on the High Seas, done at Rome on 24 November 1993, the FAO Code of Conduct for Responsible Fisheries and the FAO Agreement on Port State Measures to Prevent, Deter and Eliminate Illegal, Unreported and Unregulated ("IUU") fishing, approved at Rome on 22 November 2009 at the 36th Session of the FAO Conference, and to participating in the FAO's initiative on the Global Record of Fishing Vessels, Refrigerated Transport Vessels and Supply Vessels;
(b)
shall promote sustainable fisheries and good fisheries governance by participating actively in the work of relevant international organisations or bodies to which they are members, observers, or cooperating non-contracting parties, including the Regional Fisheries Management Organizations (RFMOs) by means of, where applicable, effective monitoring, control or enforcement of the RFMOs' resolutions, recommendations or measures; the implementation of their catch documentation or certification schemes, and port state measures;
(c)
shall adopt and maintain their respective effective tools to combat IUU fishing, including measures to exclude the products of IUU fishing from trade flows, and cooperate to that end; and
(d)
shall promote the development of sustainable and responsible aquaculture, including with regard to the implementation of the objectives and principles contained in the FAO Code of Conduct for Responsible Fisheries, as appropriate.
3.   The Parties shall work together on conservation and trade-related aspects of fishery and aquaculture policies and measures, including in the WTO, the RFMOs and other multilateral fora, as appropriate, with the aim of promoting sustainable fishing and aquaculture practices and trade in fish products from sustainably managed fisheries and aquaculture operations.
4.   This Article is without prejudice to the provisions of Heading Five.
Article 405
Trade and investment favouring sustainable development
1.   The Parties confirm their commitment to enhancing the contribution of trade and investment to the goal of sustainable development in its economic, social and environmental dimensions.
2.   Pursuant to paragraph 1, the Parties shall continue to promote:
(a)
trade and investment policies that support the four strategic objectives of the ILO Decent Work Agenda, consistent with the 2008 ILO Declaration on Social Justice for a Fair Globalization, including the minimum living wage, health and safety at work, and other aspects related to working conditions;
(b)
trade and investment in environmental goods and services, such as renewable energy and energy efficient products and services, including through addressing related non-tariff barriers or through the adoption of policy frameworks conducive to the deployment of the best available solutions;
(c)
trade in goods and services that contribute to enhanced social conditions and environmentally sound practices, including those subject to voluntary sustainability assurance schemes such as fair and ethical trade schemes and eco-labels; and
(d)
cooperation in multilateral fora on issues referred to in this Article.
3.   The Parties recognise the importance of addressing specific sustainable development issues by reviewing, monitoring and assessing the potential economic, social and environmental impacts of possible actions, taking account of the views of stakeholders.
Article 406
Trade and responsible supply chain management
1.   The Parties recognise the importance of responsible management of supply chains through responsible business conduct and corporate social responsibility practices and the role of trade in pursuing this objective.
2.   In light of paragraph 1, each Party shall:
(a)
encourage corporate social responsibility and responsible business conduct, including by providing supportive policy frameworks that encourage the uptake of relevant practices by businesses; and
(b)
support the adherence, implementation, follow-up and dissemination of relevant international instruments, such as the OECD Guidelines for Multinational Enterprises, the ILO Tripartite Declaration of Principles concerning Multinational Enterprises and Social Policy, the UN Global Compact, and the UN Guiding Principles on Business and Human Rights.
3.   The Parties recognise the utility of international sector-specific guidelines in the area of corporate social responsibility and responsible business conduct and shall encourage joint work in this regard. In respect of the OECD Due Diligence Guidance for responsible supply chains of minerals from conflict-affected and high-risk areas and its supplements, the Parties shall also implement measures to promote the uptake of that Guidance.
4.   The Parties shall work together to strengthen their cooperation on trade-related aspects of issues covered by this Article, including in multilateral fora, as appropriate, inter alia through the exchange of information, best practices and outreach initiatives.
Article 407
Dispute settlement
1.   The Parties shall make all efforts through dialogue, consultation, exchange of information and cooperation to address any disagreement on the application of this Chapter.
2.   By way of derogation from Title I of Part Six, in the event of a dispute between the Parties regarding the application of this Chapter, the Parties shall have recourse exclusively to the procedures established under Articles 408 and 409.
CHAPTER 9
HORIZONTAL AND INSTITUTIONAL PROVISIONS
Article 408
Consultations
1.   A Party may request consultations with the other Party regarding any matter arising under Article 355(3) and Chapters 6, 7, and 8 by delivering a written request to the other Party. The complaining Party shall specify in its written request the reasons and basis for the request, including identification of the measures at issue, specifying the provisions that it considers applicable. Consultations must commence promptly after a Party delivers a request for consultations and in any event not later than 30 days after the date of delivery of the request, unless the Parties agree to a longer period.
2.   The Parties shall enter into consultations with the aim of reaching a mutually satisfactory resolution of the matter. During consultations, each Party shall provide the other Party with sufficient information in its possession to allow a full examination of the matters raised. Each Party shall endeavour to ensure the participation of personnel of their competent authorities who have expertise in the matter subject to the consultations.
3.   In matters relating to Article 355(3) or to the multilateral agreements or instruments referred to in Chapters 6, 7 or 8 the Parties shall take into account available information from the ILO or relevant bodies or organisations established under multilateral environmental agreements. Where relevant, the Parties shall jointly seek advice from such organisations or their bodies, or any other expert or body they deem appropriate.
4.   Each Party may seek, when appropriate, the views of the domestic advisory groups referred to in Article 13 or other expert advice.
5.   Any resolution reached by the Parties shall be made available to the public.
Article 409
Panel of experts
1.   For any matter that is not satisfactorily addressed through consultations under Article 408, a Party may, after 90 days from the receipt of a request for consultations under that Article, request that a panel of experts be convened to examine that matter, by delivering a written request to the other Party. The request shall identify the measure at issue, specify and explain how that measure does not conform with the provisions of the relevant Chapter or Chapters in a manner sufficient to present the complaint clearly.
2.   The panel of experts shall be composed of three panellists.
3.   The Trade Specialised Committee on Level Playing Field for Open and Fair Competition and Sustainable Development shall, at its first meeting after the entry into force of this Agreement, establish a list of at least 15 individuals who are willing and able to serve as panellists. Each Party shall name at least five individuals to the list to serve as panellists. The Parties shall also name at least five individuals who are not nationals of either Party and who are willing and able to serve as chairperson of a panel of experts. The Trade Specialised Committee on Level Playing Field for Open and Fair Competition and Sustainable Development shall ensure that the list is kept up to date and that the number of experts is maintained at a minimum of 15 individuals.
4.   The experts proposed as panellists must have specialised knowledge or expertise in labour or environmental law, other issues addressed in the relevant Chapter or Chapters, or in the resolution of disputes arising under international agreements. They must serve in their individual capacities and not take instructions from any organisation or government with regard to matters related to the dispute. They must not be affiliated with or take instructions from either Party. They shall not be persons who are members, officials or other servants of the Union institutions, of the Government of a Member State, or of the Government of the United Kingdom.
5.   Unless the Parties agree otherwise within five days from the date of establishment of the panel of experts, the terms of reference shall be:
"to examine, in the light of the relevant provisions, the matter referred to in the request for the establishment of the panel of experts, and to deliver a report in accordance with this Article that makes findings on the conformity of the measure with the relevant provisions".
6.   In respect of matters related to multilateral standards or agreements covered in this Title, the panel of experts should seek information from the ILO or relevant bodies established under those agreements, including any pertinent available interpretative guidance, findings or decisions adopted by the ILO and those bodies.
7.   The panel of experts may request and receive written submissions or any other information from persons with relevant information or specialised knowledge.
8.   The panel of experts shall make available such information to each Party, allowing them to submit their comments within 20 days of its receipt.
9.   The panel of experts shall issue to the Parties an interim report and a final report setting out the findings of fact, its determinations on the matter including as to whether the respondent Party has conformed with its obligations under the relevant Chapter or Chapters and the rationale behind any findings and determinations that it makes. For greater certainty, the Parties share the understanding that if the Panel makes recommendations in its report, the respondent Party does not need to follow these recommendations in ensuring conformity with this Agreement.
10.   The panel of experts shall deliver to the Parties the interim report within 100 days after the date of establishment of the panel of experts. When the panel of experts considers that this deadline cannot be met, the chairperson of the panel of experts shall notify the Parties in writing, stating the reasons for the delay and the date on which the panel of experts plans to deliver its interim report. The panel of experts shall, under no circumstances, deliver its interim report later than 125 days after the date of establishment of the panel of experts.
11.   Each Party may deliver to the panel of experts a reasoned request to review particular aspects of the interim report within 25 days of its delivery. A Party may comment on the other Party's request within 15 days of the delivery of the request.
12.   After considering those comments, the panel of experts shall prepare the final report. If no request to review particular aspects of the interim report are delivered within the time period referred to in paragraph 11, the interim report shall become the final report of the panel of experts.
13.   The panel of experts shall deliver its final report to the Parties within 175 days of the date of establishment of the panel of experts. When the panel of experts considers that this time limit cannot be met, its chairperson shall notify the Parties in writing, stating the reasons for the delay and the date on which the panel of experts plans to deliver its final report. The panel of experts shall, under no circumstances, deliver its final report later than 195 days after the date of establishment of the panel of experts.
14.   The final report shall include a discussion of any written request by the Parties on the interim report and clearly address the comments of the Parties.
15.   The Parties shall make the final report available to the public within 15 days of its delivery by the panel of experts.
16.   If the final report of the panel of experts determines that a Party has not conformed with its obligations under the relevant Chapter or Chapters, the Parties shall, within 90 days of the delivery of the final report, discuss appropriate measures to be implemented taking into account the report of the panel of experts. No later than 105 days after the report has been delivered to the Parties, the respondent Party shall inform its domestic advisory groups established under Article 13 and the complaining Party of its decision on any measures to be implemented.
17.   The Trade Specialised Committee on Level Playing Field for Open and Fair Competition and Sustainable Development shall monitor the follow-up to the report of the panel of experts. The domestic advisory groups of the Parties established under Article 13 may submit observations to the Trade Specialised Committee on Level Playing Field for Open and Fair Competition and Sustainable Development in that regard.
18.   When the Parties disagree on the existence of, or the consistency with, the relevant provisions of any measure taken to address the non-conformity, the complaining Party may deliver a request, which shall be in writing, to the original panel of experts to decide on the matter. The request shall identify any measure at issue and explain how that measure is not in conformity with the relevant provisions in a manner sufficient to present the complaint clearly. The panel of experts shall deliver its findings to the Parties within 45 days of the date of the delivery of the request.
19.   Except as otherwise provided for in this Article, Article 739(1), Article 740 and Articles 753 to 758, as well as Annexes 48 and 49, shall apply 
mutatis mutandis
.
Article 410
Panel of experts for non-regression areas
1.   Article 409 shall apply to disputes between the Parties concerning the interpretation and application of Chapters 6 and 7.
2.   For the purposes of such disputes, in addition to the Articles listed in Article 409(19), Articles 749 and 750 shall apply 
mutatis mutandis
.
3.   The Parties recognise that, where the respondent Party chooses not take any action to conform with the report of the panel of experts and with this Agreement, any remedies authorised under Article 749 continue to be available to the complaining Party.
Article 411
Rebalancing
1.   The Parties recognise the right of each Party to determine its future policies and priorities with respect to labour and social, environmental or climate protection, or with respect to subsidy control, in a manner consistent with each Party's international commitments, including those under this Agreement. At the same time, the Parties acknowledge that significant divergences in these areas can be capable of impacting trade or investment between the Parties in a manner that changes the circumstances that have formed the basis for the conclusion of this Agreement.
2.   If material impacts on trade or investment between the Parties are arising as a result of significant divergences between the Parties in the areas referred to in paragraph 1, either Party may take appropriate rebalancing measures to address the situation. Such measures shall be restricted with respect to their scope and duration to what is strictly necessary and proportionate in order to remedy the situation. Priority shall be given to such measures as will least disturb the functioning of this Agreement. A Party's assessment of those impacts shall be based on reliable evidence and not merely on conjecture or remote possibility.
3.   The following procedures shall apply to rebalancing measures taken under paragraph 2:
(a)
the concerned Party shall, without delay, notify the other Party through the Partnership Council of the rebalancing measures it intends to take, providing all relevant information. The Parties shall immediately enter into consultations. Consultations shall be deemed concluded within 14 days from the date of delivery of the notification, unless they are jointly concluded before that time limit;
(b)
if no mutually acceptable solution is found, the concerned Party may adopt rebalancing measures no sooner than five days from the conclusion of the consultations, unless the notified Party requests within the same five day period, in accordance with Article 739(2) 
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, the establishment of an arbitration tribunal by means of a written request delivered to the other Party in order for the arbitration tribunal to decide whether the notified rebalancing measures are consistent with paragraph 2 of this Article;
(c)
the arbitration tribunal shall conduct its proceeding in accordance with Article 760 and deliver its final ruling within 30 days from its establishment. If the arbitration tribunal does not deliver its final ruling within that time period, the concerned Party may adopt the rebalancing measures no sooner than three days after the expiry of that 30 day time period. In that case, the other Party may take countermeasures proportionate to the adopted rebalancing measures until the arbitration tribunal delivers its ruling. Priority shall be given to such countermeasures as will least disturb the functioning of this Agreement. Point (a) shall apply 
mutatis mutandis
 to such countermeasures, which may be adopted no sooner than three days after the conclusion of consultations;
(d)
if the arbitration tribunal has found the rebalancing measures to be consistent with paragraph 2, the concerned Party may adopt the rebalancing measures as notified to the other Party;
(e)
if the arbitration tribunal has found the rebalancing measures to be inconsistent with paragraph 2 of this Article, the concerned Party shall, within three days from the delivery of the ruling, notify the complaining Party of the measures 
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 it intends to adopt to comply with the ruling of the arbitration tribunal. Article 748(2) and Articles 749 
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66
)
 and 750 shall apply 
mutatis mutandis
, if the complaining Party considers that the notified measures are not in compliance with the ruling of the arbitration tribunal. The procedures under Article 748(2) and Articles 749 and 750 shall have no suspensive effect on the application of the notified measures pursuant to this paragraph;
(f)
if rebalancing measures were adopted prior to the arbitration ruling in accordance with point (c), any countermeasures adopted pursuant to that point shall be withdrawn immediately, and in no case later than five days, after delivery of the ruling of the arbitration tribunal;
(g)
a Party shall not invoke the WTO Agreement or any other international agreement to preclude the other Party from taking measures pursuant to paragraphs 2 and 3, including when those measures consist of suspension of obligations under this Agreement;
(h)
if the notified Party does not submit a request pursuant to point (b) of this paragraph within the time period laid down therein, that Party may without having prior recourse to consultations in accordance with Article 738 initiate the arbitration procedure referred to in Article 739. An arbitration tribunal shall treat the issue as a case of urgency for the purposes of Article 744.
4.   In order to ensure an appropriate balance between the commitments made by the Parties in this Agreement on a more durable basis, either Party may request, no sooner than four years after the entry into force of this Agreement, a review of the operation of this Heading. The Parties may agree that other Headings of this Agreement may be added to the review.
5.   Such a review shall commence at a Party's request, if that Party considers that measures under paragraph 2 or 3 have been taken frequently by either or both Parties, or if a measure that has a material impact on trade or investment between the Parties has been applied for a period of 12 months. For the purposes of this paragraph, the measures in question are those which were not challenged or not found by an arbitration tribunal to be strictly unnecessary pursuant to point (d) or (h) of paragraph 3. This review may commence earlier than four years after the entry into force of this Agreement.
6.   The review requested pursuant to paragraph 4 or 5 shall begin within three months of the request and be completed within six months.
7.   A review on the basis of paragraph 4 or 5 may be repeated at subsequent intervals of no less than four years after the conclusion of the previous review. If a Party has requested a review under paragraph 4 or 5, it may not request a further review under either paragraph 4 or 5 for at least four years from the conclusion of the previous review or, if applicable, from the entry into force of any amending agreement.
8.   The review shall address whether this Agreement delivers an appropriate balance of rights and obligations between the Parties, in particular with regard to the operation of this Heading, and whether, as a result, there is a need for any modification of the terms of this Agreement.
9.   The Partnership Council may decide that no action is required as a result of the review. If a Party considers that following the review there is a need for an amendment of this Agreement, the Parties shall use their best endeavours to negotiate and conclude an agreement making the necessary amendments. Such negotiations shall be limited to matters identified in the review.
10.   If an amending agreement referred to in paragraph 9 is not concluded within one year from the date the Parties started negotiations, either Party may give notice to terminate this Heading or any other Heading of this Agreement that was added to the review, or the Parties may decide to continue negotiations. If a Party terminates this Heading, Heading Three shall be terminated on the same date. The termination shall take effect three months after the date of such notice.
11.   If this Heading is terminated pursuant to paragraph 10 of this Article, Heading Two shall be terminated on the same date, unless the Parties agree to integrate the relevant parts of Title XI of this Heading in Heading Two.
12.   Title I of Part Six does not apply to paragraphs 4 to 9 of this Article.
TITLE XII
EXCEPTIONS
Article 412
General exceptions
1.   Nothing in Chapter 1 and Chapter 5 of Title I, Chapter 2 of Title II, Title III, Title VIII and Chapter 4 of Title XI shall be construed as preventing a Party from adopting or maintaining measures compatible with Article XX of GATT 1994. To that end, Article XX of GATT 1994, including its Notes and Supplementary Provisions, is incorporated into and made part of this Agreement, 
mutatis mutandis
.
2.   Subject to the requirement that such measures are not applied in a manner which would constitute a means of arbitrary or unjustifiable discrimination between countries where like conditions prevail, or a disguised restriction on investment liberalisation or trade in services, nothing in Title II, Title III, Title IV, Title VIII and Chapter 4 of Title XI shall be construed to prevent the adoption or enforcement by either Party of measures:
(a)
necessary to protect public security or public morals or to maintain public order 
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;
(b)
necessary to protect human, animal or plant life or health;
(c)
necessary to secure compliance with laws or regulations which are not inconsistent with the provisions of this Agreement including those relating to:
(i)
the prevention of deceptive and fraudulent practices or to deal with the effects of a default on contracts;
(ii)
the protection of the privacy of individuals in relation to the processing and dissemination of personal data and the protection of confidentiality of individual records and accounts; and
(iii)
safety.
3.   For greater certainty, the Parties understand that, to the extent that such measures are otherwise inconsistent with the provisions of the chapters or titles referred to in paragraphs 1 and 2 of this Article:
(a)
the measures referred to in point (b) of Article XX of GATT 1994 and in point (b) of paragraph 2 of this Article include environmental measures, which are necessary to protect human, animal or plant life and health;
(b)
point (g) of Article XX of GATT 1994 applies to measures relating to the conservation of living and non-living exhaustible natural resources; and
(c)
measures taken to implement multilateral environmental agreements can fall under points (b) or (g) of Article XX of GATT 1994 or under point (b) of paragraph 2 of this Article.
4.   Before a Party takes any measures provided for in points (i) and (j) of Article XX of GATT 1994, that Party shall provide the other Party with all relevant information, with a view to seeking a solution acceptable to the Parties. If no agreement is reached within 30 days of providing the information, the Party may apply the relevant measures. Where exceptional and critical circumstances requiring immediate action make prior information or examination impossible, the Party intending to take the measures may apply forthwith precautionary measures necessary to deal with the situation. That Party shall inform the other Party immediately thereof.
Article 413
Taxation
1.   Nothing in Titles I to VII, Chapter 4 of Title VIII, Titles IX to XII of this Heading or Heading Six shall affect the rights and obligations of either the Union or its Member States and the United Kingdom, under any tax convention. In the event of any inconsistency between this Agreement and any such tax convention, the tax convention shall prevail to the extent of the inconsistency. With regard to a tax convention between the Union or its Member States and the United Kingdom, the relevant competent authorities under this Agreement and that tax convention shall jointly determine whether an inconsistency exists between this Agreement and the tax convention. 
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2.   Articles 130 and 138 shall not apply to an advantage accorded pursuant to a tax convention.
3.   Subject to the requirement that tax measures are not applied in a manner which would constitute a means of arbitrary or unjustifiable discrimination between countries where like conditions prevail, or a disguised restriction on trade and investment, nothing in Titles I to VII, Chapter 4 of Title VIII, Titles IX to XII of this Heading or Heading Six shall be construed to prevent the adoption, maintenance or enforcement by a Party of any measure that:
(a)
aims at ensuring the equitable or effective 
(
69
)
 imposition or collection of direct taxes; or
(b)
distinguishes between taxpayers, who are not in the same situation, in particular with regard to their place of residence or with regard to the place where their capital is invested.
4.   For the purposes of this Article, the following definitions apply:
(a)
"residence" means residence for tax purposes;
(b)
"tax convention" means a convention for the avoidance of double taxation or any other international agreement or arrangement relating wholly or mainly to taxation; and
(c)
"direct taxes" comprise all taxes on income or capital, including taxes on gains from the alienation of property, taxes on estates, inheritances and gifts, taxes on wages or salaries paid by enterprises and taxes on capital appreciation.
Article 414
WTO Waivers
If an obligation in Titles I to XII of this Heading or Heading Six of this Part is substantially equivalent to an obligation contained in the WTO Agreement, any measure taken in conformity with a waiver adopted pursuant to Article IX of the WTO Agreement is deemed to be in conformity with the substantially equivalent provision in this Agreement.
Article 415
Security exceptions
Nothing in Titles I to XII of this Heading or Heading Six shall be construed:
(a)
to require a Party to furnish or allow access to any information the disclosure of which it considers contrary to its essential security interests; or
(b)
to prevent a Party from taking an action which it considers necessary for the protection of its essential security interests:
(i)
connected to the production of or traffic in arms, ammunition and implements of war and to such production, traffic and transactions in other goods and materials, services and technology, and to economic activities, carried out directly or indirectly for the purpose of supplying a military establishment;
(ii)
relating to fissionable and fusionable materials or the materials from which they are derived; or
(iii)
in time of war or other emergency in international relations; or
(c)
to prevent a Party from taking any action in pursuance of its obligations under the United Nations Charter for the maintenance of international peace and security.
Article 416
Confidential information
1.   With the exception of Article 384, nothing in Titles I to XII of this Heading or Heading Six of this Part shall be construed as requiring a Party to make available confidential information, the disclosure of which would impede law enforcement, or otherwise be contrary to the public interest, or which would prejudice the legitimate commercial interests of particular enterprises, public or private, except where an arbitration tribunal requires such confidential information in dispute settlement proceedings under Title I of Part Six, or where a panel of experts requires such confidential information in proceedings under Article 409 or 410. In such cases, the arbitration tribunal, or, as the case may be, the panel of experts shall ensure that confidentiality is fully protected in accordance with Annex 48.
2.   When a Party submits information to the Partnership Council or to Committees that is considered as confidential under its laws and regulations, the other Party shall treat that information as confidential, unless the submitting Party agrees otherwise.
HEADING TWO
AVIATION
TITLE I
AIR TRANSPORT
Article 417
Definitions
For the purposes of this Title, the following definitions apply:
(a)
"air carrier" means an air transport undertaking holding a valid operating licence or equivalent;
(b)
"air carrier of the Union" means an air carrier that fulfils the conditions laid down in point (b) of Article 422(1);
(c)
"air carrier of the United Kingdom" means an air carrier that fulfils the conditions laid down in point (a) of Article 422(1) or Article 422(2);
(d)
"air navigation services" means air traffic services, communication, navigation and surveillance services, meteorological services for air navigation, and aeronautical information services;
(e)
"air operator certificate" means a document issued to an air carrier which affirms that the air carrier in question has the professional ability and organisation to secure the safe operation of aircraft for the aviation activities specified in the certificate;
(f)
"air traffic management" means the aggregation of the airborne and ground-based functions (air traffic services, airspace management and air traffic flow management) required to ensure the safe and efficient movement of aircraft during all phases of operations;
(g)
"air transport" means the carriage by aircraft of passengers, baggage, cargo, and mail, separately or in combination, held out to the public for remuneration or hire;
(h)
"citizenship determination" means a finding that an air carrier proposing to operate air services under this Title satisfies the requirements of Article 422 regarding its ownership, effective control and principal place of business;
(i)
"competent authorities" means, for the United Kingdom, the authorities of the United Kingdom responsible for the regulatory and administrative functions incumbent on the United Kingdom under this Title; and for the Union, the authorities of the Union and of the Member States responsible for the regulatory and administrative functions incumbent on the Union under this Title;
(j)
"the Convention" means the Convention on International Civil Aviation, done at Chicago on 7 December 1944, and includes:
(i)
any amendment that has entered into force under Article 94(a) of the Convention and has been ratified by the United Kingdom and the Member State or Member States concerned, as is relevant to the issue in question; and
(ii)
any Annex or any amendment thereto adopted under Article 90 of the Convention, insofar as such Annex or amendment is at any given time effective for the United Kingdom and the Member State or Member States concerned, as is relevant to the issue in question;
(k)
"discrimination" means differentiation of any kind without objective justification in respect of the supply of goods or services, including public services, employed for the operation of air transport services, or in respect of their treatment by public authorities relevant to such services;
(l)
"effective control" means a relationship constituted by rights, contracts or any other means which, either separately or jointly, and having regard to the considerations of fact or law involved, confer the possibility of directly or indirectly exercising a decisive influence on an undertaking, in particular by:
(i)
the right to use all or part of the assets of an undertaking;
(ii)
rights or contracts which confer a decisive influence on the composition, voting or decisions of the bodies of an undertaking or otherwise confer a decisive influence on the running of the business of the undertaking;
(m)
"fitness determination" means a finding that an air carrier proposing to operate air services under this Title has satisfactory financial capability and adequate managerial expertise to operate such services and is disposed to comply with the laws, regulations and requirements that govern the operation of such services;
(n)
"full cost" means the cost of the service provided, which may include appropriate amounts for cost of capital and depreciation of assets, as well as the costs of maintenance, operation, management and administration;
(o)
"ICAO" means the United Nations International Civil Aviation Organization;
(p)
"principal place of business" means the head office or registered office of an air carrier within which the principal financial functions and operational control, including continued airworthiness management, of that air carrier are exercised;
(q)
"ramp inspection" means an examination by the competent authority of a Party or its designated representatives, on board and around an aircraft of the other Party, to check both the validity of the relevant aircraft documents and those of its crew members and the apparent condition of the aircraft and its equipment;
(r)
"self-handling" means the performance of ground handling operations by an air carrier directly for itself or for another air carrier where:
(i)
one holds the majority in the other; or
(ii)
a single body has a majority holding in each;
(s)
"scheduled air transport services" means air services which are scheduled and performed for remuneration according to a published timetable, or which are so regular or frequent as to constitute a recognisably systematic series, and which are open to direct booking by members of the public; and extra section flights occasioned by overflow traffic from scheduled flights;
(t)
"stop for non-traffic purposes" means a landing for any purpose other than taking on board or discharging passengers, baggage, cargo and/or mail in air transport;
(u)
"tariff" means any fare, rate or charge for the carriage of passengers, baggage or cargo (excluding mail) in air transport (including any other mode of transport in connection therewith) charged by air carriers, including their agents, and the conditions governing the availability of such fare, rate or charge;
(v)
"user charge" means a charge imposed on air carriers for the provision of airport, air navigation (including overflights), aviation security facilities or services including related services and facilities, or environment-related charges including noise-related charges and charges to address local air quality problems at or around airports.
Article 418
Route schedule
1.   Subject to Article 419, the Union shall grant the United Kingdom the right for the air carriers of the United Kingdom to operate, while carrying out air transport, on the following routes:
Points in the territory of the United Kingdom – Intermediate Points – Points in the territory of the Union – Points Beyond.
2.   Subject to Article 419, the United Kingdom shall grant the Union the right for the air carriers of the Union to operate, while carrying out air transport, on the following routes:
Points in the territory of the Union – Intermediate Points – Points in the territory of the United Kingdom – Points Beyond.
Article 419
Traffic rights
1.   Each Party shall grant to the other Party the right for its respective air carriers, for the purpose of carrying out air transport on the routes laid down in Article 418, to:
(a)
fly across its territory without landing;
(b)
make stops in its territory for non-traffic purposes.
2.   The United Kingdom shall enjoy the right for its air carriers to make stops in the territory of the Union to provide scheduled and non-scheduled air transport services between any points situated in the territory of the United Kingdom and any points situated in the territory of the Union (third and fourth freedom traffic rights).
3.   The Union shall enjoy the right for its air carriers to make stops in the territory of the United Kingdom to provide scheduled and non-scheduled air transport services between any points situated in the territory of the Union and any points situated in the territory of the United Kingdom (third and fourth freedom traffic rights).
4.   Notwithstanding paragraphs 1, 2 and 3 and without prejudice to paragraph 9, the Member States and the United Kingdom may, subject to the respective internal rules and procedures of the Parties, enter into bilateral arrangements by which, as a matter of this Agreement, they grant each other the following rights:
(a)
for the United Kingdom, the right for its air carriers to make stops in the territory of the Member State concerned to provide scheduled and non-scheduled all-cargo air transport services, between points situated in the territory of that Member State and points situated in a third country as part of a service with origin or destination in the territory of the United Kingdom (fifth freedom traffic rights);
(b)
for the Member State concerned, the right for Union air carriers to make stops in the territory of the United Kingdom to provide scheduled and non-scheduled all-cargo air transport services between points situated in the territory of the United Kingdom and points situated in a third country, as part of a service with origin or destination in the territory of that Member State (fifth freedom traffic rights).
5.   The rights mutually granted in accordance with paragraph 4 shall be governed by the provisions of this Title.
6.   Neither Party shall unilaterally limit the volume of traffic, capacity, frequency, regularity, routing, origin or destination of the air transport services operated in accordance with paragraphs 2, 3 and 4, or the aircraft type or types operated for that purpose by the air carriers of the other Party, except as may be required for customs, technical, operational, air traffic management, safety, environmental or health protection reasons, in a non-discriminatory manner, or unless otherwise provided for in this Title.
7.   Nothing in this Title shall be deemed to confer on the United Kingdom the right for its air carriers to take on board in the territory of a Member State passengers, baggage, cargo or mail carried for compensation and destined for another point in the territory of that Member State or any other Member State.
8.   Nothing in this Title shall be deemed to confer on the Union the right for its air carriers to take on board in the territory of the United Kingdom passengers, baggage, cargo or mail carried for compensation and destined for another point in the territory of the United Kingdom.
9.   Subject to the internal rules and procedures of the Parties, the competent authorities of the United Kingdom and of the Member States may authorise non-scheduled air transport services beyond the rights provided for in this Article provided that they do not constitute a disguised form of scheduled services, and may establish bilateral arrangements regarding the procedures to be followed for the handling of, and decisions on, air carriers' applications.
Article 420
Code-share and blocked space arrangements
1.   Air transport services in accordance with Article 419 may be provided by means of blocked-space or code-share arrangements, as follows:
(a)
an air carrier of the United Kingdom may act as the marketing carrier with any operating carrier that is an air carrier of the Union or an air carrier of the United Kingdom, or with any operating carrier of a third country which, under Union law or, as applicable, under the law of the Member State or Member States concerned, enjoys the necessary traffic rights as well as the right for its air carriers to exercise those rights by means of the arrangement in question;
(b)
an air carrier of the Union may act as the marketing carrier with any operating carrier that is an air carrier of the Union or an air carrier of the United Kingdom, or with any operating carrier of a third country which, under United Kingdom law enjoys the necessary traffic rights as well as the right for its air carriers to exercise those rights by means of the arrangement in question;
(c)
an air carrier of the United Kingdom may act as the operating carrier with any marketing carrier that is an air carrier of the Union or an air carrier of the United Kingdom, or with any marketing carrier of a third country which, under Union law or, as applicable, under the law of the Member State or Member States concerned, enjoys the necessary rights to enter into the arrangement in question;
(d)
an air carrier of the Union may act as the operating carrier with any marketing carrier that is an air carrier of the Union or an air carrier of the United Kingdom, or with any marketing carrier of a third country which, under United Kingdom law, enjoys the necessary rights to enter into the arrangement in question;
(e)
in the context of the arrangements provided under points (a) to (d), an air carrier of one Party may act as the marketing carrier in a blocked-space or code-share arrangement, in services between any pair of points of which both origin and destination are situated in the territory of the other Party provided that the following conditions are fulfilled:
(i)
the conditions laid down in point (a) or (b), as the case may be, as regards the operating carrier; and
(ii)
the transport service in question forms part of a carriage by the marketing carrier between a point in the territory of its Party and that destination point in the territory of the other Party.
2.   An air carrier of one Party may act as the marketing carrier in a blocked-space or code-share arrangement, in services between any pair of points of which one is situated in the territory of the other Party and the other is situated in a third country, provided that the following conditions are fulfilled:
(a)
the conditions laid down in point (a) or (b) of paragraph 1, as the case may be, as regards the operating carrier; and
(b)
the transport service in question forms part of a carriage by the marketing carrier between a point in the territory of its Party and that point in a third country.
3.   In respect of each ticket sold involving the arrangements referred to in this Article, the purchaser shall be informed upon reservation of which air carrier will operate each sector of the service. Where that is not possible, or in case of change after reservation, the identity of the operating carrier shall be communicated to the passenger as soon as it is established. In all cases, the identity of the operating carrier or carriers shall be communicated to the passenger at check-in, or before boarding where no check-in is required for a connecting flight.
4.   The Parties may require the arrangements referred to in this Article to be approved by their competent authorities for the purpose of verifying compliance with the conditions set out therein and with other requirements provided for in this Agreement, in particular as regards competition, safety and security.
5.   In no case shall recourse to code-share or blocked-space arrangements result in the air carriers of the Parties exercising traffic rights on the basis of this Agreement other than those provided for in Article 419.
Article 421
Operational flexibility
The rights mutually granted by the Parties in accordance with Article 419(2), (3) and (4) shall include, within the limits laid down therein, all of the following prerogatives:
(a)
to operate flights in either or both directions;
(b)
to combine different flight numbers within one aircraft operation;
(c)
to serve points in the route schedule in any combination and in any order;
(d)
to transfer traffic between aircraft of the same air carrier at any point (change of gauge);
(e)
to carry stopover traffic through any points whether within or outside the territory of either Party;
(f)
to carry transit traffic through the territory of the other Party;
(g)
to combine traffic on the same aircraft regardless of where such traffic originates;
(h)
to serve more than one point on the same service (co-terminalisation).
Article 422
Operating authorisations and technical permissions
1.   On receipt of an application for an operating authorisation from an air carrier of a Party, in the form and manner prescribed, to operate air transport services under this Title, the other Party shall grant the appropriate authorisations and technical permissions with minimum procedural delay, provided that all the following conditions are met:
(a)
in the case of an air carrier of the United Kingdom:
(i)
the air carrier is owned, directly or through majority ownership, and is effectively controlled by the United Kingdom, its nationals, or both;
(ii)
the air carrier has its principal place of business in the territory of the United Kingdom, and is licenced in accordance with the law of the United Kingdom; and
(iii)
the air carrier holds an air operator certificate issued by the competent authority of the United Kingdom, which shall be clearly identified, and that authority exercises and maintains effective regulatory control of the air carrier;
(b)
in the case of an air carrier of the Union:
(i)
the air carrier is owned, directly or through majority ownership, and is effectively controlled by one or more Member States, by other member states of the European Economic Area, by Switzerland, by nationals of such states, or by a combination thereof;
(ii)
the air carrier has its principal place of business in the territory of the Union and holds a valid operating licence in accordance with Union law; and
(iii)
the air carrier holds an air operator certificate issued by the competent authority of a Member State, or by a Union authority on its behalf, the certifying authority is clearly identified, and that Member State exercises and maintains effective regulatory control of the air carrier.
(c)
Articles 434 and 435 are being complied with, and
(d)
the air carrier meets the conditions prescribed under the laws and regulations normally applied to the operation of international air transport by the Party considering the application or applications.
2.   Notwithstanding point (a)(i) of paragraph 1, the appropriate operating authorisations and permissions shall be granted to air carriers of the United Kingdom provided that all the following conditions are met:
(a)
the conditions laid down in points (a)(ii), (a)(iii), (c) and (d) of paragraph 1 are complied with;
(b)
the air carrier is owned, directly or through majority ownership, and is effectively controlled by one or more Member States, by other member states of the European Economic Area, by Switzerland, by nationals of such states, or by a combination thereof, whether alone or together with the United Kingdom and/or nationals of the United Kingdom;
(c)
on the day the transition period ended the air carrier held a valid operating licence in accordance with Union Law.
3.   For the purposes of paragraphs 1 and 2, evidence of effective regulatory control includes but is not limited to:
(a)
the air carrier concerned holding a valid operating licence or permit issued by the competent authority and meeting the criteria of the Party issuing the operating licence or permit for the operation of international air services; and
(b)
that Party having and maintaining safety and security oversight programmes for that air carrier in compliance with ICAO standards.
4.   When granting operating authorisations and technical permissions, each Party shall treat all air carriers of the other Party in a non-discriminatory manner.
5.   On receipt of an application for an operating authorisation from an air carrier of a Party, the other Party shall recognise any fitness determination or citizenship determination or both made by the first Party with respect to that air carrier as if such determination had been made by its own competent authorities, and shall not enquire further into such matters, except as provided for in Article 424(3).
Article 423
Operating plans, programmes and schedules
Notification of operating plans, programmes or schedules for air services operated under this Title may be required by a Party for information purposes only. Where a Party requires such notification, it shall minimise the administrative burden associated with its notification requirements and procedures that is borne by air transport intermediaries and the air carriers of the other Party.
Article 424
Refusal, revocation, suspension or limitation of operating authorisation
1.   The Union may take action against an air carrier of the United Kingdom, in accordance with paragraphs 3, 4 and 5 of this Article, in any of the following cases:
(a)
in the case of authorisations and permissions granted in accordance with point (a) of Article 422(1), any of the conditions laid down therein is not met;
(b)
in the case of authorisations and permissions granted in accordance with Article 422(2), any of the conditions laid down therein is not met;
(c)
the air carrier has failed to comply with the laws and regulations referred to in Article 426; or
(d)
such action is necessary in order to prevent, protect against or control the spread of disease, or otherwise protect public health.
2.   The United Kingdom may take action against an air carrier of the Union in accordance with paragraphs 3, 4 and 5 of this Article in any of the following cases:
(a)
any of the conditions laid down in point (b) of Article 422(1) is not met;
(b)
the air carrier has failed to comply with the laws and regulations referred to in Article 426; or
(c)
such action is necessary in order to prevent, protect against or control the spread of disease, or otherwise protect public health.
3.   Where a Party has reasonable grounds to believe that an air carrier of the other Party is in any of the situations referred to in paragraph 1 or 2, as the case may be, and that action must be taken in that respect, that Party shall notify the other Party in writing as soon as possible of the reasons for the intended refusal, suspension or limitation of the operating authorisation or technical permission and request consultations.
4.   Such consultations shall start as soon as possible, and not later than 30 days from receipt of the request for consultations. Failure to reach a satisfactory agreement within 30 days or an agreed time period from the starting date of such consultations, or failure to take the agreed corrective action, shall constitute grounds for the Party that requested the consultations to take action to refuse, revoke, suspend, impose conditions on or limit the operating authorisation or technical permissions of the air carrier or air carriers concerned to ensure compliance with Articles 422 and 426. Where measures have been taken to refuse, revoke, suspend or limit the operating authorisation or technical permission of an air carrier, a Party may have recourse to arbitration in accordance with Article 739, without having prior recourse to consultations in accordance with Article 738. An arbitration tribunal shall treat the issue as a case of urgency for the purpose of Article 744. At the request of a Party, the tribunal may, pending its final ruling, order the adoption of interim relief measures, including the modification or suspension of measures taken by either Party under this Article.
5.   Notwithstanding paragraphs 3 and 4, in the cases referred to in points (c) and (d) of paragraph 1, and in points (b) and (c) of paragraph 2, a Party may take immediate or urgent action where required by an emergency or to prevent further non-compliance. For the purposes of this paragraph, further non-compliance means that the question of non-compliance has already been raised between the competent authorities of the Parties.
6.   This Article is without prejudice to the provisions of Title XI of Heading One, Article 427(4), Article 434(4), (6) and (8) and Article 435(12) and to the dispute settlement procedure laid down in Title I of Part Six or to the measures resulting therefrom.
Article 425
Ownership and control of air carriers
The Parties recognise the potential benefits of the continued liberalisation of ownership and control of their respective air carriers. The Parties agree to examine in the Specialised Committee on Air Transport options for the reciprocal liberalisation of the ownership and control of their air carriers within 12 months from the entry into force of this Agreement, and thereafter within 12 months of receipt of a request to do so from one of the Parties. As a result of this examination, the Parties may decide to amend this Title.
Article 426
Compliance with laws and regulations
1.   The laws and regulations of a Party relating to the admission to, operation within, and departure from its territory of aircraft engaged in international air transport shall be complied with by the air carriers of the other Party while entering, operating within, or leaving the territory of that Party, respectively.
2.   The laws and regulations of a Party relating to the admission to, operation within, or departure from its territory of passengers, crew, baggage, cargo, or mail on aircraft (including regulations relating to entry, clearance, immigration, passports, customs and quarantine, or in the case of mail, postal regulations) shall be complied with by, or on behalf of, such passengers, crew, baggage, cargo, and mail carried by the air carriers of the other Party while entering, operating within, or leaving the territory of that Party, respectively.
3.   The Parties shall permit, in their respective territory, the air carriers of the other Party to take appropriate measures to ensure that only persons with the travel documents required for entry into or transit through the territory of the other Party are carried.
Article 427
Non-Discrimination
1.   Without prejudice to Title XI of Heading One, the Parties shall eliminate, within their respective jurisdictions, all forms of discrimination which would adversely affect the fair and equal opportunity of the air carriers of the other Party to compete in the exercise of the rights provided for in this Title.
2.   A Party (the "initiating Party") may proceed in accordance with paragraphs 3 to 6 where it considers that its air carriers' fair and equal opportunities to compete in the exercise of the rights provided for in this Title are adversely affected by discrimination prohibited by paragraph 1.
3.   The initiating Party shall submit a written request for consultations to the other Party (the "responding Party"). Consultations shall start within a period of 30 days from the receipt of the request, unless otherwise agreed by the Parties.
4.   Where the initiating Party and the responding Party fail to reach agreement on the matter within 60 days from the receipt of the request for consultations referred to in paragraph 3, the initiating Party may take measures against all or part of the air carriers which have benefitted from discrimination prohibited by paragraph 1, including action to refuse, revoke, suspend, impose conditions on or limit the operating authorisations or technical permissions of the air carriers concerned.
5.   The measures taken pursuant to paragraph 4 shall be appropriate, proportionate and restricted in their scope and duration to what is strictly necessary to mitigate the injury to the air carriers of the initiating Party and remove the undue advantage gained by the air carriers against which they are directed.
6.   Where consultations have not resolved the matter or where measures have been taken pursuant to paragraph 4 of this Article, a Party may have recourse to arbitration in accordance with Article 739, without having prior recourse to consultations in accordance with Article 738. An arbitration tribunal shall treat the issue as a case of urgency for the purpose of Article 744. At the request of a Party, the tribunal may, pending its final ruling, order the adoption of interim relief measures, including the modification or suspension of measures taken by either Party under this Article.
7.   Notwithstanding paragraph 2, the Parties shall not proceed under paragraphs 3 to 6 in relation to conduct falling under the scope of Title XI of Heading One.
Article 428
Doing business
1.   The Parties agree that obstacles to doing business encountered by air carriers would hamper the benefits under this Title. The Parties agree to cooperate in removing obstacles to doing business for air carriers of both Parties where such obstacles may hamper commercial operations, create distortions to competition or affect equal opportunities to compete.
2.   The Specialised Committee on Air Transport shall monitor progress in effectively addressing matters relating to obstacles to doing business for air carriers.
Article 429
Commercial operations
1.   The Parties shall grant each other the rights laid down in paragraphs 2 to 7. For the purposes of the exercise of those rights, the air carriers of each Party shall not be required to retain a local sponsor.
2.   As regards air carrier representatives:
(a)
the establishment of offices and facilities by the air carriers of one Party in the territory of the other Party as necessary to provide services under this Title shall be allowed without restriction or discrimination;
(b)
without prejudice to safety and security regulations, where such offices and facilities are located in an airport they may be subject to limitations on grounds of availability of space;
(c)
each Party shall, in accordance with its laws and regulations relating to entry, residence and employment, authorise the air carriers of the other Party to bring in and maintain in the territory of the authorising Party those of their own managerial, sales, technical, operational, and other specialist staff which the air carrier reasonably considers necessary for the provision of air transport services under this Title. Where employment authorisations are required for the personnel referred to in this paragraph, including those performing certain temporary duties, the Parties shall process applications for such authorisations expeditiously, subject to the relevant laws and regulations.
3.   As regards ground handling:
(a)
each Party shall permit the air carriers of the other Party to perform self-handling in its territory without restrictions other than those based on considerations of safety or security, or otherwise resulting from physical or operational constraints;
(b)
each Party shall not impose on the air carriers of the other Party the choice of one or more providers of ground handling services among those which are present in the market in accordance with the laws and regulations of the Party where the services are provided;
(c)
without prejudice to point (a), where the laws and regulations of a Party limit or restrict in any way free competition between providers of ground handling services, that Party shall ensure that all necessary ground handling services are available to the air carriers of the other Party and that they are provided under no less favourable terms than those under which they are provided to any other air carrier.
4.   As regards the allocation of slots at airports, each Party shall ensure that its regulations, guidelines and procedures for allocation of slots at the airports in its territory are applied in a transparent, effective, non-discriminatory and timely manner.
5.   As regards local expenses and transfer of funds and earnings:
(a)
the provisions of Title IV of Heading One apply to the matters governed by this Title, without prejudice to Article 422;
(b)
the Parties shall grant each other the benefits laid down in points (c) to (e);
(c)
it shall be possible for the sale and purchase of transport and related services by the air carriers of the Parties, at the discretion of the air carrier, to be denominated in pounds sterling if the sale or purchase takes place in the territory of the United Kingdom, or, if the sale or purchase take place in the territory of a Member State, to be denominated in the currency of that Member State;
(d)
the air carriers of each Party shall be permitted to pay for local expenses in local currency, at their discretion;
(e)
the air carriers of each Party shall be permitted, on demand, to remit revenues obtained in the territory of the other Party from the sale of air transport services and associated activities directly linked to air transport in excess of sums locally disbursed, at any time, in any way, to the country of their choice. Prompt conversion and remittance shall be permitted without restrictions or taxation in respect thereof at the market rate of exchange applicable to current transactions and remittance on the date the carrier makes the initial application for remittance and shall not be subject to any charges except those normally made by banks for carrying out such conversion and remittance.
6.   As regards intermodal transport:
(a)
in relation to the transport of passengers, the Parties shall not subject surface transport providers to laws and regulations governing air transport on the sole basis that such surface transport is held out by an air carrier under its own name;
(b)
subject to any conditions and qualifications set out in Title II of Heading One and its Annexes and in Title I of Heading Three and its Annex, air carriers of each Party shall be permitted, without restriction, to employ in connection with international air transport any surface transport for cargo to or from any points in the territories of the Parties, or in third countries, including transport to and from all airports with customs facilities, and including, where applicable, the right to transport cargo in bond under applicable laws and regulations. Such cargo, whether moving by surface or by air, shall have access to airport customs processing and facilities. Air carriers may elect to perform their own surface transport or to provide it through arrangements, including code share, with other surface transport providers, including surface transport operated by other air carriers and indirect providers of cargo air transport. Such inter-modal cargo services may be offered as a through service and at a single price for the air and surface transport combined, provided that shippers are informed as to the providers of the transport involved.
7.   As regards leasing:
(a)
the Parties shall grant each other the right for their air carriers to provide air transport services in accordance with Article 419 in all the following ways:
(i)
using aircraft leased without crew from any lessor;
(ii)
in the case of air carriers of the United Kingdom, using aircraft leased with crew from other air carriers of the Parties;
(iii)
in the case of air carriers of the Union, using aircraft leased with crew from other air carriers of the Union;
(iv)
using aircraft leased with crew from air carriers other than those referred to in points (ii) and (iii), respectively, provided that the leasing is justified on the basis of exceptional needs, seasonal capacity needs or operational difficulties of the lessee, and the leasing does not exceed the duration which is strictly necessary to fulfil those needs or overcome those difficulties;
(b)
the Parties may require leasing arrangements to be approved by their competent authorities for the purpose of verifying compliance with the conditions set out in this paragraph and with the applicable safety and security requirements;
(c)
however, where a Party requires such approval, it shall endeavour to expedite the approval procedures and minimise the administrative burden on the air carriers concerned;
(d)
the provisions of this paragraph are without prejudice to the laws and regulations of a Party as regards the leasing of aircraft by air carriers of that Party.
Article 430
Fiscal provisions
1.   On arriving in the territory of one Party, aircraft operated in international air transport by the air carriers of the other Party, their regular equipment, fuel, lubricants, consumable technical supplies, ground equipment, spare parts (including engines), aircraft stores (including but not limited to such items as food, beverages and liquor, tobacco and other products destined for sale to, or use by, passengers in limited quantities during flight) and other items intended for or used solely in connection with the operation or servicing of aircraft engaged in international air transport shall, on the basis of reciprocity, and provided that such equipment and supplies remain on board the aircraft, be exempt from all import restrictions, property taxes and capital levies, customs duties, excise taxes, inspection fees, value added tax or other similar indirect taxes, and similar fees and charges imposed by the national or local authorities or the Union.
2.   The following goods shall also be exempt, on the basis of reciprocity, from the taxes, levies, duties, fees and charges referred to in paragraph 1:
(a)
aircraft stores introduced into or supplied in the territory of a Party and taken on board, within reasonable limits, for use on outbound aircraft of an air carrier of the other Party used in international air transport, even when these stores are to be used on a part of the journey performed over the said territory;
(b)
ground equipment and spare parts (including engines) introduced into the territory of a Party for the servicing, maintenance, or repair of aircraft of an air carrier of the other Party used in international air transport;
(c)
lubricants and consumable technical supplies other than fuel introduced into or supplied in the territory of a Party for use in an aircraft of an air carrier of the other Party used in international air transport, even when those supplies are to be used on a part of the journey performed over the said territory; and
(d)
printed matter, as provided for by the customs legislation of each Party, introduced into or supplied in the territory of one Party and taken on board for use on outbound aircraft of an air carrier of the other Party engaged in international air transport, even when those stores are to be used on a part of the journey performed over the said territory.
3.   The regular airborne equipment, as well as the material, supplies and spare parts referred to in paragraph 1 normally retained on board aircraft operated by an air carrier of one Party may be unloaded in the territory of the other Party only with the approval of the customs authorities of that Party and may be required to be kept under the supervision or control of the said authorities up to such time as they are re-exported or otherwise disposed of in accordance with applicable regulations.
4.   The relief from customs duties, national excise duties and similar national fees provided for in this Article shall also be available in situations where the air carrier or air carriers of one Party have entered into arrangements with another air carrier or air carriers for the loan or transfer in the territory of the other Party of the items specified in paragraphs 1 and 2, provided that such other air carrier or air carriers similarly enjoy such relief from that other Party.
5.   Nothing in this Title shall prevent either Party from imposing taxes, levies, duties, fees or charges on goods sold other than for consumption on board to passengers during a sector of an air service between two points within its territory at which embarkation or disembarkation is permitted.
6.   Baggage and cargo in direct transit across the territory of a Party shall be exempt from taxes, customs duties, fees and other similar charges.
7.   Equipment and supplies referred to in paragraph 2 may be required to be kept under the supervision or control of the competent authorities.
8.   The provisions of the respective conventions in force between the United Kingdom and Member States for the avoidance of double taxation on income and on capital remain unaffected by this Title.
9.   The relief from customs duties, national excise duties and similar national fees shall not extend to charges based on the cost of services provided to an air carrier of a Party in the territory of the other Party.
Article 431
User charges
1.   User charges that may be imposed by one Party on the air carriers of the other Party for the use of air navigation and air traffic control shall be cost-related and non-discriminatory. In any event, any such user charges shall be assessed on the air carriers of the other Party on terms not less favourable than the most favourable terms available to any other air carrier in like circumstances at the time the charges are applied.
2.   Without prejudice to Article 429(5), each Party shall ensure that user charges other than those mentioned in paragraph 1 that may be imposed on the air carriers of the other Party are just, reasonable, not unjustly discriminatory, and equitably apportioned among categories of users. User charges imposed on the air carriers of the other Party may reflect, but not exceed, the full cost of providing appropriate airport, airport environmental and aviation security facilities and services at the airport or within the airport system. Such charges may include a reasonable return on assets after depreciation. Facilities and services for which user charges are imposed shall be provided on an efficient and economic basis. In any event, any such user charges shall be assessed on the air carrier of the other Party on terms no less favourable than the most favourable terms available to any other air carrier in like circumstances at the time the charges are applied.
3.   In order to ensure the correct application of the principles set out in paragraphs 1 and 2, each Party shall ensure that consultations take place between the competent charging authorities or bodies in its territory and the air carriers using the services and facilities concerned and that the competent charging authorities or bodies and the air carriers exchange such information as may be necessary. Each Party shall ensure that the competent charging authorities provide users with reasonable notice of any proposal for changes in user charges to enable users to express their views before any changes are made.
Article 432
Tariffs
1.   The Parties shall allow tariffs to be freely established by the air carriers of the Parties on the basis of fair competition in accordance with this Title.
2.   The Parties shall not subject the tariffs of each other's air carriers to approval.
Article 433
Statistics
1.   The Parties shall cooperate within the framework of the Specialised Committee on Air Transport to facilitate the exchange of statistical information related to air transport under this Title.
2.   Upon request, each Party shall provide the other Party with non-confidential and non-commercially sensitive available statistics related to air transport under this Title, as required by the respective laws and regulations of the Parties, on a non-discriminatory basis, and as may reasonably be required.
Article 434
Aviation safety
1.   The Parties reaffirm the importance of close cooperation in the field of aviation safety.
2.   Certificates of airworthiness, certificates of competency and licences issued or rendered valid by one Party and still in force shall be recognised as valid by the other Party and its competent authorities, for the purpose of operating air services under this Title, provided that such certificates or licences were issued or rendered valid pursuant to, and in conformity with, as a minimum, the relevant international standards established under the Convention.
3.   Each Party may request consultations at any time concerning the safety standards maintained and administered by the other Party in areas relating to aeronautical facilities, flight crew, aircraft and the operation of aircraft. Such consultations shall take place within 30 days of the request.
4.   If, following such consultations, one Party finds that the other Party does not effectively maintain and administer safety standards in the areas referred to in paragraph 2 that are at least equal to the minimum standards established at that time pursuant to the Convention, the first Party shall notify the other Party of those findings and the steps considered necessary to conform with those minimum standards, and the other Party shall take appropriate corrective action. Failure by the other Party to take appropriate action within 15 days or such other period as may be agreed shall be grounds for the requesting Party to refuse, revoke, suspend, impose conditions on or limit the operating authorisations or technical permissions, or to otherwise refuse, revoke, suspend, impose conditions on or limit the operations of the air carriers under the safety oversight of the other Party.
5.   Any aircraft operated by, or, under a lease arrangement, on behalf of, an air carrier or air carriers of one Party may, while within the territory of the other Party, be made the subject of a ramp inspection, provided that this does not lead to unreasonable delay in the operation of the aircraft.
6.   The ramp inspection or series of ramp inspections can give rise to:
(a)
serious concerns that an aircraft or the operation of an aircraft does not comply with the minimum standards established at that time pursuant to the Convention; or
(b)
serious concerns that there is a lack of effective maintenance and administration of safety standards established at that time pursuant to the Convention.
In the event that the Party that conducted the ramp inspection or inspections establishes serious concerns as referred to in point (a) or (b), it shall notify the competent authorities of the other Party that are responsible for the safety oversight of the air carrier operating the aircraft of such findings and inform them of the steps considered necessary to conform with those minimum standards. Failure to take appropriate corrective action within 15 days or such other period as may be agreed shall constitute grounds for the first Party to refuse, revoke, suspend, impose conditions on or limit the operating authorisations or technical permissions or to otherwise refuse, revoke, suspend, impose conditions on or limit the operations of the air carrier operating the aircraft.
7.   In the event that access for the purpose of undertaking a ramp inspection of an aircraft operated by the air carrier or air carriers of one Party in accordance with paragraph 5 is denied, the other Party shall be free to infer that serious concerns as referred to in paragraph 6 arise and proceed in accordance with paragraph 6.
8.   Each Party reserves the right to immediately revoke, suspend or limit the operating authorisations or technical permissions or to otherwise suspend or limit the operations of an air carrier or air carriers of the other Party, if the first Party concludes as a result of a ramp inspection, a series of ramp inspections, a denial of access for ramp inspection, consultation or otherwise, that immediate action is essential to the safety of an air carrier operation. The Party taking such measures shall promptly inform the other Party, providing reasons for its action.
9.   Any action by one Party in accordance with paragraph 4, 6 or 8 shall be discontinued once the basis for the taking of that action ceases to exist.
10.   Where measures have been taken by a Party pursuant to paragraph 4, 6 or 8, in the event of a dispute a Party may have recourse to arbitration in accordance with Article 739, without having prior recourse to consultations in accordance with Article 738. An arbitration tribunal shall treat the issue as a case of urgency for the purpose of Article 744. At the request of the complaining Party, the tribunal may, pending its final ruling, order the adoption of interim relief measures, including the modification or suspension of measures taken by either Party under this Article.
Article 435
Aviation security
1.   The Parties shall provide upon request all necessary assistance to each other to address any threat to the security of civil aviation, including the prevention of acts of unlawful seizure of civil aircraft and other unlawful acts against the safety of such aircraft, of their passengers and crew, airports and air navigation facilities, and any other threat to the security of civil aviation.
2.   The Parties shall, in their mutual relations, act in conformity with the aviation security standards established by ICAO. They shall require that operators of the aircraft in their registries and the operators of airports in their territory, act, at least, in conformity with such aviation security standards. Each Party shall, on request, provide the other Party notification of any difference between its laws, regulations and practices and the aviation security standards referred to in this paragraph. Each Party may at any time request consultations, to be held without delay, with the other Party to discuss those differences.
3.   Each Party shall ensure that effective measures are taken within its territory to protect civil aviation against acts of unlawful interference, including, but not limited to, screening of passengers and their cabin baggage, screening of hold baggage, screening and security controls for persons other than passengers, including crew, and their items carried, screening and security controls for cargo, mail, in-flight and airport supplies, and access control to airside and security restricted areas. Each Party agrees that the security provisions of the other Party relating to the admission to, operating within, or departure from its territory of aircraft shall be observed.
4.   The Parties shall endeavour to cooperate on aviation security matters to the highest extent, to exchange information on threat, vulnerability and risk, subject to the mutual agreement of appropriate arrangements for the secure transfer, use, storage and disposal of classified information, to discuss and share best practices, performance and detection standards of security equipment, compliance monitoring best practices and results, and in any other area that the Parties may identify. In particular, the Parties shall endeavour to develop and maintain cooperation arrangements between technical experts on the development and recognition of aviation security standards with the aim of facilitating such cooperation, reducing administrative duplication and fostering early notice and prior discussion of new security initiatives and requirements.
5.   Each Party shall make available to the other Party on request the results of audits carried out by ICAO and the corrective actions taken by the audited state, subject to the mutual agreement of appropriate arrangements for the secure transfer, use, storage and disposal of such information.
6.   The Parties agree to cooperate on security inspections undertaken by them in the territory of either Party through the establishment of mechanisms, including administrative arrangements, for the reciprocal exchange of information on results of such security inspections. The Parties agree to consider positively requests to participate, as observers, in security inspections undertaken by the other Party.
7.   Subject to paragraph 9, and with full regard and mutual respect for the other Party's sovereignty, a Party may adopt security measures for entry into its territory. Where possible, that Party shall take into account the security measures already applied by the other Party and any views that the other Party may offer. Each Party recognises that nothing in this Article limits the right of a Party to refuse entry into its territory of any flight or flights that it deems to present a threat to its security.
8.   A Party may take emergency measures to meet a specific security threat. Such measures shall be notified immediately to the other Party. Without prejudice to the need to take immediate action in order to protect aviation security, when considering security measures, a Party shall evaluate possible adverse effects on international air transport and, unless constrained by law, shall take such effects into account when it determines what measures are necessary and appropriate to address the security concerns.
9.   With regard to air services bound for its territory, a Party may not require security measures to be implemented in the territory of the other Party. Where a Party considers that a specific threat urgently requires the implementation of temporary measures in addition to the measures already in place in the territory of the other Party, it shall, inform the other Party of the particulars of that threat to the extent consistent with the need to protect security information, and of the proposed measures. The other Party shall give positive consideration to such a proposal, and may decide to implement additional measures as it deems necessary. Such measures shall be proportionate and limited in time.
10.   When an incident or threat of an incident of unlawful seizure of civil aircraft or other unlawful acts against the safety of aircraft, passengers, crew, airports or air navigation facilities occurs, the Parties shall assist each other by facilitating communications and other appropriate measures intended to rapidly and safely terminate such incident or threat.
11.   Each Party shall take all measures it finds practicable to ensure that an aircraft subjected to an act of unlawful seizure or other acts of unlawful interference which is on the ground in its territory is detained on the ground unless its departure is necessitated by the overriding duty to protect human life. Where practicable, such measures shall be taken on the basis of consultations between the Parties.
12.   When a Party has reasonable grounds to believe that the other Party does not comply with this Article, that Party may request immediate consultations with the other Party. Such consultations shall start within 30 days of the receipt of such a request. Failure to reach a satisfactory agreement within 15 days or such other period as may be agreed from the date of such request shall constitute grounds for the Party that requested the consultations to take action to refuse, revoke, suspend, impose conditions on or limit the operating authorisation and technical permissions of an air carrier or air carriers of the other Party to ensure compliance with this Article. When required by an emergency, or to prevent further non-compliance with this Article, a Party may take interim action prior to the expiry of the 15 day-period referred to in this paragraph.
13.   Any action taken in accordance with paragraph 8 shall be discontinued when the Party in question considers that the action is no longer required or has been superseded by other measures to mitigate the threat. Any action taken in accordance with paragraph 12 shall be discontinued upon compliance by the other Party with this Article. In the case of action taken in accordance with paragraph 8 or 12, this may be discontinued as mutually agreed by the Parties.
14.   Where measures or actions have been taken in accordance with paragraph 7, 8, 9 or 12 of this Article, a Party may have recourse to the dispute settlement provisions of Title I of Part Six. An arbitration tribunal shall treat the issue as a case of urgency for the purpose of Article 744.
Article 436
Air traffic management
1.   The Parties and their respective competent authorities and air navigation service providers shall cooperate with each other in such a way as to enhance the safe and efficient functioning of air traffic in the European region. The Parties shall seek interoperability between each other's service providers.
2.   The Parties agree to cooperate on matters concerning the performance and charging of air navigation services and network functions, with a view to optimising overall flight efficiency, reducing costs, minimising environmental impact and enhancing the safety and capacity of air traffic flows between the existing air traffic management systems of the Parties.
3.   The Parties agree to promote cooperation between their air navigation service providers in order to exchange flight data and coordinate traffic flows to optimise flight efficiency, with a view to achieving improved predictability, punctuality and service continuity for air traffic.
4.   The Parties agree to cooperate on their air traffic management modernisation programmes, including research, development and deployment activities, and to encourage cross-participation in validation and demonstration activities with the goal of ensuring global interoperability.
Article 437
Air carrier liability
The Parties reaffirm their obligations under the Convention for the Unification of Certain Rules for International Carriage by Air, done at Montreal on 28 May 1999 (the "Montreal Convention").
Article 438
Consumer protection
1.   The Parties share the objective of achieving a high level of consumer protection and shall cooperate to that effect.
2.   The Parties shall ensure that effective and non-discriminatory measures are taken to protect the interests of consumers in air transport. Such measures shall include the appropriate access to information, assistance including for persons with disabilities and reduced mobility, reimbursement and, if applicable, compensation in case of denied boarding, cancellation or delays, and efficient complaint handling procedures.
3.   The Parties shall consult each other on any matter related to consumer protection, including their planned measures in that regard.
Article 439
Relationship to other agreements
1.   Subject to paragraphs 4 and 5, earlier agreements and arrangements relating to the subject matter of this Title between the United Kingdom and the Member States, to the extent that they may not have been superseded by the law of the Union, shall be superseded by this Agreement.
2.   The United Kingdom and a Member State may not grant each other any rights in connection with air transport to, from or within their respective territories other than those expressly laid down in this Title, save as provided for in Article 419(4) and (9).
3.   If the Parties become party to a multilateral agreement, or endorse a decision adopted by ICAO or another international organisation that addresses matters covered by this Title, they shall consult in the Specialised Committee on Air Transport to determine whether this Title should be revised to take into account such developments.
4.   Nothing in this Title shall affect the validity and application of existing and future air transport agreements between the Member States and the United Kingdom as regards territories under their respective sovereignty which are not covered by Article 774.
5.   Nothing in this Title shall affect any rights available to the United Kingdom and Member States under the Multilateral Agreement on Commercial Rights of Non-Scheduled Air Services in Europe, signed at Paris on 30 April 1956, to the extent that such rights go beyond those laid down in this Title.
Article 440
Suspension and Termination
1.   A suspension of this Title, in whole or in part, pursuant to Article 749, may be implemented no earlier than the first day of the International Air Transport Association (IATA) traffic season following the season during which the suspension has been notified.
2.   Upon termination of this Agreement pursuant to Article 779 or upon termination of this Title pursuant to Article 441 or Article 521 or Article 509, the provisions governing the matters falling within the scope of this Title shall continue to apply beyond the date of cessation referred to in Article 779 or Article 441 or Article 521 or Article 509, until the end of the IATA traffic season in progress on that date.
3.   The Party suspending this Title, in whole or in part, or terminating this Agreement or this Title shall inform ICAO thereof.
Article 441
Termination of this Title
Without prejudice to Article 779, Article 521, and Article 509 each Party may at any moment terminate this Title, by written notification through diplomatic channels. In that event, this Title shall cease to be in force on the first day of the ninth month following the date of notification.
Article 442
Registration of this Agreement
This Agreement and any amendments thereto shall, insofar as relevant, be registered with ICAO in accordance with Article 83 of the Convention.
TITLE II
AVIATION SAFETY
Article 443
Objectives
The objectives of this Title are to:
(a)
enable the reciprocal acceptance, as provided for in the Annexes to this Title, of findings of compliance made and certificates issued by either Party's competent authorities or approved organisations;
(b)
promote cooperation toward a high level of civil aviation safety and environmental compatibility;
(c)
facilitate the multinational dimension of the civil aviation industry;
(d)
facilitate and promote the free flow of civil aeronautical products and services.
Article 444
Definitions
For the purposes of this Title, the following definitions apply:
(a)
"approved organisation" means any legal person certified by the competent authority of either Party to exercise privileges related to the scope of this Title;
(b)
"certificate" means any approval, licence or other document issued as a form of recognition of compliance that a civil aeronautical product, an organisation or a legal or natural person complies with the applicable requirements set out in laws and regulations of a Party;
(c)
"civil aeronautical product" means any civil aircraft, aircraft engine, or aircraft propeller, or subassembly, appliance, part or component, installed or to be installed thereon;
(d)
"competent authority" means a Union or government agency or a government entity responsible for civil aviation safety that is designated by a Party for the purposes of this Title to perform the following functions:
(i)
to assess the compliance of civil aeronautical products, organisations, facilities, operations and services subject to its oversight with applicable requirements set out in laws, regulations and administrative provisions of that Party;
(ii)
to conduct monitoring of their continued compliance with these requirements; and
(iii)
to take enforcement actions to ensure their compliance with these requirements;
(e)
"findings of compliance" means a determination of compliance with the applicable requirements set out in laws and regulations of a Party as the result of actions such as testing, inspections, qualifications, approvals and monitoring;
(f)
"monitoring" means the regular surveillance by a competent authority of a Party to determine continuing compliance with the applicable requirements set out in laws and regulations of that Party;
(g)
"technical agent" means, for the Union, the European Union Aviation Safety Agency ("EASA"), or its successor, and for the United Kingdom, the United Kingdom Civil Aviation Authority ("CAA"), or its successor; and
(h)
"the Convention" means the Convention on International Civil Aviation, done at Chicago on 7 December 1944, and includes:
(i)
any amendment that has entered into force under Article 94(a) of the Convention and has been ratified by the United Kingdom and the Member State or Member States concerned, as is relevant to the issue in question; and
(ii)
any Annex or any amendment thereto adopted under Article 90 of the Convention, insofar as such Annex or amendment is at any given time effective for the United Kingdom and the Member State or Member States concerned, as is relevant to the issue in question.
Article 445
Scope and implementation
1.   The Parties may cooperate in the following areas:
(a)
airworthiness certificates and monitoring of civil aeronautical products;
(b)
environmental certificates and testing of civil aeronautical products;
(c)
design and production certificates and monitoring of design and production organisations;
(d)
maintenance organisation certificates and monitoring of maintenance organisations;
(e)
personnel licensing and training;
(f)
flight simulator qualification evaluation;
(g)
operation of aircraft;
(h)
air traffic management and air navigation services; and
(i)
other areas related to aviation safety subject to Annexes to the Convention.
2.   The scope of this Title shall be established by way of Annexes covering each area of cooperation set out in paragraph 1.
3.   The Specialised Committee on Aviation Safety may only adopt Annexes as referred to in paragraph 2 where each Party has established that the civil aviation standards, rules, practices, procedures and systems of the other Party ensure a sufficiently equivalent level of safety to permit acceptance of findings of compliance made and certificates issued by its competent authorities or by organisations approved by those competent authorities.
4.   Each Annex referred to in paragraph 2 shall describe the terms, conditions and methods for the reciprocal acceptance of findings of compliance and certificates, and, if necessary, transitional arrangements.
5.   The technical agents may develop implementation procedures for each individual Annex. Technical differences between the Parties' civil aviation standards, rules, practices, procedures and systems shall be addressed in the Annexes referred to in paragraph 2 and implementation procedures.
Article 446
General obligations
1.   Each Party shall accept findings of compliance made and certificates issued by the other Party's competent authorities or approved organisations, in accordance with the terms and conditions set out in the Annexes referred to in Article 445(2).
2.   Nothing in this Title shall entail reciprocal acceptance of the standards or technical regulations of the Parties.
3.   Each Party shall ensure that its respective competent authorities remain capable and fulfil their responsibilities under this Title.
Article 447
Preservation of regulatory authority
Nothing in this Title shall be construed as limiting the authority of a Party to determine, through its legislative, regulatory and administrative measures, the level of protection it considers appropriate for safety and the environment.
Article 448
Safeguard measures
1.   Either Party may take all appropriate and immediate measures whenever it considers that there is a reasonable risk that a civil aeronautical product, a service or any activity that falls within the scope of this Title may compromise safety or the environment, may not meet its applicable legislative, regulatory or administrative measures, or may otherwise fail to satisfy a requirement within the scope of the applicable Annex to this Title.
2.   Where either Party takes measures pursuant to paragraph 1, it shall inform the other Party in writing within 15 working days of taking such measures, providing reasons therefor.
Article 449
Communication
1.   The Parties shall designate and notify each other of a contact point for the communication related to the implementation of this Title. All such communications shall be in the English language.
2.   The Parties shall notify to each other a list of the competent authorities, and thereafter an updated list each time that becomes necessary.
Article 450
Transparency, regulatory cooperation and mutual assistance
1.   Each Party shall ensure that the other Party is kept informed of its laws and regulations related to this Title and any significant changes to such laws and regulations.
2.   The Parties shall to the extent possible inform each other of their proposed significant revisions of their relevant laws, regulations, standards, and requirements, and of their systems for issuing certificates insofar as these revisions may have an impact on this Title. To the extent possible, they shall offer each other an opportunity to comment on such revisions and give due consideration to such comments.
3.   For the purpose of investigating and resolving specific safety issues, each Party's competent authorities may allow the other Party's competent authorities to participate as observers in each other's oversight activities as specified in the applicable Annex to this Title.
4.   For the purpose of monitoring and inspections, each Party's competent authorities shall assist, if necessary, the other Party's competent authorities with the objective of providing unimpeded access to regulated entities subject to its oversight.
5.   To ensure the continued confidence by each Party in the reliability of the other Party's processes for findings of compliance, each technical agent may participate as an observer in the other's oversight activities, in accordance with procedures set out in the Annexes to this Title. That participation shall not amount to a systematic participation in oversight activity of the other Party.
Article 451
Exchange of safety information
The Parties shall, without prejudice to Article 453 and subject to their applicable legislation:
(a)
provide each other, on request and in a timely manner, with information available to their technical agents related to accidents, serious incidents or occurrences in relation to civil aeronautical products, services or activities covered by the Annexes to this Title; and
(b)
exchange other safety information as the technical agents may agree.
Article 452
Cooperation in enforcement activities
The Parties shall, through their technical agents or competent authorities, provide when requested, subject to applicable laws and regulations, as well as to the availability of required resources, mutual cooperation and assistance in investigations or enforcement activities regarding any alleged or suspected violation of laws or regulations falling within the scope of this Title. In addition, each Party shall promptly notify the other Party of any investigation when mutual interests are involved.
Article 453
Confidentiality and protection of data and information
1.   Each Party shall, in accordance with its laws and regulations, maintain the confidentiality of data and information received from the other Party under this Title. Such data and information may only be used by the Party receiving the data and information for the purposes of this Title.
2.   In particular, subject to their respective laws and regulations, the Parties shall neither disclose to a third party, including the public, nor permit their competent authorities to disclose to a third party, including the public, any data and information received from the other Party under this Title that constitutes trade secrets, intellectual property, confidential commercial or financial information, proprietary data, or information that relates to an ongoing investigation. To that end, such data and information shall be considered to be confidential.
3.   A Party or a competent authority of a Party may, upon providing data or information to the other Party or a competent authority of the other Party, designate data or information that it considers to be confidential and not to be subject to disclosure. In that case, the Party or its competent authority shall clearly mark such data or information as confidential.
4.   If a Party disagrees with the designation made by the other Party or a competent authority of that Party in accordance with paragraph 3, the former Party may request consultations with the other Party to address the issue.
5.   Each Party shall take all reasonable precautions necessary to protect data and information, received under this Title, from unauthorised disclosure.
6.   The Party receiving data and information from the other Party under this Title shall not acquire any proprietary rights on such data and information by reason of its receipt from the other Party.
Article 454
Adoption and amendments of Annexes to this Title
The Specialised Committee on Aviation Safety may amend Annex 30, adopt or amend Annexes as provided for in Article 445(2) and delete any Annex.
Article 455
Cost recovery
Each Party shall endeavour to ensure that any fees or charges imposed by a Party or its technical agent on a legal or natural person whose activities are covered by this Title shall be just, reasonable and commensurate with the services provided, and shall not create a barrier to trade.
Article 456
Other agreements and prior arrangements
1.   Upon entry into force of this Agreement, this Title shall supersede any bilateral aviation safety agreements or arrangements between the United Kingdom and the Member States with respect to any matter covered by this Title that has been implemented in accordance with Article 445.
2.   The technical agents shall take necessary measures to revise or terminate, as appropriate, prior arrangements between them.
3.   Subject to paragraphs 1 and 2, nothing in this Title shall affect the rights and obligations of the Parties under any other international agreements.
Article 457
Suspension of reciprocal acceptance obligations
1.   A Party shall have the right to suspend, in whole or in part, its acceptance obligations under Article 446(1), when the other Party materially violates its obligations under this Title.
2.   Before exercising its right to suspend its acceptance obligations, a Party shall request consultations for the purpose of seeking corrective measures of the other Party. During the consultations, the Parties shall, where appropriate, consider the effects of the suspension.
3.   Rights under this Article shall be exercised only if the other Party fails to take corrective measures within an appropriate period of time following the consultations. If a Party exercises a right under this Article, it shall notify the other Party of its intention to suspend the acceptance obligations in writing and detail the reasons for suspension.
4.   Such suspension shall take effect 30 days after the date of the notification, unless, prior to the end of that period, the Party which initiated the suspension notifies the other Party in writing that it is withdrawing its notification.
5.   Such suspension shall not affect the validity of findings of compliance made and certificates issued by the competent authorities or approved organisations of the other Party prior to the date the suspension took effect. Any such suspension that has become effective may be rescinded immediately upon an exchange of diplomatic notes to that effect by the Parties.
Article 458
Termination of this Title
Without prejudice to Article 779, Article 521 and Article 509, each Party may at any moment terminate this Title, by written notification through diplomatic channels. In that event, this Title shall cease to be in force on the first day of the ninth month following the date of notification.
HEADING THREE
ROAD TRANSPORT
TITLE I
TRANSPORT OF GOODS BY ROAD
Article 459
Objective
1.   The objective of this Title is to ensure, as regards the transport of goods by road, continued connectivity between, through and within the territories of the Parties and to lay down the rules which are applicable to such transport.
2.   The Parties agree not to take discriminatory measures when applying this Title.
3.   Nothing in this Title shall affect the transport of goods by road within the territory of one of the Parties by a road haulage operator established in that territory.
Article 460
Scope
1.   This Title applies to the transport of goods by road with a commercial purpose between, through and within the territories of the Parties and is without prejudice to the application of the rules established by the European Conference of Ministers of Transport.
2.   Any transport of goods by road for which no direct or indirect remuneration is received and which does not directly or indirectly generate any income for the driver of the vehicle or for others, and which is not linked to professional activity shall be considered as the transport of goods for a non-commercial purpose.
Article 461
Definitions
For the purposes of this Title and in addition to the definitions set out in Article 124, the following definitions apply:
(a)
"vehicle" means a motor vehicle registered in the territory of a Party, or a coupled combination of vehicles of which the motor vehicle is registered in the territory of a Party, and which is used exclusively for the transport of goods;
(b)
"road haulage operator" means any natural or legal person engaged in the transport of goods with a commercial purpose, by means of a vehicle;
(c)
"road haulage operator of a Party" means a road haulage operator which is a legal person established in the territory of a Party or a natural person of a Party;
(d)
"party of establishment" means the Party in which a road haulage operator is established;
(e)
"driver" means any person who drives a vehicle even for a short period, or who is carried in a vehicle as part of his duties to be available for driving if necessary;
(f)
"transit" means the movement of vehicles across the territory of a Party without loading or unloading of goods;
(g)
"regulatory measures" means:
(i)
for the Union:
(A)
regulations and directives, as provided for in Article 288 TFEU; and
(B)
delegated and implementing acts, as provided for in Articles 290 and 291 TFEU, respectively; and
(ii)
for the United Kingdom:
(A)
primary legislation; and
(B)
secondary legislation.
Article 462
Transport of goods between, through and within the territories of the Parties
1.   Provided that the conditions in paragraph 2 are fulfilled, road haulage operators of a Party may undertake:
(a)
laden journeys with a vehicle, from the territory of the Party of establishment to the territory of the other Party, and vice versa, with or without transit through the territory of a third country;
(b)
laden journeys with a vehicle from the territory of the Party of establishment to the territory of the same Party with transit through the territory of the other Party;
(c)
laden journeys with a vehicle to or from the territory of the Party of establishment with transit through the territory of the other Party;
(d)
unladen journeys with a vehicle in conjunction with the journeys referred to in points (a), (b) and (c).
2.   Road haulage operators of a Party may only undertake a journey referred to in paragraph 1 if:
(a)
they hold a valid licence issued in accordance with Article 463, except in the cases referred to in Article 464; and
(b)
the journey is carried out by drivers who hold a Certificate of Professional Competence in accordance with Article 465(1).
3.   Subject to paragraph 6, and provided that the conditions in paragraph 2 are fulfilled, road haulage operators of the United Kingdom may undertake up to two laden journeys from one Member State to another Member State, without returning to the territory of the United Kingdom, provided that such journeys follow a journey from the territory of the United Kingdom permitted under point (a) of paragraph 1.
4.   Without prejudice to paragraph 5, subject to paragraph 6 and provided that the conditions in paragraph 2 are fulfilled, road haulage operators of the United Kingdom may undertake one laden journey within the territory of a Member State provided that operation:
(a)
follows a journey from the territory of the United Kingdom permitted under point (a) of paragraph 1; and
(b)
is performed within seven days of the unloading in the territory of that Member State of goods carried on the journey referred to in point (a).
5.   Subject to paragraph 6 and provided that the conditions in paragraph 2 are fulfilled, road haulage operators of the United Kingdom established in Northern Ireland may undertake up to two laden journeys within the territory of Ireland provided that such operations:
(a)
follow a journey from the territory of Northern Ireland permitted under point (a) of paragraph 1; and
(b)
are performed within seven days of the unloading in the territory of Ireland of goods carried on the journey referred to in point (a).
6.   Road haulage operators of the United Kingdom shall be limited to a maximum of two journeys within the territory of the Union under paragraphs 3, 4 and 5 before returning to the territory of the United Kingdom.
7.   Provided that the conditions in paragraph 2 are fulfilled, road haulage operators of the Union may undertake up to two laden journeys within the territory of the United Kingdom provided that such operations:
(a)
follow a journey from the territory of the Union permitted under point (a) of paragraph 1; and
(b)
are performed within seven days of the unloading in the territory of the United Kingdom of the goods carried on the journey referred to in point (a).
Article 463
Requirements for operators
1.   Road haulage operators of a Party undertaking a journey referred to in Article 462 shall hold a valid licence issued in accordance with paragraph 2 of this Article.
2.   Licences shall only be issued, in accordance with the law of the Parties, to road haulage operators who comply with the requirements set out in Section 1 of Part A of Annex 31 governing the admission to, and the pursuit of, the occupation of road haulage operator.
3.   A certified true copy of the licence shall be kept on board the vehicle and shall be presented at the request of any inspecting officers authorised by each Party. The licence and the certified true copies shall correspond to one of the models set out in Appendix 31-A-1-3 of Part A to Annex 31, which also lays down the conditions governing its use. The licence shall contain at least two of the security features listed in Appendix 31-A-1-4 to Part A of Annex 31.
4.   Road haulage operators shall comply with the requirements set out in Section 2 of Part A of Annex 31 laying down requirements for the posting of drivers when undertaking a journey referred to in Article 462(3) to (7).
Article 464
Exemptions from licencing requirement
The following types of transport of goods and unladen journeys made in conjunction with such transport may be conducted without a valid licence as referred to in Article 463:
(a)
transport of mail as a universal service;
(b)
transport of vehicles which have suffered damage or breakdown;
(c)
until 20 May 2022, transport of goods in motor vehicles the permissible laden mass of which, including that of trailers, does not exceed 3,5 tonnes;
(d)
from 21 May 2022, transport of goods in motor vehicles the permissible laden mass of which, including that of trailers, does not exceed 2,5 tonnes;
(e)
transport of medicinal products, appliances, equipment and other articles required for medical care in emergency relief, in particular for natural disasters and humanitarian assistance;
(f)
transport of goods in vehicles provided that the following conditions are fulfilled:
(i)
the goods carried are the property of the road haulage operator or have been sold, bought, let out on hire or hired, produced, extracted, processed or repaired by the operator;
(ii)
the purpose of the journey is to carry the goods to or from the road haulage operator's premises or to move them, either inside or outside the operator for its own requirements;
(iii)
the vehicles used for such transport are driven by personnel employed by, or put at the disposal of, the road haulage operator under a contractual obligation;
(iv)
the vehicles carrying the goods are owned by the road haulage operator, have been bought by it on deferred terms or have been hired; and
(v)
such transport is no more than ancillary to the overall activities of the road haulage operator;
(g)
transport of goods by means of motor vehicles with a maximum authorised speed not exceeding 40 km/h.
Article 465
Requirements for drivers
1.   Drivers of the vehicles undertaking journeys as referred to in Article 462 shall:
(a)
hold a Certificate of Professional Competence issued in accordance with Section 1 of Part B of Annex 31; and
(b)
comply with the rules on driving and working time, rest periods, breaks and the use of tachographs in accordance with Sections 2 to 4 of Part B of Annex 31.
2.   The European Agreement concerning the Work of Crews of Vehicles Engaged in International Road Transport (AETR), done in Geneva on 1 July 1970, shall apply, instead of point (b) of paragraph 1, to international road transport operations undertaken in part outside the territory of the Parties, for the whole journey.
Article 466
Requirements for vehicles
1.   A Party shall not reject or prohibit the use in its territory of a vehicle undertaking a journey referred to in Article 462 if the vehicle complies with the requirements set out in Section 1 of Part C of Annex 31.
2.   Vehicles undertaking the journeys referred to in Article 462 shall be equipped with a tachograph constructed, installed, used, tested and controlled in accordance with Section 2 of Part C of Annex 31.
Article 467
Road traffic rules
Drivers of vehicles undertaking the transport of goods under this Title shall, when in the territory of the other Party, comply with the national laws and regulations in force in that territory concerning road traffic.
Article 468
Development of laws and Specialised Committee on Road Transport
1.   When a Party proposes a new regulatory measure in an area covered by Annex 31, it shall:
(a)
notify the other Party of the proposed regulatory measure as soon as possible; and
(b)
keep the other Party informed of progress of the regulatory measure.
2.   At the request of one of the Parties, an exchange of views shall take place within the Specialised Committee on Road Transport no later than two months after the submission of the request, as to whether the proposed new regulatory measure would apply to journeys referred to in Article 462, or not.
3.   When a Party adopts a new regulatory measure referred to in paragraph 1, it shall notify the other Party, and supply the text of the new regulatory measure within one week of its publication.
4.   The Specialised Committee on Road Transport shall meet to discuss any new regulatory measure adopted, on request by either Party within two months of the submission of the request, whether or not a notification has taken place in accordance with paragraph 1 or 3, or a discussion has taken place in accordance with paragraph 2.
5.   The Specialised Committee on Road Transport may:
(a)
amend Annex 31 to take account of regulatory and/or technological developments, or to ensure the satisfactory implementation of this Title;
(b)
confirm that the amendments made by the new regulatory measure conform to Annex 31; or
(c)
decide on any other measure aimed at safeguarding the proper functioning of this Title.
Article 469
Remedial measures
1.   If a Party considers that the other Party has adopted a new regulatory measure that does not comply with the requirements of Annex 31, in particular in cases where the Specialised Committee on Road Transport has not reached a decision under Article 468, and the other Party nevertheless applies the provisions of the new regulatory measure to the Party's road transport operators, drivers or vehicles, the Party may, after notifying the other Party, adopt appropriate remedial measures, including the suspension of obligations under this Agreement or any supplementing Agreement, provided that such measures:
(a)
do not exceed the level equivalent to the nullification or impairment caused by the new regulatory measure adopted by the other Party that does not comply with the requirements of Annex 31; and
(b)
take effect at the earliest 7 days after the Party which intends to take such measures has given the other Party notice under this paragraph.
2.   The appropriate remedial measures shall cease to apply:
(a)
when the Party having taken such measures is satisfied that the other Party is complying with its obligations under this Title; or
(b)
in compliance with a ruling of the arbitration tribunal.
3.   A Party shall not invoke the WTO Agreement or any other international agreement to preclude the other Party from suspending obligations under this Article.
Article 470
Taxation
1.   Vehicles used for the carriage of goods in accordance with this Title shall be exempt from the taxes and charges levied on the possession or circulation of vehicles in the territory of the other Party.
2.   The exemption referred to in paragraph 1 shall not apply to:
(a)
a tax or charge on fuel consumption;
(b)
a charge for using a road or network of roads; or
(c)
a charge for using particular bridges, tunnels or ferries.
3.   The fuel contained in the standard tanks of the vehicles and of special containers, admitted temporarily, which is used directly for the purpose of propulsion and, where appropriate, for the operation, during transport, of refrigeration systems and other systems, as well as lubricants present in the motor vehicles and required for their normal operation during the journey, shall be free of custom duties and any other taxes and levies, such as VAT and excise duties, and shall not be subject to any import restrictions.
4.   The spare parts imported for repairing a vehicle on the territory of one Party that has been registered or put into circulation in the other Party, shall be admitted under cover of a temporary duty-free admission and without prohibition or restriction of importation. The replaced parts are subject to customs duties and other taxes (VAT) and shall be re-exported or destroyed under the control of the customs authorities of the other Party.
Article 471
Obligations in other Titles
Articles 135 and 137 are incorporated into and made part of this Title and apply to the treatment of road haulage operators undertaking journeys in accordance with Article 462.
Article 472
Termination of this Title
Without prejudice to Article 779, Article 521 and Article 509, each Party may at any moment terminate this Title, by written notification through diplomatic channels. In that event, this Title shall cease to be in force on the first day of the ninth month following the date of notification.
TITLE II
TRANSPORT OF PASSENGERS BY ROAD
Article 473
Scope
1.   The objective of this Title is to ensure, as regards the transport of passengers by road, continued connectivity between, through and within the territories of the Parties and to lay down the rules which are applicable to such transport. It applies to the occasional, regular and special regular transport of passengers by coach and bus between, through and within the territories of the Parties.
2.   The Parties agree not to take discriminatory measures when applying this Title.
3.   Nothing in this Title shall affect the transport of passengers within the territory of one of the Parties by a road passenger transport operator established in that territory.
Article 474
Definitions
For the purposes of this Title and in addition to the definitions set out in Article 124, the following definitions apply:
(a)
"coaches and buses" are vehicles which, by virtue of their construction and their equipment, are suitable for carrying more than nine persons, including the driver, and are intended for that purpose;
(b)
"passenger transport services" means transport services by road for the public or for specific categories of users, supplied in return for payment by the person transported or by the transport organiser, by means of coaches and buses;
(c)
"road passenger transport operator" means any natural person or any legal person, whether having its own legal personality or being dependent upon an authority having such a personality, which supplies passenger transport services;
(d)
"road passenger transport operator of a Party" means a road passenger transport operator which is established in the territory of a Party;
(e)
"regular services" means passenger transport services supplied at specified frequency along specified routes, whereby passengers may be picked up and set down at predetermined stopping points;
(f)
"special regular services" means services by whomsoever organised, which provide for the transport of specified categories of passengers to the exclusion of other passengers, in so far as such services are operated under the conditions specified for regular services. Special regular services shall include:
(i)
the transport of workers between home and work, and
(ii)
the transport of school pupils and students to and from the educational institution.
The fact that a special regular service may be varied according to the needs of users shall not affect its classification as a regular service;
(g)
"group" means any of the following:
(i)
one or more associated natural or legal persons and their parent natural or legal person or persons,
(ii)
one or more associated natural person or legal persons which have the same parent natural or legal person or persons;
(h)
"Interbus Agreement" means the Agreement on the international occasional carriage of passengers by coach and bus, as subsequently amended, which entered into force on 1 January 2003;
(i)
"transit" means the movement of coaches and buses across the territory of a Party without picking up or setting down of passengers;
(j)
"occasional services" means services which are not regular services or special regular services, and which are characterised above all by the fact that they carry groups of passengers assembled at the initiative of the customer or the road passenger transport operator.
Article 475
Passenger transport by coach and bus between, through and within the territories of the Parties
1.   Road passenger transport operators of a Party may, when operating regular and special regular services, undertake laden journeys from the territory of a Party to the territory of the other Party, with or without transit through the territory of a third country, and unladen journeys related to such journeys.
2.   Road passenger transport operators of a Party may, when operating regular and special regular services, undertake laden journeys from the territory of the Party, in which the road passenger transport operator is established, to the territory of the same Party with transit through the territory of the other Party, and unladen journeys related to such journeys.
3.   A road passenger transport operator of a Party may not operate regular or special regular services with both origin and destination in the territory of the other Party.
4.   Where the passenger transport service referred to in paragraph 1 is part of a service to or from the territory of the Party where the road passenger transport operator is established, passengers may be picked up or set down in the territory of the other Party 
en route
, provided the stop is authorised in accordance with the rules applicable in that territory.
5.   Where the passenger transport service referred to in this Article is part of an international regular or special regular service between Ireland and the United Kingdom in respect of Northern Ireland, passengers may be picked up and set down in one Party by a road passenger transport operator established in the other Party.
6.   Road passenger transport operators established in the territory of one Party may, on a temporary basis, operate occasional services on the island of Ireland which pick up and set down passengers on the territory of the other Party.
7.   Road passenger transport operators may, when operating occasional services, undertake a laden journey from the territory of a Party through the territory of the other Party to the territory of a non-Contracting Party to the Interbus Agreement, including a related unladen journey.
8.   The passenger transport services referred to in this Article shall be performed using coaches and buses registered in the Party where the road passenger transport operator is established or resides. Those coaches and buses shall comply with the technical standards laid down in Annex 2 to the Interbus Agreement.
Article 476
Conditions for the provision of services referred to in Article 475
1.   Regular services shall be open to all road passenger transport operators of a Party, subject to compulsory reservation, where appropriate.
2.   Regular and special regular services shall be subject to authorisation in accordance with Article 477, and paragraph 6 of this Article.
3.   The regular nature of the service shall not be affected by any adjustment to the service operating conditions.
4.   The organisation of parallel or temporary services, serving the same public as existing regular services, the non-serving of certain stops and the serving of additional stops on existing regular services shall be governed by the same rules as those applicable to existing regular services.
5.   Sections V (Social provisions) and VI (Custom and fiscal provisions) of the Interbus Agreement as well as Annexes 1 (Conditions applying to road passenger transport operators) and 2 (Technical standards applying to buses and coaches) thereto shall apply.
6.   For a period of six months from the date of entry into force of this Agreement, special regular services shall not be subject to authorisation where they are covered by a contract concluded between the organiser and the road passenger transport operator.
7.   Occasional services covered by this Title in accordance with Article 475 shall not require authorisation. However, the organisation of parallel or temporary services comparable to existing regular services and serving the same public as the latter shall be subject to authorisation in accordance with Section VIII of the Interbus Agreement.
Article 477
Authorisation
1.   Authorisations for services referred to in Article 475 shall be issued by the competent authority of the Party in whose territory the road passenger transport operator is established (the "authorising authority").
2.   If a road passenger transport operator is established in the Union, the authorising authority shall be the competent authority of the Member State of origin or destination.
3.   In the case of a group of road passenger transport operators intending to operate a service referred to in Article 475, the authorising authority shall be the competent authority to which the application is addressed in accordance with the second subparagraph of Article 478(1).
4.   Authorisations shall be issued in the name of the road passenger transport operator and shall be non-transferable. However, a road passenger transport operator of a Party who has received an authorisation may, with the consent of the authorising authority, operate the service through a subcontractor, if such a possibility is in line with the law of the Party. In this case, the name of the subcontractor and its role shall be indicated in the authorisation. The subcontractor shall be a road passenger transport operator of a Party and shall comply with all the provisions of this Title.
In the case of a group of road passenger transport operators that intend to operate services referred to in Article 475, the authorisation shall be issued in the names of all the road passenger transport operators of the group and shall state the names of all those operators. It shall be given to the road passenger transport operators entrusted by the other road passenger transport operators of a Party for these purposes and which has requested it, and certified true copies shall be given to the other road passenger transport operators.
5.   Without prejudice to Article 479(3), the period of validity of an authorisation shall not exceed five years. It may be set for a shorter period either at the request of the applicant or by mutual consent of the competent authorities of the Parties on whose territories passengers are picked up or set down.
6.   Authorisations shall specify the following:
(a)
the type of service;
(b)
the route of the service, giving in particular the point of departure and the point of arrival;
(c)
the period of validity of the authorisation; and
(d)
the stops and the timetable.
7.   Authorisations shall conform to the model set out in Annex 32.
8.   The road passenger transport operator of a Party carrying out a service referred to in Article 475 may use additional vehicles to deal with temporary and exceptional situations. Such additional vehicles may be used only under the same conditions as set out in the authorisation referred to in paragraph 6 of this Article.
In this case, in addition to the documents referred to in Article 483(1) and (2), the road passenger transport operator shall ensure that a copy of the contract between the road passenger transport operator carrying out the regular or special regular service and the undertaking providing the additional vehicles or an equivalent document is carried in the vehicle and presented at the request of any authorised inspecting officer.
Article 478
Submission of application for authorisation
1.   Applications for authorisation shall be submitted by the road passenger transport operator of a Party to the authorising authority referred to in Article 477(1).
For each service, only one application shall be submitted. In the cases referred to in Article 477(3), it shall be submitted by the operator entrusted by the other operators for these purposes. The application shall be addressed to the authorising authority of the Party in which the road passenger transport operator submitting it is established.
2.   Applications for authorisation shall be submitted on the basis of the model set out in Annex 33.
3.   The road passenger transport operator applying for authorisation shall provide any further information which it considers relevant or which is requested by the authorising authority, in particular, the documents listed in Annex 33.
Article 479
Authorisation procedure
1.   Authorisations shall be issued in agreement with the competent authorities in the Parties in whose territory passengers are picked up or set down. The authorising authority shall forward to such competent authorities, as well as to the competent authorities whose territories are crossed without passengers being picked up or set down, a copy of the application, together with copies of any other relevant documentation, and its assessment.
In respect of the Union, the competent authorities referred to in the first subparagraph shall be those of the Member States in whose territories passengers are picked up or set down and whose territories are crossed without passengers being picked up or set down.
2.   The competent authorities whose agreement has been requested shall notify the authorising authority of their decision regarding the application within four months. This time limit shall be calculated from the date of receipt of the request for agreement which is shown in the acknowledgement of receipt. If the decision received from the competent authorities whose agreement has been requested is negative, it shall contain a proper statement of reasons. If the authorising authority does not receive a reply within four months, the competent authorities consulted shall be deemed to have given their agreement and the authorising authority may grant the authorisation.
The competent authorities whose territory is crossed without passengers being picked up or set down may notify the authorising authority of their comments within four months.
3.   In respect of services that had been authorised under Regulation (EC) No 1073/2009 of the European Parliament and the Council 
(
70
)
 before the end of the transition period and in respect of which the authorisation lapses at the end of the transition period, the following shall apply:
(a)
where, subject to the changes necessary to comply with Article 475, the operating conditions are the same as those having been set in the authorisation granted under Regulation (EC) No 1073/2009, the relevant authorising authority under this Title may, on application or otherwise, issue the road transport operator with a corresponding authorisation granted under this Title. Where such an authorisation is issued, the agreement of the competent authorities in whose territories passengers are picked up or set down, as referred to in paragraph 2, shall be deemed to be provided. Those competent authorities and the competent authorities whose territory is crossed without passengers being picked up or set down may, at any time, notify the authorising authority of any comments they may have;
(b)
where point (a) is applied, the validity period of the corresponding authorisation granted under this Title shall not extend beyond the last day of the validity period specified in the authorisation previously granted under Regulation (EC) No 1073/2009.
4.   The authorising authority shall take a decision on the application no later than six months from the date of submission of the application by the road passenger transport operator.
5.   Authorisation shall be granted unless:
(a)
the applicant is unable to provide the service which is the subject of the application with equipment directly available to the applicant;
(b)
the applicant has not complied with national or international legislation on road transport, and in particular the conditions and requirements relating to authorisations for international road passenger services, or has committed serious infringements of a Party's road transport legislation in particular with regard to the rules applicable to vehicles and driving and rest periods for drivers;
(c)
in the case of an application for renewal of authorisation, the conditions of authorisation have not been complied with;
(d)
a Party decides on the basis of a detailed analysis that the service concerned would seriously affect the viability of a comparable service covered by one or more public service contracts conforming to the Party's law on the direct sections concerned. In such a case, the Party shall set up criteria, on a non-discriminatory basis, for determining whether the service applied for would seriously affect the viability of the abovementioned comparable service and shall communicate them to the other Party referred to in paragraph 1; or
(e)
a Party decides on the basis of a detailed analysis that the principal purpose of the service is not to carry passengers between stops located in the territories of the Parties.
In the event that an existing service seriously affects the viability of a comparable service covered by one or more public service contracts which conform to a Party's law on the direct sections concerned, due to exceptional reasons which could not have been foreseen at the time of granting the authorisation, a Party may, with the agreement of the other Party, suspend or withdraw the authorisation to run the international coach and bus service after having given six months' notice to the road passenger transport operator.
The fact that a road passenger transport operator of a Party offers lower prices than those offered by other road passenger transport operators or the fact that the link in question is already operated by other road passenger transport operators shall not in itself constitute justification for rejecting the application.
6.   Having completed the procedure laid down in paragraphs 1 to 5, the authorising authority shall grant the authorisation or formally refuse the application.
Decisions rejecting an application shall state the reasons on which they are based. The Parties shall ensure that transport undertakings are given the opportunity to make representations in the event of their application being rejected.
The authorising authority shall inform the competent authorities of the other Party of its decision and shall send them a copy of any authorisation.
Article 480
Renewal and alteration of authorisation
1.   Article 479 shall apply, 
mutatis mutandis
, to applications for the renewal of authorisations or for alteration of the conditions under which the services subject to authorisation must be carried out.
2.   Where the existing authorisation expires within six months from the date of entry into force of this Agreement, the period of time in which the competent authorities referred to in Article 479(2) shall notify the authorising authority of their agreement to, or comments on, the application in accordance with that Article, is two months.
3.   In the event of a minor alteration to the operating conditions, in particular the adjustment of intervals, fares and timetables, the authorising authority needs only supply the competent authorities of the other Party with information relating to the alteration. Changing the timetables or intervals in a manner that affects the timing of controls at the borders between the Parties or at third country borders shall not be considered a minor alteration.
Article 481
Lapse of an authorisation
1.   Without prejudice to Article 479(3), an authorisation for a service referred to in Article 475 shall lapse at the end of its period of validity or three months after the authorising authority has received notice from its holder of his or her intention to withdraw the service. Such notice shall contain a proper statement of reasons.
2.   Where demand for a service has ceased to exist, the period of notice provided for in paragraph 1 shall be one month.
3.   The authorising authority shall inform the competent authorities of the other Party concerned that the authorisation has lapsed.
4.   The holder of the authorisation shall notify users of the service concerned of its withdrawal one month in advance by means of appropriate publicity.
Article 482
Obligations of transport operators
1.   Save in the event of force majeure, the road passenger transport operator of a Party carrying out a service referred to in Article 475 shall launch the service without delay and, until the authorisation expires, take all measures to guarantee a transport service that fulfils the standards of continuity, regularity and capacity and complies with the conditions specified in accordance with Article 477(6) and Annex 32.
2.   The road passenger transport operator of a Party shall display the route of the service, the bus stops, the timetable, the fares and the conditions of carriage in such a way as to ensure that such information is readily available to all users.
3.   It shall be possible for the Parties to make changes to the operating conditions governing a service referred to in Article 475 by common agreement and in agreement with the holder of the authorisation.
Article 483
Documents to be kept on the coach or bus
1.   Without prejudice to Article 477(8), the authorisation or a certified true copy thereof to carry out services referred to in Article 475 and the operator's licence of the road passenger transport operator or a certified true copy thereof for the international carriage of passengers by road provided for according to national or Union law shall be kept on the coach or bus and shall be presented at the request of any authorised inspecting officer.
2.   Without prejudice to paragraph 1 of this Article as well as to Article 477(8), in the case of a special regular service, the contract between the organiser and the road passenger transport operator or a copy thereof as well as a document evidencing that the passengers constitute a specific category to the exclusion of other passengers for the purposes of a special regular service shall also serve as control documents, shall be kept in the vehicle and shall be presented at the request of any authorised inspecting officer.
3.   Road passenger transport operators carrying out occasional services under Article 475(6) and (7) shall carry a completed journey form, using the model set out in Annex 34. Books of journey forms shall be supplied by the competent authority of the territory in which the operator is registered, or by bodies appointed by the competent authority.
Article 484
Road traffic rules
Drivers of coaches and buses undertaking the transport of passengers under this Title shall, when in the territory of the other Party, comply with the national laws and regulations in force in that territory concerning road traffic.
Article 485
Application
The provisions of this Title shall cease to apply as of the date the Protocol to the Interbus Agreement regarding the international regular and special regular carriage of passengers by coach and bus enters into force for the United Kingdom, or six months following the entry into force of that Protocol for the Union, whichever is the earliest, except for the purpose of the operations under Article 475(2), (5), (6) and (7).
Article 486
Obligations in other Titles
Articles 135 and 137 are incorporated into and made part of this Title and apply to the treatment of transport operators undertaking journeys in accordance with Article 475.
Article 487
Specialised Committee
The Specialised Committee on Road Transport may amend Annexes 32, 33 and 34 to take into account regulatory developments. It may adopt measures regarding the implementation of this Title.
HEADING FOUR
SOCIAL SECURITY COORDINATION AND VISAS FOR SHORT-TERM VISITS
TITLE I
SOCIAL SECURITY COORDINATION
Article 488
Overview
Member States and the United Kingdom shall coordinate their social security systems in accordance with the Protocol on Social Security Coordination, in order to secure the social security entitlements of the persons covered therein.
Article 489
Legally residing
1.   The Protocol on Social Security Coordination applies to persons legally residing in a Member State or the United Kingdom.
2.   Paragraph 1 of this Article shall not affect entitlements to cash benefits which relate to previous periods of legal residence of persons covered by Article SSC.2 of the Protocol on Social Security Coordination.
Article 490
Cross-border situations
1.   The Protocol on Social Security Coordination only applies to situations arising between one or more Member States and the United Kingdom.
2.   The Protocol on Social Security Coordination shall not apply to persons whose situations are confined in all respects either to the United Kingdom, or to the Member States.
Article 491
Immigration applications
The Protocol on Social Security Coordination applies without prejudice to the right of a Member State or the United Kingdom to charge a health fee under national legislation in connection with an application for a permit to enter, to stay, to work, or to reside in that State.
TITLE II
VISAS FOR SHORT-TERM VISITS
Article 492
Visas for short-term visits
1.   The Parties note that on the date of entry into force of this Agreement both Parties provide for visa-free travel for short-term visits in respect of their nationals in accordance with their domestic law. Each Party shall notify the other of any intention to impose a visa requirement for short-term visits by nationals of the other Party in good time and, if possible, at least three months before such a requirement takes effect.
2.   Subject to paragraph 3 of this Article and to Article 781, in the event that the United Kingdom decides to impose a visa requirement for short-term visits on nationals of a Member State, that requirement shall apply to the nationals of all Member States.
3.   This Article is without prejudice to any arrangements made between the United Kingdom and Ireland concerning the Common Travel Area.
HEADING FIVE
FISHERIES
CHAPTER 1
INITIAL PROVISIONS
Article 493
Sovereign rights of coastal States exercised by the Parties
The Parties affirm that sovereign rights of coastal States exercised by the Parties for the purpose of exploring, exploiting, conserving and managing the living resources in their waters should be conducted pursuant to and in accordance with the principles of international law, including the United Nations Convention on the Law of the Sea.
Article 494
Objectives and principles
1.   The Parties shall cooperate with a view to ensuring that fishing activities for shared stocks in their waters are environmentally sustainable in the long term and contribute to achieving economic and social benefits, while fully respecting the rights and obligations of independent coastal States as exercised by the Parties.
2.   The Parties share the objective of exploiting shared stocks at rates intended to maintain and progressively restore populations of harvested species above biomass levels that can produce the maximum sustainable yield.
3.   The Parties shall have regard to the following principles:
(a)
applying the precautionary approach to fisheries management;
(b)
promoting the long-term sustainability (environmental, social and economic) and optimum utilisation of shared stocks;
(c)
basing conservation and management decisions for fisheries on the best available scientific advice, principally that provided by the International Council for the Exploration of the Sea (ICES);
(d)
ensuring selectivity in fisheries to protect juvenile fish and spawning aggregations of fish, and to avoid and reduce unwanted bycatch;
(e)
taking due account of and minimising harmful impacts of fishing on the marine ecosystem and taking due account of the need to preserve marine biological diversity;
(f)
applying proportionate and non-discriminatory measures for the conservation of marine living resources and the management of fisheries resources, while preserving the regulatory autonomy of the Parties;
(g)
ensuring the collection and timely sharing of complete and accurate data relevant for the conservation of shared stocks and for the management of fisheries;
(h)
ensuring compliance with fisheries conservation and management measures, and combating illegal, unreported and unregulated fishing; and
(i)
ensuring the timely implementation of any agreed measures into the Parties' regulatory frameworks.
Article 495
Definitions
1.   For the purposes of this Heading, the following definitions apply:
(a)
"EEZ" (of a Party) means, in accordance with the United Nations Convention on the Law of the Sea:
(i)
in the case of the Union, the exclusive economic zones established by its Member States adjacent to their European territories;
(ii)
the exclusive economic zone established by the United Kingdom;
(b)
"precautionary approach to fisheries management" means an approach according to which the absence of adequate scientific information does not justify postponing or failing to take management measures to conserve target species, associated or dependent species and non-target species and their environment;
(c)
"shared stocks" means fish, including shellfish, of any kind that are found in the waters of the Parties, which includes molluscs and crustaceans;
(d)
"TAC" means the total allowable catch, which is the maximum quantity of a stock (or stocks) of a particular description that may be caught over a given period;
(e)
"non-quota stocks" means stocks which are not managed through TACs;
(f)
"territorial sea" (of a Party) means, in accordance with the United Nations Convention on the Law of the Sea:
(i)
in the case of the Union, by way of derogation from Article 774(1), the territorial sea established by its Member States adjacent to their European territories;
(ii)
the territorial sea established by the United Kingdom;
(g)
"waters" (of a Party) means:
(i)
in respect of the Union, by way of derogation from Article 774(1), the EEZs of the Member States and their territorial seas;
(ii)
in respect of the United Kingdom, its EEZ and its territorial sea, excluding for the purposes of Articles 500 and 501 and Annex 38 the territorial sea adjacent to the Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle of Man;
(h)
"vessel" (of a Party) means:
(i)
in the case of the United Kingdom, a fishing vessel flying the flag of the United Kingdom, registered in the United Kingdom, the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man, and licensed by a United Kingdom fisheries administration;
(ii)
in the case of the Union, a fishing vessel flying the flag of a Member State and registered in the Union.
CHAPTER 2
CONSERVATION AND SUSTAINABLE EXPLOITATION
Article 496
Fisheries management
1.   Each Party shall decide on any measures applicable to its waters in pursuit of the objectives set out in Article 494(1) and (2), and having regard to the principles referred to in Article 494(3).
2.   A Party shall base the measures referred to in paragraph 1 on the best available scientific advice.
A Party shall not apply the measures referred to in paragraph 1 to the vessels of the other Party in its waters unless it also applies the same measures to its own vessels.
The second subparagraph is without prejudice to obligations of the Parties under the Port State Measures Agreement, the North East Atlantic Fisheries Commission Scheme of Control and Enforcement, the Northwest Atlantic Fisheries Organisation Conservation and Enforcement Measures, and Recommendation 18-09 by the International Commission for the Conservation of Atlantic Tunas on Port State Measures to Prevent, Deter and Eliminate Illegal, Unreported and Unregulated Fishing.
The Specialised Committee on Fisheries may amend the list of pre-existing international obligations referred to in the third subparagraph.
3.   Each Party shall notify the other Party of new measures as referred to in paragraph 1 that are likely to affect the vessels of the other Party before those measures are applied, allowing sufficient time for the other Party to provide comments or seek clarification.
Article 497
Authorisations, compliance and enforcement
1.   Where vessels have access to fish in the waters of the other Party pursuant to Article 500 and Article 502:
(a)
each Party shall communicate in sufficient time to the other Party a list of vessels for which it seeks to obtain authorisations or licences to fish; and
(b)
the other Party shall issue authorisations or licences to fish.
2.   Each Party shall take all necessary measures to ensure compliance by its vessels with the rules applicable to those vessels in the other Party's waters, including authorisation or licence conditions.
CHAPTER 3
ARRANGEMENTS ON ACCESS TO WATERS AND RESOURCES
Article 498
Fishing opportunities
1.   By 31 January of each year, the Parties shall cooperate to set the schedule for consultations with the aim of agreeing TACs for the stocks listed in Annex 35 for the following year or years. That schedule shall take into account other annual consultations among coastal States that affect either or both of the Parties.
2.   The Parties shall hold consultations annually to agree, by 10 December of each year, the TACs for the following year for the stocks listed in Annex 35. This shall include an early exchange of views on priorities as soon as advice on the level of the TACs is received. The Parties shall agree those TACs:
(a)
on the basis of the best available scientific advice, as well as other relevant factors, including socio-economic aspects; and
(b)
in compliance with any applicable multi-year strategies for conservation and management agreed by the Parties.
3.   The Parties' shares of the TACs for the stocks listed in Annex 35 shall be allocated between the Parties in accordance with the quota shares set out in that Annex.
4.   Annual consultations may also cover, inter alia:
(a)
transfers of parts of one Party's shares of TACs to the other Party;
(b)
a list of stocks for which fishing is prohibited;
(c)
the determination of the TAC for any stock which is not listed in Annex 35 or Annex 36 and the Parties' respective shares of those stocks;
(d)
measures for fisheries management, including, where appropriate, fishing effort limits;
(e)
stocks of mutual interest to the Parties other than those listed in the Annexes to this Heading.
5.   The Parties may hold consultations with the aim of agreeing amended TACs if either Party so requests.
6.   A written record documenting the arrangements made between the Parties as a result of consultations under this Article shall be produced and signed by the heads of delegation of the Parties.
7.   Each Party shall give sufficient notice to the other Party before setting or amending TACs for the stocks listed in Annex 37.
8.   The Parties shall set up a mechanism for voluntary in-year transfers of fishing opportunities between the Parties, to take place each year. The Specialised Committee on Fisheries shall decide on the details of this mechanism. The Parties shall consider making transfers of fishing opportunities for stocks which are, or are projected to be, underfished available at market value through that mechanism.
Article 499
Provisional TACs
1.   If the Parties have not agreed a TAC for a stock listed in Annex 35 or tables A or B of Annex 36 by 10 December, they shall immediately resume consultations with the continued aim of agreeing the TAC. The Parties shall engage frequently with a view to exploring all possible options for reaching agreement in the shortest possible time.
2.   If a stock listed in Annex 35 or in tables A and B of Annex 36 remains without an agreed TAC on 20 December, each Party shall set a provisional TAC corresponding to the level advised by ICES, applying from 1 January.
3.   By way of derogation from paragraph 2, the TACs for special stocks shall be set in accordance with guidelines adopted under paragraph 5.
4.   For the purposes of this Article, "special stocks" means:
(a)
stocks where the ICES advice is for a zero TAC;
(b)
stocks caught in a mixed fishery, if that stock or another stock in the same fishery is vulnerable; or
(c)
other stocks which the Parties consider require special treatment.
5.   The Specialised Committee on Fisheries shall adopt guidelines by 1 July 2021 for the setting of provisional TACs for special stocks.
6.   Each year when advice is received from ICES on TACs, the Parties shall discuss, as a priority, the special stocks and the application of any guidelines set under paragraph 5 to the setting of provisional TACs by each Party.
7.   Each Party shall set its share for each of the provisional TACs, which shall not exceed its share as set out in the corresponding Annex.
8.   The provisional TACs and shares referred to in paragraphs 2, 3 and 7 shall apply until agreement is reached under paragraph 1.
9.   Each Party shall, immediately, notify the other Party of its provisional TACs under paragraphs 2 and 3 and its provisional share of each of those TACs under paragraph 7.
Article 500
Access to waters
1.   Provided that TACs have been agreed, each Party shall grant vessels of the other Party access to fish in its waters in the relevant ICES sub-areas that year. Access shall be granted at a level and on conditions determined in those annual consultations.
2.   The Parties may agree, in annual consultations, further specific access conditions in relation to:
(a)
the fishing opportunities agreed;
(b)
any multi-year strategies for non-quota stocks developed under point (c) of Article 508(1); and
(c)
any technical and conservation measures agreed by the Parties, without prejudice to Article 496.
3.   The Parties shall conduct the annual consultations, including on the level and conditions of access referred to in paragraph 1, in good faith and with the objective of ensuring a mutually satisfactory balance between the interests of both Parties.
4.   In particular, the outcome of the annual consultations should normally result in each Party granting:
(a)
access to fish the stocks listed in Annex 35 and tables A, B and F of Annex 36 in each other's EEZ (or if access is granted under point (c), in EEZs and in the divisions mentioned in that point) at a level that is reasonably commensurate with the Parties' respective shares of the TACs;
(b)
access to fish non-quota stocks in each other's EEZ (or if access is granted under point (c), in EEZs and in the divisions mentioned in that point), at a level that at least equates to the average tonnage fished by that Party in the waters of the other Party during the period 2012-2016; and
(c)
access to the waters of the Parties between six and twelve nautical miles from the baselines in ICES divisions 4c and 7d-g for qualifying vessels to the extent that Union fishing vessels and United Kingdom fishing vessels had access to those waters on 31 December 2020.
For the purposes of point (c), "qualifying vessel" means a vessel of a Party which fished in the zone mentioned in the previous sentence in four of the years between 2012 and 2016, or its direct replacement.
Annual consultations referred to in point (c) may include appropriate financial commitments and quota transfers between the Parties.
5.   During the application of a provisional TAC, and pending an agreed TAC, the Parties shall grant provisional access to fish in the relevant ICES sub-areas as follows:
(a)
for stocks listed in Annex 35 and non-quota stocks, from 1 January until 31 March at the levels provided for in points (a) and (b) of paragraph 4;
(b)
for stocks listed in Annex 36 from 1 January until 14 February at the levels provided for in point (a) of paragraph 4; and
(c)
in relation to access to fish in the six to twelve nautical miles zone, access in accordance with point (c) of paragraph 4 from 1 January to 31 January at a level equivalent to the average monthly tonnage fished in that zone in the previous three months.
Such access, for each of the relevant stocks in points (a) and (b), shall be in proportion to the average percentage of a Party's share of the annual TAC which that Party's vessels fished in the other Party's waters in the relevant ICES sub-areas during the same period of the previous three calendar years. The same shall apply, 
mutatis mutandis
, to access to fish non-quota stocks.
By 15 January in relation to the situation in point (c) of this paragraph, by 31 January in respect of the stocks listed in Annex 36, and by 15 March in respect of all other stocks, each Party shall notify the other Party of the change in the level and conditions of access to waters that will apply as of 1 February in relation to the situation in point (c) of this paragraph, as of 15 February in respect of the stocks listed in Annex 36, and as of 1 April in respect of all other stocks for the relevant ICES sub-areas.
6.   Without prejudice to Article 499(1) and (8), after the period of one month in relation to the situation in point (c) of paragraph 5 of this Article, one and a half months in respect of the stocks listed in Annex 36 and three months in respect of all other stocks, the Parties shall seek to agree further provisional access arrangements at the appropriate geographical level with the aim of minimising disruption to fishing activities.
7.   In granting access under paragraph 1 of this Article, a Party may take into account compliance of individual or groups of vessels with the applicable rules in its waters during the preceding year, and measures taken by the other Party pursuant to Article 497(2) during the preceding year.
8.   This Article shall apply subject to Annex 38.
Article 501
Compensatory measures in case of withdrawal or reduction of access
1.   Following a notification by a Party ("host Party") under Article 500(5), the other Party ("fishing Party") may take compensatory measures commensurate to the economic and societal impact of the change in the level and conditions of access to waters. Such impact shall be measured on the basis of reliable evidence and not merely on conjecture and remote possibility. Giving priority to those compensatory measures which will least disturb the functioning of this Agreement, the fishing Party may suspend, in whole or in part, access to its waters and the preferential tariff treatment granted to fishery products under Article 21.
2.   A compensatory measure referred to in paragraph 1 of this Article may take effect at the earliest seven days after the fishing Party has given notice to the host Party of the intended suspension under paragraph 1 of this Article and, in any case, not earlier than 1 February in relation to the situation in point (c) of Article 500(5), 15 February in respect of Annex 36 and 1 April in respect of other stocks. The Parties shall consult within the Specialised Committee with a view to reaching a mutually agreeable solution. That notification shall identify:
(a)
the date upon which the fishing Party intends to suspend; and
(b)
the obligations to be suspended and the level of the intended suspension.
3.   After the notification of the compensatory measures in accordance with paragraph 2 of this Article, the host Party may request the establishment of an arbitration tribunal pursuant to Article 739, without having recourse to consultations in accordance with Article 738. The arbitration tribunal may only review the conformity of the compensatory measures with paragraph 1 of this Article. The arbitration tribunal shall treat the issue as a case of urgency for the purpose of Article 744.
4.   When the conditions for taking compensatory measures referred to in paragraph 1 are no longer met, such measures shall be withdrawn immediately.
5.   Following a finding against the fishing Party in the procedure referred to in paragraph 3 of this Article, the host Party may request the arbitration tribunal, within 30 days from its ruling, to determine a level of suspension of obligations under this Agreement not exceeding the level equivalent to the nullification or impairment caused by the application of the compensatory measures, if it finds that the inconsistency of the compensatory measures with paragraph 1 of this Article is significant. The request shall propose a level of suspension in accordance with the principles set out in paragraph 1 of this Article and any relevant principles set out in Article 761. The host Party may apply the level of suspension of obligations under this Agreement in accordance with the level of suspension determined by the arbitration tribunal, no sooner than 15 days following such ruling.
6.   A Party shall not invoke the WTO Agreement or any other international agreement to preclude the other Party from suspending obligations under this Article.
Article 502
Specific access arrangements relating to the Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle of Man
1.   By way of derogation from Article 500(1) and (3) to (7), Article 501 and Annex 38, each Party shall grant vessels of the other Party access to fish in its waters reflecting the actual extent and nature of fishing activity that it can be demonstrated was carried out during the period beginning on 1 February 2017 and ending on 31 January 2020 by qualifying vessels of the other Party in the waters and under any treaty arrangements that existed on 31 January 2020.
2.   For the purposes of this Article and, in so far as the other Articles in this Heading apply in relation to the arrangements for access established under this Article:
(a)
"qualifying vessel" means, in respect of fishing activity carried out in waters adjacent to the Bailiwick of Guernsey, the Bailiwick of Jersey, the Isle of Man or a Member State, any vessel which fished in the territorial sea adjacent to that territory or that Member State on more than 10 days in any of the three 12 month periods ending on 31 January, or between 1 February 2017 and 31 January 2020;
(b)
"vessel" (of a Party)" means, in respect of the United Kingdom, a fishing vessel flying the flag of the United Kingdom and registered in the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man, and licensed by a United Kingdom fisheries administration;
(c)
"waters" (of a Party) means:
(i)
in respect of the Union, the territorial sea adjacent to a Member State; and
(ii)
in respect of the United Kingdom, the territorial sea adjacent to each of the Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle of Man.
3.   At the request of either Party, the Partnership Council shall decide, within 90 days of the entry into force of this Agreement, that this Article, Article 503 and any other provisions of this Heading in so far as they relate to the arrangements provided for in those Articles as well as Article 520(3) to (8) shall cease to apply in respect of one or more of the Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle of Man, following 30 days from this decision.
4.   The Partnership Council may decide to amend this Article, Article 503 and any other provisions of this Heading in so far as they relate to the arrangements provided for in those Articles.
Article 503
Notification periods relating to the importation and direct landing of fishery products
1.   The Union shall apply the following notification periods to fishery products caught by vessels flying the flag of the United Kingdom and registered in the Bailiwick of Guernsey or the Bailiwick of Jersey in the territorial sea adjacent to those territories or in the territorial sea adjacent to a Member State:
(a)
prior notification of between three and five hours before landing fresh fishery products into the Union's territory;
(b)
prior notification of between one and three hours of the validated catch certificate for the direct movement of consignments of fishery products by sea before the estimated time of arrival at the place of entry into the Union's territory.
2.   For the purposes of this Article only, "fishery products" means all species of marine fish, molluscs and crustaceans.
Article 504
Alignment of management areas
1.   By 1 July 2021, the Parties shall request advice from ICES on the alignment of the management areas and the assessment units used by ICES for the stocks marked with an asterisk in Annex 35.
2.   Within six months of receipt of the advice referred to in paragraph 1, the Parties shall jointly review that advice and shall jointly consider adjustments to the management areas of the stocks concerned, with a view to agreeing consequential changes to the list of stocks and shares set out in Annex 35.
Article 505
Shares of TACs for certain other stocks
1.   The Parties' respective shares of the TACs for certain other stocks are set out in Annex 36.
2.   Each Party shall notify the relevant States and international organisations of its shares in accordance with the sharing arrangement set out in tables A to D of Annex 36.
3.   Any subsequent changes to those shares in tables C and D of Annex 36 are a matter for the relevant multilateral fora.
4.   Without prejudice to the powers of the Partnership Council in Article 508(3), any subsequent changes to the shares in tables A and B of Annex 36 after 30 June 2026 are a matter for the relevant multilateral fora.
5.   Both Parties shall approach the management of those stocks in tables A to D of Annex 36 in accordance with the objectives and principles set out in Article 494.
CHAPTER 4
ARRANGEMENTS ON GOVERNANCE
Article 506
Remedial measures and dispute resolution
1.   In relation to an alleged failure by a Party (the "respondent Party") to comply with this Heading (other than in relation to alleged failures dealt with under paragraph 2), the other Party (the "complaining Party") may, after giving notice to the respondent Party:
(a)
suspend, in whole or in part, access to its waters and the preferential tariff treatment granted to fishery products under Article 21; and
(b)
if it considers that the suspension referred to in point (a) of this paragraph is not commensurate to the economic and societal impact of the alleged failure, it may suspend, in whole or in part, the preferential tariff treatment of other goods under Article 21; and
(c)
if it considers that the suspension referred to in points (a) and (b) of this paragraph is not commensurate to the economic and societal impact of the alleged failure, it may suspend, in whole or in part, obligations under Heading One of this Part with the exception of Title XI. If Heading One of this Part is suspended in whole, Heading Three of this part is also suspended.
2.   In relation to an alleged failure by a Party (the "respondent Party") to comply with Article 502, 503 or any other provision of this Heading in so far as it relates to the arrangements provided for in those Articles, the other Party (the "complaining Party"), after giving notice to the respondent Party:
(a)
may suspend, in whole or in part, access to its waters within the meaning of Article 502;
(b)
if it considers that the suspension referred to in point (a) of this paragraph is not commensurate to the economic and societal impact of the alleged failure, may suspend, in whole or in part, the preferential tariff treatment granted to fishery products under Article 21;
(c)
if it considers that the suspension referred to in points (a) and (b) of this paragraph is not commensurate to the economic and societal impact of the alleged failure, may suspend, in whole or in part, the preferential tariff treatment of other goods under Article 21.
By way of derogation from paragraph 1 of this Article, remedial measures affecting the arrangements established under Article 502, Article 503 or any other provision of this Heading in so far as it relates to the arrangements provided for in those Articles may not be taken as a result of an alleged failure by a Party to comply with provisions of this Heading unconnected to those arrangements.
3.   Measures referred to in paragraphs 1 and 2 shall be proportionate to the alleged failure by the respondent Party and the economic and societal impact thereof.
4.   A measure referred to in paragraphs 1 and 2 may take effect at the earliest seven days after the complaining Party has given the respondent Party notice of the proposed suspension. The Parties shall consult within the Specialised Committee on Fisheries with a view to reaching a mutually agreeable solution. That notification shall identify:
(a)
the way in which the complaining Party considers that the respondent Party has failed to comply;
(b)
the date upon which the complaining Party intends to suspend; and
(c)
the level of intended suspension.
5.   The complaining Party must, within 14 days of the notification referred to in paragraph 4 of this Article, challenge the alleged failure by the respondent Party to comply with this Heading, as referred to in paragraphs 1 and 2 of this Article, by requesting the establishment of an arbitration tribunal under Article 739. Recourse to arbitration under this Article shall be made without having prior recourse to consultations under Article 738. An arbitration tribunal shall treat the issue as a case of urgency for the purpose of Article 744.
6.   The suspension shall cease to apply when:
(a)
the complaining Party is satisfied that the respondent Party is complying with its relevant obligations under this Heading; or
(b)
the arbitration tribunal has decided that the respondent Party has not failed to comply with its relevant obligations under this Heading.
7.   Following a finding against the complaining Party in the procedure referred to in paragraph 5 of this Article, the respondent Party may request the arbitration tribunal, within 30 days from its ruling, to determine a level of suspension of obligations under this Agreement not exceeding the level equivalent to the nullification or impairment caused by the application of the remedial measures, if it finds that the inconsistency of the remedial measures with paragraph 1 or 2 of this Article is significant. The request shall propose a level of suspension in accordance with paragraph 1 or 2 of this Article and any relevant principles set out in Article 761. The respondent Party may apply the level of suspension of obligations under this Agreement in accordance with the level of suspension determined by the arbitration tribunal, no sooner than 15 days following such ruling.
8.   A Party shall not invoke the WTO Agreement or any other international agreement to preclude the other Party from suspending obligations under this Article.
Article 507
Data sharing
The Parties shall share such information as is necessary to support the implementation of this Heading, subject to each Party's laws.
Article 508
Specialised Committee on Fisheries
1.   The Specialised Committee on Fisheries may in particular:
(a)
provide a forum for discussion and cooperation in relation to sustainable fisheries management;
(b)
consider the development of multi-year strategies for conservation and management as the basis for the setting of TACs and other management measures;
(c)
develop multi-year strategies for the conservation and management of non-quota stocks as referred to in point (b) of Article 500(2);
(d)
consider measures for fisheries management and conservation, including emergency measures and measures to ensure selectivity of fishing;
(e)
consider approaches to the collection of data for science and fisheries management purposes, the sharing of such data (including information relevant to monitoring, controlling and enforcing compliance), and the consultation of scientific bodies regarding the best available scientific advice;
(f)
consider measures to ensure compliance with the applicable rules, including joint control, monitoring and surveillance programmes and the exchange of data to facilitate monitoring uptake of fishing opportunities and control and enforcement;
(g)
develop the guidelines for setting the TACs referred to in Article 499(5);
(h)
make preparations for annual consultations;
(i)
consider matters relating to the designation of ports for landings, including the facilitation of the timely notification by the Parties of such designations and of any changes to those designations;
(j)
establish timelines for the notification of measures referred to in Article 496(3), the communication of the lists of vessels referred to in Article 497(1) and the notice referred to in Article 498(7);
(k)
provide a forum for consultations under Article 501(2) and Article 506(4);
(l)
develop guidelines to support the practical application of Article 500;
(m)
develop a mechanism for voluntary in-year transfers of fishing opportunities between the Parties, as referred to in Article 498(8); and
(n)
consider the application and implementation of Article 502 and Article 503.
2.   The Specialised Committee on Fisheries may adopt measures, including decisions and recommendations:
(a)
recording matters agreed by the Parties following consultations under Article 498;
(b)
in relation to any of the matters referred to in points (b), (c), (d), (e), (f), (g), (i), (j), (l), (m) and (n) of paragraph 1 of this Article;
(c)
amending the list of pre-existing international obligations referred to in Article 496(2);
(d)
in relation to any other aspect of cooperation on sustainable fisheries management under this Heading; and
(e)
on the modalities of a review under Article 510.
3.   The Partnership Council shall have the power to amend Annexes 35, 36 and 37.
Article 509
Termination
1.   Without prejudice to Article 779 or Article 521, each Party may at any moment terminate this Heading, by written notification through diplomatic channels. In that event, Heading One, Heading Two, Heading Three and this Heading shall cease to be in force on the first day of the ninth month following the date of notification.
2.   In the event of termination of this Heading pursuant to paragraph 1 of this Article, Article 779 or Article 521, obligations entered into by the Parties under this Heading for the year ongoing at the time when this Heading ceases to be in force shall continue to apply until the end of the year.
3.   Notwithstanding paragraph 1 of this Article, Heading Two may remain in force, if the Parties agree to integrate the relevant parts of Title XI of Heading One.
4.   By way of derogation from paragraphs 1 to 3 of this Article and without prejudice to Article 779 or Article 521:
(a)
unless agreed otherwise between the Parties, Article 502, Article 503 and any other provision of this Heading in so far as it relates to the arrangements provided for in those Articles, shall remain in force until:
(i)
they are terminated by either Party giving to the other Party three years' written notice of termination; or
(ii)
if earlier, the date on which Article 520(3) to (5) cease to be in force;
(b)
for the purposes of point (a)(i), notice of termination may be given in respect of one or more of the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man and Article 502, Article 503 and any other provision of this Heading in so far as it relates to the arrangements provided for in those Articles, shall continue to be in force for those territories in respect of which a notice of termination has not been given; and
(c)
for the purposes of point (a)(ii), if Article 520(3) to (5) cease to be in force in relation to one or more (but not all) of the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man, Article 502, Article 503 and any other provision of this Heading in so far as it relates to the arrangements provided for in those Articles, shall continue to be in force for those territories in respect of which Article 520(3) to (5) remain in force.
Article 510
Review clause
1.   The Parties, within the Partnership Council, shall jointly review the implementation of this Heading four years after the end of the adjustment period referred to in the Article 1 of Annex 38 with the aim of considering whether arrangements, including in relation to access to waters, can be further codified and strengthened.
2.   Such a review may be repeated at subsequent intervals of four years after the conclusion of the first review.
3.   The Parties shall decide, in advance, on the modalities of the review through the Specialised Committee on Fisheries.
4.   The review shall, in particular, allow for an evaluation, in relation to the previous years, of:
(a)
the provisions for access to each other's waters under Article 500;
(b)
the shares of TACs set out in Annexes 35, 36 and 37;
(c)
the number and extent of transfers as part of annual consultations under Article 498(4) and any transfers under Article 498(8);
(d)
the fluctuations in annual TACs;
(e)
compliance by both Parties with the provisions of this Heading and the compliance by vessels of each Party with the rules applicable to those vessels when in the other Party's waters;
(f)
the nature and extent of cooperation under this Heading; and
(g)
any other element the Parties decide, in advance, through the Specialised Committee on Fisheries.
Article 511
Relationship with other agreements
1.   Subject to paragraph 2, this Heading shall be without prejudice to other existing agreements concerning fishing by vessels of a Party within the area of jurisdiction of the other Party.
2.   This Heading shall supersede and replace any existing agreements or arrangements with respect to fishing by Union fishing vessels in the territorial sea adjacent to the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man and with respect to fishing by United Kingdom fishing vessels registered in the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man in the territorial sea adjacent to a Member State. However, if the Partnership Council takes a decision in accordance with Article 502 for this Agreement to cease to apply in respect of the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man, the relevant agreements or arrangements shall not be superseded and replaced in respect of the territory or territories for which such a decision has been taken.
HEADING SIX
OTHER PROVISIONS
Article 512
Definitions
Unless otherwise specified, for the purposes of Part Two, the Protocol on mutual administrative assistance in customs matters and the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties, the following definitions apply:
(a)
"customs authority" means:
(i)
with respect to the Union, the services of the European Commission responsible for customs matters or, as appropriate, the customs administrations and any other authorities empowered in the Member States of the Union to apply and enforce customs legislation, and
(ii)
with respect to the United Kingdom, Her Majesty's Revenue and Customs and any other authority responsible for customs matters;
(b)
"customs duty" means any duty or charge of any kind imposed on, or in connection with, the importation of a good but does not include:
(i)
a charge equivalent to an internal tax imposed consistently with Article 19;
(ii)
an anti-dumping, special safeguard, countervailing or safeguard duty applied consistently with GATT 1994, the Anti-dumping Agreement, the Agreement on Agriculture, the Agreement on Subsidies and Countervailing Measures or the Agreement on Safeguards, as appropriate; or
(iii)
a fee or other charge imposed on or in connection with importation that is limited in amount to the approximate cost of the services rendered;
(c)
"CPC" means the Provisional Central Product Classification (Statistical Papers Series M No.77, Department of International Economic and Social Affairs, Statistical Office of the United Nations, New York, 1991);
(d)
"existing" means in effect on the date of entry into force of this Agreement;
(e)
"goods of a Party" means domestic products within the meaning of GATT 1994, and includes originating goods of that Party;
(f)
"Harmonised System" or "HS" means the Harmonised Commodity Description and Coding System, including all legal notes and amendments thereto developed by the World Customs Organization;
(g)
"heading" means the first four digits in the tariff classification number under the Harmonised System;
(h)
"legal person" means any legal entity duly constituted or otherwise organised under applicable law, whether for profit or otherwise, and whether privately-owned or governmentally-owned, including any corporation, trust, partnership, joint venture, sole proprietorship or association;
(i)
"measure" means any measure by a Party, whether in the form of a law, regulation, rule, procedure, decision, administrative action, requirement or practice, or any other form; 
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(j)
"measures of a Party" means any measures adopted or maintained by:
(i)
central, regional or local governments or authorities; and
(ii)
non-governmental bodies in the exercise of powers delegated by central, regional or local governments or authorities;
"measures of a Party" includes measures adopted or maintained by entities listed under sub-paragraphs (i) and (ii) by instructing, directing or controlling, either directly or indirectly, the conduct of other entities with regard to those measures.
(k)
"natural person of a Party" means 
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:
(i)
for the European Union, a national of a Member State according to its law; 
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 and
(ii)
for the United Kingdom, a British citizen;
(l)
"person" means a natural person or a legal person;
(m)
"sanitary or phytosanitary measure" means any measure referred to in paragraph 1 of Annex A to the SPS Agreement;
(n)
"third country" means a country or territory outside the territorial scope of application of this Agreement; and
(o)
"WTO" means the World Trade Organization.
Article 513
WTO Agreements
For the purposes of this Agreement, the WTO Agreements are referred to as follows:
(a)
"Agreement on Agriculture" means the Agreement on Agriculture, contained in Annex 1A to the WTO Agreement;
(b)
"Anti-dumping Agreement" means the Agreement on Implementation of Article VI of the General Agreement on Tariffs and Trade 1994;
(c)
"GATS" means the General Agreement on Trade in Services, contained in Annex 1B to the WTO Agreement;
(d)
"GATT 1994" means the General Agreement on Tariffs and Trade 1994, contained in Annex 1A to the WTO Agreement;
(e)
"GPA" means the Agreement on Government Procurement in Annex 4 to the WTO Agreement 
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;
(f)
"Safeguards Agreement" means the Agreement on Safeguards, contained in Annex 1A to the WTO Agreement;
(g)
"SCM Agreement" means the Agreement on Subsidies and Countervailing Measures, contained in Annex 1A to the WTO Agreement;
(h)
"SPS Agreement" means the Agreement on the Application of Sanitary and Phytosanitary Measures, contained in Annex 1A to the WTO Agreement;
(i)
"TBT Agreement" means the Agreement on Technical Barriers to Trade, contained in Annex 1 to the WTO Agreement;
(j)
"TRIPS Agreement" means the Agreement on Trade-Related Aspects of Intellectual Property Rights, contained in Annex 1C to the WTO Agreement; and
(k)
"WTO Agreement" means the Marrakesh Agreement Establishing the World Trade Organization, done at Marrakesh on 15 April 1994.
Article 514
Establishment of a free trade area
The Parties hereby establish a free trade area, in conformity with Article XXIV of GATT 1994 and Article V of GATS.
Article 515
Relation to the WTO Agreement
The Parties affirm their rights and obligations with respect to each other under the WTO Agreement and other agreements to which they are party.
Nothing in this Agreement shall be construed as requiring either Party to act in a manner inconsistent with its obligations under the WTO Agreement.
Article 516
WTO case-law
The interpretation and application of the provisions of this Part shall take into account relevant interpretations in reports of WTO panels and of the Appellate Body adopted by the Dispute Settlement Body of the WTO as well as in arbitration awards under the Dispute Settlement Understanding.
Article 517
Fulfilment of obligations
Each Party shall adopt any general or specific measures required to fulfil their obligations under this Part, including those required to ensure its observance by central, regional or local governments and authorities, as well as non-governmental bodies in the exercise of powers delegated to them.
Article 518
References to laws and other Agreements
1.   Unless otherwise specified, where reference is made in this Part to laws and regulations of a Party, those laws and regulations shall be understood to include amendments thereto.
2.   Unless otherwise specified, where international agreements are referred to or incorporated into this Part, in whole or in part, they shall be understood to include amendments thereto or their successor agreements entering into force for both Parties on or after the date of signature of this Agreement. If any matter arises regarding the implementation or application of the provisions of this Part as a result of such amendments or successor agreements, the Parties may, on request of either Party, consult with each other with a view to finding a mutually satisfactory solution to this matter, as necessary.
Article 519
Tasks of the Partnership Council in Part Two
The Partnership Council may:
(a)
adopt decisions to amend:
(i)
Chapter 2 of Title I of Heading one of Part two and its Annexes, in accordance with Article 68;
(ii)
the arrangements set out in Annexes 16 and 17, in accordance with Article 96(8);
(iii)
Appendices 15-A and 15-B, in accordance with Article 2(3) of Annex 15;
(iv)
Appendix 15-C, in accordance with Article 3(3) of Annex 15;
(v)
Appendices 14-A, 14-B, 14-C and 14-D, in accordance with Article 1 of Annex 14;
(vi)
Appendices 12-A, 12-B and 12-C, in accordance with Article 11 of Annex 12;
(vii)
the Annex on Authorised Economic Operators, the Protocol on mutual administrative assistance in customs matters, the Protocol on combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties, and the list of goods set out in Article 117(2), in accordance with Article 122;
(viii)
the relevant Sub-section under Section B of Annex 25, in accordance with Article 293;
(ix)
Annexes 26, 27 and 28, in accordance with Article 329;
(x)
Article 364(4) in accordance with that paragraph, the third sentence of Article 365(2) in accordance with the fourth sentence of that paragraph, Article 365(3) in accordance with that paragraph, Article 367 in accordance with paragraph 1 of that Article and Article 373 in accordance with paragraph 7 of that Article;
(xi)
Article 502, Article 503 and any other provision of Heading Five, in accordance with Article 502(4);
(xii)
Annexes 35, 36 and 37, in accordance with Article 508(3);
(xiii)
any other provision, protocol, appendix or annex, for which the possibility of such decision is explicitly foreseen in this Part;
(b)
adopt decisions to issue interpretations of the provisions of this Part.
Article 520
Geographical application
1.   The provisions of this Agreement concerning the tariff treatment of goods, including rules of origin and the temporary suspension of this treatment shall also apply, with respect to the Union, to those areas of the customs territory of the Union, as defined by Article 4 of Regulation (EU) No 952/2013 of the European Parliament and of the Council 
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, which are not covered by point (a) of Article 774(1).
2.   Without prejudice to Article 774(2), (3) and (4), the rights and obligations of the Parties under this Part shall also apply with regard to the areas beyond each Party's territorial sea, including the sea-bed and subsoil thereof, over which that Party exercises sovereign rights or jurisdiction in accordance with international law including the United Nations Convention on the Law of the Sea and its laws and regulations which are consistent with international law 
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.
3.   Subject to the exceptions contained in paragraph 4 of this Article, Chapters 1, 2 and 5 of Title I of Heading One and the Protocols and Annexes to those Chapters shall also apply, with respect to the United Kingdom, to the territories referred to in Article 774(2). For that purpose, the territories referred to in Article 774(2) shall be considered as being part of the customs territory of the United Kingdom. The customs authorities of the territories referred to in Article 774(2) shall be responsible for the application and implementation of these Chapters, and the Protocols and Annexes to these Chapters, in their respective territories. References to "customs authority" in those provisions shall be read accordingly. However, requests and communications made under these Chapters, and the Protocols and Annexes to these Chapters, shall be administered by the customs authority of the United Kingdom.
4.   Article 110, Annex 18 and the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties shall not apply to the Bailiwick of Jersey or the Bailiwick of Guernsey.
5.   Chapters 3 and 4 of Title I of Heading One and the Annexes to those Chapters shall also apply, with respect to the United Kingdom, to the territories referred to in Article 774(2). The authorities of the territories referred to in Article 774(2) shall be responsible for the application and implementation of these Chapters, and the Annexes to these Chapters, in their respective territories and relevant references shall be read accordingly. However, requests and communications made under these Chapters, and the Annexes to these Chapters, shall be administered by the authorities of the United Kingdom.
6.   Without prejudice to Article 779 and Article 521 and unless agreed otherwise between the Parties, paragraphs 3 to 5 of this Article shall remain in force until the earlier of:
(a)
expiry of a period of three years following written notice of termination to the other Party; or
(b)
the date on which Article 502, Article 503 and any other provision of Heading Five in so far as it relates to the arrangements provided for in those Articles cease to be in force.
7.   For the purposes of point (a) of paragraph 6, notice of termination may be given in respect of one or more of the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man and paragraphs 3 to 5 of this Article shall continue in force for those territories in respect of which a notice of termination has not been given.
8.   For the purposes of point (b) of paragraph 6, if Article 502, Article 503 and any other provision of Heading Five in so far as it relates to the arrangements provided for in those Articles cease to be in force in relation to one or more (but not all) of the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man, paragraphs 3 to 5 of this Article shall continue to be in force for those territories in respect of which Article 502, Article 503 and any other provision of Heading Five in so far as it relates to the arrangements provided for in those Articles remain in force.
Article 521
Termination of Part Two
Without prejudice to Article 779, each Party may at any moment terminate this Part by written notification through diplomatic channels. In that event, this Part shall cease to be in force on the first day of the ninth month following the date of notification. Heading Four and the Protocol on Social Security Coordination shall not be terminated pursuant to this Article.
PART THREE
LAW ENFORCEMENT AND JUDICIAL COOPERATION IN CRIMINAL MATTERS
TITLE I
GENERAL PROVISIONS
Article 522
Objective
1.   The objective of this Part is to provide for law enforcement and judicial cooperation between the Member States and Union institutions, bodies, offices and agencies, on the one side, and the United Kingdom, on the other side, in relation to the prevention, investigation, detection and prosecution of criminal offences and the prevention of and fight against money laundering and financing of terrorism.
2.   This Part only applies to law enforcement and judicial cooperation in criminal matters taking place exclusively between the United Kingdom, on the one side, and the Union and the Member States, on the other side. It does not apply to situations arising between the Member States, or between Member States and Union institutions, bodies, offices and agencies, nor does it apply to the activities of authorities with responsibilities for safeguarding national security when acting in that field.
Article 523
Definitions
For the purposes of this Part, the following definitions apply:
(a)
"third country" means a country other than a Member State or the United Kingdom;
(b)
"special categories of personal data" means personal data revealing racial or ethnic origin, political opinions, religious or philosophical beliefs, or trade union membership, genetic data, biometric data processed for the purpose of uniquely identifying a natural person, data concerning health or data concerning a natural person's sex life or sexual orientation;
(c)
"genetic data" means all personal data relating to the genetic characteristics of an individual that have been inherited or acquired, which give unique information about the physiology or the health of that individual, resulting in particular from an analysis of a biological sample from the individual in question;
(d)
"biometric data" means personal data resulting from specific technical processing relating to the physical, physiological or behavioural characteristics of a natural person which allow or confirm the unique identification of that natural person, such as facial images or dactyloscopic data;
(e)
"processing" means any operation or set of operations which is performed on personal data or on sets of personal data, whether or not by automated means, such as collection, recording, organisation, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, restriction, erasure or destruction;
(f)
"personal data breach" means a breach of security leading to the accidental or unlawful destruction, loss, alteration, unauthorised disclosure of, or access to, personal data transmitted, stored or otherwise processed;
(g)
"filing system" means any structured set of personal data which are accessible according to specific criteria, whether centralised, decentralised or dispersed on a functional or geographical basis;
(h)
"Specialised Committee on Law Enforcement and Judicial Cooperation" means the Committee by that name established by Article 8.
Article 524
Protection of human rights and fundamental freedoms
1.   The cooperation provided for in this Part is based on the Parties' and Member States' long-standing respect for democracy, the rule of law and the protection of fundamental rights and freedoms of individuals, including as set out in the Universal Declaration of Human Rights and in the European Convention on Human Rights, and on the importance of giving effect to the rights and freedoms in that Convention domestically.
2.   Nothing in this Part modifies the obligation to respect fundamental rights and legal principles as reflected, in particular, in the European Convention on Human Rights and, in the case of the Union and its Member States, in the Charter of Fundamental Rights of the European Union.
Article 525
Protection of personal data
1.   The cooperation provided for in this Part is based on the Parties' long-standing commitment to ensuring a high level of protection of personal data.
2.   To reflect that high level of protection, the Parties shall ensure that personal data processed under this Part is subject to effective safeguards in the Parties' respective data protection regimes, including that:
(a)
personal data is processed lawfully and fairly, in compliance with the principles of data minimisation, purpose limitation, accuracy and storage limitation;
(b)
processing of special categories of personal data is only permitted to the extent necessary and subject to appropriate safeguards adapted to the specific risks of the processing;
(c)
a level of security appropriate to the risk of the processing is ensured through relevant technical and organisational measures, in particular as regards the processing of special categories of personal data;
(d)
data subjects are granted enforceable rights of access, rectification and erasure, subject to possible restrictions provided for by law which constitute necessary and proportionate measures in a democratic society to protect important objectives of public interest;
(e)
in the event of a data breach creating a risk to the rights and freedoms of natural persons, the competent supervisory authority is notified without undue delay of the breach; where the breach is likely to result in a high risk to the rights and freedoms of natural persons, the data subjects are also notified, subject to possible restrictions provided for by law which constitute necessary and proportionate measures in a democratic society to protect important objectives of public interest;
(f)
onward transfers to a third country are allowed only subject to conditions and safeguards appropriate to the transfer ensuring that the level of protection is not undermined;
(g)
the supervision of compliance with data protection safeguards and the enforcement of data protection safeguards are ensured by independent authorities; and
(h)
data subjects are granted enforceable rights to effective administrative and judicial redress in the event that data protection safeguards have been violated.
3.   The United Kingdom, on the one side, and the Union, also on behalf of any of its Member States, on the other side, shall notify the Specialised Committee on Law Enforcement and Judicial Cooperation of the supervisory authorities responsible for overseeing the implementation of, and ensuring compliance with, data protection rules applicable to cooperation under this Part. The supervisory authorities shall cooperate to ensure compliance with this Part.
4.   The provisions on the protection of personal data set out in this Part apply to the processing of personal data wholly or partly by automated means, and to the processing other than by automated means of personal data which form part of a filing system or are intended to form part of a filing system.
5.   This Article is without prejudice to the application of any specific provisions in this Part relating to the processing of personal data.
Article 526
Scope of cooperation where a Member State no longer participates in analogous measures under Union law
1.   This Article applies if a Member State ceases to participate in, or enjoy rights under, provisions of Union law relating to law enforcement and judicial cooperation in criminal matters analogous to any of the relevant provisions of this Part.
2.   The United Kingdom may notify the Union in writing of its intention to cease to operate the relevant provisions of this Part in relation to that Member State.
3.   A notification given under paragraph 2 takes effect on the date specified therein, which shall be no earlier than the date on which the Member State ceases to participate in, or to enjoy rights under, the provisions of Union law referred to in paragraph 1.
4.   If the United Kingdom gives notification under this Article of its intention to cease to apply the relevant provisions of this Part, the Specialised Committee on Law Enforcement and Judicial Cooperation shall meet to decide what measures are needed to ensure that any cooperation initiated under this Part that is affected by the cessation is concluded in an appropriate manner. In any event, with regard to all personal data obtained through cooperation under the relevant provisions of this Part before they cease to be applied, the Parties shall ensure that the level of protection under which the personal data were transferred is maintained after the cessation takes effect.
5.   The Union shall notify the United Kingdom in writing, through diplomatic channels, of the date on which the Member State is to resume its participation in, or the enjoyment of rights under, the provisions of Union law in question. The application of the relevant provisions of this Part shall be reinstated on that date or, if later, on the first day of the month following the day on which that notification has been given.
6.   To facilitate the application of this Article, the Union shall inform the United Kingdom when a Member State ceases to participate in, or enjoy rights under, provisions of Union law relating to law enforcement and judicial cooperation in criminal matters analogous to the relevant provisions of this Part.
TITLE II
EXCHANGES OF DNA, FINGERPRINTS AND VEHICLE REGISTRATION DATA
Article 527
Objective
The objective of this Title is to establish reciprocal cooperation between the competent law enforcement authorities of the United Kingdom, on the one side, and the Member States, on the other side, on the automated transfer of DNA profiles, dactyloscopic data and certain domestic vehicle registration data.
Article 528
Definitions
For the purposes of this Title, the following definitions apply:
(a)
"competent law enforcement authority" means a domestic police, customs or other authority that is authorised by domestic law to detect, prevent and investigate offences or criminal activities and to exercise authority and take coercive measures in the context of such activities; agencies, bodies or other units dealing especially with national security issues are not competent law enforcement authorities for the purposes of this Title;
(b)
"search" and "comparison", as referred to in Articles 530, 531, 534 and 539 mean the procedures by which it is established whether there is a match between, respectively, DNA data or dactyloscopic data which have been communicated by one State and DNA data or dactyloscopic data stored in the databases of one, several, or all of the other States;
(c)
"automated searching", as referred to in Article 537, means an online access procedure for consulting the databases of one, several, or all of the other States;
(d)
"non-coding part of DNA" means chromosome regions not genetically expressed, i.e. not known to provide for any functional properties of an organism;
(e)
"DNA profile" means a letter or numeric code which represents a set of identification characteristics of the non-coding part of an analysed human DNA sample, i.e. the particular molecular structure at the various DNA locations (loci);
(f)
"DNA reference data" means DNA profile and reference number; DNA reference data shall only include DNA profiles established from the non-coding part of DNA and a reference number; DNA reference data shall not contain any data from which the data subject can be directly identified; DNA reference data which is not attributed to any natural person (unidentified DNA profiles) shall be recognisable as such;
(g)
"reference DNA profile" means the DNA profile of an identified person;
(h)
"unidentified DNA profile" means the DNA profile obtained from traces collected during the investigation of criminal offences and belonging to a person not yet identified;
(i)
"note" means a State's marking on a DNA profile in its domestic database indicating that there has already been a match for that DNA profile on another State's search or comparison;
(j)
"dactyloscopic data" means fingerprint images, images of fingerprint latents, palm prints, palm print latents and templates of such images (coded minutiae), when they are stored and dealt with in an automated database;
(k)
"dactyloscopic reference data" means dactyloscopic data and reference number; dactyloscopic reference data shall not contain any data from which the data subject can be directly identified; dactyloscopic reference data which is not attributed to any natural person (unidentified dactyloscopic data) shall be recognisable as such;
(l)
"vehicle registration data" means the data-set as specified in Chapter 3 of Annex 39;
(m)
"individual case", as referred to in Article 530(1), second sentence, Article 534(1), second sentence and Article 537(1), means a single investigation or prosecution file; if such a file contains more than one DNA profile, or one piece of dactyloscopic data or vehicle registration data, they may be transmitted together as one request;
(n)
"laboratory activity" means any measure taken in a laboratory when locating and recovering traces on items, as well as developing, analysing and interpreting forensic evidence regarding DNA profiles and dactyloscopic data, with a view to providing expert opinions or exchanging forensic evidence;
(o)
"results of laboratory activities" means any analytical outputs and directly associated interpretation;
(p)
"forensic service provider" means any organisation, public or private, that carries out laboratory activities at the request of competent law enforcement or judicial authorities;
(q)
"domestic accreditation body" means the sole body in a State that performs accreditation with authority derived from the State.
Article 529
Establishment of domestic DNA analysis files
1.   The States shall open and keep domestic DNA analysis files for the investigation of criminal offences.
2.   For the purpose of implementing this Title, the States shall ensure the availability of DNA reference data from their domestic DNA analysis files as referred to in paragraph 1.
3.   The States shall declare the domestic DNA analysis files to which Articles 529 to 532 and Articles 535, 536 and 539 apply and the conditions for automated searching as referred to in Article 530(1).
Article 530
Automated searching of DNA profiles
1.   For the investigation of criminal offences, States shall allow other States' national contact points as referred to in Article 535 access to the DNA reference data in their DNA analysis files, with the power to conduct automated searches by comparing DNA profiles. Searches may be conducted only in individual cases and in compliance with the requesting State's domestic law.
2.   If an automated search shows that a DNA profile supplied matches DNA profiles entered in the requested State's searched file, the requested State shall send to the national contact point of the requesting State in an automated way the DNA reference data with which a match has been found. If no match can be found, this shall be notified automatically.
Article 531
Automated comparison of DNA profiles
1.   For the investigation of criminal offences, the States, via their national contact points, shall compare the DNA profiles of their unidentified DNA profiles with all DNA profiles from other domestic DNA analysis files' reference data in accordance with mutually accepted practical arrangements between the States concerned. DNA profiles shall be supplied and compared in automated form. Unidentified DNA profiles shall be supplied for comparison only where provided for under the requesting State's domestic law.
2.   If a State, as a result of the comparison referred to in paragraph 1, finds that any DNA profiles supplied by another State match any of those in its DNA analysis files, it shall supply that other State's national contact point with the DNA reference data with which a match has been found without delay.
Article 532
Collection of cellular material and supply of DNA profiles
Where, in ongoing investigations or criminal proceedings, there is no DNA profile available for a particular individual present within a requested State's territory, the requested State shall provide legal assistance by collecting and examining cellular material from that individual and by supplying the DNA profile obtained to the requesting State, if:
(a)
the requesting State specifies the purpose for which it is required;
(b)
the requesting State produces an investigation warrant or statement issued by the competent authority, as required under that State's domestic law, showing that the requirements for collecting and examining cellular material would be fulfilled if the individual concerned were present within the requesting State's territory; and
(c)
under the requested State's law, the requirements for collecting and examining cellular material and for supplying the DNA profile obtained are fulfilled.
Article 533
Dactyloscopic data
For the purpose of implementing this Title, the States shall ensure the availability of dactyloscopic reference data from the file for the domestic automated fingerprint identification systems established for the prevention and investigation of criminal offences.
Article 534
Automated searching of dactyloscopic data
1.   For the prevention and investigation of criminal offences, States shall allow other States' national contact points, as referred to in Article 535, access to the reference data in the automated fingerprint identification systems which they have established for that purpose, with the power to conduct automated searches by comparing dactyloscopic data. Searches may be conducted only in individual cases and in compliance with the requesting State's domestic law.
2.   The confirmation of a match of dactyloscopic data with reference data held by the requested State shall be carried out by the national contact point of the requesting State by means of the automated supply of the reference data required for a clear match.
Article 535
National contact points
1.   For the purposes of the supply of data as referred to in Articles 530, 531 and 534, the States shall designate national contact points.
2.   In respect of the Member States, national contact points designated for an analogous exchange of data within the Union shall be considered as national contact points for the purpose of this Title.
3.   The powers of the national contact points shall be governed by the applicable domestic law.
Article 536
Supply of further personal data and other information
If the procedure referred to in Articles 530, 531 and 534 show a match between DNA profiles or dactyloscopic data, the supply of further available personal data and other information relating to the reference data shall be governed by the domestic law, including the legal assistance rules, of the requested State, without prejudice to Article 539(1).
Article 537
Automated searching of vehicle registration data
1.   For the prevention and investigation of criminal offences and in dealing with other offences within the jurisdiction of the courts or a public prosecutor in the requesting State, as well as in maintaining public security, States shall allow other States' national contact points, as referred to in paragraph 2, access to the following domestic vehicle registration data, with the power to conduct automated searches in individual cases:
(a)
data relating to owners or operators; and
(b)
data relating to vehicles.
2.   Searches may be conducted under paragraph 1 only with a full chassis number or a full registration number and in compliance with the requesting State's domestic law.
3.   For the purposes of the supply of data as referred to in paragraph 1, the States shall designate a national contact point for incoming requests from other States. The powers of the national contact points shall be governed by the applicable domestic law.
Article 538
Accreditation of forensic service providers carrying out laboratory activities
1.   The States shall ensure that their forensic service providers carrying out laboratory activities are accredited by a domestic accreditation body as complying with EN ISO/IEC 17025.
2.   Each State shall ensure that the results of accredited forensic service providers carrying out laboratory activities in other States are recognised by its authorities responsible for the prevention, detection, and investigation of criminal offences as being equally reliable as the results of domestic forensic service providers carrying out laboratory activities accredited to EN ISO/IEC 17025.
3.   The competent law enforcement authorities of the United Kingdom shall not carry out searches and automated comparison in accordance with Articles 530, 531 and 534 before the United Kingdom has implemented and applied the measures referred to in paragraph 1 of this Article.
4.   Paragraphs 1 and 2 do not affect domestic rules on the judicial assessment of evidence.
5.   The United Kingdom shall communicate to the Specialised Committee on Law Enforcement and Judicial Cooperation the text of the main provisions adopted to implement and apply the provisions of this Article.
Article 539
Implementing measures
1.   For the purposes of this Title, States shall make all categories of data available for searching and comparison to the competent law enforcement authorities of other States under conditions equal to those under which they are available for searching and comparison by domestic competent law enforcement authorities. States shall supply further available personal data and other information relating to the reference data as referred to in Article 536 to the competent law enforcement authorities of other States for the purposes of this Title under conditions equal to those under which they would be supplied to domestic authorities.
2.   For the purpose of implementing the procedures referred to in Articles 530, 531, 534 and 537, technical and procedural specifications are laid down in Annex 39.
3.   The declarations made by Member States in accordance with Council Decisions 2008/615/JHA 
(
77
)
 and 2008/616/JHA 
(
78
)
 shall also apply in their relations with the United Kingdom.
Article 540
Ex ante evaluation
1.   In order to verify whether the United Kingdom has fulfilled the conditions set out in Article 539 and Annex 39, an evaluation visit and a pilot run, to the extent required by Annex 39, shall be carried out in respect of, and under conditions and arrangements acceptable to, the United Kingdom. In any event, a pilot run shall be carried out in relation to the searching of data under Article 537.
2.   On the basis of an overall evaluation report on the evaluation visit and, where applicable, the pilot run, as referred to in paragraph 1, the Union shall determine the date or dates from which personal data may be supplied by Member States to the United Kingdom pursuant to this Title.
3.   Pending the outcome of the evaluation referred to in paragraph 1, from the date of the entry into force of this Agreement, Member States may supply to the United Kingdom personal data as referred to in Articles 530, 531, 534 and 536 until the date or dates determined by the Union in accordance with paragraph 2 of this Article, but not longer than nine months after the entry into force of this Agreement. The Specialised Committee on Law Enforcement and Judicial Cooperation may extend this period once by a maximum of nine months.
Article 541
Suspension and disapplication
1.   In the event that the Union considers it necessary to amend this Title because Union law relating to the subject matter governed by this Title is amended substantially, or is in the process of being amended substantially, it may notify the United Kingdom accordingly with a view to agreeing on a formal amendment of this Agreement in relation to this Title. Following such notification, the Parties shall engage in consultations.
2.   Where within nine months of that notification the Parties have not reached an agreement amending this Title, the Union may decide to suspend the application of this Title or any provisions of this Title for a period of up to nine months. Before the end of that period, the Parties may agree on an extension of the suspension for an additional period of up to nine months. If by the end of the suspension period the Parties have not reached an agreement amending this Title, the suspended provisions shall cease to apply on the first day of the month following the expiry of the suspension period, unless the Union informs the United Kingdom that it no longer seeks any amendment to this Title. In that case, the suspended provisions of this Title shall be reinstated.
3.   If any of the provisions of this Title are suspended under this Article, the Specialised Committee on Law Enforcement and Judicial Cooperation shall meet to decide what steps are needed to ensure that any cooperation initiated under this Title and affected by the suspension is concluded in an appropriate manner. In any event, with regard to all personal data obtained through cooperation under this Title before the provisions concerned by the suspension provisionally cease to apply, the Parties shall ensure that the level of protection under which the personal data were transferred is maintained after the suspension takes effect.
TITLE III
TRANSFER AND PROCESSING OF PASSENGER NAME RECORD DATA
Article 542
Scope
1.   This Title lays down rules under which passenger name record data may be transferred to, processed and used by the United Kingdom competent authority for flights between the Union and the United Kingdom, and establishes specific safeguards in that regard.
2.   This Title applies to air carriers operating passenger flights between the Union and the United Kingdom.
3.   This Title also applies to air carriers incorporated, or storing data, in the Union and operating passenger flights to or from the United Kingdom.
4.   This Title also provides for police and judicial cooperation in criminal matters between the United Kingdom and the Union in respect of PNR data.
Article 543
Definitions
For the purposes of this Title, the following definitions apply:
(a)
"air carrier" means an air transport undertaking with a valid operating licence or equivalent permitting it to carry out carriage of passengers by air between the United Kingdom and the Union;
(b)
"passenger name record" ("PNR") means a record of each passenger's travel requirements which contains information necessary to enable reservations to be processed and controlled by the booking and participating air carriers for each journey booked by or on behalf of any person, whether it is contained in reservation systems, departure control systems used to check passengers into flights, or equivalent systems providing the same functionalities; specifically, as used in this Title, PNR data consists of the elements set out in Annex 40;
(c)
"United Kingdom competent authority" means the United Kingdom authority responsible for receiving and processing PNR data under this Agreement; if the United Kingdom has more than one competent authority it shall provide a passenger data single window facility that allows air carriers to transfer PNR data to a single data transmission entry point and shall designate a single point of contact for the purpose of receiving and making requests under Article 546;
(d)
"Passenger Information Units" ("PIUs") means the Units established or designated by Member States that are responsible for receiving and processing PNR data;
(e)
"terrorism" means any offence listed in Annex 45;
(f)
"serious crime" means any offence punishable by a custodial sentence or detention order for a maximum period of at least three years under the domestic law of the United Kingdom.
Article 544
Purposes of the use of PNR data
1.   The United Kingdom shall ensure that PNR data received pursuant to this Title is processed strictly for the purposes of preventing, detecting, investigating or prosecuting terrorism or serious crime and for the purposes of overseeing the processing of PNR data within the terms set out in this Agreement.
2.   In exceptional cases, the United Kingdom competent authority may process PNR data where necessary to protect the vital interests of any natural person, such as:
(a)
a risk of death or serious injury; or
(b)
a significant public health risk, in particular as identified under internationally recognised standards.
3.   The United Kingdom competent authority may also process PNR data on a case-by-case basis where the disclosure of relevant PNR data is compelled by a United Kingdom court or administrative tribunal in a proceeding directly related to any of the purposes referred to in paragraph 1.
Article 545
Ensuring PNR data is provided
1.   The Union shall ensure that air carriers are not prevented from transferring PNR data to the United Kingdom competent authority pursuant to this Title.
2.   The Union shall ensure that air carriers may transfer PNR data to the United Kingdom competent authority through authorised agents, who act on behalf of and under the responsibility of an air carrier, pursuant to this Title.
3.   The United Kingdom shall not require an air carrier to provide elements of PNR data which are not already collected or held by the air carrier for reservation purposes.
4.   The United Kingdom shall delete any data transferred to it by an air carrier pursuant to this Title upon receipt of that data, if that data element is not listed in Annex 40.
Article 546
Police and judicial cooperation
1.   The United Kingdom competent authority shall share with Europol or Eurojust, within the scope of their respective mandates, or with the PIUs of the Member States all relevant and appropriate analytical information containing PNR data as soon as possible in specific cases where necessary to prevent, detect, investigate, or prosecute terrorism or serious crime.
2.   At the request of Europol or Eurojust, within the scope of their respective mandates, or of the PIU of a Member State, the United Kingdom competent authority shall share PNR data, the results of processing those data, or analytical information containing PNR data, in specific cases where necessary to prevent, detect, investigate, or prosecute terrorism or serious crime.
3.   The PIUs of the Member States shall share with the United Kingdom competent authority all relevant and appropriate analytical information containing PNR data as soon as possible in specific cases where necessary to prevent, detect, investigate, or prosecute terrorism or serious crime.
4.   At the request of the United Kingdom competent authority, the PIUs of the Member States shall share PNR data, the results of processing those data, or analytical information containing PNR data, in specific cases where necessary to prevent, detect, investigate, or prosecute terrorism or serious crime.
5.   The Parties shall ensure that the information referred to in paragraphs 1 to 4 is shared in accordance with agreements and arrangements on law enforcement or information sharing between the United Kingdom and Europol, Eurojust, or the relevant Member State. In particular, the exchange of information with Europol under this Article shall take place through the secure communication line established for the exchange of information through Europol.
6.   The United Kingdom competent authority and the PIUs of the Member States shall ensure that only the minimum amount of PNR data necessary is shared under paragraphs 1 to 4.
Article 547
Non-discrimination
The United Kingdom shall ensure that the safeguards applicable to the processing of PNR data apply to all natural persons on an equal basis without unlawful discrimination.
Article 548
Use of special categories of personal data
Any processing of special categories of personal data shall be prohibited under this Title. To the extent that any PNR data which is transferred to the United Kingdom competent authority includes special categories of personal data, the United Kingdom competent authority shall delete such data.
Article 549
Data security and integrity
1.   The United Kingdom shall implement regulatory, procedural or technical measures to protect PNR data against accidental, unlawful or unauthorised access, processing or loss.
2.   The United Kingdom shall ensure compliance verification and the protection, security, confidentiality, and integrity of the data. In that regard, the United Kingdom shall:
(a)
apply encryption, authorisation, and documentation procedures to the PNR data;
(b)
limit access to PNR data to authorised officials;
(c)
hold PNR data in a secure physical environment that is protected with access controls; and
(d)
establish a mechanism that ensures that PNR data queries are conducted in a manner consistent with Article 544.
3.   If a natural person's PNR data is accessed or disclosed without authorisation, the United Kingdom shall take measures to notify that natural person, to mitigate the risk of harm, and to take remedial action.
4.   The United Kingdom competent authority shall promptly inform the Specialised Committee on Law Enforcement and Judicial Cooperation of any significant incident of accidental, unlawful or unauthorised access, processing or loss of PNR data.
5.   The United Kingdom shall ensure that any breach of data security, in particular any breach leading to accidental or unlawful destruction or accidental loss, alteration, unauthorised disclosure or access, or any unlawful forms of processing, are subject to effective and dissuasive corrective measures which may include sanctions.
Article 550
Transparency and notification of passengers
1.   The United Kingdom competent authority shall make the following available on its website:
(a)
a list of the legislation authorising the collection of PNR data;
(b)
the purposes for the collection of PNR data;
(c)
the manner of protecting PNR data;
(d)
the manner and extent to which PNR data may be disclosed;
(e)
information regarding the rights of access, correction, notation and redress; and
(f)
contact information for inquiries.
2.   The Parties shall work with interested third parties, such as the aviation and air travel industry, to promote transparency at the time of booking regarding the purpose of the collection, processing and use of PNR data, and regarding how to request access, correction and redress. Air carriers shall provide passengers with clear and meaningful information in relation to the transfer of PNR data under this Title, including the details of the recipient authority, the purpose of the transfer and the right to request from the recipient authority, access to and correction of the personal data of the passenger that has been transferred.
3.   Where PNR data retained in accordance with Article 552 has been used subject to the conditions set out in Article 553 or has been disclosed in accordance with Article 555 or Article 556, the United Kingdom shall notify the passengers concerned in writing, individually and within a reasonable time once such notification is no longer liable to jeopardise the investigations by the public authorities concerned to the extent that the relevant contact information of the passengers is available or can be retrieved, taking into account reasonable efforts. The notification shall include information on how the natural person concerned can seek administrative or judicial redress.
Article 551
Automated processing of PNR data
1.   The United Kingdom competent authority shall ensure that any automated processing of PNR data is based on non-discriminatory, specific and reliable pre-established models and criteria to enable it to:
(a)
arrive at results targeting natural persons who might be under a reasonable suspicion of involvement or participation in terrorism or serious crime; or
(b)
in exceptional circumstances, protect the vital interests of any natural person as set out in Article 544(2).
2.   The United Kingdom competent authority shall ensure that the databases against which PNR data are compared are reliable, up to date and limited to those databases it uses in relation to the purposes set out in Article 544.
3.   The United Kingdom shall not take any decision adversely affecting a natural person in a significant manner solely on the basis of automated processing of PNR data.
Article 552
Retention of PNR data
1.   The United Kingdom shall not retain PNR data for more than five years from the date that it receives the PNR data.
2.   No later than six months after the transfer of the PNR data referred to in paragraph 1, all PNR data shall be depersonalised by masking out the following data elements which could serve to identify directly the passenger to whom the PNR data relate or any other natural person:
(a)
names, including the names of other passengers on the PNR and number of passengers on the PNR travelling together;
(b)
addresses, telephone numbers and electronic contact information of the passenger, the persons who made the flight reservation for the passenger, persons through whom the air passenger may be contacted and persons who are to be informed in the event of an emergency;
(c)
all available payment and billing information, to the extent that it contains any information which could serve to identify a natural person;
(d)
frequent flyer information;
(e)
other supplementary information (OSI), special service information (SSI) and special service request (SSR) information, to the extent that they contain any information which could serve to identify a natural person; and
(f)
any advance passenger information (API) data that have been collected.
3.   The United Kingdom competent authority may unmask PNR data only if it is necessary to carry out investigations for the purposes set out in Article 544. Such unmasked PNR data shall be accessible only to a limited number of specifically authorised officials.
4.   Notwithstanding paragraph 1, the United Kingdom shall delete the PNR data of passengers after their departure from the country unless a risk assessment indicates the need to retain such PNR data. In order to establish that need, the United Kingdom shall identify objective evidence from which it may be inferred that certain passengers present the existence of a risk in terms of the fight against terrorism and serious crime.
5.   For the purposes of paragraph 4, unless information is available on the exact date of departure, the date of departure should be considered as the last day of the period of maximum lawful stay in the United Kingdom of the passenger concerned.
6.   The use of the data retained under this Article is subject to the conditions laid down in Article 553.
7.   An independent administrative body in the United Kingdom shall assess on a yearly basis the approach applied by the United Kingdom competent authority as regards the need to retain PNR data pursuant to paragraph 4.
8.   Notwithstanding paragraphs 1, 2 and 4, the United Kingdom may retain PNR data required for any specific action, review, investigation, enforcement action, judicial proceeding, prosecution, or enforcement of penalties, until concluded.
9.   The United Kingdom shall delete the PNR data at the end of the PNR data retention period.
10.   Paragraph 11 applies due to the special circumstances that prevent the United Kingdom from making the technical adjustments necessary to transform the PNR processing systems which the United Kingdom operated whilst Union law applied to it into systems which would enable PNR data to be deleted in accordance with paragraph 4.
11.   The United Kingdom may derogate from paragraph 4 on a temporary basis for an interim period, the duration of which is provided for in paragraph 13, pending the implementation by the United Kingdom of technical adjustments as soon as possible. During the interim period, the United Kingdom competent authority shall prevent the use of the PNR data that is to be deleted in accordance with paragraph 4 by applying the following additional safeguards to that PNR data:
(a)
the PNR data shall be accessible only to a limited number of authorised officials and only where necessary to determine whether the PNR data should be deleted in accordance with paragraph 4;
(b)
the request to use the PNR data shall be refused in cases where the data is to be deleted in accordance with paragraph 4, and no further access shall be granted to that data where the documentation referred to in point (d) of this paragraph indicates that an earlier request for use has been refused;
(c)
deletion of the PNR data shall be ensured as soon as possible using best efforts, taking into account the special circumstances referred to in paragraph 10; and
(d)
the following shall be documented in accordance with Article 554, and such documentation shall be made available to the independent administrative body referred to in paragraph 7 of this Article:
(i)
any requests to use the PNR data;
(ii)
the date and time of the access to the PNR data for the purpose of assessing whether deletion of the PNR data was required;
(iii)
that the request to use the PNR data was refused on the basis that the PNR data should have been deleted under paragraph 4, including the date and time of the refusal; and
(iv)
the date and time of the deletion of the PNR data in accordance with point (c) of this paragraph.
12.   The United Kingdom shall provide to the Specialised Committee on Law Enforcement and Judicial Cooperation, nine months after the entry into force of this Agreement and again a year later if the interim period is extended for a further year:
(a)
a report from the independent administrative body referred to in paragraph 7 of this Article, which shall include the opinion of the United Kingdom supervisory authority referred to in Article 525(3) as to whether the safeguards provided for in paragraph 11 of this Article have been effectively applied; and
(b)
the assessment of the United Kingdom of whether the special circumstances referred to in paragraph 10 of this Article persist, together with a description of the efforts made to transform the PNR processing systems of the United Kingdom into systems which would enable PNR data to be deleted in accordance with paragraph 4 of this Article.
13.   The Specialised Committee on Law Enforcement and Judicial Cooperation shall meet within one year of the entry into force of this Agreement to consider the report and assessment provided under paragraph 12. Where the special circumstances referred to in paragraph 10 persist, the Partnership Council shall extend the interim period referred to in paragraph 11 for one year. The Partnership Council shall extend the interim period for one further final year, under the same conditions and following the same procedure as for the first extension where, in addition, substantial progress has been made, although it has not yet been possible to transform the United Kingdom PNR processing systems into systems which would enable PNR data to be deleted in accordance with paragraph 4.
14.   If the United Kingdom considers that a refusal by the Partnership Council to grant either of those extensions was not justified, it may suspend this Title with one month's notice.
15.   On the third anniversary of the date of entry into force of this Agreement, paragraphs 10 to 14 shall cease to apply.
Article 553
Conditions for the use of PNR data
1.   The United Kingdom competent authority may use PNR data retained in accordance with Article 552 for purposes other than security and border control checks, including any disclosure under Article 555 and Article 556, only where new circumstances based on objective grounds indicate that the PNR data of one or more passengers might make an effective contribution to the attainment of the purposes set out in Article 544.
2.   Use of PNR data by the United Kingdom competent authority in accordance with paragraph 1 shall be subject to prior review by a court or by an independent administrative body in the United Kingdom based on a reasoned request by the United Kingdom competent authority submitted within the domestic legal framework of procedures for the prevention, detection or prosecution of crime, except:
(a)
in cases of validly established urgency; or
(b)
for the purpose of verifying the reliability and currency of the pre-established models and criteria on which the automated processing of PNR data is based, or of defining new models and criteria for such processing.
Article 554
Logging and documenting of PNR data processing
The United Kingdom competent authority shall log and document all processing of PNR data. It shall only use such logging or documentation to:
(a)
self-monitor and to verify the lawfulness of data processing;
(b)
ensure proper data integrity;
(c)
ensure the security of data processing; and
(d)
ensure oversight.
Article 555
Disclosure within the United Kingdom
1.   The United Kingdom competent authority shall not disclose PNR data to other public authorities in the United Kingdom unless the following conditions are met:
(a)
the PNR data is disclosed to public authorities whose functions are directly related to the purposes set out in Article 544;
(b)
the PNR data is disclosed only on a case-by-case basis;
(c)
the disclosure is necessary, in the particular circumstances, for the purposes set out in Article 544;
(d)
only the minimum amount of PNR data necessary is disclosed;
(e)
the receiving public authority affords protection equivalent to the safeguards described in this Title; and
(f)
the receiving public authority does not disclose the PNR data to another entity unless the disclosure is authorised by the United Kingdom competent authority in accordance with the conditions laid down in this paragraph.
2.   When transferring analytical information containing PNR data obtained under this Title, the safeguards set out in this Article shall apply.
Article 556
Disclosure outside the United Kingdom
1.   The United Kingdom shall ensure that the United Kingdom competent authority does not disclose PNR data to public authorities in third countries unless all the following conditions are met:
(a)
the PNR data is disclosed to public authorities whose functions are directly related to the purposes set out in Article 544;
(b)
the PNR data is disclosed only on a case-by-case basis;
(c)
the PNR data is disclosed only if necessary for the purposes set out in Article 544;
(d)
only the minimum amount of PNR data necessary is disclosed; and
(e)
the third country to which the PNR data is disclosed has either concluded an agreement with the Union that provides for the protection of personal data comparable to this Agreement or is subject to a decision of the European Commission pursuant to Union law that finds that the third country ensures an adequate level of data protection within the meaning of Union law.
2.   As an exception to point (e) of paragraph 1, the United Kingdom competent authority may transfer PNR data to a third country if:
(a)
the head of that authority, or a senior official specifically mandated by the head, considers that the disclosure is necessary for the prevention and investigation of a serious and imminent threat to public security or to protect the vital interests of any natural person; and
(b)
the third country provides a written assurance, pursuant to an arrangement, agreement or otherwise, that the information shall be protected in line with the safeguards applicable under United Kingdom law to the processing of PNR data received from the Union, including those set out in this Title.
3.   A transfer in accordance with paragraph 2 of this Article shall be documented. Such documentation shall be made available to the supervisory authority referred to in Article 525(3) on request, including the date and time of the transfer, information about the receiving authority, the justification for the transfer and the PNR data transferred.
4.   If, in accordance with paragraph 1 or 2, the United Kingdom competent authority discloses PNR data collected under this Title that originates in a Member State, the United Kingdom competent authority shall notify the authorities of that Member State of the disclosure at the earliest appropriate opportunity. The United Kingdom shall make that notification in accordance with agreements or arrangements on law enforcement or information sharing between the United Kingdom and that Member State.
5.   When transferring analytical information containing PNR data obtained under this Title, the safeguards set out in this Article shall apply.
Article 557
Method of transfer
Air carriers shall transfer PNR data to the United Kingdom competent authority exclusively on the basis of the "push method", a method by which air carriers transfer PNR data into the database of the United Kingdom competent authority, and in accordance with the following procedures to be observed by air carriers, by which they:
(a)
transfer PNR data by electronic means in compliance with the technical requirements of the United Kingdom competent authority or, in the case of a technical failure, by any other appropriate means ensuring an appropriate level of data security;
(b)
transfer PNR data using a mutually accepted messaging format; and
(c)
transfer PNR data in a secure manner using common protocols as required by the United Kingdom competent authority.
Article 558
Frequency of transfer
1.   The United Kingdom competent authority shall require air carriers to transfer the PNR data:
(a)
initially from no earlier than 96 hours before the scheduled flight service departure time; and
(b)
a maximum number of five times as specified by the United Kingdom competent authority.
2.   The United Kingdom competent authority shall permit air carriers to limit the transfer referred to in point (b) of paragraph 1 to updates of the PNR data transferred as referred to in point (a) of that paragraph.
3.   The United Kingdom competent authority shall inform air carriers of the specified times for the transfers.
4.   In specific cases where there is an indication that additional access to PNR data is necessary to respond to a specific threat related to the purposes set out in Article 544, the United Kingdom competent authority may require an air carrier to provide PNR data prior to, between or after the scheduled transfers. In exercising that discretion, the United Kingdom competent authority shall act judiciously and proportionately, and shall use the method of transfer described in Article 557.
Article 559
Cooperation
The United Kingdom competent authority and the PIUs of the Member States shall cooperate to pursue the coherence of their PNR data processing regimes in a manner that further enhances the security of individuals in the United Kingdom, the Union and elsewhere.
Article 560
Non-derogation
This Title shall not be construed as derogating from any obligation between the United Kingdom and Member States or third countries to make or respond to a request under a mutual assistance instrument.
Article 561
Consultation and review
1.   The Parties shall advise each other of any measure that is to be enacted that may affect this Title.
2.   When carrying out joint reviews of this Title as referred to in Article 691(1), the Parties shall pay particular attention to the necessity and proportionality of processing and retaining PNR data for each of the purposes set out in Article 544. The joint reviews shall also include an examination of how the United Kingdom competent authority has ensured that the pre-established models, criteria and databases referred to in Article 551 are reliable, relevant and current, taking into account statistical data.
Article 562
Suspension of cooperation under this Title
1.   In the event that either Party considers that the continued operation of this Title is no longer appropriate, it may notify the other Party accordingly of its intention to suspend the application of this Title. Following such notification, the Parties shall engage in consultations.
2.   Where within 6 months of that notification the Parties have not reached a resolution, either Party may decide to suspend the application of this Title for a period of up to 6 months. Before the end of that period, the Parties may agree an extension of the suspension for an additional period of up to 6 months. If by the end of the suspension period the Parties have not reached a resolution with respect to this Title, this Title shall cease to apply on the first day of the month following the expiry of the suspension period, unless the notifying Party informs the other Party that it wishes to withdraw the notification. In that case, the provisions of this Title shall be reinstated.
3.   If this Title is suspended under this Article, the Specialised Committee on Law Enforcement and Judicial Cooperation shall meet to decide what steps are needed to ensure that any cooperation initiated under this Title that is affected by the suspension is concluded in an appropriate manner. In any event, with regard to all personal data obtained through cooperation under this Title before the provisions concerned by the suspension provisionally cease to apply, the Parties shall ensure that the level of protection under which the personal data were transferred is maintained after the suspension takes effect.
TITLE IV
COOPERATION ON OPERATIONAL INFORMATION
Article 563
Cooperation on Operational Information
1.   The objective of this Title is for the Parties to ensure that the competent authorities of the United Kingdom and of the Member States are able to, subject to the conditions of their domestic law and within the scope of their powers, and to the extent that this is not provided for in other Titles of this Part, assist each other through the provision of relevant information for the purposes of:
(a)
the prevention, investigation, detection or prosecution of criminal offences;
(b)
the execution of criminal penalties;
(c)
safeguarding against, and the prevention of, threats to public safety; and
(d)
the prevention and combating of money laundering and the financing of terrorism.
2.   For the purposes of this Title, a "competent authority" means a domestic police, customs or other authority that is competent under domestic law to undertake activities for the purposes set out in paragraph 1.
3.   Information, including information on wanted and missing persons as well as objects, may be requested by a competent authority of the United Kingdom or of a Member State, or provided spontaneously to a competent authority of the United Kingdom or of a Member State. Information may be provided in response to a request or spontaneously, subject to the conditions of the domestic law which applies to the providing competent authority and within the scope of its powers.
4.   Information may be requested and provided to the extent that the conditions of the domestic law which applies to the requesting or providing competent authority do not stipulate that the request or provision of information has to be made or channelled via judicial authorities.
5.   In urgent cases, the providing competent authority shall respond to a request, or provide information spontaneously, as soon as possible.
6.   A competent authority of the requesting State may, in accordance with relevant domestic law, at the time of making the request or at a later point in time, seek consent from the providing State for the information to be used for evidential purposes in proceedings before a judicial authority. The providing State may, subject to the conditions set out in Title VIII and the conditions of the domestic law which applies to it, consent to the information being used for evidential purposes before a judicial authority in the requesting State. Equally, where information is provided spontaneously, the providing State may consent to the information being used for evidential purposes in proceedings before a judicial authority in the receiving State. Where consent is not given under this paragraph, the information received shall not be used for evidential purposes in proceedings before a judicial authority.
7.   The providing competent authority may, under relevant domestic law, impose conditions on the use of the information provided.
8.   A competent authority may provide under this Title any type of information which it holds, subject to the conditions of the domestic law which applies to it and within the scope of its powers. This may include information from other sources, only if onward transfer of that information is permitted in the framework under which it was obtained by the providing competent authority.
9.   Information may be provided under this Title via any appropriate communication channel, including the secure communication line for the purpose of provision of information through Europol.
10.   This Article shall not affect the operation or conclusion of bilateral agreements between the United Kingdom and Member States, provided that the Member States act in compliance with Union law. It shall also not affect any other powers which are available to the competent authorities of the United Kingdom or of the Member States under applicable domestic or international law to provide assistance through the sharing of information for the purposes set out in paragraph 1.
TITLE V
COOPERATION WITH EUROPOL
Article 564
Objective
The objective of this Title is to establish cooperative relations between Europol and the competent authorities of the United Kingdom in order to support and strengthen the action by the Member States and the United Kingdom, as well as their mutual cooperation in preventing and combating serious crime, terrorism and forms of crime which affect a common interest covered by a Union policy, as referred to in Article 566.
Article 565
Definitions
For the purposes of this Title, the following definitions apply:
(a)
"Europol" means the European Union Agency for Law Enforcement Cooperation, set up under Regulation (EU) 2016/794 of the European Parliament and of the Council 
(
79
)
 (the "Europol Regulation");
(b)
"competent authority" means, for the Union, Europol and, for the United Kingdom, a domestic law enforcement authority responsible under domestic law for preventing and combating criminal offences;
Article 566
Forms of crime
1.   The cooperation established under this Title relates to the forms of crime within Europol's competence, as listed in Annex 41, including related criminal offences.
2.   Related criminal offences are criminal offences committed in order to procure the means of committing the forms of crime referred to in paragraph 1, criminal offences committed in order to facilitate or carry out such crimes, and criminal offences committed to ensure impunity for such crimes.
3.   Where the list of forms of crime for which Europol is competent under Union law is changed, the Specialised Committee on Law Enforcement and Judicial Cooperation may, upon a proposal from the Union, amend Annex 41 accordingly from the date when the change to Europol's competence enters into effect.
Article 567
Scope of cooperation
The cooperation may, in addition to the exchange of personal data under the conditions laid down in this Title and in accordance with the tasks of Europol as outlined in the Europol Regulation, in particular include:
(a)
the exchange of information such as specialist knowledge;
(b)
general situation reports;
(c)
results of strategic analysis;
(d)
information on criminal investigation procedures;
(e)
information on crime prevention methods;
(f)
participation in training activities; and
(g)
the provision of advice and support in individual criminal investigations as well as operational cooperation.
Article 568
National contact point and liaison officers
1.   The United Kingdom shall designate a national contact point to act as the central point of contact between Europol and the competent authorities of the United Kingdom.
2.   The exchange of information between Europol and the competent authorities of the United Kingdom shall take place between Europol and the national contact point referred to in paragraph 1. This does not preclude, however, direct exchanges of information between Europol and the competent authorities of the United Kingdom, if considered appropriate by both Europol and the relevant competent authorities.
3.   The national contact point shall also be the central point of contact in respect of review, correction and deletion of personal data.
4.   To facilitate the cooperation established under this Title, the United Kingdom shall second one or more liaison officers to Europol. Europol may second one or more liaison officers to the United Kingdom.
5.   The United Kingdom shall ensure that its liaison officers have speedy and, where technically possible, direct access to the relevant domestic databases of the United Kingdom that are necessary for them to fulfil their tasks.
6.   The number of liaison officers, the details of their tasks, their rights and obligations and the costs involved shall be governed by working arrangements concluded between Europol and the competent authorities of the United Kingdom as referred to in Article 577.
7.   Liaison officers from the United Kingdom and representatives of the competent authorities of the United Kingdom may be invited to operational meetings. Member State liaison officers and third-country liaison officers, representatives of competent authorities from the Member States and third countries, Europol staff and other stakeholders may attend meetings organised by the liaison officers or the competent authorities of the United Kingdom.
Article 569
Exchanges of information
1.   Exchanges of information between the competent authorities shall comply with the objective and provisions of this Title. Personal data shall be processed only for the specific purposes referred to in paragraph 2.
2.   The competent authorities shall clearly indicate, at the latest at the moment of transferring personal data, the specific purpose or purposes for which the personal data are being transferred. For transfers to Europol, the purpose or purposes of such transfer shall be specified in line with the specific purposes of processing set out in the Europol Regulation. If the transferring competent authority has not done so, the receiving competent authority, in agreement with the transferring authority, shall process the personal data in order to determine their relevance as well as the purpose or purposes for which it is to be further processed. The competent authorities may process personal data for a purpose other than the purpose for which they have been provided only if authorised to do so by the transferring competent authority.
3.   The competent authorities receiving the personal data shall give an undertaking stating that such data will be processed only for the purpose for which they were transferred. The personal data shall be deleted as soon as they are no longer necessary for the purpose for which they were transferred.
4.   Europol and the competent authorities of the United Kingdom shall determine without undue delay, and in any event no later than six months after receipt of the personal data, if and to what extent those personal data are necessary for the purpose for which they were transferred and inform the transferring authority accordingly.
Article 570
Restrictions on access to and further use of transferred personal data
1.   The transferring competent authority may indicate, at the moment of transferring personal data, any restriction on access thereto or the use to be made thereof, in general or specific terms, including as regards its onward transfer, erasure or destruction after a certain period of time, or its further processing. Where the need for such restrictions becomes apparent after the personal data have been transferred, the transferring competent authority shall inform the receiving competent authority accordingly.
2.   The receiving competent authority shall comply with any restriction on access or further use of the personal data indicated by the transferring competent authority as described in paragraph 1.
3.   Each Party shall ensure that information transferred under this Title was collected, stored and transferred in accordance with its respective legal framework. Each Party shall ensure, as far as possible, that such information has not been obtained in violation of human rights. Nor shall such information be transferred if, to the extent reasonably foreseeable, it could be used to request, hand down or execute a death penalty or any form of cruel or inhuman treatment.
Article 571
Different categories of data subjects
1.   The transfer of personal data in respect of victims of a criminal offence, witnesses or other persons who can provide information concerning criminal offences, or in respect of persons under the age of 18, shall be prohibited unless such transfer is strictly necessary and proportionate in individual cases for preventing or combating a criminal offence.
2.   The United Kingdom and Europol shall each ensure that the processing of personal data under paragraph 1 is subject to additional safeguards, including restrictions on access, additional security measures and limitations on onward transfers.
Article 572
Facilitation of flow of personal data between the United Kingdom and Europol
In the interest of mutual operational benefits, the Parties shall endeavour to cooperate in the future with a view to ensuring that data exchanges between Europol and the competent authorities of the United Kingdom can take place as quickly as possible, and to consider the incorporation of any new processes and technical developments which might assist with that objective, while taking account of the fact that the United Kingdom is not a Member State.
Article 573
Assessment of reliability of the source and accuracy of information
1.   The competent authorities shall indicate as far as possible, at the latest at the moment of transferring the information, the reliability of the source of the information on the basis of the following criteria:
(a)
where there is no doubt as to the authenticity, trustworthiness and competence of the source, or if the information is provided by a source which has proved to be reliable in all instances;
(b)
where the information is provided by a source which has in most instances proved to be reliable;
(c)
where the information is provided by a source which has in most instances proved to be unreliable;
(d)
where the reliability of the source cannot be assessed.
2.   The competent authorities shall indicate as far as possible, at the latest at the moment of transferring the information, the accuracy of the information on the basis of the following criteria:
(a)
information the accuracy of which is not in doubt;
(b)
information known personally to the source but not known personally to the official passing it on;
(c)
information not known personally to the source but corroborated by other information already recorded;
(d)
information not known personally to the source and which cannot be corroborated.
3.   Where the receiving competent authority, on the basis of information already in its possession, comes to the conclusion that the assessment of information or of its source supplied by the transferring competent authority in accordance with paragraphs 1 and 2 needs correction, it shall inform that competent authority and shall attempt to agree on an amendment to the assessment. The receiving competent authority shall not change the assessment of information received or of its source without such agreement.
4.   If a competent authority receives information without an assessment, it shall attempt as far as possible and where possible in agreement with the transferring competent authority to assess the reliability of the source or the accuracy of the information on the basis of information already in its possession.
5.   If no reliable assessment can be made, the information shall be evaluated as provided for in point (d) of paragraph 1 and point (d) of paragraph 2.
Article 574
Security of the information exchange
1.   The technical and organisational measures put in place to ensure the security of the information exchange under this Title shall be laid down in administrative arrangements between Europol and the competent authorities of the United Kingdom as referred to in Article 577.
2.   The Parties agree on the establishment, implementation and operation of a secure communication line for the purpose of the exchange of information between Europol and the competent authorities of the United Kingdom.
3.   Administrative arrangements between Europol and the competent authorities of the United Kingdom as referred to in Article 576 shall regulate the secure communication line's terms and conditions of use.
Article 575
Liability for unauthorised or incorrect personal data processing
1.   The competent authorities shall be liable, in accordance with their respective legal frameworks, for any damage caused to an individual as a result of legal or factual errors in information exchanged. In order to avoid liability under their respective legal frameworks vis-à-vis an injured party, neither Europol nor the competent authorities of the United Kingdom may plead that the other competent authority had transferred inaccurate information.
2.   If damages are awarded either against Europol or against the competent authorities of the United Kingdom because of the use by either of them of information which was erroneously communicated by the other, or communicated as a result of a failure on the part of the other to comply with their obligations, the amount paid as compensation under paragraph 1 either by Europol or by the competent authorities of the United Kingdom shall be repaid by the other, unless the information was used in breach of this Title.
3.   Europol and the competent authorities of the United Kingdom shall not require each other to pay for punitive or non-compensatory damages under paragraphs 1 and 2.
Article 576
Exchange of classified and sensitive non-classified information
The exchange and protection of classified and sensitive non-classified information, if necessary under this Title, shall be regulated in working and administrative arrangements as referred to in Article 577 between Europol and the competent authorities of the United Kingdom.
Article 577
Working and administrative arrangements
1.   The details of cooperation between the United Kingdom and Europol, as appropriate to complement and implement the provisions of this Title, shall be the subject of working arrangements in accordance with Article 23(4) of the Europol Regulation and administrative arrangements in accordance with Article 25(1) of the Europol Regulation concluded between Europol and the competent authorities of the United Kingdom.
2.   Without prejudice to any provision in this Title and while reflecting the status of the United Kingdom as not being a Member State, Europol and the competent authorities of the United Kingdom shall, subject to a decision by Europol's Management Board, include, in working arrangements or administrative arrangements, as the case may be, provisions complementing or implementing this Title, in particular allowing for:
(a)
consultations between Europol and one or more representatives of the national contact point of the United Kingdom on policy issues and matters of common interest for the purpose of realising their objectives and coordinating their respective activities, and of furthering cooperation between Europol and the competent authorities of the United Kingdom;
(b)
the participation of one or more representatives of the United Kingdom as observer or observers in specific meetings of the Heads of Europol National Units in line with the rules of proceedings of such meetings;
(c)
the association of one or more representatives of the United Kingdom to operational analysis projects, in accordance with the rules set out by the appropriate Europol governance bodies;
(d)
the specification of liaison officers' tasks, their rights and obligations and the costs involved; or
(e)
cooperation between the competent authorities of the United Kingdom and Europol in the event of privacy or security breaches.
3.   The substance of working and administrative arrangements may be set out together in one document.
Article 578
Notification of implementation
1.   The United Kingdom and Europol shall each make publicly available a document setting out in an intelligible form the provisions regarding the processing of personal data transferred under this Title including the means available for the exercise of the rights of data subjects, and shall each ensure that a copy of that document be provided to the other.
2.   Where not already in place, the United Kingdom and Europol shall adopt rules specifying how compliance with the provisions regarding the processing of personal data will be enforced in practice. The United Kingdom and Europol shall each send a copy of those rules to the other and to the respective supervisory authorities.
Article 579
Powers of Europol
Nothing in this Title shall be construed as creating an obligation on Europol to cooperate with the competent authorities of the United Kingdom beyond Europol's competence as set out in the relevant Union law.
TITLE VI
COOPERATION WITH EUROJUST
Article 580
Objective
The objective of this Title is to establish cooperation between Eurojust and the competent authorities of the United Kingdom in combating serious crimes as referred to in Article 582.
Article 581
Definitions
For the purposes of this Title, the following definitions apply:
(a)
"Eurojust" means the European Union Agency for Criminal Justice Cooperation, set up under Regulation (EU) 2018/1727 of the European Parliament and of the Council 
(
80
)
 (the "Eurojust Regulation");
(b)
"competent authority" means, for the Union, Eurojust, represented by the College or a National Member and, for the United Kingdom, a domestic authority with responsibilities under domestic law relating to the investigation and prosecution of criminal offences;
(c)
"College" means the College of Eurojust, as referred to in the Eurojust Regulation;
(d)
"National Member" means the National Member seconded to Eurojust by each Member State, as referred to in the Eurojust Regulation;
(e)
"Assistant" means a person who may assist a National Member and the National Member's Deputy, or the Liaison Prosecutor, as referred to in the Eurojust Regulation and in Article 585(3) respectively;
(f)
"Liaison Prosecutor" means a public prosecutor seconded by the United Kingdom to Eurojust and subject to the domestic law of the United Kingdom as regards the public prosecutor's status;
(g)
"Liaison Magistrate" means a magistrate posted by Eurojust to the United Kingdom in accordance with Article 586;
(h)
"Domestic Correspondent for Terrorism Matters" means the contact point designated by the United Kingdom in accordance with Article 584, responsible for handling correspondence related to terrorism matters.
Article 582
Forms of crime
1.   The cooperation established under this Title relates to the forms of serious crime within the competence of Eurojust, as listed in Annex 42, including related criminal offences.
2.   Related criminal offences are the criminal offences committed in order to procure the means of committing forms of serious crime referred to in paragraph 1, criminal offences committed in order to facilitate or commit such serious crimes, and criminal offences committed to ensure impunity for such serious crimes.
3.   Where the list of forms of serious crime for which Eurojust is competent under Union law is changed, the Specialised Committee on Law Enforcement and Judicial Cooperation may, upon a proposal from the Union, amend Annex 42 accordingly from the date when the change to Eurojust's competence enters into effect.
Article 583
Scope of cooperation
The Parties shall ensure that Eurojust and the competent authorities of the United Kingdom cooperate in the fields of activity set out in Articles 2 and 54 of the Eurojust Regulation and in this Title.
Article 584
Contact points to Eurojust
1.   The United Kingdom shall put in place or appoint at least one contact point to Eurojust within the competent authorities of the United Kingdom.
2.   The United Kingdom shall designate one of its contact points as the United Kingdom Domestic Correspondent for Terrorism Matters.
Article 585
Liaison Prosecutor
1.   To facilitate the cooperation established under this Title, the United Kingdom shall second a Liaison Prosecutor to Eurojust.
2.   The mandate and the duration of the secondment shall be determined by the United Kingdom.
3.   The Liaison Prosecutor may be assisted by up to five Assistants, reflecting the volume of cooperation. When necessary, Assistants may replace the Liaison Prosecutor or act on the Liaison Prosecutor's behalf.
4.   The United Kingdom shall inform Eurojust of the nature and extent of the judicial powers of the Liaison Prosecutor and the Liaison Prosecutor's Assistants within the United Kingdom to accomplish their tasks in accordance with this Title. The United Kingdom shall establish the competence of its Liaison Prosecutor and the Liaison Prosecutor's Assistants to act in relation to foreign judicial authorities.
5.   The Liaison Prosecutor and the Liaison Prosecutor's Assistants shall have access to the information contained in the domestic criminal record, or in any other register of the United Kingdom, in accordance with domestic law in the case of a prosecutor or person of equivalent competence.
6.   The Liaison Prosecutor and the Liaison Prosecutor's Assistants shall have the power to contact the competent authorities of the United Kingdom directly.
7.   The number of Assistants referred to in paragraph 3 of this Article, the details of the tasks of the Liaison Prosecutor and the Liaison Prosecutor's Assistants, their rights and obligations and the costs involved shall be governed by a working arrangement concluded between Eurojust and the competent authorities of the United Kingdom as referred to in Article 594.
8.   The working documents of the Liaison Prosecutor and the Liaison Prosecutor's Assistants shall be held inviolable by Eurojust.
Article 586
Liaison Magistrate
1.   For the purpose of facilitating judicial cooperation with the United Kingdom in cases in which Eurojust provides assistance, Eurojust may post a Liaison Magistrate to the United Kingdom, in accordance with Article 53 of the Eurojust Regulation.
2.   The details of the Liaison Magistrate's tasks referred to in paragraph 1 of this Article, the Liaison Magistrate's rights and obligations and the costs involved, shall be governed by a working arrangement concluded between Eurojust and the competent authorities of the United Kingdom as referred to in Article 594.
Article 587
Operational and strategic meetings
1.   The Liaison Prosecutor, the Liaison Prosecutor's Assistants, and representatives of other competent authorities of the United Kingdom, including the contact point to Eurojust, may participate in meetings with regard to strategic matters at the invitation of the President of Eurojust and in meetings with regard to operational matters with the approval of the National Members concerned.
2.   National Members, their Deputies and Assistants, the Administrative Director of Eurojust and Eurojust staff may attend meetings organised by the Liaison Prosecutor, the Liaison Prosecutor's Assistants, or other competent authorities of the United Kingdom, including the contact point to Eurojust.
Article 588
Exchange of non-personal data
Eurojust and the competent authorities of the United Kingdom may exchange any non-personal data in so far as those data are relevant for the cooperation under this Title, and subject to any restrictions pursuant to Article 593.
Article 589
Exchange of personal data
1.   Personal data requested and received by competent authorities under this Title shall be processed by them only for the objectives set out in Article 580, for the specific purposes referred to in paragraph 2 of this Article and subject to the restrictions on access or further use referred to in paragraph 3 of this Article.
2.   The transferring competent authority shall clearly indicate, at the latest at the moment of transferring personal data, the specific purpose or purposes for which the data are being transferred.
3.   The transferring competent authority may indicate, at the moment of transferring personal data, any restriction on access thereto or the use to be made thereof, in general or specific terms, including as regards its onward transfer, erasure or destruction after a certain period of time, or its further processing. Where the need for such restrictions becomes apparent after the personal data have been provided, the transferring authority shall inform the receiving authority accordingly.
4.   The receiving competent authority shall comply with any restriction on access or further use of the personal data indicated by the transferring competent authority as provided for in paragraph 3.
Article 590
Channels of transmission
1.   Information shall be exchanged:
(a)
either between the Liaison Prosecutor or the Liaison Prosecutor's Assistants or, if none is appointed or otherwise available, the United Kingdom's contact point to Eurojust and the National Members concerned or the College;
(b)
if Eurojust has posted a Liaison Magistrate to the United Kingdom, between the Liaison Magistrate and any competent authority of the United Kingdom; in that event, the Liaison Prosecutor shall be informed of any such information exchanges; or
(c)
directly between a competent authority in the United Kingdom and the National Members concerned or the College; in that event, the Liaison Prosecutor and, if applicable, the Liaison Magistrate shall be informed of any such information exchanges.
2.   Eurojust and the competent authorities of the United Kingdom may agree to use other channels for the exchange of information in particular cases.
3.   Eurojust and the competent authorities of the United Kingdom shall each ensure that their respective representatives are authorised to exchange information at the appropriate level and in accordance with United Kingdom law and the Eurojust Regulation respectively, and are adequately screened.
Article 591
Onward transfers
The competent authorities of the United Kingdom and Eurojust shall not communicate any information provided by the other to any third country or international organisation without the consent of whichever of the competent authorities of the United Kingdom or Eurojust provided the information and without appropriate safeguards regarding the protection of personal data.
Article 592
Liability for unauthorised or incorrect personal data processing
1.   The competent authorities shall be liable, in accordance with their respective legal frameworks, for any damage caused to an individual as a result of legal or factual errors in information exchanged. In order to avoid liability under their respective legal frameworks vis-à-vis an injured party, neither Eurojust nor the competent authorities of the United Kingdom may plead that the other competent authority had transferred inaccurate information.
2.   If damages are awarded against any competent authority because of its use of information which was erroneously communicated by the other, or communicated as a result of a failure on the part of the other to comply with their obligations, the amount paid as compensation under paragraph 1 by the competent authority shall be repaid by the other, unless the information was used in breach of this Title.
3.   Eurojust and the competent authorities of the United Kingdom shall not require each other to pay for punitive or non-compensatory damages under paragraphs 1 and 2.
Article 593
Exchange of classified and sensitive non-classified information
The exchange and protection of classified and sensitive non-classified information, if necessary under this Title, shall be regulated by a working arrangement as referred to in Article 594 concluded between Eurojust and the competent authorities of the United Kingdom.
Article 594
Working arrangement
The modalities of cooperation between the Parties as appropriate to implement this Title shall be the subject of a working arrangement concluded between Eurojust and the competent authorities of the United Kingdom in accordance with Articles 47(3) and 56(3) of the Eurojust Regulation.
Article 595
Powers of Eurojust
Nothing in this Title shall be construed as creating an obligation on Eurojust to cooperate with the competent authorities of the United Kingdom beyond Eurojust‘s competence as set out in the relevant Union law.
TITLE VII
SURRENDER
Article 596
Objective
The objective of this Title is to ensure that the extradition system between the Member States, on the one side, and the United Kingdom, on the other side, is based on a mechanism of surrender pursuant to an arrest warrant in accordance with the terms of this Title.
Article 597
Principle of proportionality
Cooperation through the arrest warrant shall be necessary and proportionate, taking into account the rights of the requested person and the interests of the victims, and having regard to the seriousness of the act, the likely penalty that would be imposed and the possibility of a State taking measures less coercive than the surrender of the requested person particularly with a view to avoiding unnecessarily long periods of pre-trial detention.
Article 598
Definitions
For the purposes of this Title, the following definitions apply:
(a)
"arrest warrant" means a judicial decision issued by a State with a view to the arrest and surrender by another State of a requested person, for the purposes of conducting a criminal prosecution or executing a custodial sentence or detention order;
(b)
"judicial authority" means an authority that is, under domestic law, a judge, a court or a public prosecutor. A public prosecutor is considered a judicial authority only to the extent that domestic law so provides;
(c)
"executing judicial authority" means the judicial authority of the executing State which is competent to execute the arrest warrant by virtue of the domestic law of that State;
(d)
"issuing judicial authority" means the judicial authority of the issuing State which is competent to issue an arrest warrant by virtue of the domestic law of that State.
Article 599
Scope
1.   An arrest warrant may be issued for acts punishable by the law of the issuing State by a custodial sentence or a detention order for a maximum period of at least 12 months or, where a sentence has been passed or a detention order has been made, for sentences or detention orders of at least four months.
2.   Without prejudice to paragraphs 3 and 4, surrender is subject to the condition that the acts for which the arrest warrant has been issued constitute an offence under the law of the executing State, whatever the constituent elements or however it is described.
3.   Subject to Article 600, points (b) to (h) of Article 601(1), and Articles 602, 603 and 604, a State shall not refuse to execute an arrest warrant issued in relation to the following behaviour where such behaviour is punishable by deprivation of liberty or a detention order of a maximum period of at least 12 months:
(a)
the behaviour of any person who contributes to the commission by a group of persons acting with a common purpose of one or more offences in the field of terrorism referred to in Articles 1 and 2 of the European Convention on the Suppression of Terrorism, done at Strasbourg on 27 January 1977, or in relation to illicit trafficking in narcotic drugs and psychotropic substances, or murder, grievous bodily injury, kidnapping, illegal restraint, hostage-taking or rape, even where that person does not take part in the actual execution of the offence or offences concerned; such contribution must be intentional and made with the knowledge that the participation will contribute to the achievement of the group's criminal activities; or
(b)
terrorism as defined in Annex 45.
4.   The United Kingdom and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation that, on the basis of reciprocity, the condition of double criminality referred to in paragraph 2 will not be applied, provided that the offence on which the warrant is based is:
(a)
one of the offences listed in paragraph 5, as defined by the law of the issuing State; and
(b)
punishable in the issuing State by a custodial sentence or a detention order for a maximum period of at least three years.
5.   The offences referred to in paragraph 4 are:
—
participation in a criminal organisation;
—
terrorism as defined in Annex 45;
—
trafficking in human beings;
—
sexual exploitation of children and child pornography;
—
illicit trafficking in narcotic drugs and psychotropic substances;
—
illicit trafficking in weapons, munitions and explosives;
—
corruption, including bribery;
—
fraud, including that affecting the financial interests of the United Kingdom, a Member State or the Union;
—
laundering of the proceeds of crime;
—
counterfeiting currency;
—
computer-related crime;
—
environmental crime, including illicit trafficking in endangered animal species and endangered plant species and varieties;
—
facilitation of unauthorised entry and residence;
—
murder;
—
grievous bodily injury;
—
illicit trade in human organs and tissue;
—
kidnapping, illegal restraint and hostage-taking;
—
racism and xenophobia;
—
organised or armed robbery;
—
illicit trafficking in cultural goods, including antiques and works of art;
—
swindling;
—
racketeering and extortion;
—
counterfeiting and piracy of products;
—
forgery of administrative documents and trafficking therein;
—
forgery of means of payment;
—
illicit trafficking in hormonal substances and other growth promoters;
—
illicit trafficking in nuclear or radioactive materials;
—
trafficking in stolen vehicles;
—
rape;
—
arson;
—
crimes within the jurisdiction of the International Criminal Court;
—
unlawful seizure of aircraft, ships or spacecraft; and
—
sabotage.
Article 600
Grounds for mandatory non-execution of the arrest warrant
The execution of the arrest warrant shall be refused:
(a)
if the offence on which the arrest warrant is based is covered by an amnesty in the executing State, where that State had jurisdiction to prosecute the offence under its own criminal law;
(b)
if the executing judicial authority is informed that the requested person has been finally judged by a State in respect of the same acts, provided that, if a penalty has been imposed, it has been enforced, is in the process of being enforced or can no longer be enforced under the law of the sentencing State; or
(c)
if the person who is the subject of the arrest warrant may not, owing to the person's age, be held criminally responsible for the acts on which the arrest warrant is based under the law of the executing State.
Article 601
Other grounds for non-execution of the arrest warrant
1.   The execution of the arrest warrant may be refused:
(a)
if, in one of the cases referred to in Article 599(2), the act on which the arrest warrant is based does not constitute an offence under the law of the executing State; however, in relation to taxes or duties, customs and exchange, the execution of the arrest warrant shall not be refused on the grounds that the law of the executing State does not impose the same kind of tax or duty or does not contain the same type of rules as regards taxes or duties, customs and exchange regulations as the law of the issuing State;
(b)
if the person who is the subject of the arrest warrant is being prosecuted in the executing State for the same act as that on which the arrest warrant is based;
(c)
if the judicial authorities of the executing State have decided either not to prosecute for the offence on which the arrest warrant is based or to halt proceedings, or if a final judgment which prevents further proceedings has been passed upon the requested person in a State in respect of the same acts;
(d)
if the criminal prosecution or punishment of the requested person is statute-barred under the law of the executing State and the acts fall within the jurisdiction of that State under its own criminal law;
(e)
if the executing judicial authority is informed that the requested person has been finally judged by a third country in respect of the same acts provided that, if a penalty has been imposed, it has been enforced, is in the process of being enforced or can no longer be enforced under the law of the sentencing country;
(f)
if the arrest warrant has been issued for the purposes of execution of a custodial sentence or detention order and the requested person is staying in, or is a national or a resident of the executing State and that State undertakes to execute the sentence or detention order in accordance with its domestic law; if consent of the requested person to the transfer of the sentence or detention order to the executing State is required, the executing State may refuse to execute the arrest warrant only after the requested person consents to the transfer of the sentence or detention order;
(g)
if the arrest warrant relates to offences which:
(i)
are regarded by the law of the executing State as having been committed in whole or in part in the territory of the executing State or in a place treated as such; or
(ii)
have been committed outside the territory of the issuing State, and the law of the executing State does not allow prosecution for the same offences if committed outside its territory;
(h)
if there are reasons to believe on the basis of objective elements that the arrest warrant has been issued for the purpose of prosecuting or punishing a person on the grounds of the person's sex, race, religion, ethnic origin, nationality, language, political opinions or sexual orientation, or that that person's position may be prejudiced for any of those reasons;
(i)
if the arrest warrant has been issued for the purpose of executing a custodial sentence or a detention order and the requested person did not appear in person at the trial resulting in the decision, unless the arrest warrant states that the person, in accordance with further procedural requirements defined in the domestic law of the issuing State:
(i)
in due time:
(A)
either was summoned in person and thereby informed of the scheduled date and place of the trial which resulted in the decision, or by other means actually received official information of the scheduled date and place of that trial in such a manner that it was unequivocally established that the person was aware of the date and place of the scheduled trial ;
and
(B)
was informed that a decision may be handed down if that person did not appear for the trial;
or
(ii)
being aware of the date and place of the scheduled trial, had given a mandate to a lawyer, who was either appointed by the person concerned or by the State, to defend him or her at the trial, and was indeed defended by that lawyer at the trial;
or
(iii)
after being served with the decision and being expressly informed about the right to a retrial or appeal in which the person has the right to participate and which allows the merits of the case, including fresh evidence, to be re-examined, and which may lead to the original decision being reversed:
(A)
expressly stated that the person did not contest the decision;
or
(B)
did not request a retrial or appeal within the applicable time frame;
or
(iv)
was not personally served with the decision but:
(A)
will be personally served with it without delay after the surrender and will be expressly informed of the right to a retrial or appeal in which the person has the right to participate and which allows the merits of the case, including fresh evidence, to be re-examined, and which may lead to the original decision being reversed;
and
(B)
will be informed of the time frame within which the person has to request such a retrial or appeal, as mentioned in the relevant arrest warrant.
2.   Where the arrest warrant is issued for the purpose of executing a custodial sentence or detention order under the conditions in point (i) (iv) of paragraph 1 and the person concerned has not previously received any official information about the existence of the criminal proceedings against him or her, that person may, when being informed about the content of the arrest warrant, request to receive a copy of the judgment before being surrendered. Immediately after having been informed about the request, the issuing authority shall provide the copy of the judgment via the executing authority to the person concerned. The request of the person concerned shall neither delay the surrender procedure nor delay the decision to execute the arrest warrant. The provision of the judgment to the person concerned shall be for information purposes only; it shall not be regarded as a formal service of the judgment nor actuate any time limits applicable for requesting a retrial or appeal.
3.   Where a person is surrendered under the conditions in point (i) (iv) of paragraph 1 and that person has requested a retrial or appeal, until those proceedings are finalised the detention of that person awaiting such retrial or appeal shall be reviewed in accordance with the domestic law of the issuing State, either on a regular basis or upon request of the person concerned. Such a review shall in particular include the possibility of suspension or interruption of the detention. The retrial or appeal shall begin within due time after the surrender.
Article 602
Political offence exception
1.   The execution of an arrest warrant may not be refused on the grounds that the offence may be regarded by the executing State as a political offence, as an offence connected with a political offence or as an offence inspired by political motives.
2.   However, the United Kingdom and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation that paragraph 1 will be applied only in relation to:
(a)
the offences referred to in Articles 1 and 2 of the European Convention on the Suppression of Terrorism;
(b)
offences of conspiracy or association to commit one or more of the offences referred to in Articles 1 and 2 of the European Convention on the Suppression of Terrorism, if those offences of conspiracy or association correspond to the description of behaviour referred to in Article 599(3) of this Agreement; and
(c)
terrorism as defined in Annex 45 to this Agreement.
3.   Where an arrest warrant has been issued by a State having made a notification as referred to in paragraph 2 or by a State on behalf of which such a notification has been made, the State executing the arrest warrant may apply reciprocity.
Article 603
Nationality exception
1.   The execution of an arrest warrant may not be refused on the grounds that the requested person is a national of the executing State.
2.   The United Kingdom, and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation that that State's own nationals will not be surrendered or that the surrender of their own nationals will be authorised only under certain specified conditions. The notification shall be based on reasons related to the fundamental principles or practice of the domestic legal order of the United Kingdom or the State on behalf of which a notification was made. In such a case, the Union, on behalf of any of its Member States or the United Kingdom, as the case may be, may notify the Specialised Committee on Law Enforcement and Judicial Cooperation within a reasonable time after the receipt of the other Party's notification that the executing judicial authorities of the Member State or the United Kingdom, as the case may be, may refuse to surrender its nationals to that State or that surrender shall be authorised only under certain specified conditions.
3.   In circumstances where a State has refused to execute an arrest warrant on the basis that, in the case of the United Kingdom, it has made a notification or, in the case of a Member State, the Union has made a notification on its behalf, as referred to in paragraph 2, that State shall consider instituting proceedings against its own national which are commensurate with the subject matter of the arrest warrant, having taken into account the views of the issuing State. In circumstances where a judicial authority decides not to institute such proceedings, the victim of the offence on which the arrest warrant is based shall be able to receive information on the decision in accordance with the applicable domestic law.
4.   Where a State's competent authorities institute proceedings against its own national in accordance with paragraph 3, that State shall ensure that its competent authorities are able to take appropriate measures to assist the victims and witnesses in circumstances where they are residents of another State, particularly with regard to the way in which the proceedings are conducted.
Article 604
Guarantees to be given by the issuing State in particular cases
The execution of the arrest warrant by the executing judicial authority may be subject to the following guarantees:
(a)
if the offence on which the arrest warrant is based is punishable by a custodial life sentence or a lifetime detention order in the issuing State, the executing State may make the execution of the arrest warrant subject to the condition that the issuing State gives a guarantee deemed sufficient by the executing State that the issuing State will review the penalty or measure imposed, on request or at the latest after 20 years, or will encourage the application of measures of clemency for which the person is entitled to apply under the law or practice of the issuing State, aiming at the non-execution of such penalty or measure;
(b)
if a person who is the subject of an arrest warrant for the purposes of prosecution is a national or resident of the executing State, the surrender of that person may be subject to the condition that the person, after being heard, is returned to the executing State in order to serve there the custodial sentence or detention order passed against him or her in the issuing State; if the consent of the requested person to the transfer of the sentence or detention order to the executing State is required, the guarantee that the person be returned to the executing State to serve the person's sentence is subject to the condition that the requested person, after being heard, consents to be returned to the executing State;
(c)
if there are substantial grounds for believing that there is a real risk to the protection of the fundamental rights of the requested person, the executing judicial authority may require, as appropriate, additional guarantees as to the treatment of the requested person after the person's surrender before it decides whether to execute the arrest warrant.
Article 605
Recourse to the central authority
1.   The United Kingdom and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation of, in the case of the United Kingdom, its central authority and, in the case of the Union, the central authority for each State, having designated such an authority, or, if the legal system of the relevant State so provides, of more than one central authority to assist the competent judicial authorities.
2.   When notifying the Specialised Committee on Law Enforcement and Judicial Cooperation under paragraph 1, the United Kingdom and the Union, acting on behalf of any of its Member States, may each indicate that, as a result of the organisation of the internal judicial system of the relevant States, the central authority or central authorities are responsible for the administrative transmission and receipt of arrest warrants as well as for all other official correspondence relating to the administrative transmission and receipt of arrest warrants. Such indication shall be binding upon all the authorities of the issuing State.
Article 606
Content and form of the arrest warrant
1.   The arrest warrant shall contain the following information set out in accordance with the form contained in Annex 43:
(a)
the identity and nationality of the requested person;
(b)
the name, address, telephone and fax numbers and e-mail address of the issuing judicial authority;
(c)
evidence of an enforceable judgment, an arrest warrant or any other enforceable judicial decision having the same effect that fall within the scope of Article 599;
(d)
the nature and legal classification of the offence, particularly in respect of Article 599;
(e)
a description of the circumstances in which the offence was committed, including the time, place and degree of participation in the offence by the requested person;
(f)
the penalty imposed, if there is a final judgment, or the prescribed scale of penalties for the offence under the law of the issuing State; and
(g)
if possible, other consequences of the offence.
2.   The arrest warrant shall be translated into the official language or one of the official languages of the executing State. The United Kingdom and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation that a translation in one or more other official languages of a State will be accepted.
Article 607
Transmission of an arrest warrant
If the location of the requested person is known, the issuing judicial authority may transmit the arrest warrant directly to the executing judicial authority.
Article 608
Detailed procedures for transmitting an arrest warrant
1.   If the issuing judicial authority does not know which authority is the competent executing judicial authority, it shall make the requisite enquiries, in order to obtain that information from the executing State.
2.   The issuing judicial authority may request the International Criminal Police Organisation ("Interpol") to transmit an arrest warrant.
3.   The issuing judicial authority may transmit the arrest warrant by any secure means capable of producing written records under conditions allowing the executing State to establish the authenticity of the arrest warrant.
4.   All difficulties concerning the transmission or the authenticity of any document needed for the execution of the arrest warrant shall be dealt with by direct contacts between the judicial authorities involved, or, where appropriate, with the involvement of the central authorities of the States.
5.   If the authority which receives an arrest warrant is not competent to act upon it, it shall automatically forward the arrest warrant to the competent authority in its State and shall inform the issuing judicial authority accordingly.
Article 609
Rights of a requested person
1.   If a requested person is arrested for the purpose of the execution of an arrest warrant, the executing judicial authority, in accordance with its domestic law, shall inform that person of the arrest warrant and of its contents, and also of the possibility of consenting to surrender to the issuing State.
2.   A requested person who is arrested for the purpose of the execution of an arrest warrant and who does not speak or understand the language of the arrest warrant proceedings shall have the right to be assisted by an interpreter and to be provided with a written translation in the native language of the requested person or in any other language which that person speaks or understands, in accordance with the domestic law of the executing State.
3.   A requested person shall have the right to be assisted by a lawyer in accordance with the domestic law of the executing State upon arrest.
4.   The requested person shall be informed of the person's right to appoint a lawyer in the issuing State for the purpose of assisting the lawyer in the executing State in the arrest warrant proceedings. This paragraph is without prejudice to the time limits set out in Article 621.
5.   A requested person who is arrested shall have the right to have the consular authorities of that person's State of nationality, or if that person is stateless, the consular authorities of the State where that person usually resides, informed of the arrest without undue delay and to communicate with those authorities, if that person so wishes.
Article 610
Keeping the person in detention
When a person is arrested on the basis of an arrest warrant, the executing judicial authority shall take a decision on whether the requested person should remain in detention, in accordance with the law of the executing State. The person may be released provisionally at any time in accordance with the domestic law of the executing State, provided that the competent authority of that State takes all the measures it deems necessary to prevent the person from absconding.
Article 611
Consent to surrender
1.   If the arrested person indicates that he or she consents to surrender, that consent and, if appropriate, the express renunciation of entitlement to the speciality rule referred to in Article 625(2) must be given before the executing judicial authority, in accordance with the domestic law of the executing State.
2.   Each State shall adopt the measures necessary to ensure that the consent and, where appropriate, the renunciation referred to in paragraph 1 are established in such a way as to show that the person concerned has expressed them voluntarily and in full awareness of the consequences. To that end, the requested person shall have the right to a lawyer.
3.   The consent and, where appropriate, the renunciation referred to in paragraph 1 shall be formally recorded in accordance with the procedure laid down by the domestic law of the executing State.
4.   In principle, consent may not be revoked. Each State may provide that the consent and, if appropriate, the renunciation referred to in paragraph 1 of this Article may be revoked in accordance with the rules applicable under its domestic law. In such a case, the period between the date of the consent and that of its revocation shall not be taken into consideration in establishing the time limits laid down in Article 621. The United Kingdom and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation that it wishes to have recourse to this possibility, specifying the procedures whereby revocation of the consent is possible and any amendments to those procedures.
Article 612
Hearing of the requested person
Where the arrested person does not consent to surrender as referred to in Article 611, that person shall be entitled to be heard by the executing judicial authority, in accordance with the law of the executing State.
Article 613
Surrender decision
1.   The executing judicial authority shall decide whether the person is to be surrendered within the time limits and in accordance with the conditions defined in this Title, in particular the principle of proportionality as set out in Article 597.
2.   If the executing judicial authority finds the information communicated by the issuing State to be insufficient to allow it to decide on surrender, it shall request that the necessary supplementary information, in particular with respect to Article 597, Articles 600 to 602, Article 604 and Article 606, be furnished as a matter of urgency and may fix a time limit for the receipt thereof, taking into account the need to observe the time limits provided for in Article 615.
3.   The issuing judicial authority may forward any additional useful information to the executing judicial authority at any time.
Article 614
Decision in the event of multiple requests
1.   If two or more States have issued a European arrest warrant or an arrest warrant for the same person, the decision as to which of those arrest warrants is to be executed shall be taken by the executing judicial authority, with due consideration of all the circumstances, especially the relative seriousness of the offences and place of the offences, the respective dates of the arrest warrants or European arrest warrants and whether they have been issued for the purposes of prosecution or for the execution of a custodial sentence or detention order, and of legal obligations of Member States deriving from Union law regarding, in particular, the principles of freedom of movement and non-discrimination on grounds of nationality.
2.   The executing judicial authority of a Member State may seek the advice of Eurojust when making the choice referred to in paragraph 1.
3.   In the event of a conflict between an arrest warrant and a request for extradition presented by a third country, the decision as to whether the arrest warrant or the extradition request takes precedence shall be taken by the competent authority of the executing State with due consideration of all the circumstances, in particular those referred to in paragraph 1 and those mentioned in the applicable convention.
4.   This Article is without prejudice to the States' obligations under the Statute of the International Criminal Court.
Article 615
Time limits and procedures for the decision to execute the arrest warrant
1.   An arrest warrant shall be dealt with and executed as a matter of urgency.
2.   In cases where the requested person consents to surrender, the final decision on the execution of the arrest warrant shall be taken within ten days after the consent was given.
3.   In other cases, the final decision on the execution of the arrest warrant shall be taken within 60 days after the arrest of the requested person.
4.   Where in specific cases the arrest warrant cannot be executed within the time limits laid down in paragraph 2 or 3, the executing judicial authority shall immediately inform the issuing judicial authority of that fact, giving the reasons for the delay. In such cases, the time limits may be extended by a further 30 days.
5.   As long as the executing judicial authority has not taken a final decision on the arrest warrant, it shall ensure that the material conditions necessary for the effective surrender of the person remain fulfilled.
6.   Reasons must be given for any refusal to execute an arrest warrant.
Article 616
Situation pending the decision
1.   Where the arrest warrant has been issued for the purpose of conducting a criminal prosecution, the executing judicial authority shall either:
(a)
agree that the requested person should be heard according to Article 617; or
(b)
agree to the temporary transfer of the requested person.
2.   The conditions and the duration of the temporary transfer shall be determined by mutual agreement between the issuing and executing judicial authorities.
3.   In the case of temporary transfer, the person must be able to return to the executing State to attend hearings which concern that person as part of the surrender procedure.
Article 617
Hearing the person pending the decision
1.   The requested person shall be heard by a judicial authority. To that end, the requested person shall be assisted by a lawyer designated in accordance with the law of the issuing State.
2.   The requested person shall be heard in accordance with the law of the executing State and with the conditions determined by mutual agreement between the issuing and executing judicial authorities.
3.   The competent executing judicial authority may assign another judicial authority of its State to take part in the hearing of the requested person in order to ensure the proper application of this Article.
Article 618
Privileges and immunities
1.   Where the requested person enjoys a privilege or immunity regarding jurisdiction or execution in the executing State, the time limits referred to in Article 615 only start running when, or if, the executing judicial authority is informed of the fact that the privilege or immunity has been waived.
2.   The executing State shall ensure that the material conditions necessary for effective surrender are fulfilled when the person no longer enjoys such privilege or immunity.
3.   Where power to waive the privilege or immunity lies with an authority of the executing State, the executing judicial authority shall request that authority to exercise that power without delay. Where power to waive the privilege or immunity lies with an authority of another State, third country or international organisation, the issuing judicial authority shall request that authority to exercise that power.
Article 619
Competing international obligations
1.   This Agreement does not prejudice the obligations of the executing State where the requested person has been extradited to that State from a third country and where that person is protected by provisions of the arrangement under which that person was extradited concerning the speciality rule. The executing State shall take all necessary measures for requesting without delay the consent of the third country from which the requested person was extradited so that the requested person can be surrendered to the State which issued the arrest warrant. The time limits referred to in Article 615 do not start running until the day on which the speciality rule ceases to apply.
2.   Pending the decision of the third country from which the requested person was extradited, the executing State shall ensure that the material conditions necessary for effective surrender remain fulfilled.
Article 620
Notification of the decision
The executing judicial authority shall notify the issuing judicial authority immediately of the decision on the action to be taken on the arrest warrant.
Article 621
Time limits for surrender of the person
1.   The requested person shall be surrendered as soon as possible on a date agreed between the authorities concerned.
2.   The requested person shall be surrendered no later than ten days after the final decision on the execution of the arrest warrant.
3.   If the surrender of the requested person within the time limit in paragraph 2 is prevented by circumstances beyond the control of any of the States, the executing and issuing judicial authorities shall immediately contact each other and agree on a new surrender date. In that event, the surrender shall take place within ten days of the new date thus agreed.
4.   The surrender may exceptionally be temporarily postponed for serious humanitarian reasons, for example if there are substantial grounds for believing that the surrender would manifestly endanger the requested person's life or health. The execution of the arrest warrant shall take place as soon as those grounds have ceased to exist. The executing judicial authority shall immediately inform the issuing judicial authority and agree on a new surrender date. In that event, the surrender shall take place within ten days of the new date agreed.
5.   Upon the expiry of the time limits referred to in paragraphs 2 to 4, if the requested person is still being held in custody, that person shall be released. The executing and issuing judicial authorities shall contact each other as soon as it appears that a person is to be released under this paragraph and agree the arrangements for the surrender of that person.
Article 622
Postponed or conditional surrender
1.   After deciding to execute the arrest warrant, the executing judicial authority may postpone the surrender of the requested person so that the requested person may be prosecuted in the executing State or, if the requested person has already been sentenced, so that the requested person may serve, a sentence passed for an act other than that referred to in the arrest warrant in the territory of the executing State.
2.   Instead of postponing the surrender, the executing judicial authority may temporarily surrender the requested person to the issuing State under conditions to be determined by mutual agreement between the executing and the issuing judicial authorities. The agreement shall be made in writing and the conditions shall be binding on all the authorities in the issuing State.
Article 623
Transit
1.   Each State shall permit the transit through its territory of a requested person who is being surrendered provided that it has been given information on:
(a)
the identity and nationality of the person subject to the arrest warrant;
(b)
the existence of an arrest warrant;
(c)
the nature and legal classification of the offence; and
(d)
the description of the circumstances of the offence, including the date and place.
2.   The State, on behalf of which a notification has been made in accordance with Article 603(2) to the effect that its own nationals will not be surrendered or that surrender will be authorised only under certain specified conditions, may, refuse the transit of its own nationals through its territory under the same terms or submit it to the same conditions.
3.   The States shall designate an authority responsible for receiving transit requests and the necessary documents, as well as any other official correspondence relating to transit requests.
4.   The transit request and the information referred to in paragraph 1 may be addressed to the authority designated pursuant to paragraph 3 by any means capable of producing a written record. The State of transit shall notify its decision by the same procedure.
5.   This Article does not apply in the case of transport by air without a scheduled stopover. However, if an unscheduled landing occurs, the issuing State shall provide the authority designated pursuant to paragraph 3 with the information referred to in paragraph 1.
6.   Where a transit concerns a person who is to be extradited from a third country to a State, this Article applies 
mutatis mutandis
. In particular, references to an "arrest warrant" shall be treated as references to an "extradition request".
Article 624
Deduction of the period of detention served in the executing State
1.   The issuing State shall deduct all periods of detention arising from the execution of an arrest warrant from the total period of detention to be served in the issuing State as a result of a custodial sentence or detention order being passed.
2.   All information concerning the duration of the detention of the requested person on the basis of the arrest warrant shall be transmitted by the executing judicial authority or the central authority designated under Article 605 to the issuing judicial authority at the time of the surrender.
Article 625
Possible prosecution for other offences
1.   The United Kingdom and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation that, in relations with other States to which the same notification applies, consent is presumed to have been given for the prosecution, sentencing or detention of a person with a view to the carrying out of a custodial sentence or detention order for an offence committed prior to the person's surrender, other than that for which that person was surrendered, unless in a particular case the executing judicial authority states otherwise in its decision on surrender.
2.   Except in the cases referred to in paragraphs 1 and 3, a person surrendered may not be prosecuted, sentenced or otherwise deprived of liberty for an offence committed prior to that person's surrender other than that for which the person was surrendered.
3.   Paragraph 2 of this Article does not apply in the following cases:
(a)
the person, having had an opportunity to leave the territory of the State to which that person has been surrendered, has not done so within 45 days of that person's final discharge or has returned to that territory after leaving it;
(b)
the offence is not punishable by a custodial sentence or detention order;
(c)
the criminal proceedings do not give rise to the application of a measure restricting personal liberty;
(d)
the person could be liable to a penalty or a measure not involving the deprivation of liberty, in particular a financial penalty or a measure in lieu of a financial penalty, even if the penalty or measure may give rise to a restriction of the person's personal liberty;
(e)
the person consented to be surrendered, where appropriate at the same time as the person renounced the speciality rule, in accordance with Article 611;
(f)
the person, after the person's surrender, has expressly renounced entitlement to the speciality rule with regard to specific offences preceding the person's surrender; renunciation must be given before the competent judicial authority of the issuing State and be recorded in accordance with that State's domestic law; the renunciation must be drawn up in such a way as to make clear that the person concerned has given it voluntarily and in full awareness of the consequences; to that end, the person shall have the right to a lawyer; and
(g)
the executing judicial authority which surrendered the person gives its consent in accordance with paragraph 4 of this Article.
4.   A request for consent shall be submitted to the executing judicial authority, accompanied by the information referred to in Article 606(1) and a translation as referred to in Article 606(2). Consent shall be given where the offence for which it is requested is itself subject to surrender in accordance with the provisions of this Title. Consent shall be refused on the grounds referred to in Article 600 and otherwise may be refused only on the grounds referred to in Article 601, or Article 602(2) and Article 603(2). The decision shall be taken no later than 30 days after receipt of the request. For the situations laid down in Article 604 the issuing State must give the guarantees provided for therein.
Article 626
Surrender or subsequent extradition
1.   The United Kingdom and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation that, in relations with other States to which the same notification applies, the consent for the surrender of a person to a State other than the executing State pursuant to an arrest warrant or European arrest warrant issued for an offence committed prior to that person's surrender is presumed to have been given, unless in a particular case the executing judicial authority states otherwise in its decision on surrender.
2.   In any case, a person who has been surrendered to the issuing State pursuant to an arrest warrant or European arrest warrant may be surrendered to a State other than the executing State pursuant to an arrest warrant or European arrest warrant issued for any offence committed prior to the person's surrender without the consent of the executing State in the following cases:
(a)
the requested person, having had an opportunity to leave the territory of the State to which that person has been surrendered, has not done so within 45 days of that person's final discharge, or has returned to that territory after leaving it;
(b)
the requested person consents to be surrendered to a State other than the executing State pursuant to an arrest warrant or European arrest warrant; consent must be given before the competent judicial authorities of the issuing State and be recorded in accordance with that State's domestic law; it must be drawn up in such a way as to make clear that the person concerned has given it voluntarily and in full awareness of the consequences; to that end, the requested person shall have the right to a lawyer; and
(c)
the requested person is not subject to the speciality rule, in accordance with point (a), (e), (f) or (g) of Article 625(3).
3.   The executing judicial authority shall consent to the surrender to another State in accordance with the following rules:
(a)
the request for consent shall be submitted in accordance with Article 607, accompanied by the information set out in Article 606(1) and a translation as referred to in Article 606(2);
(b)
consent shall be given where the offence for which it is requested is itself subject to surrender in accordance with the provisions of this Agreement;
(c)
the decision shall be taken no later than 30 days after receipt of the request; and
(d)
consent shall be refused on the grounds referred to in Article 600 and otherwise may be refused only on the grounds referred to in Article 601, Article 602(2) and Article 603(2).
4.   For the situations referred to in Article 604, the issuing State shall give the guarantees provided for therein.
5.   Notwithstanding paragraph 1, a person who has been surrendered pursuant to an arrest warrant shall not be extradited to a third country without the consent of the competent authority of the State which surrendered the person. Such consent shall be given in accordance with the Conventions by which that State is bound, as well as with its domestic law.
Article 627
Handing over of property
1.   At the request of the issuing judicial authority or on its own initiative, the executing judicial authority shall, in accordance with its domestic law, seize and hand over property which:
(a)
may be required as evidence; or
(b)
has been acquired by the requested person as a result of the offence.
2.   The property referred to in paragraph 1 shall be handed over even if the arrest warrant cannot be carried out owing to the death or escape of the requested person.
3.   If the property referred to in paragraph 1 is liable to seizure or confiscation in the territory of the executing State, that State may, if the property is needed in connection with pending criminal proceedings, temporarily retain it or hand it over to the issuing State on condition that it is returned.
4.   Any rights which the executing State or third parties may have acquired in the property referred to in paragraph 1 shall be preserved. Where such rights exist, the issuing State shall return the property without charge to the executing State as soon as the criminal proceedings have been terminated.
Article 628
Expenses
1.   Expenses incurred in the territory of the executing State for the execution of an arrest warrant shall be borne by that State.
2.   All other expenses shall be borne by the issuing State.
Article 629
Relation to other legal instruments
1.   Without prejudice to their application in relations between States and third countries, this Title, from the date of entry into force of this Agreement, replaces the corresponding provisions of the following conventions applicable in the field of extradition in relations between the United Kingdom, on the one side, and Member States, on the other side:
(a)
the European Convention on Extradition, done at Paris on 13 December 1957, and its additional protocols; and
(b)
the European Convention on the Suppression of Terrorism, as far as extradition is concerned.
2.   Where the Conventions referred to in paragraph 1 apply to the territories of States or to territories for whose external relations a State is responsible to which this Title does not apply, those Conventions continue to govern the relations existing between those territories and the other States.
Article 630
Review of notifications
When carrying out the joint review of this Title as referred to in Article 691(1), the Parties shall consider the need to maintain the notifications made under Article 599(4), Article 602(2) and Article 603(2). If the notifications referred to in Article 603(2) are not renewed, they shall expire five years after the date of entry into force of this Agreement. Notifications as referred to in Article 603(2) may only be renewed or newly made during the three months prior to the fifth anniversary of the entry into force of this Agreement and, subsequently, every five years thereafter, provided that the conditions set out in Article 603(2) are met at that time.
Article 631
Ongoing arrest warrants in case of disapplication
Notwithstanding Article 526, Article 692 and Article 693, the provisions of this Title apply in respect of arrest warrants where the requested person was arrested before the disapplication of this Title for the purposes of the execution of an arrest warrant, irrespective of the decision of the executing judicial authority as to whether the requested person is to remain in detention or be provisionally released.
Article 632
Application to existing European arrest warrants
This Title shall apply in respect of European arrest warrants issued in accordance with Council Framework Decision 2002/584/JHA 
(
81
)
 by a State before the end of the transition period where the requested person has not been arrested for the purpose of its execution before the end of the transition period.
TITLE VIII
MUTUAL ASSISTANCE
Article 633
Objective
1.   The objective of this Title is to supplement the provisions, and facilitate the application between Member States, on the one side, and the United Kingdom, on the other side, of:
(a)
the European Convention on Mutual Assistance in Criminal Matters, done at Strasbourg on 20 April 1959 (the "European Mutual Assistance Convention");
(b)
the Additional Protocol to the European Mutual Assistance Convention, done at Strasbourg on 17 March 1978; and
(c)
the Second Additional Protocol to the European Mutual Assistance Convention, done at Strasbourg on 8 November 2001.
2.   This Title is without prejudice to the provisions of Title IX, which takes precedence over this Title.
Article 634
Definition of competent authority
For the purposes of this Title, "competent authority" means any authority which is competent to send or receive requests for mutual assistance in accordance with the provisions of the European Mutual Assistance Convention and its Protocols and as defined by States in their respective declarations addressed to the Secretary General of the Council of Europe. "Competent authority" also includes Union bodies notified in accordance with point (d) of Article 690; with regard to such Union bodies, the provisions of this Title apply accordingly.
Article 635
Form for a request for mutual assistance
1.   The Specialised Committee on Law Enforcement and Judicial Cooperation shall undertake to establish a standard form for requests for mutual assistance by adopting an annex to this Agreement.
2.   If the Specialised Committee on Law Enforcement and Judicial Cooperation has adopted a decision in accordance with paragraph 1, requests for mutual assistance shall be made using the standard form.
3.   The Specialised Committee on Law Enforcement and Judicial Cooperation may amend the standard form for requests for mutual assistance as may be necessary.
Article 636
Conditions for a request for mutual assistance
1.   The competent authority of the requesting State may only make a request for mutual assistance if it is satisfied that the following conditions are met:
(a)
the request is necessary and proportionate for the purpose of the proceedings, taking into account the rights of the suspected or accused person; and
(b)
the investigative measure or investigative measures indicated in the request could have been ordered under the same conditions in a similar domestic case.
2.   The requested State may consult the requesting State if the competent authority of the requested State is of the view that the conditions in paragraph 1 are not met. After the consultation, the competent authority of the requesting State may decide to withdraw the request for mutual assistance.
Article 637
Recourse to a different type of investigative measure
1.   Wherever possible, the competent authority of the requested State shall consider recourse to an investigative measure other than the measure indicated in the request for mutual assistance if:
(a)
the investigative measure indicated in the request does not exist under the law of the requested State; or
(b)
the investigative measure indicated in the request would not be available in a similar domestic case.
2.   Without prejudice to the grounds for refusal available under the European Mutual Assistance Convention and its Protocols and under Article 639, paragraph 1 of this Article does not apply to the following investigative measures, which shall always be available under the law of the requested State:
(a)
the obtaining of information contained in databases held by police or judicial authorities that is directly accessible by the competent authority of the requested State in the framework of criminal proceedings;
(b)
the hearing of a witness, expert, victim, suspected or accused person or third party in the territory of the requested State;
(c)
any non-coercive investigative measure as defined under the law of the requested State; and
(d)
the identification of persons holding a subscription to a specified phone number or IP address.
3.   The competent authority of the requested State may also have recourse to an investigative measure other than the measure indicated in the request for mutual assistance if the investigative measure selected by the competent authority of the requested State would achieve the same result by less intrusive means than the investigative measure indicated in the request.
4.   If the competent authority of the requested State decides to have recourse to a measure other than that indicated in the request for mutual assistance as referred to in paragraph 1 or 3, it shall first inform the competent authority of the requesting State, which may decide to withdraw or supplement the request.
5.   If the investigative measure indicated in the request does not exist under the law of the requested State or would not be available in a similar domestic case, and there is no other investigative measure which would have the same result as the investigative measure requested, the competent authority of the requested State shall inform the competent authority of the requesting State that it is not possible to provide the assistance requested.
Article 638
Obligation to inform
The competent authority of the requested State shall inform the competent authority of the requesting State by any means and without undue delay if:
(a)
it is impossible to execute the request for mutual assistance due to the fact that the request is incomplete or manifestly incorrect; or
(b)
the competent authority of the requested State, in the course of the execution of the request for mutual assistance, considers without further enquiries that it may be appropriate to carry out investigative measures not initially foreseen, or which could not be specified when the request for mutual assistance was made, in order to enable the competent authority of the requesting State to take further action in the specific case.
Article 639
Ne bis in idem
Mutual assistance may be refused, in addition to the grounds for refusal provided for under the European Mutual Assistance Convention and its Protocols, on the ground that the person in respect of whom the assistance is requested and who is subject to criminal investigations, prosecutions or other proceedings, including judicial proceedings, in the requesting State, has been finally judged by another State in respect of the same acts, provided that, if a penalty has been imposed, it has been enforced, is in the process of being enforced or can no longer be enforced under the law of the sentencing State.
Article 640
Time limits
1.   The requested State shall decide whether to execute the request for mutual assistance as soon as possible and in any event no later than 45 days after the receipt of the request and shall inform the requesting State of its decision.
2.   A request for mutual assistance shall be executed as soon as possible and in any event no later than 90 days after the decision referred to in paragraph 1 of this Article or after the consultation referred to in Article 636(2) has taken place.
3.   If it is indicated in the request for mutual assistance that, due to procedural deadlines, the seriousness of the offence or other particularly urgent circumstances, a shorter time limit than that provided for in paragraph 1 or 2 is necessary, or if it is indicated in the request that a measure for mutual assistance is to be carried out on a specific date, the requested State shall take as full account as possible of that requirement.
4.   If a request for mutual assistance is made to take provisional measures pursuant to Article 24 of the Second Additional Protocol to the European Mutual Assistance Convention, the competent authority of the requested State shall decide on the provisional measure, and shall communicate that decision to the competent authority of the requesting State, as soon as possible after the receipt of the request. Before lifting any provisional measure taken pursuant to this Article, the competent authority of the requested State, wherever possible, shall give the competent authority of the requesting State an opportunity to present its reasons in favour of continuing the measure.
5.   If in a specific case, the time limit provided for in paragraph 1 or 2, or the time limit or specific date referred to in paragraph 3 cannot be met, or the decision on taking provisional measures in accordance with paragraph 4 is delayed, the competent authority of the requested State shall, without delay, inform the competent authority of the requesting State by any means, giving the reasons for the delay, and shall consult with the competent authority of the requesting State on the appropriate timing to execute the request for mutual assistance.
6.   The time limits referred to in this Article do not apply if the request for mutual assistance is made in relation to any of the following offences and infringements that fall within scope of the European Mutual Assistance Convention and its Protocols, as defined in the law of the requesting State:
(a)
speeding, if no injury or death was caused to another person and if the excess speed was not significant;
(b)
failure to wear a seatbelt;
(c)
failure to stop at a red light or other mandatory stop signal;
(d)
failure to wear a safety helmet; or
(e)
using a forbidden lane (such as the forbidden use of an emergency lane, a lane reserved for public transport, or a lane closed down for road works).
7.   The Specialised Committee on Law Enforcement and Judicial Cooperation shall keep the operation of paragraph 6 under review. It shall undertake to set time limits for the requests to which paragraph 6 applies within three years of the entry into force of this Agreement, taking into account the volume of requests. It may also decide that paragraph 6 shall no longer apply.
Article 641
Transmission of requests for mutual assistance
1.   In addition to the channels of communication provided for under the European Mutual Assistance Convention and its Protocols, if direct transmission is provided for under their respective provisions, requests for mutual assistance may also be transmitted directly by public prosecutors in the United Kingdom to competent authorities of the Member States.
2.   In addition to the channels of communication provided for under the European Mutual Assistance Convention and its Protocols, in urgent cases, any request for mutual assistance, as well as spontaneous information, may be transmitted via Europol or Eurojust, in line with the provisions in the respective Titles of this Agreement.
Article 642
Joint Investigation Teams
If the competent authorities of States set up a Joint Investigation Team, the relationship between Member States within the Joint Investigation Team shall be governed by Union law, notwithstanding the legal basis referred to in the Agreement on the setting up of the Joint Investigation Team.
TITLE IX
EXCHANGE OF CRIMINAL RECORD INFORMATION
Article 643
Objective
1.   The objective of this Title is to enable the exchange between the Members States, on the one side, and the United Kingdom, on the other side, of information extracted from the criminal record.
2.   In the relations between the United Kingdom and the Member States, the provisions of this Title:
(a)
supplement Articles 13 and 22(2) of the European Convention on Mutual Assistance in Criminal Matters and its Additional Protocols of 17 March 1978 and 8 November 2001; and
(b)
replace Article 22(1) of the European Convention on Mutual Assistance in Criminal Matters, as supplemented by Article 4 of its Additional Protocol of 17 March 1978.
3.   In the relations between a Member State, on the one side, and the United Kingdom, on the other side, each shall waive the right to rely on its reservations to Article 13 of the European Convention on Mutual Assistance in Criminal Matters and to Article 4 of its Additional Protocol of 17 March 1978.
Article 644
Definitions
For the purposes of this Title, the following definitions apply:
(a)
"conviction" means any final decision of a criminal court against a natural person in respect of a criminal offence, to the extent that the decision is entered in the criminal record of the convicting State;
(b)
"criminal proceedings" means the pre-trial stage, the trial stage and the execution of a conviction;
(c)
"criminal record" means the domestic register or registers recording convictions in accordance with domestic law.
Article 645
Central authorities
Each State shall designate one or more central authorities that shall be competent for the exchange of information extracted from the criminal record pursuant to this Title and for the exchanges referred to in Article 22(2) of the European Convention on Mutual Assistance in Criminal Matters.
Article 646
Notifications
1.   Each State shall take the necessary measures to ensure that all convictions handed down within its territory are accompanied, when provided to its criminal record, by information on the nationality or nationalities of the convicted person if that person is a national of another State.
2.   The central authority of each State shall inform the central authority of any other State of all criminal convictions handed down within its territory in respect of nationals of the latter State, as well as of any subsequent alterations or deletions of information contained in the criminal record, as entered in the criminal record. The central authorities of the States shall communicate such information to each other at least once per month.
3.   If the central authority of a State becomes aware of the fact that a convicted person is a national of two or more other States, it shall transmit the relevant information to each of those States, even if the convicted person is a national of the State within whose territory that person was convicted.
Article 647
Storage of convictions
1.   The central authority of each State shall store all information notified under Article 646.
2.   The central authority of each State shall ensure that if a subsequent alteration or deletion is notified under Article 646(2), an identical alteration or deletion is made to the information stored in accordance with paragraph 1 of this Article.
3.   The central authority of each State shall ensure that only information which has been updated in accordance with paragraph 2 of this Article is provided when replying to requests made under Article 648.
Article 648
Requests for information
1.   If information from the criminal record of a State is requested at domestic level for the purposes of criminal proceedings against a person or for any purposes other than that of criminal proceedings, the central authority of that State may, in accordance with its domestic law, submit a request to the central authority of another State for information and related data to be extracted from the criminal record.
2.   If a person asks the central authority of a State other than the State of the person's nationality for information on the person's own criminal record, that central authority shall submit a request to the central authority of the State of the person's nationality for information and related data to be extracted from the criminal record in order to be able to include that information and related data in the extract to be provided to the person concerned.
Article 649
Replies to requests
1.   Replies to requests for information shall be transmitted by the central authority of the requested State to the central authority of the requesting State as soon as possible and in any event within 20 working days from the date the request was received.
2.   The central authority of each State shall reply to requests made for purposes other than that of criminal proceedings in accordance with its domestic law.
3.   Notwithstanding paragraph 2, when replying to requests made for the purposes of recruitment for professional or organised voluntary activities involving direct and regular contacts with children, the States shall include information on the existence of criminal convictions for offences related to sexual abuse or sexual exploitation of children, child pornography, solicitation of children for sexual purposes, including inciting, aiding and abetting or attempting to commit any of those offences, as well as information on the existence of any disqualification from exercising activities involving direct and regular contacts with children arising from those criminal convictions.
Article 650
Channel of communication
The exchange between States of information extracted from the criminal record shall take place electronically in accordance with the technical and procedural specifications laid down in Annex 44.
Article 651
Conditions for the use of personal data
1.   Each State may use personal data received in reply to its request under Article 649 only for the purposes for which they were requested.
2.   If the information was requested for any purposes other than that of criminal proceedings, personal data received under Article 649 may be used by the requesting State in accordance with its domestic law only within the limits specified by the requested State in the form set out in Chapter 2 of Annex 44.
3.   Notwithstanding paragraphs 1 and 2 of this Article, personal data provided by a State in reply to a request under Article 649 may be used by the requesting State to prevent an immediate and serious threat to public security.
4.   Each State shall ensure that their central authorities do not disclose personal data notified under Article 646 to authorities in third countries unless the following conditions are met:
(a)
the personal data are disclosed only on a case-by-case basis;
(b)
the personal data are disclosed to authorities whose functions are directly related to the purposes for which the personal data are disclosed under point (c) of this paragraph;
(c)
the personal data are disclosed only if necessary:
(i)
for the purposes of criminal proceedings;
(ii)
for any purposes other than that of criminal proceedings; or
(iii)
to prevent an immediate and serious threat to public security;
(d)
the personal data may be used by the requesting third country only for the purposes for which the information was requested and within the limits specified by the State that notified the personal data under Article 646; and
(e)
the personal data are disclosed only if the central authority, having assessed all the circumstances surrounding the transfer of the personal data to the third country, concludes that appropriate safeguards exist to protect the personal data.
2.   This Article does not apply to personal data obtained by a State under this Title and originating from that State.
TITLE X
ANTI-MONEY LAUNDERING AND COUNTER TERRORIST FINANCING
Article 652
Objective
The objective of this Title is to support and strengthen action by the Union and the United Kingdom to prevent and combat money laundering and terrorist financing.
Article 653
Measures to prevent and combat money laundering and terrorist financing
1.   The Parties agree to support international efforts to prevent and combat money laundering and terrorist financing. The Parties recognise the need to cooperate in preventing the use of their financial systems to launder the proceeds of all criminal activity, including drug trafficking and corruption, and to combat terrorist financing.
2.   The Parties shall exchange relevant information, as appropriate within their respective legal frameworks.
3.   The Parties shall each maintain a comprehensive regime to combat money laundering and terrorist financing, and regularly review the need to enhance that regime, taking account of the principles and objectives of the Financial Action Task Force Recommendations.
Article 654
Beneficial ownership transparency for corporate and other legal entities
1.   For the purposes of this Article, the following definitions apply:
(a)
"beneficial owner" means any individual in respect of a corporate entity who, in accordance with the Party's laws and regulations:
(i)
exercises or has the right to exercise ultimate control over the management of the entity;
(ii)
ultimately owns or controls directly or indirectly more than 25 % of the voting rights or shares or other ownership interests in the entity, without prejudice to each Party's right to define a lower percentage; or
(iii)
otherwise controls or has the right to control the entity;
In respect of legal entities such as foundations, Anstalt and limited liability partnerships, each Party has the right to determine similar criteria for identifying the beneficial owner, or, if they choose, to apply the definition set out in point (a) of Article 655(1), having regard to the form and structure of such entities.
In respect of other legal entities not mentioned above, each Party shall take into account the different forms and structures of such entities and the levels of money laundering and terrorist financing risks associated with such entities, with a view to deciding the appropriate levels of beneficial ownership transparency;
(b)
"basic information about a beneficial owner" means the beneficial owner's name, month and year of birth, country of residence and nationality, as well as the nature and extent of the interest held, or control exercised, over the entity by the beneficial owner;
(c)
"competent authorities" means:
(i)
public authorities, including Financial Intelligence Units, that have designated responsibilities for combating money laundering or terrorist financing;
(ii)
public authorities that have the function of investigating or prosecuting money laundering, associated predicate offences or terrorist financing, or that have the function of tracing, seizing or freezing and confiscating criminal assets;
(iii)
public authorities that have supervisory or monitoring responsibilities aimed at ensuring compliance with anti-money laundering or counter terrorist financing requirements.
This definition is without prejudice to each Party's right to identify additional competent authorities that can access information about beneficial owners.
2.   Each Party shall ensure that legal entities in its territory maintain adequate, accurate and up-to-date information about beneficial owners. Each Party shall put in place mechanisms to ensure that their competent authorities have timely access to such information.
3.   Each Party shall establish or maintain a central register holding adequate, up-to-date and accurate information about beneficial owners. In the case of the Union, the central registers shall be set up at the level of the Member States. This obligation shall not apply in respect of legal entities listed on a stock exchange that are subject to disclosure requirements regarding an adequate level of transparency. Where no beneficial owner is identified in respect of an entity, the register shall hold alternative information, such as a statement that no beneficial owner has been identified or details of the natural person or persons who hold the position of senior managing official in the legal entity.
4.   Each Party shall ensure that the information held in its central register or registers is made available to its competent authorities without restriction and in a timely manner.
5.   Each Party shall ensure that basic information about beneficial owners is made available to any member of the public. Limited exceptions may be made to the public availability of information under this paragraph in cases where public access would expose the beneficial owner to disproportionate risks, such as risks of fraud, kidnapping, blackmail, extortion, harassment, violence or intimidation, or where the beneficial owner is a minor or otherwise legally incapable.
6.   Each Party shall ensure that there are effective, proportionate and dissuasive sanctions against legal or natural persons who fail to comply with requirements imposed on them in connection with the matters referred to in this Article.
7.   Each Party shall ensure that its competent authorities are able to provide the information referred to in paragraphs 2 and 3 to the competent authorities of the other Party in a timely and effective manner and free of charge. To that end, the Parties shall consider ways to ensure the secure exchange of information.
Article 655
Beneficial ownership transparency of legal arrangements
1.   For the purposes of this Article, the following definitions apply:
(a)
"beneficial owner" means the settlor, the protector (if any), trustees, the beneficiary or class of beneficiaries, any person holding an equivalent position in relation to a legal arrangement with a structure or function similar to an express trust, and any other natural person exercising ultimate effective control over a trust or a similar legal arrangement;
(b)
"competent authorities" means:
(i)
public authorities, including Financial Intelligence Units, that have designated responsibilities for combating money laundering or terrorist financing;
(ii)
public authorities that have the function of investigating or prosecuting money laundering, associated predicate offences or terrorist financing or the function of tracing, seizing or freezing and confiscating criminal assets;
(iii)
public authorities that have supervisory or monitoring responsibilities aimed at ensuring compliance with anti-money laundering or counter terrorist financing requirements.
This definition is without prejudice to each Party's right to identify additional competent authorities that can access information about beneficial owners.
2.   Each Party shall ensure that trustees of express trusts maintain adequate, accurate and up-to-date information about beneficial owners. These measures shall also apply to other legal arrangements identified by each Party as having a structure or function similar to trusts.
3.   Each Party shall put in place mechanisms to ensure that its competent authorities have timely access to adequate, accurate and up-to-date information about beneficial owners of express trusts and other legal arrangements with a structure or function similar to trusts in its territory.
4.   If the beneficial ownership information about trusts or similar legal arrangements is held in a central register, the State concerned shall ensure that the information is adequate, accurate and up-to-date, and that competent authorities have timely and unrestricted access to such information. The Parties shall endeavour to consider ways to provide access to beneficial ownership information about trusts and similar legal arrangements to individuals or organisations who can demonstrate a legitimate interest in seeing such information.
5.   Each Party shall ensure that there are effective, proportionate and dissuasive sanctions against legal or natural persons who fail to comply with requirements imposed on them in connection with the matters referred to in this Article.
6.   Each Party shall ensure that its competent authorities are able to provide the information referred to in paragraph 3 to the competent authorities of the other Party in a timely and effective manner and free of charge. To that end, the Parties shall consider ways to ensure the secure exchange of information.
TITLE XI
FREEZING AND CONFISCATION
Article 656
Objective and principles of cooperation
1.   The objective of this Title is to provide for cooperation between the United Kingdom, on the one side, and the Member States, on the other side, to the widest extent possible for the purposes of investigations and proceedings aimed at the freezing of property with a view to subsequent confiscation thereof and investigations and proceedings aimed at the confiscation of property within the framework of proceedings in criminal matters. This does not preclude other cooperation pursuant to Article 665(5) and (6). This Title also provides for cooperation with Union bodies designated by the Union for the purposes of this Title.
2.   Each State shall comply, under the conditions provided for in this Title, with requests from another State:
(a)
for the confiscation of specific items of property, as well as for the confiscation of proceeds consisting in a requirement to pay a sum of money corresponding to the value of proceeds;
(b)
for investigative assistance and provisional measures with a view to either form of confiscation referred to in point (a).
3.   Investigative assistance and provisional measures sought under point (b) of paragraph 2 shall be carried out as permitted by and in accordance with the domestic law of the requested State. Where the request concerning one of these measures specifies formalities or procedures which are necessary under the domestic law of the requesting State, even if unfamiliar to the requested State, the latter shall comply with such requests to the extent that the action sought is not contrary to the fundamental principles of its domestic law.
4.   The requested State shall ensure that the requests coming from another State to identify, trace, freeze or seize the proceeds and instrumentalities, receive the same priority as those made in the framework of domestic procedures.
5.   When requesting confiscation, investigative assistance and provisional measures for the purposes of confiscation, the requesting State shall ensure that the principles of necessity and proportionality are respected.
6.   The provisions of this Title apply in place of the "international cooperation" Chapters of the Council of Europe Convention on Laundering, Search, Seizure and Confiscation of the Proceeds from Crime and on the Financing of Terrorism, done at Warsaw on 16 May 2005 (the "2005 Convention") and the Convention on Laundering, Search, Seizure and Confiscation of the Proceeds from Crime, done at Strasbourg on 8 November 1990 (the "1990 Convention"). Article 657 of this Agreement replaces the corresponding definitions in Article 1 of the 2005 Convention and Article 1 of the 1990 Convention. The provisions of this Title do not affect the States' obligations under the other provisions of the 2005 Convention and the 1990 Convention.
Article 657
Definitions
For the purposes of this Title, the following definitions apply:
(a)
"confiscation" means a penalty or a measure ordered by a court following proceedings in relation to a criminal offence or criminal offences, resulting in the final deprivation of property;
(b)
"freezing" or "seizure" means temporarily prohibiting the transfer, destruction, conversion, disposition or movement of property or temporarily assuming custody or control of property on the basis of an order issued by a court or other competent authority;
(c)
"instrumentalities" means any property used or intended to be used, in any manner, wholly or in part, to commit a criminal offence or criminal offences;
(d)
"judicial authority" means an authority that is, under domestic law, a judge, a court or a public prosecutor; a public prosecutor is considered a judicial authority only to the extent that domestic law so provides;
(e)
"proceeds" means any economic benefit, derived from or obtained, directly or indirectly, from criminal offences, or an amount of money equivalent to that economic benefit; it may consist of any property as defined in this Article;
(f)
"property" includes property of any description, whether corporeal or incorporeal, movable or immovable, and legal documents or instruments evidencing title or interest in such property, which the requesting State considers to be:
(i)
the proceeds of a criminal offence, or its equivalent, whether the full amount of the value of such proceeds or only part of the value of such proceeds;
(ii)
the instrumentalities of a criminal offence, or the value of such instrumentalities;
(iii)
subject to confiscation under any other provisions relating to powers of confiscation under the law of the requesting State, following proceedings in relation to a criminal offence, including third party confiscation, extended confiscation and confiscation without final conviction.
Article 658
Obligation to assist
The States shall afford each other, upon request, the widest possible measure of assistance in the identification and tracing of instrumentalities, proceeds and other property liable to confiscation. Such assistance shall include any measure providing and securing evidence as to the existence, location or movement, nature, legal status or value of those instrumentalities, proceeds or other property.
Article 659
Requests for information on bank accounts and safe deposit boxes
1.   The requested State shall, under the conditions set out in this Article, take the measures necessary to determine, in answer to a request sent by another State, whether a natural or legal person that is the subject of a criminal investigation holds or controls one or more accounts, of whatever nature, in any bank located in its territory and, if so, provide the details of the identified accounts. These details shall in particular include the name of the customer account holder and the IBAN number, and, in the case of safe deposit boxes, the name of the lessee or a unique identification number.
2.   The obligation set out in paragraph 1 applies only to the extent that the information is in the possession of the bank keeping the account.
3.   In addition to the requirements of Article 680, the requesting State shall, in the request:
(a)
indicate why it considers that the requested information is likely to be of substantial value for the purposes of the criminal investigation into the offence;
(b)
state on what grounds it presumes that banks in the requested State hold the account and specify, to the widest extent possible, which banks and accounts may be involved; and
(c)
include any additional information available which may facilitate the execution of the request.
4.   The United Kingdom and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation that this Article will be extended to accounts held in non-bank financial institutions. Such notifications may be made subject to the principle of reciprocity.
Article 660
Requests for information on banking transactions
1.   On request by another State, the requested State shall provide the particulars of specified bank accounts and of banking operations which have been carried out during a specified period through one or more accounts specified in the request, including the particulars of any sending or recipient account.
2.   The obligation set out in paragraph 1 applies only to the extent that the information is in the possession of the bank keeping the account.
3.   In addition to the requirements of Article 680, the requesting State shall indicate in its request why it considers the requested information relevant for the purposes of the criminal investigation into the offence.
4.   The requested State may make the execution of such a request dependent on the same conditions as it applies in respect of requests for search and seizure.
5.   The United Kingdom and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation that this Article will be extended to accounts held in non-bank financial institutions. Such notifications may be made subject to the principle of reciprocity.
Article 661
Requests for the monitoring of banking transactions
1.   The requested State shall ensure that, at the request of another State, it is able to monitor, during a specified period, the banking operations that are being carried out through one or more accounts specified in the request and to communicate the results of the monitoring to the requesting State.
2.   In addition to the requirements of Article 680, the requesting State shall indicate in its request why it considers the requested information relevant for the purposes of the criminal investigation into the offence.
3.   The decision to monitor shall be taken in each individual case by the competent authorities of the requested State, in accordance with its domestic law.
4.   The practical details regarding the monitoring shall be agreed between the competent authorities of the requesting and requested States.
5.   The United Kingdom and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation that this Article will be extended to accounts held in non-bank financial institutions. Such notifications may be made subject to the principle of reciprocity.
Article 662
Spontaneous information
Without prejudice to its own investigations or proceedings, a State may without prior request forward to another State information on instrumentalities, proceeds and other property liable to confiscation, where it considers that the disclosure of such information might assist the receiving State in initiating or carrying out investigations or proceedings or might lead to a request by that State under this Title.
Article 663
Obligation to take provisional measures
1.   At the request of another State which has instituted a criminal investigation or proceedings, or an investigation or proceedings for the purposes of confiscation, the requested State shall take the necessary provisional measures, such as freezing or seizing, to prevent any dealing in, transfer or disposal of property which, at a later stage, may be the subject of a request for confiscation or which might satisfy the request.
2.   A State which has received a request for confiscation pursuant to Article 665 shall, if so requested, take the measures referred to in paragraph 1 of this Article in respect of any property which is the subject of the request or which might satisfy the request.
3.   Where a request is received under this Article, the requested State shall take all necessary measures to comply with the request without delay and with the same speed and priority as for a similar domestic case and send confirmation without delay and by any means of producing a written record to the requesting State.
4.   Where the requesting State states that immediate freezing is necessary since there are legitimate grounds to believe that the property in question will immediately be removed or destroyed, the requested State shall take all necessary measures to comply with the request within 96 hours of receiving the request and send confirmation to the requesting State by any means of producing a written record and without delay.
5.   Where the requested State is unable to comply with the time limits under paragraph 4, the requested State shall immediately inform the requesting State, and consult with the requesting State on the appropriate next steps.
6.   Any expiration of the time limits under paragraph 4 does not extinguish the requirements placed on the requested State by this Article.
Article 664
Execution of provisional measures
1.   After the execution of the provisional measures requested in conformity with Article 663(1), the requesting State shall provide spontaneously and as soon as possible to the requested State all information which may question or modify the extent of those measures. The requesting State shall also provide without delay all complementary information required by the requested State and which is necessary for the implementation of and the follow-up to the provisional measures.
2.   Before lifting any provisional measure taken pursuant to Article 663, the requested State shall, wherever possible, give the requesting State an opportunity to present its reasons in favour of continuing the measure.
Article 665
Obligation to confiscate
1.   The State which has received a request for confiscation of property situated in its territory shall:
(a)
enforce a confiscation order made by a court of the requesting State in relation to such property; or
(b)
submit the request to its competent authorities for the purpose of obtaining an order of confiscation and, if such an order is granted, enforce it.
2.   For the purposes of point (b) of paragraph 1, the States shall, whenever necessary, have competence to institute confiscation proceedings under their own domestic law.
3.   Paragraph 1 also applies to confiscation consisting in a requirement to pay a sum of money corresponding to the value of proceeds, if property against which the confiscation can be enforced is located in the requested State. In such cases, when enforcing confiscation pursuant to paragraph 1, the requested State shall, if payment is not obtained, realise the claim on any property available for that purpose.
4.   If a request for confiscation concerns a specific item of property, the requesting State and requested State may agree that the requested State may enforce the confiscation in the form of a requirement to pay a sum of money corresponding to the value of the property.
5.   A State shall cooperate to the widest extent possible under its domestic law with a State requesting the execution of measures equivalent to confiscation of property, where the request has not been issued in the framework of proceedings in criminal matters, in so far as such measures are ordered by a judicial authority of the requesting State in relation to a criminal offence, provided that it has been established that the property constitutes proceeds or:
(a)
other property into which the proceeds have been transformed or converted;
(b)
property acquired from legitimate sources, if proceeds have been intermingled, in whole or in part, with such property, up to the assessed value of the intermingled proceeds; or
(c)
income or other benefit derived from the proceeds, from property into which proceeds of crime have been transformed or converted or from property with which the proceeds of crime have been intermingled, up to the assessed value of the intermingled proceeds, in the same manner and to the same extent as proceeds.
6.   The measures referred to in paragraph 5 include measures which allow the seizure, detention and forfeiture of property and assets by means of applications to civil courts.
7.   The requested State shall take the decision on the execution of the confiscation order without delay, and, without prejudice to paragraph 8 of this Article, no later than 45 days after receiving the request. The requested State shall send confirmation to the requesting State by any means of producing a written record and without delay. Unless grounds for postponement under Article 672 exist, the requested State shall take the concrete measures necessary to execute the confiscation order without delay and, at least, with the same speed and priority as for a similar domestic case.
8.   Where the requested State is unable to comply with the time limit under paragraph 7, the requested State shall immediately inform the requesting State, and consult with the requesting State on the appropriate next steps.
9.   Any expiration of the time limit under paragraph 7 does not extinguish the requirements placed on the requested State by this Article.
Article 666
Execution of confiscation
1.   The procedures for obtaining and enforcing the confiscation under Article 665 shall be governed by the domestic law of the requested State.
2.   The requested State shall be bound by the findings as to the facts in so far as they are stated in a conviction or judicial decision issued by a court of the requesting State or in so far as such conviction or judicial decision is implicitly based on them.
3.   If the confiscation consists in the requirement to pay a sum of money, the competent authority of the requested State shall convert the amount thereof into the currency of that State at the rate of exchange applicable at the time when the decision to enforce the confiscation is taken.
Article 667
Confiscated property
1.   Subject to paragraphs 2 and 3 of this Article, property confiscated pursuant to Articles 665 and 666 shall be disposed of by the requested State in accordance with its domestic law and administrative procedures.
2.   When acting on the request made by another State pursuant to Article 665, the requested State shall, to the extent permitted by its domestic law and if so requested, give priority consideration to returning the confiscated property to the requesting State so that it can give compensation to the victims of the crime or return such property to their legitimate owners.
3.   Where acting on the request made by another State in accordance with Article 665, and after having taken into account the right of a victim to restitution or compensation of property pursuant to paragraph 2 of this Article, the requested State shall dispose of the money obtained as a result of the execution of a confiscation order as follows:
(a)
if the amount is equal to or less than EUR 10 000, the amount shall accrue to the requested State; or
(b)
if the amount is greater than EUR 10 000, the requested State shall transfer 50 % of the amount recovered to the requesting State.
4.   Notwithstanding paragraph 3, the requesting State and requested State may, on a case-by-case basis, give special consideration to concluding other such agreements or arrangements on disposal of property as they deem appropriate.
Article 668
Right of enforcement and maximum amount of confiscation
1.   A request for confiscation made under Article 665 does not affect the right of the requesting State to enforce the confiscation order itself.
2.   Nothing in this Title shall be interpreted as permitting the total value of the confiscation to exceed the amount of the sum of money specified in the confiscation order. If a State finds that this might occur, the States concerned shall enter into consultations to avoid such an effect.
Article 669
Imprisonment in default
The requested State shall not impose imprisonment in default or any other measure restricting the liberty of a person as a result of a request under Article 665 without the consent of the requesting State.
Article 670
Grounds for refusal
1.   Cooperation under this Title may be refused if:
(a)
the requested State considers that executing the request would be contrary to the principle of ne bis in idem; or
(b)
the offence to which the request relates does not constitute an offence under the domestic law of the requested State if committed within its jurisdiction; however, this ground for refusal applies to cooperation under Articles 658 to 662 only in so far as the assistance sought involves coercive action.
2.   The United Kingdom and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation that, on the basis of reciprocity, the condition of double criminality referred to in point (b) of paragraph 1 of this Article will not be applied provided that the offence giving rise to the request is:
(a)
one of the offences listed in Article 599(5), as defined by the law of the requesting State; and
(b)
punishable by the requesting State by a custodial sentence or a detention order for a maximum period of at least three years.
3.   Cooperation under Articles 658 to 662, in so far as the assistance sought involves coercive action, and under Articles 663 and 664 may also be refused if the measures sought could not be taken under the domestic law of the requested State for the purposes of investigations or proceedings in a similar domestic case.
4.   Where the domestic law of the requested State so requires, cooperation under Articles 658 to 662, in so far as the assistance sought involves coercive action, and under Articles 663 and 664 may also be refused if the measures sought or any other measures having similar effects would not be permitted under the domestic law of the requesting State, or, as regards the competent authorities of the requesting State, if the request is not authorised by a judicial authority acting in relation to criminal offences.
5.   Cooperation under Articles 665 to 669 may also be refused if:
(a)
under the domestic law of the requested State, confiscation is not provided for in respect of the type of offence to which the request relates;
(b)
without prejudice to the obligation pursuant to Article 665(3), it would be contrary to the principles of the domestic law of the requested State concerning the limits of confiscation in respect of the relationship between an offence and:
(i)
an economic advantage that might be qualified as its proceeds; or
(ii)
property that might be qualified as its instrumentalities;
(c)
under the domestic law of the requested State, confiscation may no longer be imposed or enforced because of the lapse of time;
(d)
without prejudice to Article 665(5) and (6), the request does not relate to a previous conviction, or a decision of a judicial nature or a statement in such a decision that an offence or several offences have been committed, on the basis of which the confiscation has been ordered or is sought;
(e)
confiscation is either not enforceable in the requesting State, or it is still subject to ordinary means of appeal; or
(f)
the request relates to a confiscation order resulting from a decision rendered in absentia of the person against whom the order was issued and, in the opinion of the requested State, the proceedings conducted by the requesting State leading to such decision did not satisfy the minimum rights of defence recognised as due to everyone against whom a criminal charge is made.
6.   For the purposes of point (f) of paragraph 5 a decision is not considered to have been rendered in absentia if:
(a)
it has been confirmed or pronounced after opposition by the person concerned; or
(b)
it has been rendered on appeal, provided that the appeal was lodged by the person concerned.
7.   When considering, for the purposes of point (f) of paragraph 5, whether the minimum rights of defence have been satisfied, the requested State shall take into account the fact that the person concerned has deliberately sought to evade justice or the fact that that person, having had the possibility of lodging a legal remedy against the decision made in absentia, elected not to do so. The same applies where the person concerned, having been duly served with the summons to appear, elected not to do so nor to ask for adjournment.
8.   The States shall not invoke bank secrecy as a ground to refuse any cooperation under this Title. Where its domestic law so requires, a requested State may require that a request for cooperation which would involve the lifting of bank secrecy be authorised by a judicial authority acting in relation to criminal offences.
9.   The requested State shall not invoke the fact that:
(a)
the person under investigation or subject to a confiscation order by the authorities of the requesting State is a legal person as an obstacle to affording any cooperation under this Title;
(b)
the natural person against whom an order of confiscation of proceeds has been issued has died or a legal person against whom an order of confiscation of proceeds has been issued has subsequently been dissolved as an obstacle to affording assistance in accordance with point (a) of Article 665(1); or
(c)
the person under investigation or subject to a confiscation order by the authorities of the requesting State is mentioned in the request both as the author of the underlying criminal offence and of the offence of money laundering as an obstacle to affording any cooperation under this Title.
Article 671
Consultation and information
Where there are substantial grounds for believing that the execution of a freezing or confiscation order would entail a real risk for the protection of fundamental rights, the requested State shall, before it decides on the execution of the freezing or confiscation order, consult the requesting State and may require any necessary information to be provided.
Article 672
Postponement
The requested State may postpone action on a request if such action would prejudice investigations or proceedings by its authorities.
Article 673
Partial or conditional granting of a request
Before refusing or postponing cooperation under this Title, the requested State shall, where appropriate after having consulted the requesting State, consider whether the request may be granted partially or subject to such conditions as it deems necessary.
Article 674
Notification of documents
1.   The States shall afford each other the widest measure of mutual assistance in the serving of judicial documents to persons affected by provisional measures and confiscation.
2.   Nothing in this Article is intended to interfere with:
(a)
the possibility of sending judicial documents, by postal channels, directly to persons abroad; and
(b)
the possibility for judicial officers, officials or other competent authorities of the State of origin to effect service of judicial documents directly through the consular authorities of that State or through the judicial authorities, including judicial officers and officials, or other competent authorities of the State of destination.
3.   When serving judicial documents to persons abroad affected by provisional measures or confiscation orders issued in the sending State, that State shall indicate what legal remedies are available under its domestic law to such persons.
Article 675
Recognition of foreign decisions
1.   When dealing with a request for cooperation under Articles 663 to 669 the requested State shall recognise any decision issued by a judicial authority taken in the requesting State regarding rights claimed by third parties.
2.   Recognition may be refused if:
(a)
third parties did not have adequate opportunity to assert their rights;
(b)
the decision is incompatible with a decision already taken in the requested State on the same matter;
(c)
it is incompatible with the 
ordre public
 of the requested State; or
(d)
the decision was taken contrary to provisions on exclusive jurisdiction provided for by the domestic law of the requested State.
Article 676
Authorities
1.   Each State shall designate a central authority to be responsible for sending and answering requests made under this Title, the execution of such requests or their transmission to the authorities competent for their execution.
2.   The Union may designate a Union body which may, in addition to the competent authorities of the Member States, make and, if appropriate, execute requests under this Title. Any such request is to be treated for the purposes of this Title as a request by a Member State. The Union may also designate that Union body as the central authority responsible for the purpose of sending and answering requests made under this Title by, or to, that body.
Article 677
Direct communication
1.   The central authorities shall communicate directly with one another.
2.   In urgent cases, requests or communications under this Title may be sent directly by the judicial authorities of the requesting State to judicial authorities of the requested State. In such cases, a copy shall be sent at the same time to the central authority of the requested State through the central authority of the requesting State.
3.   Where a request is made pursuant to paragraph 2 and the authority is not competent to deal with the request, it shall refer the request to the competent national authority and shall directly inform the requesting State that it has done so.
4.   Requests or communications under Articles 658 to 662, which do not involve coercive action, may be directly transmitted by the competent authorities of the requesting State to the competent authorities of the requested State.
5.   Draft requests or communications under this Title may be sent directly by the judicial authorities of the requesting State to the judicial authorities of the requested State prior to a formal request to ensure that the formal request can be dealt with efficiently upon receipt and that it contains sufficient information and supporting documentation for it to meet the requirements of the law of the requested State.
Article 678
Form of request and languages
1.   All requests under this Title shall be made in writing. They may be transmitted electronically, or by any other means of telecommunication, provided that the requesting State is prepared, upon request, to produce a written record of such communication and the original at any time.
2.   Requests under paragraph 1 shall be made in one of the official languages of the requested State or in any other language notified by or on behalf of the requested State in accordance with paragraph 3.
3.   The United Kingdom and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation of the language or languages which, in addition to the official language or languages of that State, may be used for making requests under this Title.
4.   Requests under Article 663 for provisional measures shall be made using the prescribed form at Annex 46.
5.   Requests under Article 665 for confiscation shall be made using the prescribed form at Annex 46.
6.   The Specialised Committee on Law Enforcement and Judicial Cooperation may amend the forms referred to in paragraphs 4 and 5 as may be necessary.
7.   The United Kingdom and the Union, acting on behalf of any of its Member States may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation that it requires the translation of any supporting documents into one of the official languages of the requested State or any other language indicated in accordance with paragraph 3 of this Article. In the case of requests pursuant to Article 663(4), such translation of supporting documents may be provided to the requested State within 48 hours after transmitting the request, without prejudice to the time limits provided for in Article 663(4).
Article 679
Legalisation
Documents transmitted in application of this Title shall be exempt from all legalisation formalities.
Article 680
Content of request
1.   Any request for cooperation under this Title shall specify:
(a)
the authority making the request and the authority carrying out the investigations or proceedings;
(b)
the object of and the reason for the request;
(c)
the matters, including the relevant facts (such as date, place and circumstances of the offence) to which the investigations or proceedings relate, except in the case of a request for notification;
(d)
insofar as the cooperation involves coercive action:
(i)
the text of the statutory provisions or, where that is not possible, a statement of the relevant applicable law; and
(ii)
an indication that the measure sought or any other measures having similar effects could be taken in the territory of the requesting State under its own domestic law;
(e)
where necessary and in so far as possible:
(i)
details of the person or persons concerned, including name, date and place of birth, nationality and location, and, in the case of a legal person, its seat; and
(ii)
the property in relation to which cooperation is sought, its location, its connection with the person or persons concerned, any connection with the offence, as well as any available information about other persons, interests in the property; and
(f)
any particular procedure the requesting State wishes to be followed.
2.   A request for provisional measures under Article 663 in relation to seizure of property on which a confiscation order consisting of the requirement to pay a sum of money may be realised shall also indicate a maximum amount for which recovery is sought in that property.
3.   In addition to the information referred to in paragraph 1 of this Article, any request under Article 665 shall contain:
(a)
in the case of point (a) of Article 665(1):
(i)
a certified true copy of the confiscation order made by the court in the requesting State and a statement of the grounds on the basis of which the order was made, if they are not indicated in the order itself;
(ii)
an attestation by the competent authority of the requesting State that the confiscation order is enforceable and not subject to ordinary means of appeal;
(iii)
information as to the extent to which the enforcement of the order is requested; and
(iv)
information as to the necessity of taking any provisional measures;
(b)
in the case of point (b) of Article 665(1), a statement of the facts relied upon by the requesting State sufficient to enable the requested State to seek the order under its domestic law;
(c)
where third parties have had the opportunity to claim rights, documents demonstrating that this has been the case.
Article 681
Defective requests
1.   If a request does not comply with the provisions of this Title or the information supplied is not sufficient to enable the requested State to deal with the request, that State may ask the requesting State to amend the request or to complete it with additional information.
2.   The requested State may set a time limit for the receipt of such amendments or information.
3.   Pending receipt of the requested amendments or information in relation to a request under Article 665, the requested State may take any of the measures referred to in Articles 658 to 664.
Article 682
Plurality of requests
1.   Where the requested State receives more than one request under Article 663 or Article 665 in respect of the same person or property, the plurality of requests shall not prevent that State from dealing with the requests involving the taking of provisional measures.
2.   In the case of a plurality of requests under Article 665, the requested State shall consider consulting the requesting States.
Article 683
Obligation to give reasons
The requested State shall give reasons for any decision to refuse, postpone or make conditional any cooperation under this Title.
Article 684
Information
1.   The requested State shall promptly inform the requesting State of:
(a)
the action initiated on the basis of a request under this Title;
(b)
the final result of the action carried out on the basis of a request under this Title;
(c)
a decision to refuse, postpone or make conditional, in whole or in part, any cooperation under this Title;
(d)
any circumstances which render impossible the carrying out of the action sought or are likely to delay it significantly; and
(e)
in the event of provisional measures taken pursuant to a request under Articles 658 to Article 663, such provisions of its domestic law as would automatically lead to the lifting of the provisional measure.
2.   The requesting State shall promptly inform the requested State of:
(a)
any review, decision or any other fact by reason of which the confiscation order ceases to be wholly or partially enforceable; and
(b)
any development, factual or legal, by reason of which any action under this Title is no longer justified.
3.   Where a State, on the basis of the same confiscation order, requests confiscation in more than one State, it shall inform all States which are affected by the enforcement of the order about the request.
Article 685
Restriction of use
1.   The requested State may make the execution of a request dependent on the condition that the information or evidence obtained is not, without its prior consent, to be used or transmitted by the authorities of the requesting State for investigations or proceedings other than those specified in the request.
2.   Without the prior consent of the requested State, information or evidence provided by it under this Title shall not be used or transmitted by the authorities of the requesting State in investigations or proceedings other than those specified in the request.
3.   Personal data communicated under this Title may be used by the State to which they have been transferred:
(a)
for the purposes of proceedings to which this Title applies;
(b)
for other judicial and administrative proceedings directly related to proceedings referred to in point (a);
(c)
for preventing an immediate and serious threat to public security; or
(d)
for any other purpose, only with the prior consent of the communicating State, unless the State concerned has obtained the consent of the data subject.
4.   This Article shall also apply to personal data not communicated but obtained otherwise under this Title.
5.   This Article does not apply to personal data obtained by the United Kingdom or a Member State under this Title and originating from that State.
Article 686
Confidentiality
1.   The requesting State may require that the requested State keep confidential the facts and substance of the request, except to the extent necessary to execute the request. If the requested State cannot comply with the requirement of confidentiality, it shall promptly inform the requesting State.
2.   The requesting State shall, if not contrary to basic principles of its domestic law and if so requested, keep confidential any evidence and information provided by the requested State, except to the extent that its disclosure is necessary for the investigations or proceedings described in the request.
3.   Subject to the provisions of its domestic law, a State which has received spontaneous information under Article 662 shall comply with any requirement of confidentiality as required by the State which supplies the information. If the receiving State cannot comply with such a requirement, it shall promptly inform the transmitting State.
Article 687
Costs
The ordinary costs of complying with a request shall be borne by the requested State. Where costs of a substantial or extraordinary nature are necessary to comply with a request, the requesting and requested States shall consult in order to agree the conditions on which the request is to be executed and how the costs will be borne.
Article 688
Damages
1.   Where legal action on liability for damages resulting from an act or omission in relation to cooperation under this Title has been initiated by a person, the States concerned shall consider consulting each other, where appropriate, to determine how to apportion any sum of damages due.
2.   A State which has become the subject of litigation for damages shall endeavour to inform the other State of such litigation if that State might have an interest in the case.
Article 689
Legal remedies
1.   Each State shall ensure that persons affected by measures under Articles 663 to 666 have effective legal remedies in order to preserve their rights.
2.   The substantive reasons for requested measures under Articles 663 to 666 shall not be challenged before a court in the requested State.
TITLE XII
OTHER PROVISIONS
Article 690
Notifications
1.   By the date of entry into force of this Agreement, the Union and the United Kingdom shall make any of the notifications provided for in Article 602(2), Article 603(2), and Article 611(4) and shall, to the extent it is possible to do so, indicate whether no such notification is to be made.
To the extent that such a notification or indication has not been made in relation to a State, at the point in time referred to in the first subparagraph, notifications may be made in relation to that State as soon as possible and at the latest two months after the entry into force of this Agreement.
During that interim period, any State in relation to which no notification provided for in Article 602(2), Article 603(2), or Article 611(4) has been made, and which has not been the subject of an indication that no such notification is to be made, may avail itself of the possibilities provided for in that Article as if such a notification had been made in respect of that State. In the case of Article 603(2), a State may only avail itself of the possibilities provided for in that Article to the extent that to do so is compatible with the criteria for making a notification.
2.   The notifications referred to in Article 599(4), Article 605(1), Article 606(2), Article 625(1), Article 626(1), Article 659(4), Article 660(5), Article 661(5), Article 670(2), and Article 678(3) and (7) may be made at any time.
3.   The notifications referred to in Article 605(1), Article 606(2) and Article 678(3) and (7) may be modified at any time.
4.   The notifications referred to in Article 602(2), Article 603(2), Article 605(1), Article 611(4), Article 659(4), Article 660(5), and Article 661(5) may be withdrawn at any time.
5.   The Union shall publish information on notifications of the United Kingdom referred to in Article 605(1) in the 
Official Journal of the European Union
.
6.   By the date of entry into force of this Agreement, the United Kingdom shall notify the Union of the identity of the following authorities:
(a)
the authority responsible for receiving and processing PNR data under Title III;
(b)
the authority considered as the competent law enforcement authority for the purposes of Title V and a short description of its competences;
(c)
the national contact point designated under Article 568(1);
(d)
the authority considered as the competent authority for the purposes of Title VI and a short description of its competences;
(e)
the contact point designated under Article 584(1);
(f)
the United Kingdom Domestic Correspondent for Terrorism Matters designated under Article 584(2);
(g)
the authority competent by virtue of domestic law of the United Kingdom to execute an arrest warrant, as referred to in point (c) of Article 598, and the authority competent by virtue of the domestic law of the United Kingdom to issue an arrest warrant, as referred to in point (d) of Article 598;
(h)
the authority designated by the United Kingdom under Article 623(3);
(i)
the central authority designated by the United Kingdom under Article 645;
(j)
the central authority designated by the United Kingdom under Article 676(1).
The Union shall publish information about the authorities referred to in the first subparagraph in the 
Official Journal of the European Union
.
7.   By the date of entry into force of this Agreement, the Union shall, on its behalf or on behalf of its Member States as the case may be, notify the United Kingdom, of the identity of the following authorities:
(a)
the Passenger Information Units established or designated by each Member State for the purposes of receiving and processing PNR data under Title III;
(b)
the authority competent by virtue of the domestic law of each Member State to execute an arrest warrant, as referred to in point (c) of Article 598, and the authority competent by virtue of the domestic law of each Member State to issue an arrest warrant, as referred to in point (d) of Article 598;
(c)
the authority designated for each Member State under Article 623(3);
(d)
the Union body referred to in Article 634;
(e)
the central authority designated by each Member State under Article 645;
(f)
the central authority designated by each Member State under Article 676(1);
(g)
any Union body designated under the first sentence of Article 676(2) and whether it is also designated as a central authority under the last sentence of that paragraph.
8.   The notifications made under paragraph 6 or 7 may be modified at any time. Such modifications shall be notified to the Specialised Committee on Law Enforcement and Judicial Cooperation.
9.   The United Kingdom and the Union may notify more than one authority with respect to points (a), (b), (d), (e), (g), (h), (i) and (j) of paragraph 6 and with respect to paragraph 7 respectively and may limit such notifications for particular purposes only.
10.   Where the Union makes the notifications referred to in this Article, it shall indicate to which of its Member States the notification applies or whether it is making the notification on its own behalf.
Article 691
Review and evaluation
1.   This Part shall be jointly reviewed in accordance with Article 776 or at the request of either Party where jointly agreed.
2.   The Parties shall decide in advance on how the review is to be conducted and shall communicate to each other the composition of their respective review teams. The review teams shall include persons with appropriate expertise with respect to the issues under review. Subject to applicable laws, all participants in a review shall be required to respect the confidentiality of the discussions and to have appropriate security clearances. For the purposes of such reviews, the United Kingdom and the Union shall make arrangements for appropriate access to relevant documentation, systems and personnel.
3.   Without prejudice to paragraph 2, the review shall in particular address the practical implementation, interpretation and development of this Part.
Article 692
Termination
1.   Without prejudice to Article 779, each Party may at any moment terminate this Part by written notification through diplomatic channels. In that event, this Part shall cease to be in force on the first day of the ninth month following the date of notification.
2.   However, if this Part is terminated on account of the United Kingdom or a Member State having denounced the European Convention on Human Rights or Protocols 1, 6 or 13 thereto, this Part shall cease to be in force as of the date that such denunciation becomes effective or, if the notification of its termination is made after that date, on the fifteenth day following such notification.
3.   If either Party gives notice of termination under this Article, the Specialised Committee on Law Enforcement and Judicial Cooperation shall meet to decide what measures are needed to ensure that any cooperation initiated under this Part is concluded in an appropriate manner. In any event, with regard to all personal data obtained through cooperation under this Part before it ceases to be in force, the Parties shall ensure that the level of protection under which the personal data were transferred is maintained after the termination takes effect.
Article 693
Suspension
1.   In the event of serious and systemic deficiencies within one Party as regards the protection of fundamental rights or the principle of the rule of law, the other Party may suspend this Part or Titles thereof, by written notification through diplomatic channels. Such notification shall specify the serious and systemic deficiencies on which the suspension is based.
2.   In the event of serious and systemic deficiencies within one Party as regards the protection of personal data, including where those deficiencies have led to a relevant adequacy decision ceasing to apply, the other Party may suspend this Part or Titles thereof, by written notification through diplomatic channels. Such notification shall specify the serious and systemic deficiencies on which the suspension is based.
3.   For the purposes of paragraph 2, "relevant adequacy decision" means:
(a)
in relation to the United Kingdom, a decision adopted by the European Commission, in accordance with Article 36 of Directive (EU) 2016/680 of the European Parliament and of the Council 
(
82
)
 or analogous successor legislation, attesting to the adequate level of protection;
(b)
in relation to the Union, a decision adopted by the United Kingdom attesting to the adequate level of protection for the purposes of transfers falling within the scope of Part 3 of the Data Protection Act 2018 
(
83
)
 or analogous successor legislation.
4.   In relation to the suspension of Title III or Title X, references to a "relevant adequacy decision" also include:
(a)
in relation to the United Kingdom, a decision adopted by the European Commission, in accordance with Article 45 of Regulation (EU) 2016/679 of the European Parliament and of the Council 
(
84
)
 (General Data Protection Regulation) or analogous successor legislation attesting to the adequate level of protection;
(b)
in relation to the Union, a decision adopted by the United Kingdom attesting to the adequate level of protection for the purposes of transfers falling within the scope of Part 2 of the Data Protection Act 2018 or analogous successor legislation.
5.   The Titles concerned by the suspension shall provisionally cease to apply on the first day of the third month following the date of the notification referred to in paragraph 1 or 2, unless, no later than two weeks before the expiry of that period, as extended, as the case may be, in accordance with point (d) of paragraph 7, the Party which notified the suspension gives written notification to the other Party, through diplomatic channels, of its withdrawal of the first notification or of a reduction in scope of the suspension. In the latter case, only the Titles referred to in the second notification shall provisionally cease to apply.
6.   If one Party notifies the suspension of one or several Titles of this Part pursuant to paragraph 1 or 2, the other Party may suspend all of the remaining Titles, by written notification through diplomatic channels, with three months' notice.
7.   Upon the notification of a suspension pursuant to paragraph 1 or 2, the Partnership Council shall immediately be seized of the matter. The Partnership Council shall explore possible ways of allowing the Party that notified the suspension to postpone its entry into effect, to reduce its scope or to withdraw it. To that end, upon a recommendation of the Specialised Committee on Law Enforcement and Judicial Cooperation, the Partnership Council may:
(a)
agree on joint interpretations of provisions of this Part;
(b)
recommend any appropriate action to the Parties;
(c)
adopt appropriate adaptations to this Part which are necessary to address the reasons underlying the suspension, with a maximum validity of 12 months; and
(d)
extend the period referred to in paragraph 5 by up to three months.
8.   If either Party gives notification of suspension under this Article, the Specialised Committee on Law Enforcement and Judicial Cooperation shall meet to decide what measures are needed to ensure that any cooperation initiated under this Part and affected by the notification is concluded in an appropriate manner. In any event, with regard to all personal data obtained through cooperation under this Part before the Titles concerned by the suspension provisionally cease to apply, the Parties shall ensure that the level of protection under which the personal data were transferred is maintained after the suspension takes effect.
9.   The suspended Titles shall be reinstated on the first day of the month following the day on which the Party having notified the suspension pursuant to paragraph 1 or 2 has given written notification to the other Party, through diplomatic channels, of its intention to reinstate the suspended Titles. The Party having notified the suspension pursuant to paragraph 1 or 2 shall do so immediately after the serious and systemic deficiencies on the part of the other Party on which the suspension was based have ceased to exist.
10.   Upon the notification of the intention to reinstate the suspended Titles in accordance with paragraph 9, the remaining Titles suspended pursuant to paragraph 6 shall be reinstated at the same time as the Titles suspended pursuant to paragraph 1 or 2.
Article 694
Expenses
The Parties and the Member States, including institutions, bodies, offices and agencies of the Parties or the Member States, shall bear their own expenses which arise in the course of implementation of this Part, unless otherwise provided for in this Agreement.
TITLE XIII
DISPUTE SETTLEMENT
Article 695
Objective
The objective of this Title is to establish a swift, effective and efficient mechanism for avoiding and settling disputes between the Parties concerning this Part, including disputes concerning this Part when applied to situations governed by other provisions of this Agreement, with a view to reaching a mutually agreed solution, where possible.
Article 696
Scope
1.   This Title applies to disputes between the Parties concerning this Part (the "covered provisions").
2.   The covered provisions shall include all provisions of this Part, with the exception of Articles 526 and 541, Article 552(14), Articles 562, 692, 693 and 700.
Article 697
Exclusivity
The Parties undertake not to submit a dispute between them regarding this Part to a mechanism of settlement other than that provided for in this Title.
Article 698
Consultations
1.   If a Party (the "complaining Party") considers that the other Party (the "responding Party") has breached an obligation under this Part, the Parties shall endeavour to resolve the matter by entering into consultations in good faith, with the aim of reaching a mutually agreed solution.
2.   The complaining Party may seek consultations by means of a written request delivered to the responding Party. The complaining Party shall specify in its written request the reasons for the request, including identification of the acts or omissions that the complaining Party considers as giving rise to the breach of an obligation by the responding Party, specifying the covered provisions it considers applicable.
3.   The responding Party shall reply to the request promptly, and no later than two weeks after the date of its delivery. Consultations shall be held regularly within a period of three months following the date of delivery of the request in person or by any other means of communication agreed by the Parties.
4.   The consultations shall be concluded within three months of the date of delivery of the request, unless the Parties agree to continue the consultations.
5.   The complaining Party may request that the consultations be held in the framework of the Specialised Committee on Law Enforcement and Judicial Cooperation or in the framework of the Partnership Council. The first meeting shall take place within one month of the request for consultations referred to in paragraph 2 of this Article. The Specialised Committee on Law Enforcement and Judicial Cooperation may at any time decide to refer the matter to the Partnership Council. The Partnership Council may also seize itself of the matter. The Specialised Committee on Law Enforcement and Judicial Cooperation, or as the case may be, the Partnership Council, may resolve the dispute by a decision. Such a decision shall be considered a mutually agreed solution within the meaning of Article 699.
6.   The complaining Party may at any time unilaterally withdraw its request for consultations. In such a case, the consultations shall be terminated immediately.
7.   Consultations, and in particular all information designated as confidential and positions taken by the Parties during consultations, shall be confidential.
Article 699
Mutually agreed solution
1.   The Parties may at any time reach a mutually agreed solution with respect to any dispute referred to in Article 696.
2.   The mutually agreed solution may be adopted by means of a decision of the Specialised Committee on Law Enforcement and Judicial Cooperation or the Partnership Council. Where the mutually agreed solution consists of an agreement on joint interpretations of provisions of this Part by the Parties, that mutually agreed solution shall be adopted by means of a decision of the Partnership Council.
3.   Each Party shall take the measures necessary to implement the mutually agreed solution within the agreed time period.
4.   No later than the date of expiry of the agreed time period, the implementing Party shall inform the other Party in writing of any measures taken to implement the mutually agreed solution.
Article 700
Suspension
1.   Where consultations under Article 698 have not led to a mutually agreed solution within the meaning of Article 699, provided that the complaining Party has not withdrawn its request for consultations in accordance with Article 698(6), and where it considers that the respondent Party is in serious breach of its obligations under the covered provisions referred to in Article 698(2), the complaining Party may suspend the Titles of this Part to which the serious breach pertains, by written notification through diplomatic channels. Such notification shall specify the serious breach of obligations by the responding Party on which the suspension is based.
2.   The Titles concerned by the suspension shall provisionally cease to apply on the first day of the third month following the date of the notification referred to in paragraph 1 or any other date mutually agreed by the Parties, unless, no later than two weeks before the expiry of that period, the complaining Party gives written notification to the responding Party, through diplomatic channels, of its withdrawal of the first notification or of a reduction in scope of the suspension. In the latter case, only the Titles referred to in the second notification shall provisionally cease to apply.
3.   If the complaining Party notifies the suspension of one or several Titles of this Part pursuant to paragraph 1, the respondent Party may suspend all of the remaining Titles, by written notification through diplomatic channels, with three months' notice.
4.   If a notification of suspension is given under this Article, the Specialised Committee on Law Enforcement and Judicial Cooperation shall meet to decide what measures are needed to ensure that any cooperation initiated under this Part and affected by the notification is concluded in an appropriate manner. In any event, with regard to all personal data obtained through cooperation under this Part before the Titles concerned by the suspension provisionally cease to apply, the Parties shall ensure that the level of protection under which the personal data were transferred is maintained after the suspension takes effect.
5.   The suspended Titles shall be reinstated on the first day of the month following the date on which the complaining Party has given written notification to the respondent Party, through diplomatic channels, of its intention to reinstate the suspended Titles. The complaining Party shall do so immediately when it considers that the serious breach of the obligations on which the suspension was based has ceased to exist.
6.   Upon notification by the complaining Party of its intention to reinstate the suspended Titles in accordance with paragraph 5, the remaining Titles suspended by the respondent Party pursuant to paragraph 3 shall be reinstated at the same time as the Titles suspended by the complaining Party pursuant to paragraph 1.
Article 701
Time Periods
1.   All time periods laid down in this Title shall be counted in weeks or months, as the case may be, from the day following the act to which they refer.
2.   Any time period referred to in this Title may be modified by mutual agreement of the Parties.
PART FOUR
THEMATIC COOPERATION
TITLE I
HEALTH SECURITY
Article 702
Cooperation on health security
1.   For the purpose of this Article, a "serious cross-border threat to health" means a life-threatening or otherwise serious hazard to health of biological, chemical, environmental or unknown origin which spreads or entails a significant risk of spreading across the borders of at least one Member State and the United Kingdom.
2.   The Parties shall inform each other of a serious cross-border threat to health affecting the other Party and shall endeavour to do so in a timely manner.
3.   Where there is a serious cross-border threat to health, following a written request from the United Kingdom, the Union may grant the United Kingdom ad hoc access to its Early Warning and Response System ("EWRS") in respect of the particular threat to enable the Parties and Member States' competent authorities to exchange relevant information, to assess public health risks, and to coordinate the measures that could be required to protect public health. The Union shall endeavour to respond to the United Kingdom's written request in a timely manner.
Moreover, the Union may invite the United Kingdom to participate in a committee established within the Union and composed of representatives of Member States for the purposes of supporting the exchange of information and of coordination in relation to the serious cross-border threat to health.
Both arrangements shall be on a temporary basis, and in any event for no longer than the duration that either of the Parties, having consulted the other Party, considers necessary for the relevant serious cross-border threat to health.
4.   For the purposes of the information exchange referred to in paragraph 2 and any requests made pursuant to paragraph 3, each Party shall designate a focal point and notify the other Party thereof. The focal points shall also:
(a)
endeavour to facilitate understanding between the Parties as to whether or not a threat is a serious cross-border threat to health;
(b)
seek mutually agreed solutions to any technical issues arising from implementation of this Title.
5.   The United Kingdom shall observe all applicable conditions for the use of the EWRS and the rules of procedure of the committee referred to in paragraph 3, for the period of access granted in respect of a particular serious cross-border threat to health. If, following clarificatory exchanges between the Parties:
(a)
the Union considers that the United Kingdom has not observed the above-mentioned conditions or rules of procedure, the Union may terminate the access of the United Kingdom to the EWRS or its participation in that committee, as the case may be, in respect of that threat;
(b)
the United Kingdom considers that it cannot accept the conditions or rules of procedure, the United Kingdom may withdraw its participation in the EWRS or its participation in that committee, as the case may be, in respect of that threat.
6.   Where in their mutual interests the Parties shall cooperate in international forums on the prevention of, detection of, preparation for, and response to established and emerging threats to health security.
7.   The European Centre for Disease Prevention and Control and the relevant body in the United Kingdom responsible for surveillance, epidemic intelligence and scientific advice on infectious diseases shall cooperate on technical and scientific matters of mutual interest to the Parties and, to that end, may conclude a memorandum of understanding.
TITLE II
CYBER SECURITY
Article 703
Dialogue on cyber issues
The Parties shall endeavour to establish a regular dialogue in order to exchange information about relevant policy developments, including in relation to international security, security of emerging technologies, internet governance, cybersecurity, cyber defence and cybercrime.
Article 704
Cooperation on cyber issues
1.   Where in their mutual interest, the Parties shall cooperate in the field of cyber issues by sharing best practices and through cooperative practical actions aimed at promoting and protecting an open, free, stable, peaceful and secure cyberspace based on the application of existing international law and norms for responsible State behaviour and regional cyber confidence-building measures.
2.   The Parties shall also endeavour to cooperate in relevant international bodies and forums, and endeavour to strengthen global cyber resilience and enhance the ability of third countries to fight cybercrime effectively.
Article 705
Cooperation with the Computer Emergency Response Team – European Union
Subject to prior approval by the Steering Board of the Computer Emergency Response Team – European Union (CERT-EU), CERT-EU and the national UK computer emergency response team shall cooperate on a voluntary, timely and reciprocal basis to exchange information on tools and methods, such as techniques, tactics, procedures and best practices, and on general threats and vulnerabilities.
Article 706
Participation in specific activities of the Cooperation Group established pursuant to Directive (EU) 2016/1148
1.   With a view to promoting cooperation on cyber security while ensuring the autonomy of the Union decision-making process, the relevant national authorities of the United Kingdom may participate at the invitation, which the United Kingdom may also request, of the Chair of the Cooperation Group in consultation with the Commission, in the following activities of the Cooperation Group:
(a)
exchanging best practices in building capacity to ensure the security of network and information systems;
(b)
exchanging information with regard to exercises relating to the security of network and information systems;
(c)
exchanging information, experiences and best practices on risks and incidents;
(d)
exchanging information and best practices on awareness-raising, education programmes and training; and
(e)
exchanging information and best practices on research and development relating to the security of network and information systems.
2.   Any exchange of information, experiences or best practices between the Cooperation Group and the relevant national authorities of the United Kingdom shall be voluntary and, where appropriate, reciprocal.
Article 707
Cooperation with the European Union Agency for Cybersecurity (ENISA)
1.   With a view to promoting cooperation on cyber security while ensuring the autonomy of the Union decision-making process, the United Kingdom may participate at the invitation, which the United Kingdom may also request, of the Management Board of the European Union Agency for Cybersecurity (ENISA), in the following activities carried out by ENISA:
(a)
capacity building;
(b)
knowledge and information; and
(c)
awareness raising and education.
2.   The conditions for the participation of the United Kingdom in ENISA's activities referred to in paragraph 1, including an appropriate financial contribution, shall be set out in working arrangements adopted by the Management Board of ENISA subject to prior approval by the Commission and agreed with the United Kingdom.
3.   The exchange of information, experiences and best practices between ENISA and the United Kingdom shall be voluntary and, where appropriate, reciprocal.
PART FIVE
PARTICIPATION IN UNION PROGRAMMES, SOUND FINANCIAL MANAGEMENT AND FINANCIAL PROVISIONS
Article 708
Scope
1.   This Part applies to the participation of the United Kingdom in Union programmes, activities and services thereunder, in which the Parties have agreed that the United Kingdom participates.
2.   This Part shall not apply to the participation of the United Kingdom in cohesion programmes under the European territorial cooperation goal or similar programmes having the same objective, which takes place on the basis of the basic acts of one or more Union institutions applicable to those programmes.
The applicable conditions for participation in the programmes referred to in the first subparagraph shall be specified in the applicable basic act and the financing agreement concluded thereunder. The Parties shall agree provisions with similar effect to Chapter 2 concerning the participation of the United Kingdom in those programmes.
Article 709
Definitions
For the purposes of this Part, the following definitions apply:
(a)
"basic act" means:
(i)
an act of one or more Union institutions establishing a programme or activity, which provides a legal basis for an action and for the implementation of the corresponding expenditure entered in the Union budget or of the budgetary guarantee backed by the Union budget, including any amendment and any relevant acts of a Union institution which supplement or implement that act, except those adopting work programmes, or
(ii)
an act of one or more Union institutions establishing an activity financed from the Union budget other than programmes;
(b)
"funding agreement" means agreements relating to Union programmes and activities under Protocol I on Programmes and activities in which the United Kingdom participates which implement Union funds, such as grant agreements, contribution agreements, financial framework partnership agreements, financing agreements and guarantee agreements;
(c)
"other rules pertaining to the implementation of the Union programme and activity" means rules laid down in the Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council 
(
85
)
 ("Financial Regulation") that apply to the general budget of the Union, and in the work programme or in the calls or other Union award procedures;
(d)
"Union" means the Union or the European Atomic Energy Community, or both, as the context may require;
(e)
"Union award procedure" means a procedure for award of Union funding launched by the Union or by persons or entities entrusted with the implementation of Union funds;
(f)
"United Kingdom entity" means any type of entity, whether a natural person, legal person or another type of entity, which may participate in activities of a Union programme or activity in accordance with the basic act and who resides or which is established in the United Kingdom.
CHAPTER 1
PARTICIPATION OF THE UNITED KINGDOM IN UNION PROGRAMMES AND ACTIVITIES
SECTION 1
GENERAL CONDITIONS FOR PARTICIPATION IN UNION PROGRAMMES AND ACTIVITIES
Article 710
Establishment of the participation
1.   The United Kingdom shall participate in and contribute to the Union programmes, activities, or in exceptional cases, the part of Union programmes or activities, which are open to its participation, and which shall be listed in a Protocol on Programmes and activities in which the United Kingdom participates ("Protocol I").
2.   Protocol I shall be agreed between the Parties. It shall be adopted and may be amended by the Specialised Committee on Participation in Union Programmes.
3.   Protocol I shall:
(a)
identify the Union programmes, activities, or in exceptional cases, the part of Union programmes or activities, in which the United Kingdom shall participate;
(b)
lay down the duration of participation, which shall refer to the period of time during which the United Kingdom and United Kingdom entities may apply for Union funding or may be entrusted with implementation of Union funds;
(c)
lay down specific conditions for the participation of the United Kingdom and United Kingdom entities, including specific modalities for the implementation of the financial conditions as identified under Article 714, specific modalities of the correction mechanism as identified under Article 716, and conditions for participation in structures created for the purposes of implementing those Union programmes or activities. These conditions shall comply with this Agreement and the basic acts and acts of one or more Union institutions establishing such structures;
(d)
where applicable, lay down the amount of United Kingdom's contribution to a Union programme implemented through a financial instrument or a budgetary guarantee and, where appropriate, specific modalities referred to in Article 717.
Article 711
Compliance with programme rules
1.   The United Kingdom shall participate in the Union programmes, activities or parts thereof listed in Protocol I under the terms and conditions established in this Agreement, in the basic acts and other rules pertaining to the implementation of Union programmes and activities.
2.   The terms and conditions referred to in paragraph 1 shall include:
(a)
the eligibility of the United Kingdom entities and any other eligibility conditions related to the United Kingdom, in particular to the origin, place of activity or nationality;
(b)
the terms and conditions applicable to the submission, assessment and selection of applications and to the implementation of the actions by eligible United Kingdom entities.
3.   The terms and conditions referred to in point (b) of paragraph 2 shall be equivalent to those applicable to eligible Member States entities, except in duly justified exceptional cases as provided for in the terms and conditions referred to in paragraph 1. Either party may bring to the attention of the Specialised Committee on Participation in Union Programmes the need for a discussion of duly justified exclusions.
Article 712
Conditions for participation
1.   The United Kingdom's participation in a Union programme or activity, or parts thereof as referred to in Article 708 shall be conditional upon the United Kingdom:
(a)
making every effort, within the framework of its domestic laws, to facilitate the entry and residence of persons involved in the implementation of these programmes and activities, or parts thereof, including students, researchers, trainees or volunteers;
(b)
ensuring, as far as it is under the control of the United Kingdom authorities, that the conditions for the persons referred to in point (a) to access services in the United Kingdom that are directly related to the implementation of the programmes or activities are the same as for United Kingdom nationals, including as regards any fees;
(c)
as regards participation involving exchange of or access to classified or sensitive non-classified information, having in place the appropriate agreements in accordance with Article 777.
2.   In relation to the United Kingdom's participation in a Union programme or activity, or parts thereof as referred to in Article 708 the Union and its Member States shall:
(a)
make every effort, within the framework of Union or the Member States legislation, to facilitate the entry and residence of United Kingdom nationals involved in the implementation of these programmes and activities, or parts thereof, including students, researchers, trainees or volunteers;
(b)
ensure, as far as it is under the control of the Union and Member States' authorities, that the conditions for the United Kingdom nationals referred to in point (a) to access services in the Union that are directly related to the implementation of the programmes or activities are the same as for Union citizens, including as regards any fees.
3.   Protocol I may lay down further specific conditions referring to this Article, which are necessary for the participation of the United Kingdom in a Union programme or activity, or parts thereof.
4.   This Article is without prejudice to Article 711.
5.   This Article and Article 718, are also without prejudice to any arrangements made between the United Kingdom and Ireland concerning the Common Travel Area.
Article 713
Participation of the United Kingdom in the governance of programmes or activities
1.   Representatives or experts of the United Kingdom, or experts designated by the United Kingdom shall be allowed to take part, as observers unless it concerns points reserved only for Member States or in relation to a programme or activity in which the United Kingdom is not participating, in the committees, expert groups meetings or other similar meetings where representatives or experts of the Member States, or experts designated by Member States take part, and which assist the European Commission in the implementation and management of the programmes, the activities or parts thereof, in which the United Kingdom participates in accordance with Article 708 or are established by the European Commission in respect of the implementation of the Union law in relation to these programmes, activities or parts thereof. The representatives or experts of the United Kingdom, or experts designated by the United Kingdom shall not be present at the time of voting. The United Kingdom shall be informed of the result of the vote.
2.   Where experts or evaluators are not appointed on the basis of nationality, nationality shall not be a reason to exclude United Kingdom nationals.
3.   Subject to the conditions of paragraph 1, participation of the United Kingdom's representatives in the meetings referred to in paragraph 1, or in other meetings related to the implementation of programmes or activities, shall be governed by the same rules and procedures as those applicable to representatives of the Member States, in particular speaking rights, receipt of information and documentation unless it concerns points reserved only for Member States or in relation to a programme or activity in which the United Kingdom is not participating, and the reimbursement of travel and subsistence costs.
4.   Protocol I may define further modalities for the participation of experts, as well as the participation of the United Kingdom in governing boards and structures created for the purposes of implementing Union programmes or activities defined in that Protocol.
SECTION 2
RULES FOR FINANCING THE PARTICIPATION IN UNION PROGRAMMES AND ACTIVITIES
Article 714
Financial conditions
1.   Participation of the United Kingdom or United Kingdom entities in Union programmes, activities or parts thereof shall be subject to the United Kingdom contributing financially to the corresponding funding under the Union budget.
2.   The financial contribution shall take the form of the sum of:
(a)
a participation fee; and
(b)
an operational contribution.
3.   The financial contribution shall take the form of an annual payment made in one or more instalments.
4.   Without prejudice to Article 733, the participation fee shall be 4 % of the annual operational contribution and shall not be subject to retrospective adjustments except in relation to suspension under point (b) of Article 718(7) and termination under point (c) of Article 720(6). As of 2028 the level of the participation fee may be adjusted by the Specialised Committee on Participation in Union Programmes.
5.   The operational contribution shall cover operational and support expenditure and be additional both in commitment and payment appropriations to the amounts entered in the Union budget definitively adopted for programmes or activities or exceptionally parts thereof increased, where appropriate, by external assigned revenue that does not result from financial contributions to Union programmes and activities from other donors, as defined in Protocol I.
6.   The operational contribution shall be based on a contribution key defined as the ratio of the Gross Domestic Product (GDP) of the United Kingdom at market prices to the GDP of the Union at market prices. The GDPs at market prices to be applied shall be the latest available as of 1 January of the year in which the annual payment is made as provided by Statistical Office of the European Union (EUROSTAT), as soon as the arrangement referred to in Article 730 applies and according to the rules of this arrangement. Before this arrangement applies, the GDP of the United Kingdom shall be the one established on the basis of data provided by the Organisation for Economic Co-operation and Development (OECD).
7.   The operational contribution shall be based on the application of the contribution key to the initial commitment appropriations increased as described in paragraph 5 entered in the Union budget definitively adopted for the applicable year for financing the Union programmes or activities or exceptionally parts thereof in which the United Kingdom participates.
8.   The operational contribution of a programme, activity or part thereof for a year N may be adjusted upwards or downwards retrospectively in one or more subsequent years on the basis of the budgetary commitments made on the commitment appropriations of that year, their implementation through legal commitments and their decommitment.
The first adjustment shall be made in year N+1 when the initial contribution shall be adjusted upwards or downwards by the difference between the initial contribution and an adjusted contribution calculated by applying the contribution key of year N to the sum of:
(a)
the amount of budgetary commitments made on commitment appropriations authorised in year N under the European Union adopted budget and on commitment appropriations corresponding to decommitments made available again; and
(b)
any external assigned revenue appropriations that do not result from financial contributions to Union programmes and activities from other donors as defined in Protocol I and that were available at the end of year N.
Each subsequent year, until all the budgetary commitments financed under commitment appropriations originating from year N have been paid or decommitted and at the latest three years after the end of the programme or after the end of the multiannual financial framework corresponding to year N, whichever is earlier, the Union shall calculate an adjustment of the contribution of year N by reducing the United Kingdom contribution by the amount obtained by applying the contribution key of year N to the decommitments made each year on commitments of year N financed under the Union budget or from decommitments made available again.
If external assigned revenue appropriations that do not result from financial contributions to Union programmes and activities from other donors as defined in Protocol I are cancelled, the contribution of the United Kingdom shall be reduced by the amount obtained by applying the contribution key of year N to the amount cancelled.
In year N+2 or in subsequent years, after having made the adjustments referred to in the second, third and fourth subparagraphs, the contribution of the United Kingdom for year N shall also be reduced by an amount obtained by multiplying the contribution of the United Kingdom for year N and the ratio of:
(a)
the legal commitments of year N, funded under any commitment appropriations available in year N, and resulting from competitive award procedures,
(i)
from which the United Kingdom and the United Kingdom entities have been excluded; or
(ii)
for which the Specialised Committee on Participation in Union Programmes has decided, in accordance with the procedure established in Article 715 that there has been a quasi-exclusion of United Kingdom or United Kingdom entities; or
(iii)
for which the deadline for submission of applications has expired during the suspension referred to in Article 718 or after termination referred to in Article 720 has taken effect; or
(iv)
for which the participation of the United Kingdom and United Kingdom entities has been limited in accordance with Article 722(3); and
(b)
the total amount of legal commitments funded under any commitment appropriations of year N.
This amount of legal commitments shall be calculated by taking all budgetary commitments made in year N and deducting the decommitments that have been made on these commitments in year N+1.
9.   Upon request, the Union shall provide the United Kingdom with information in relation to its financial participation as included in the budgetary, accounting, performance and evaluation related information provided to the Union budgetary and discharge authorities concerning the Union programmes and activities in which the United Kingdom participates. That information shall be provided having due regard to the Union's and United Kingdom's confidentiality and data protection rules and is without prejudice to the information which the United Kingdom is entitled to receive under Chapter 2.
10.   All contributions of the United Kingdom or payments from the Union, and the calculation of amounts due or to be received, shall be made in euros.
11.   Subject to paragraph 5 and the second subparagraph of paragraph 8 of this Article, the detailed provisions for the implementation of this Article are set out in Annex 47. Annex 47 may be amended by the Specialised Committee on Participation in Union Programmes.
Article 715
Quasi exclusion from competitive grant award procedure
1.   When the United Kingdom considers that certain conditions laid down in a competitive grant award procedure amount to a quasi-exclusion of United Kingdom entities, the United Kingdom shall notify the Specialised Committee on Participation in Union Programmes before the deadline for submission of applications in the procedure concerned and shall provide justification.
2.   Within three months of the deadline for submission of applications in the award procedure concerned, the Specialised Committee on Participation in Union Programmes shall examine the notification referred to in the paragraph 1 provided that the participation rate of United Kingdom entities in the award procedure concerned is at least 25 % lower compared to:
(a)
the average participation rate of United Kingdom entities in similar competitive award procedures not containing such a condition and launched within the three years preceding the notification; or,
(b)
in the absence of similar competitive award procedures, the average participation rate of United Kingdom entities in all competitive award procedures launched under the programme, or the preceding programme, as relevant, within the 3 years preceding the notification.
3.   The Specialised Committee on Participation in Union Programmes shall by the end of the period referred to in paragraph 2, decide whether there has been a quasi-exclusion of the United Kingdom entities from the award procedure concerned in light of the justification provided by the United Kingdom pursuant to paragraph 1 and the effective participation rate in the award procedure concerned.
4.   For the purposes of paragraphs 2 and 3, the participation rate shall be the ratio of the number of applications submitted by United Kingdom entities to the total number of applications submitted within the same award procedure.
Article 716
Programmes to which an automatic correction mechanism applies
1.   An automatic correction mechanism shall apply in relation to those Union programmes, activities or parts thereof for which the application of an automatic correction mechanism is provided in Protocol I. The application of that automatic correction mechanism may be limited to parts of the programme or activity specified in Protocol I, which are implemented through grants for which competitive calls are organised. Detailed rules on the identification of the parts of the programme or activity to which the automatic correction mechanism does or does not apply may be established in Protocol I.
2.   The amount of the automatic correction for a programme or activity or parts thereof shall be the difference between the initial amounts of the legal commitments actually entered into with the United Kingdom or United Kingdom entities financed from commitment appropriations of the year in question and the corresponding operational contribution paid by the United Kingdom as adjusted pursuant to Article 714(8), excluding support expenditure, covering the same period if that amount is positive.
3.   Any amount referred to in paragraph 2 of this Article, which for each of two consecutive years exceeds 8 % of the corresponding contribution of the United Kingdom to the programme as adjusted pursuant to Article 714(8) shall be due by the United Kingdom as an additional contribution under the automatic correction mechanism for each of those two years.
4.   Detailed rules on the establishment of the relevant amounts of the legal commitments referred to in paragraph 2 of this Article, including in the case of consortia, and on the calculation of the automatic correction may be laid down in Protocol I.
Article 717
Financing in relation to programmes implemented through financial instruments or budgetary guarantees
1.   Where the United Kingdom participates in a Union programme, activity, or parts thereof that is implemented through a financial instrument or budgetary guarantee, the contribution of the United Kingdom to programmes implemented through financial instruments or budgetary guarantees under the Union budget implemented under Title X of the Financial Regulation applicable to the general budget of the Union shall be made in the form of cash. The amount contributed in cash shall increase the Union budgetary guarantee or the financial envelope of the financial instrument.
2.   Where the United Kingdom participates in a programme referred to in paragraph 1 of this Article that is implemented by the European Investment Bank Group, if the European Investment Bank Group needs to cover losses that are not covered by the guarantee provided by the Union budget, the United Kingdom shall pay to the European Investment Bank Group a percentage of those losses equal to the ratio of the Gross Domestic Product at market prices of the United Kingdom to the sum of the Gross Domestic Product at market prices of the Member States, the United Kingdom and any other third country participating in that programme. The Gross Domestic Product at market prices to be applied shall be the latest available as of 1 January of the year in which the payment is due as provided by EUROSTAT, as soon as the arrangement referred to in Article 730 applies and according to the rules of this arrangement. Before this arrangement applies, the GDP of the United Kingdom shall be the one established on the basis of data provided by the OECD.
3.   Where appropriate, modalities for the implementation of this Article, in particular ensuring that the United Kingdom receives its share of unused contributions to budgetary guarantees and financial instruments, shall be specified further in Protocol I.
SECTION 3
SUSPENSION AND TERMINATION OF THE PARTICIPATION IN UNION PROGRAMMES
Article 718
Suspension of the participation of the United Kingdom in a Union programme by the Union
1.   The Union may unilaterally suspend the application of Protocol I, in relation to one or more Union programmes, activities, or exceptionally parts thereof in accordance with this Article, if the United Kingdom does not pay its financial contribution in accordance with Section 2 of this Chapter or if the United Kingdom introduces significant changes to one of the following conditions that existed when the United Kingdom participation in a programme, an activity or exceptionally part thereof was agreed and included in Protocol I, and if such changes have a significant impact on their implementation:
(a)
the conditions for entry and residence in the United Kingdom of the persons that are involved in the implementation of these programmes and activities, or parts thereof, including students, researchers, trainees or volunteers are changed. This shall apply, in particular, if the United Kingdom introduces a change in its domestic laws for the conditions for entry and residence in the United Kingdom for these persons, which discriminates between Member States;
(b)
there is a change in financial charges, including fees, that apply to persons referred in point (a) in order to perform the activities that they have to perform in order to implement the programme;
(c)
the conditions referred to in Article 712(3) are changed.
2.   The Union shall notify the Specialised Committee on Participation in Union Programmes of its intention to suspend the participation of the United Kingdom in the programme or activity concerned. The Union shall identify the scope of the suspension and provide due justification. Unless the Union withdraws its notification, the suspension shall take effect 45 days following the date of notification by the Union. The date on which the suspension takes effect shall constitute the suspension reference date for the purposes of this Article.
Prior to notification and suspension, and during the suspension period, the Specialised Committee on Participation in Union Programmes may discuss appropriate measures for avoiding or lifting the suspension. In case the Specialised Committee on Participation in Union Programmes finds an agreement for avoiding the suspension within the period referred to in the first subparagraph, the suspension shall not take effect.
In any case, the Specialised Committee on Participation in Union Programmes shall meet during the period of 45 days to discuss the matter.
3.   As of the suspension reference date the United Kingdom shall not be treated as a country participating in the Union programme, activity, or part thereof concerned by the suspension and in particular, the United Kingdom or United Kingdom entities shall no longer be eligible under the conditions laid down in Article 711 and Protocol I, with regard to Union award procedures which have not been completed yet on that date. An award procedure shall be considered completed when legal commitments have been entered into as a result of that procedure.
4.   The suspension shall not affect legal commitments entered into before the suspension reference date. This Agreement shall continue to apply to such legal commitments.
5.   The United Kingdom shall notify the Union as soon as it considers that compliance with the conditions for participation has been restored, and shall provide the Union with any relevant evidence to that effect.
Within 30 days from that notification the Union shall assess the matter and may, for that purpose, request the United Kingdom to present additional evidence. The time needed to provide such additional evidence shall not be taken into account in the overall period for assessment.
Where the Union has found that compliance with the conditions for participation is restored, it shall notify without undue delay the Specialised Committee on Participation in Union Programmes that the suspension is lifted. The lifting shall take effect on the day following the date of notification.
Where the Union has found that compliance with the conditions for participation is not restored, the suspension shall remain in force.
6.   The United Kingdom shall be treated again as a country participating in the Union programme or activity concerned, and in particular United Kingdom and United Kingdom entities shall be again eligible under the conditions laid down in Article 711 and Protocol I, with regard to Union award procedures under that Union programme or activity which were launched after the date on which the lifting of the suspension takes effect, or which were launched before that date, and for which the deadline for the submission of applications has not expired.
7.   In case of the United Kingdom participation in a programme, activity, or part thereof being suspended, the financial contribution of the United Kingdom that is due during the period of suspension shall be established as follows:
(a)
the Union shall recalculate the operational contribution using the procedure described in point (a)(iii) of the fifth subparagraph of Article 714(8);
(b)
the participation fee shall be adjusted in line with the adjustment of the operational contribution.
Article 719
Termination of the participation of the United Kingdom in a Union programme by the Union
1.   If, by one year after the reference date referred to in Article 718(2) the Union has not lifted the suspension under Article 718, the Union shall either:
(a)
reassess the conditions under which it may offer to allow the United Kingdom to continue participating in the Union programmes, activities or parts thereof concerned and shall propose those conditions to the Specialised Committee on Participation in Union Programmes within 45 days from expiry of the one year suspension period with a view to modifying Protocol I. In the absence of an agreement on those measures by the Specialised Committee within a further period of 45 days, termination shall take effect as referred to in point (b) of this paragraph; or
(b)
terminate unilaterally the application of Protocol I, in relation to the Union programmes, activities or parts thereof concerned, in accordance with this Article, taking into account the impact of the change referred to in Article 718 on the implementation of the programme or activity or exceptionally parts thereof, or the amount of the unpaid contribution.
2.   The Union shall notify the Specialised Committee on Participation in Union Programmes of its intention to terminate the participation of the United Kingdom in one or more Union programmes or activities pursuant to point (b) of paragraph 1. The Union shall identify the scope of the termination and provide due justification. Unless the Union withdraws its notification, the termination shall take effect 45 days following the date of notification by the Union. The date on which the termination takes effect shall constitute the termination reference date for the purposes of this Article.
3.   As of the termination reference date the United Kingdom shall not be treated as a country participating in the Union programme or activity concerned by the termination, and in particular the United Kingdom or United Kingdom entities shall no longer be eligible under the conditions laid down in Article 711 and in Protocol I, with regard to Union award procedures which have not been completed yet as of that date. An award procedure shall be considered to have been completed if legal commitments have been entered into as a result of that procedure.
4.   The termination shall not affect legal commitments entered into before the suspension reference date referred to in Article 718(2). This Agreement shall continue to apply to such legal commitments.
5.   Where the application of Protocol I, or a part thereof, is terminated in respect of the programmes or activities or exceptionally parts thereof concerned:
(a)
the operational contribution covering support expenditure related to legal commitments already entered into shall continue to be due until the completion of those legal commitments or the end of the multiannual financial framework under which the legal commitment has been financed;
(b)
no contribution except the one referred to in point (a) shall be made in the following years.
Article 720
Termination of the participation in a programme or activity in the case of substantial modification to Union programmes
1.   The United Kingdom may unilaterally terminate its participation in a Union programme or activity or part thereof referred to in Protocol I where:
(a)
the basic act of that Union programme or activity is amended to an extent that the conditions for participation of the United Kingdom or of United Kingdom entities in that Union programme or activity have been substantially modified, in particular, as a result of a change of the objectives of the programme or activity and of the corresponding actions; or
(b)
the total amount of commitment appropriations as referred to in Article 714 is increased by more than 15 % compared with the initial financial envelope of that programme or activity or part thereof in which the United Kingdom participates and either the corresponding ceiling of the multiannual financial framework has been increased or the amount of external revenue referred to in Article 714(5) for the whole period of participation has been increased; or
(c)
the United Kingdom or United Kingdom entities are excluded from participation in part of a programme or activity on duly justified grounds, and that exclusion concerns commitment appropriations exceeding 10 % of the commitment appropriations in the Union budget definitively adopted for a year N for that programme or activity.
2.   To this effect, the United Kingdom shall notify its intention to terminate Protocol I in relation to the Union programme or activity concerned, to the Specialised Committee on Participation in Union Programmes at the latest 60 days after the publication of the amendment or of the adopted annual budget or an amendment to it in the 
Official Journal of the European Union
. The United Kingdom shall explain the reasons for which the United Kingdom considers the amendment to substantially alter the conditions of participation. The Specialised Committee on Participation in Union Programmes shall meet within 45 days of receiving the notification to discuss the matter.
3.   Unless the United Kingdom withdraws its notification, the termination shall take effect 45 days following the date of notification by the United Kingdom. The date on which the termination takes effect shall constitute the reference date for the purposes of this Article.
4.   As of the reference date the United Kingdom shall not be treated as a country participating in the Union programme or activity concerned by the termination, and in particular the United Kingdom or United Kingdom entities shall no longer be eligible under the conditions laid down in Article 711 and in Protocol I, with regard to Union award procedures which have not been completed yet as of that date. An award procedure shall be considered to have been completed if legal commitments have been entered into as a result of that procedure.
5.   The termination shall not affect legal commitments entered into before the reference date. This Agreement shall continue to apply to such legal commitments.
6.   In case of termination under this Article in respect of the programmes or activities concerned:
(a)
the operational contribution covering support expenditure related to legal commitments already entered into shall continue to be due until the completion of those legal commitments or the end of the multiannual financial framework under which the legal commitment has been financed;
(b)
the Union shall recalculate the operational contribution of the year where termination occurs using the procedure described in point (a)(iii) of the fifth subparagraph of Article 714(8). No contribution except the one referred to in point (a) of this Article shall be made in the following years;
(c)
the participation fee shall be adjusted in line with the adjustment of the operational contribution.
SECTION 4
REVIEW OF PERFORMANCE AND FINANCIAL INCREASES
Article 721
Performance review
1.   A performance review procedure shall apply in accordance with the conditions laid down in this Article in relation to parts of the Union programme or activity to which the correction mechanism referred to in Article 716 applies.
2.   The United Kingdom may request the Specialised Committee on Participation in Union Programmes to start the performance review procedure where the amount calculated in accordance with the method laid down in Article 716(2) is negative, and where that amount is higher than 12 % of the corresponding contributions of the United Kingdom to the programme or activity as adjusted pursuant to Article 714(8).
3.   The Specialised Committee on Participation in Union Programmes, within a period of three months from the date of the request referred to in paragraph 2, shall analyse the relevant performance-related data and adopt a report proposing appropriate measures to address performance related issues.
The measures referred to in the first subparagraph shall be applied for a period of twelve months after the adoption of the report. Following the application of the measures, performance data over the period in question shall be used to calculate the difference between the initial amounts due under the legal commitments actually entered into with the United Kingdom or United Kingdom entities during that calendar year and the corresponding operational contribution paid by the United Kingdom for the same year.
If the difference referred to in the second subparagraph is negative and exceeds 16 % of the corresponding operational contribution, the United Kingdom may:
(a)
notify its intention to terminate its participation in the Union programme or part of a programme concerned by giving notice 45 days before the intended day of termination, and may terminate its participation in accordance with Article 720(3) to (6); or
(b)
request the Specialised Committee on Participation in Union Programmes to adopt further measures to address underperformance, including by making adaptations to the participation of the United Kingdom in the Union programme concerned and adjusting future financial contributions of the United Kingdom in respect of that programme.
Article 722
Financial increases review
1.   The United Kingdom may notify the Specialised Committee on Participation in Union Programmes that it objects to the amount of its contribution to a Union programme or activity if the total amount of commitment appropriations as referred to in Article 714 is increased by more than 5 % compared with the initial financial envelope for that Union programme or activity and either the corresponding ceiling has been increased or the amount of external revenue referred to in Article 714(5) for the whole period of participation has been increased.
2.   The notification referred to in paragraph 1 of this Article shall be made within 60 days as of the publication date of the adopted annual budget or an amendment to it in the 
Official Journal of the European Union
. The notification shall be without prejudice to the obligation of the United Kingdom to pay its contribution and to the application of the adjustment mechanism referred to in Article 714(8).
3.   The Specialised Committee on Participation in Union Programmes shall prepare a report, propose and decide on the adoption of appropriate measures within three months from the date of the notification referred to in paragraph 2 of this Article. Those measures may include limiting the participation of the United Kingdom and United Kingdom entities to certain types of actions or award procedures or, where appropriate, a modification of Protocol I. The limitation of the United Kingdom's participation will be treated as an exclusion for the purposes of the adjustment mechanism referred to in Article 714(8).
4.   Where the conditions referred to in point (b) of Article 720(1) are fulfilled, the United Kingdom may terminate its participation in a Union programme or activity referred to in Protocol I in accordance with Article 720(2) to (6).
CHAPTER 2
SOUND FINANCIAL MANAGEMENT
Article 723
Scope
This Chapter shall apply in relation to the Union programmes, activities and services under Union programmes referred to in Protocol I and Protocol II on access of the United Kingdom to services established under certain Union programmes and activities in which the United Kingdom does not participate (Protocol II).
SECTION 1
PROTECTION OF FINANCIAL INTERESTS AND RECOVERY
Article 724
Conduct of activity for the purposes of sound financial management
For the purposes of the application of this Chapter, the authorities of the United Kingdom and of the Union referred to in this Chapter shall cooperate closely in accordance with their respective laws and regulations.
When exercising their duties in the territory of the United Kingdom, the agents and investigative bodies of the Union shall act in a manner consistent with United Kingdom law.
Article 725
Reviews and audits
1.   The Union shall have the right to conduct as provided in relevant funding agreements or contracts and in accordance with the applicable acts of one or more Union institutions, technical, scientific, financial, or other types of reviews and audits on the premises of any natural person residing in or legal entity established in the United Kingdom and receiving Union funding, as well as any third party involved in the implementation of Union funding residing or established in the United Kingdom. Such reviews and audits may be carried out by the agents of the institutions and bodies of the Union, in particular of the European Commission and the European Court of Auditors, or by other persons mandated by the European Commission in accordance with Union law.
2.   The agents of the institutions and bodies of the Union, in particular the agents of the European Commission and the European Court of Auditors, as well as other persons mandated by the European Commission, shall have appropriate access to sites, works and documents (in electronic versions, paper versions, or both) and to all the information required in order to carry out such reviews and audits, as referred to in paragraph 1. Such access shall include the right to obtain physical or electronic copies of, and extracts from, any document or the contents of any data medium held by audited natural or legal persons, or by the audited third party.
3.   The United Kingdom shall not prevent or raise any obstacle to the right of the agents and other persons referred to in paragraph 2 to enter the United Kingdom and to access the premises of the audited persons, in the exercise of their duties referred to in this Article.
4.   Notwithstanding the suspension or termination of the United Kingdom's participation in a programme or activity, the suspension of part or all of the provisions of this Part and/or Protocol I or the termination of this Agreement, the reviews and audits may be carried out also after the date on which the relevant suspension or termination takes effect, on the terms laid down in the applicable acts of one or more Union institutions and as provided in the relevant funding agreements or contracts in relation to any legal commitment implementing the Union budget entered into by the Union before the date on which the relevant suspension or termination takes effect.
Article 726
Fight against irregularities, fraud and other criminal offences affecting the financial interests of the Union
1.   The European Commission and the European Anti-Fraud Office (OLAF) shall be authorised to carry out administrative investigations, including on-the-spot checks and inspections, in the territory of the United Kingdom. The European Commission and OLAF shall act in accordance with the Union acts governing those checks, inspections and investigations.
2.   The competent United Kingdom authorities shall inform the European Commission or OLAF within a reasonable period of any fact or suspicion which has come to their notice relating to an irregularity, fraud or other illegal activity affecting the financial interests of the Union.
3.   On-the-spot checks and inspections may be carried out on the premises of any natural person residing in or legal entity established in the United Kingdom and that receives Union funding under a funding agreement or a contract, as well as on the premises of any third party involved in the implementation of such Union funding residing or established in the United Kingdom. Such checks and inspections shall be prepared and conducted by the European Commission or OLAF in close collaboration with the competent United Kingdom authority designated by the United Kingdom. The designated authority shall be notified within a reasonable period before the checks and inspections of the object, purpose and legal basis of those checks and inspections, to enable it to provide assistance. To that end, the officials of the competent United Kingdom authorities may participate in the on-the-spot checks and inspections.
4.   The agents of the European Commission and OLAF shall have access to all the information and documentation (in electronic versions, paper versions, or both) relating to the operations referred to in paragraph 3, which are required for the proper conduct of the on-the-spot checks and inspections. In particular, the agents of the European Commission and OLAF may copy relevant documents.
5.   The European Commission or OLAF and the competent United Kingdom authorities shall decide on a case-by-case basis whether to conduct on-the-spot checks and inspections jointly, including where both parties are competent to conduct investigations.
6.   Where the person, entity or another third party who is subject to an on-the-spot check or inspection resists an on-the-spot check or inspection, the United Kingdom authorities, acting in accordance with national rules and regulations, shall assist the European Commission or OLAF, to enable them to fulfil their duties in carrying out the on-the-spot check or inspection. Such assistance shall include taking the appropriate precautionary measures under national law, including measures to safeguard evidence.
7.   The European Commission or OLAF shall inform the competent United Kingdom authorities of the result of such checks and inspections. In particular the European Commission or OLAF shall report as soon as possible to the competent United Kingdom authority any fact or suspicion relating to an irregularity which has come to their notice in the course of the on-the-spot check or inspection.
8.   Without prejudice to application of United Kingdom law, the European Commission may impose administrative measures and penalties on legal or natural persons participating in the implementation of a programme or activity in accordance with Union legislation.
9.   For the purposes of the proper implementation of this Article, the European Commission or OLAF and the United Kingdom competent authorities shall regularly exchange information and, at the request of one of the parties to this Agreement, consult each other, unless prohibited under Union legislation or under United Kingdom law.
10.   In order to facilitate effective cooperation and the exchange of information with OLAF the United Kingdom shall designate a contact point.
11.   The exchange of information between the European Commission or OLAF and the United Kingdom competent authorities shall comply with applicable confidentiality requirements. Personal data included in the exchange of information shall be protected in accordance with applicable rules.
12.   Without prejudice to the applicability of Article 634, where any United Kingdom national, or natural persons residing in the United Kingdom, or legal entities established in the United Kingdom receive Union funding under Union programmes and activities listed in Protocol I, directly or indirectly, including in connection with any third party involved in the implementation of such Union funding, the United Kingdom authorities shall cooperate with the Union authorities or authorities of the Member States of the Union responsible for investigating, prosecuting and bringing to judgement the perpetrators of, and accomplices to, criminal offences affecting the financial interests of the Union in relation to such funding, in accordance with the applicable legislation and international instruments, to allow them to fulfil their duties.
Article 727
Amendments to Articles 708, 723, 725 and 726
The Specialised Committee on Participation in Union Programmes may amend Articles 725 and 726, in particular to take account of changes of acts of one or more Union institutions.
The Specialised Committee on Participation in Union Programmes may amend Article 708 and Article 723 to extend the application of this Chapter to other Union programmes, activities and services.
Article 728
Recovery and enforcement
1.   Decisions adopted by the European Commission imposing a pecuniary obligation on legal or natural persons other than States in relation to any claims stemming from Union programmes, activities, actions or projects shall be enforceable in the United Kingdom. The order for its enforcement shall be appended to the decision, without any other formality than a verification of the authenticity of the decision by the national authority designated for this purpose by the United Kingdom. The United Kingdom shall make known its designated national authority to the Commission and the Court of Justice of the European Union. In accordance with Article 729, the European Commission shall be entitled to notify such enforceable decisions directly to persons residing and legal entities established in the United Kingdom. The enforcement of those decisions shall take place in accordance with United Kingdom law.
2.   Judgments and orders of the Court of Justice of the European Union delivered in application of an arbitration clause contained in a contract or agreement in relation to Union programmes, activities or parts thereof under Protocol I shall be enforceable in the United Kingdom in the same manner as European Commission decisions, as referred to in paragraph 1 of this Article.
3.   The Court of Justice of the European Union shall have jurisdiction to review the legality of the decisions of the Commission referred to in paragraph 1 and to suspend the enforcement of such decisions. However, the Courts of the United Kingdom shall have jurisdiction over complaints alleging that enforcement is being carried out in an irregular manner.
SECTION 2
OTHER RULES FOR THE IMPLEMENTATION OF UNION PROGRAMMES
Article 729
Communication and exchange of information
The Union institutions and bodies involved in the implementation of Union programmes or activities, or in control of such programmes or activities, shall be entitled to communicate directly, including through electronic exchange systems, with any natural person residing in the United Kingdom or legal entity established in the United Kingdom receiving Union funding, as well as with any third party involved in the implementation of Union funding that resides or is established in the United Kingdom. Such persons, entities and third parties may submit directly to the Union institutions and bodies all relevant information and documentation which they are required to submit on the basis of the Union legislation applicable to the Union programme or activity or on the basis of the contracts or funding agreements concluded to implement that programme or activity.
Article 730
Statistical cooperation
EUROSTAT and the United Kingdom Statistics Authority may establish an arrangement that enables cooperation on relevant statistical matters and includes that EUROSTAT, with the agreement of the United Kingdom Statistics Authority, provides statistical data on the United Kingdom for the purposes of this Part, including, in particular, data on the GDP of the United Kingdom.
CHAPTER 3
ACCESS OF THE UNITED KINGDOM TO SERVICES UNDER UNION PROGRAMMES
Article 731
Rules on service access
1.   Where the United Kingdom does not participate in a Union programme or activity in accordance with Chapter 1, it may nevertheless have access to services provided under Union programmes and activities under the terms and conditions established in this Agreement, the basic acts and any other rules pertaining to the implementation of Union programmes and activities.
2.   Protocol II shall, where appropriate:
(a)
identify the services under Union programmes and activities, to which the United Kingdom and United Kingdom entities shall have access;
(b)
lay down specific conditions for the access by the United Kingdom and United Kingdom entities. Those conditions shall comply with the conditions laid down in this Agreement and in the basic acts;
(c)
where applicable, specify the United Kingdom's financial or in-kind contribution with respect to a service provided under such Union programmes and activities.
3.   Protocol II shall be adopted and may be amended by the Specialised Committee on Participation in Union Programmes.
4.   The United Kingdom and public and private spacecraft owners and operators operating in or from the United Kingdom shall have access to the services provided under Article 5(1) of Decision No 541/2014/EU of the European Parliament and of the Council 
(
86
)
 in accordance with Article 5(2) of that Decision until provisions on similar access are included in Protocol II or until 31 December 2021.
CHAPTER 4
REVIEWS
Article 732
Review clause
Four years after Protocols I and II become applicable, the Specialised Committee on Participation in Union Programmes shall review the implementation thereof on the basis of the data concerning the participation of United Kingdom entities in indirect and direct actions under the programme, parts of the programme, activities and services covered under Protocols I and II.
Following a request by either Party, the Specialised Committee on Participation in Union Programmes shall discuss changes or proposed changes affecting the terms of the United Kingdom participation in any of the programmes or parts of programmes, activities and services listed in Protocols I and II, and, if necessary, may propose appropriate measures within the scope of this Agreement.
CHAPTER 5
PARTICIPATION FEE IN THE YEARS 2021 TO 2026
Article 733
Participation fee in the years 2021 to 2026
The participation fee referred to in Article 714(4) shall have the following value in the years 2021 to 2026:
—
in 2021: 0,5 %;
—
in 2022: 1 %;
—
in 2023: 1,5 %;
—
in 2024: 2 %;
—
in 2025: 2,5 %;
—
in 2026: 3 %.
PART SIX
DISPUTE SETTLEMENT AND HORIZONTAL PROVISIONS
TITLE I
DISPUTE SETTLEMENT
CHAPTER 1
GENERAL PROVISIONS
Article 734
Objective
The objective of this Title is to establish an effective and efficient mechanism for avoiding and settling disputes between the Parties concerning the interpretation and application of this Agreement and supplementing agreements with a view to reaching, where possible, a mutually agreed solution.
Article 735
Scope
1.   This Title applies, subject to paragraphs 2, 3, 4 and 5, to disputes between the Parties concerning the interpretation and application of the provisions of this Agreement or of any supplementing agreement ("covered provisions").
2.   The covered provisions shall include all provisions of this Agreement and of any supplementing agreement with the exception of:
(a)
Article 32(1) to (6) and Article 36;
(b)
Annex 12;
(c)
Title VII of Heading one of Part Two;
(d)
Title X of Heading One of Part Two;
(e)
Article 355(1), (2) and (4), Article 356(1) and (3), Chapter 2 of Title XI of Heading One of Part Two, Articles 371 and 372, Chapter 5 of Title XI of Heading One of Part Two, and Article 411(4) to (9);
(f)
Part Three, including when applying in relation to situations governed by other provisions of this Agreement;
(g)
Part Four;
(h)
Title II of Part Six;
(i)
Article 782; and
(j)
the Agreement on security procedures for exchanging and protecting classified information.
3.   The Partnership Council may be seized by a Party with a view to resolving a dispute with respect to obligations arising from the provisions referred to in paragraph 2.
4.   Article 736 applies to the provisions referred to in paragraph 2 of this Article.
5.   Notwithstanding paragraphs 1 and 2, this Title shall not apply with respect to disputes concerning the interpretation and application of the provisions of the Protocol on Social Security Coordination or its annexes in individual cases.
Article 736
Exclusivity
The Parties undertake not to submit a dispute between them regarding the interpretation or application of provisions of this Agreement or of any supplementing agreement to a mechanism of settlement other than those provided for in this Agreement.
Article 737
Choice of forum in case of a substantially equivalent obligation under another international agreement
1.   If a dispute arises regarding a measure allegedly in breach of an obligation under this Agreement or any supplementing agreement and of a substantially equivalent obligation under another international agreement to which both Parties are party, including the WTO Agreement, the Party seeking redress shall select the forum in which to settle the dispute.
2.   Once a Party has selected the forum and initiated dispute settlement procedures either under this Title or under another international agreement, that Party shall not initiate such procedures under the other international agreement with respect to the particular measure referred to in paragraph 1, unless the forum selected first fails to make findings for procedural or jurisdictional reasons.
3.   For the purposes of this Article:
(a)
dispute settlement procedures under this Title are deemed to be initiated by a Party's request for the establishment of an arbitration tribunal under Article 739;
(b)
dispute settlement procedures under the WTO Agreement are deemed to be initiated by a Party's request for the establishment of a panel under Article 6 of the Understanding on Rules and Procedure Governing the Settlement of Disputes of the WTO; and
(c)
dispute settlement procedures under any other agreement are deemed to be initiated if they are initiated in accordance with the relevant provisions of that agreement.
4.   Without prejudice to paragraph 2, nothing in this Agreement or any supplementing agreement shall preclude a Party from suspending obligations authorised by the Dispute Settlement Body of the WTO or authorised under the dispute settlement procedures of another international agreement to which the Parties are party. The WTO Agreement or any other international agreement between the Parties shall not be invoked to preclude a Party from suspending obligations under this Title.
CHAPTER 2
PROCEDURE
Article 738
Consultations
1.   If a Party (the "complaining Party") considers that the other Party (the "respondent Party") has breached an obligation under this Agreement or under any supplementing agreement, the Parties shall endeavour to resolve the matter by entering into consultations in good faith, with the aim of reaching a mutually agreed solution.
2.   The complaining Party may seek consultations by means of a written request delivered to the respondent Party. The complaining Party shall specify in its written request the reasons for the request, including the identification of the measures at issue and the legal basis for the request, and the covered provisions it considers applicable.
3.   The respondent Party shall reply to the request promptly, and in any case no later than 10 days after the date of its delivery. Consultations shall be held within 30 days of the date of delivery of the request in person or by any other means of communication agreed by the Parties. If held in person, consultations shall take place in the territory of the respondent Party, unless the Parties agree otherwise.
4.   The consultations shall be deemed concluded within 30 days of the date of delivery of the request, unless the Parties agree to continue consultations.
5.   Consultations on matters of urgency, including those regarding perishable goods or seasonal goods or services, shall be held within 20 days of the date of delivery of the request. The consultations shall be deemed concluded within those 20 days unless the Parties agree to continue consultations.
6.   Each Party shall provide sufficient factual information to allow a complete examination of the measure at issue, including an examination of how that measure could affect the application of this Agreement or any supplementing agreement. Each Party shall endeavour to ensure the participation of personnel of their competent authorities who have expertise in the matter subject to the consultations.
7.   For any dispute concerning an area other than Titles I to VII, Chapter 4 of Title VIII, Titles IX to XII of Heading One or Heading Six of Part Two, at the request of the complaining Party, the consultations referred to in paragraph 3 of this Article shall be held in the framework of a Specialised Committee or of the Partnership Council. The Specialised Committee may at any time decide to refer the matter to the Partnership Council. The Partnership Council may also seize itself of the matter. The Specialised Committee, or, as the case may be, the Partnership Council, may resolve the dispute by a decision. The time periods referred to in paragraph 3 of this Article shall apply. The venue of meetings shall be governed by the rules of procedure of the Specialised Committee or, as the case may be, the Partnership Council.
8.   Consultations, and in particular all information designated as confidential and positions taken by the Parties during consultations, shall be confidential, and shall be without prejudice to the rights of either Party in any further proceedings.
Article 739
Arbitration procedure
1.   The complaining Party may request the establishment of an arbitration tribunal if:
(a)
the respondent Party does not respond to the request for consultations within 10 days of the date of its delivery;
(b)
consultations are not held within the time periods referred to in Article 738(3), (4) or (5);
(c)
the Parties agree not to have consultations; or
(d)
consultations have been concluded without a mutually agreed solution having been reached.
2.   The request for the establishment of the arbitration tribunal shall be made by means of a written request delivered to the respondent Party. In its request, the complaining Party shall explicitly identify the measure at issue and explain how that measure constitutes a breach of the covered provisions in a manner sufficient to present the legal basis for the complaint clearly.
Article 740
Establishment of an arbitration tribunal
1.   An arbitration tribunal shall be composed of three arbitrators.
2.   No later than 10 days after the date of delivery of the request for the establishment of an arbitration tribunal, the Parties shall consult with a view to agreeing on the composition of the arbitration tribunal.
3.   If the Parties do not agree on the composition of the arbitration tribunal within the time period provided for in paragraph 2 of this Article, each Party shall appoint an arbitrator from the sub-list for that Party established pursuant to Article 752 no later than five days after the expiry of the time period provided for in paragraph 2 of this Article. If a Party fails to appoint an arbitrator from its sub-list within that time period, the co-chair of the Partnership Council from the complaining Party shall select, no later than five days after the expiry of that time period, an arbitrator by lot from the sub-list of the Party that has failed to appoint an arbitrator. The co-chair of the Partnership Council from the complaining Party may delegate such selection by lot of the arbitrator.
4.   If the Parties do not agree on the chairperson of the arbitration tribunal within the time period provided for in paragraph 2 of this Article, the co-chair of the Partnership Council from the complaining Party shall select, no later than five days after the expiry of that time period, the chairperson of the arbitration tribunal by lot from the sub-list of chairpersons established pursuant to Article 752. The co-chair of the Partnership Council from the complaining Party may delegate such selection by lot of the chairperson of the arbitration tribunal.
5.   Should any of the lists provided for in Article 752 not be established or not contain sufficient names at the time a selection is made pursuant to paragraph 3 or 4 of this Article, the arbitrators shall be selected by lot from the individuals who have been formally proposed by one Party or both Parties in accordance with Annex 48.
6.   The date of establishment of the arbitration tribunal shall be the date on which the last of the three arbitrators has notified to the Parties the acceptance of his or her appointment in accordance with Annex 48.
Article 741
Requirements for arbitrators
1.   All arbitrators shall:
(a)
have demonstrated expertise in law and international trade, including on specific matters covered by Titles I to VII, Chapter 4 of Title VIII, Titles IX to XII of Heading One of Part Two or Heading Six of Part Two, or in law and any other matter covered by this Agreement or by any supplementing agreement and, in the case of a chairperson, also have experience in dispute settlement procedures;
(b)
not be affiliated with or take instructions from either Party;
(c)
serve in their individual capacities and not take instructions from any organisation or government with regard to matters related to the dispute; and
(d)
comply with Annex 49.
2.   All arbitrators shall be persons whose independence is beyond doubt, who possess the qualifications required for appointment to high judicial office in their respective countries or who are jurisconsults of recognised competence.
3.   In view of the subject-matter of a particular dispute, the Parties may agree to derogate from the requirements listed in point (a) of paragraph 1.
Article 742
Functions of the arbitration tribunal
The arbitration tribunal:
(a)
shall make an objective assessment of the matter before it, including an objective assessment of the facts of the case and the applicability of, and conformity of the measures at issue with, the covered provisions;
(b)
shall set out, in its decisions and rulings, the findings of facts and law and the rationale behind any findings that it makes; and
(c)
should consult regularly with the Parties and provide adequate opportunities for the development of a mutually agreed solution.
Article 743
Terms of reference
1.   Unless the Parties agree otherwise no later than five days after the date of the establishment of the arbitration tribunal, the terms of reference of the arbitration tribunal shall be:
"to examine, in the light of the relevant covered provisions of this Agreement or of a supplementing agreement, the matter referred to in the request for the establishment of the arbitration tribunal, to decide on the conformity of the measure at issue with the provisions referred to in Article 735 and to issue a ruling in accordance with Article 745".
2.   If the Parties agree on terms of reference other than those referred to in paragraph 1, they shall notify the agreed terms of reference to the arbitration tribunal within the time period referred to in paragraph 1.
Article 744
Urgent proceedings
1.   If a Party so requests, the arbitration tribunal shall decide, no later than 10 days after the date of its establishment, whether the case concerns matters of urgency.
2.   In cases of urgency, the applicable time periods set out in Article 745 shall be half the time prescribed therein.
Article 745
Ruling of the arbitration tribunal
1.   The arbitration tribunal shall deliver an interim report to the Parties within 100 days after the date of establishment of the arbitration tribunal. If the arbitration tribunal considers that this deadline cannot be met, the chairperson of the arbitration tribunal shall notify the Parties in writing, stating the reasons for the delay and the date on which the arbitration tribunal plans to deliver its interim report. The arbitration tribunal shall not deliver its interim report later than 130 days after the date of establishment of the arbitration tribunal under any circumstances.
2.   Each Party may deliver to the arbitration tribunal a written request to review precise aspects of the interim report within 14 days of its delivery. A Party may comment on the other Party's request within six days of the delivery of the request.
3.   If no written request to review precise aspects of the interim report is delivered within the time period referred to in paragraph 2, the interim report shall become the ruling of the arbitration tribunal.
4.   The arbitration tribunal shall deliver its ruling to the Parties within 130 days of the date of establishment of the arbitration tribunal. When the arbitration tribunal considers that that deadline cannot be met, its chairperson shall notify the Parties in writing, stating the reasons for the delay and the date on which the arbitration tribunal plans to deliver its ruling. The arbitration tribunal shall not deliver its ruling later than 160 days after the date of establishment of the arbitration tribunal under any circumstances.
5.   The ruling shall include a discussion of any written request by the Parties on the interim report and clearly address the comments of the Parties.
6.   For greater certainty, a "ruling" or "rulings" as referred to in Articles 742, 743 and 753 and Article 754(1), (3), (4) and (6) shall be understood to refer also to the interim report of the arbitration tribunal.
CHAPTER 3
COMPLIANCE
Article 746
Compliance measures
1.   If, in its ruling referred to in Article 745(4), the arbitration tribunal finds that the respondent Party has breached an obligation under this Agreement or under any supplementing agreement, that Party shall take the necessary measures to comply immediately with the ruling of the arbitration tribunal in order to bring itself in compliance with the covered provisions.
2.   The respondent Party, no later than 30 days after delivery of the ruling, shall deliver a notification to the complaining Party of the measures which it has taken or which it envisages to take in order to comply.
Article 747
Reasonable Period of Time
1.   If immediate compliance is not possible, the respondent Party, no later than 30 days after delivery of the ruling referred to in Article 745(4), shall deliver a notification to the complaining Party of the length of the reasonable period of time it will require for compliance with the ruling referred to in Article 745(4). The Parties shall endeavour to agree on the length of the reasonable period of time to comply.
2.   If the Parties have not agreed on the length of the reasonable period of time, the complaining Party may, at the earliest 20 days after the delivery of the notification referred to in paragraph 1, request in writing that the original arbitration tribunal determines the length of the reasonable period of time. The arbitration tribunal shall deliver its decision to the Parties within 20 days of the date of delivery of the request.
3.   The respondent Party shall deliver a written notification of its progress in complying with the ruling referred to in Article 745(4) to the complaining Party at least one month before the expiry of the reasonable period of time.
4.   The Parties may agree to extend the reasonable period of time.
Article 748
Compliance Review
1.   The respondent Party shall, no later than the date of expiry of the reasonable period of time, deliver a notification to the complaining Party of any measure that it has taken to comply with the ruling referred to in Article 745(4).
2.   When the Parties disagree on the existence of, or the consistency with the covered provisions of, any measure taken to comply, the complaining Party may deliver a request, which shall be in writing, to the original arbitration tribunal to decide on the matter. The request shall identify any measure at issue and explain how that measure constitutes a breach of the covered provisions in a manner sufficient to present the legal basis for the complaint clearly. The arbitration tribunal shall deliver its decision to the Parties within 45 days of the date of delivery of the request.
Article 749
Temporary Remedies
1.   The respondent Party shall, at the request of and after consultations with the complaining Party, present an offer for temporary compensation if:
(a)
the respondent Party delivers a notification to the complaining Party that it is not possible to comply with the ruling referred to in Article 745(4); or
(b)
the respondent Party fails to deliver a notification of any measure taken to comply within the deadline referred to in Article 746 or before the date of expiry of the reasonable period of time; or
(c)
the arbitration tribunal finds that no measure taken to comply exists or that the measure taken to comply is inconsistent with the covered provisions.
2.   In any of the conditions referred to in points (a), (b) and (c) of paragraph 1, the complaining Party may deliver a written notification to the respondent Party that it intends to suspend the application of obligations under the covered provisions if:
(a)
the complaining Party decides not to make a request under paragraph 1; or
(b)
the Parties do not agree on the temporary compensation within 20 days after the expiry of the reasonable period of time or the delivery of the arbitration tribunal decision under Article 748 if a request under paragraph 1 of this Article is made.
The notification shall specify the level of intended suspension of obligations.
3.   Suspension of obligations shall be subject to the following conditions:
(a)
obligations under Heading Four of Part Two, the Protocol on Social Security Coordination or its annexes or Part Five may not be suspended under this Article;
(b)
by way of derogation from point (a), obligations under Part Five may be suspended only where the ruling referred to in Article 745(4) concerns the interpretation and implementation of Part Five;
(c)
obligations outside Part Five may not be suspended where the ruling referred to in Article 745(4) concerns the interpretation and implementation of Part Five; and
(d)
obligations under Title II of Heading One of Part Two in respect of financial services may not be suspended under this Article, unless the ruling referred to in Article 745(4) concerns the interpretation and application of obligations under Title II of Heading One of Part two in respect of financial services.
4.   Where a Party persists in not complying with a ruling of an arbitration panel established under an earlier agreement concluded between the Parties, the other Party may suspend obligations under the covered provisions referred to in Article 735. With the exception of the rule in point (a) of paragraph 3 of this Article, all rules relating to temporary remedies in case of non-compliance and to review of any such measures shall be governed by the earlier agreement.
5.   The suspension of obligations shall not exceed the level equivalent to the nullification or impairment caused by the violation.
6.   If the arbitration tribunal has found the violation in Heading One or Heading Three of Part Two, the suspension may be applied in another Title of the same Heading as that in which the tribunal has found the violation, in particular if the complaining party is of the view that such suspension is effective in inducing compliance.
7.   If the arbitration tribunal has found the violation in Heading Two of Part Two:
(a)
the complaining party should first seek to suspend obligations in the same Title as that in which the arbitration tribunal has found the violation;
(b)
if the complaining party considers that it is not practicable or effective to suspend obligations with respect to the same Title as that in which the tribunal has found the violation, it may seek to suspend obligations in the other Title under the same Heading.
8.   If the arbitration tribunal has found the violation in Heading One, Heading Two, Heading Three or Heading Five of Part Two, and if the complaining party considers that it is not practicable or effective to suspend obligations within the same Heading as that in which the arbitration tribunal has found the violation, and that the circumstances are serious enough, it may seek to suspend obligations under other covered provisions.
9.   In the case of point (b) of paragraph 7 and paragraph 8, the complaining Party shall state the reasons for its decision.
10.   The complaining Party may suspend the obligations 10 days after the date of delivery of the notification referred to in paragraph 2 unless the respondent Party made a request under paragraph 11.
11.   If the respondent Party considers that the notified level of suspension of obligations exceeds the level equivalent to the nullification or impairment caused by the violation or that the principles and procedures set forth in point (b) of paragraph 7, paragraph 8 or paragraph 9 have not been followed, it may deliver a written request to the original arbitration tribunal before the expiry of the 10 day period set out in paragraph 10 to decide on the matter. The arbitration tribunal shall deliver its decision on the level of the suspension of obligations to the Parties within 30 days of the date of the request. Obligations shall not be suspended until the arbitration tribunal has delivered its decision. The suspension of obligations shall be consistent with that decision.
12.   The arbitration tribunal acting pursuant to paragraph 11 shall not examine the nature of the obligations to be suspended but shall determine whether the level of such suspension exceeds the level equivalent to the nullification or impairment caused by the violation. However, if the matter referred to arbitration includes a claim that the principles and procedures set forth in point (b) of paragraph 7, paragraph 8 or paragraph 9 have not been followed, the arbitration tribunal shall examine that claim. In the event the arbitration tribunal determines that those principles and procedures have not been followed, the complaining party shall apply them consistently with point (b) of paragraph 7, paragraph 8 and paragraph 9. The parties shall accept the arbitration tribunal's decision as final and shall not seek a second arbitration procedure. This paragraph shall under no circumstances delay the date as of which the complaining Party is entitled to suspend obligations under this Article.
13.   The suspension of obligations or the compensation referred to in this Article shall be temporary and shall not be applied after:
(a)
the Parties have reached a mutually agreed solution pursuant to Article 756;
(b)
the Parties have agreed that the measure taken to comply brings the respondent Party into compliance with the covered provisions; or
(c)
any measure taken to comply which the arbitration tribunal has found to be inconsistent with the covered provisions has been withdrawn or amended so as to bring the respondent Party into compliance with those covered provisions.
Article 750
Review of any measure taken to comply after the adoption of temporary remedies
1.   The respondent Party shall deliver a notification to the complaining Party of any measure it has taken to comply following the suspension of obligations or following the application of temporary compensation, as the case may be. With the exception of cases under paragraph 2, the complaining Party shall terminate the suspension of obligations within 30 days from the delivery of the notification. In cases where compensation has been applied, with the exception of cases under paragraph 2, the respondent Party may terminate the application of such compensation within 30 days from the delivery of its notification that it has complied.
2.   If the Parties do not reach an agreement on whether the notified measure brings the respondent Party into compliance with the covered provisions within 30 days of the date of delivery of the notification, the complaining Party shall deliver a written request to the original arbitration tribunal to decide on the matter. The arbitration tribunal shall deliver its decision to the Parties within 46 days of the date of the delivery of the request. If the arbitration tribunal finds that the measure taken to comply is in conformity with the covered provisions, the suspension of obligations or compensation, as the case may be, shall be terminated. When relevant, the level of suspension of obligations or of compensation shall be adjusted in light of the arbitration tribunal decision.
CHAPTER 4
COMMON PROCEDURAL PROVISIONS
Article 751
Receipt of information
1.   On request of a Party, or on its own initiative, the arbitration tribunal may seek from the Parties relevant information it considers necessary and appropriate. The Parties shall respond promptly and fully to any request by the arbitration tribunal for such information.
2.   On request of a Party, or on its own initiative, the arbitration tribunal may seek from any source any information it considers appropriate. The arbitration tribunal may also seek the opinion of experts as it considers appropriate and subject to any terms and conditions agreed by the Parties, where applicable.
3.   The arbitration tribunal shall consider amicus curiae submissions from natural persons of a Party or legal persons established in a Party in accordance with Annex 48.
4.   Any information obtained by the arbitration tribunal under this Article shall be made available to the Parties and the Parties may submit comments on that information to the arbitration tribunal.
Article 752
Lists of arbitrators
1.   The Partnership Council shall, no later than 180 days after the date of entry into force of this Agreement, establish a list of individuals with expertise in specific sectors covered by this Agreement or its supplementing agreements who are willing and able to serve as members of an arbitration tribunal. The list shall comprise at least 15 persons and shall be composed of three sub-lists:
(a)
one sub-list of individuals established on the basis of proposals by the Union;
(b)
one sub-list of individuals established on the basis of proposals by the United Kingdom; and
(c)
one sub-list of individuals who are not nationals of either Party who shall serve as chairperson to the arbitration tribunal.
Each sub-list shall include at least five individuals. The Partnership Council shall ensure that the list is always maintained at this minimum number of individuals.
2.   The Partnership Council may establish additional lists of individuals with expertise in specific sectors covered by this Agreement or by any supplementing agreement. Subject to the agreement of the Parties, such additional lists may be used to compose the arbitration tribunal in accordance with the procedure set out in Article 740(3) and (5). Additional lists shall be composed of two sub-lists:
(a)
one sub-list of individuals established on the basis of proposals by the Union; and
(b)
one sub-list of individuals established on the basis of proposals by the United Kingdom.
3.   The lists referred to in paragraphs 1 and 2 shall not comprise persons who are members, officials or other servants of the Union institutions, of the Government of a Member State, or of the Government of the United Kingdom.
Article 753
Replacement of arbitrators
If during dispute settlement procedures under this Title, an arbitrator is unable to participate, withdraws, or needs to be replaced because that arbitrator does not comply with the requirements of the Code of Conduct, the procedure set out in Article 740 shall apply. The time period for the delivery of the ruling or decision shall be extended for the time necessary for the appointment of the new arbitrator.
Article 754
Arbitration tribunal decisions and rulings
1.   The deliberations of the arbitration tribunal shall be kept confidential. The arbitration tribunal shall make every effort to draft rulings and take decisions by consensus. If this is not possible, the arbitration tribunal shall decide the matter by majority vote. In no case shall separate opinions of arbitrators be disclosed.
2.   The decisions and rulings of the arbitration tribunal shall be binding on the Union and on the United Kingdom. They shall not create any rights or obligations with respect to natural or legal persons.
3.   Decisions and rulings of the arbitration tribunal cannot add to or diminish the rights and obligations of the Parties under this Agreement or under any supplementing agreement.
4.   For greater certainty, the arbitration tribunal shall have no jurisdiction to determine the legality of a measure alleged to constitute a breach of this Agreement or of any supplementing agreement, under the domestic law of a Party. No finding made by the arbitration tribunal when ruling on a dispute between the Parties shall bind the domestic courts or tribunals of either Party as to the meaning to be given to the domestic law of that Party.
5.   For greater certainty, the courts of each Party shall have no jurisdiction in the resolution of disputes between the Parties under this Agreement.
6.   Each Party shall make the rulings and decisions of the arbitration tribunal publicly available, subject to the protection of confidential information.
7.   The information submitted by the Parties to the arbitration tribunal shall be treated in accordance with the confidentiality rules laid down in Annex 48.
Article 755
Suspension and termination of the arbitration proceedings
At the request of both Parties, the arbitration tribunal shall suspend its work at any time for a period agreed by the Parties and not exceeding 12 consecutive months. The arbitration tribunal shall resume its work before the end of the suspension period at the written request of both Parties, or at the end of the suspension period at the written request of either Party. The requesting Party shall deliver a notification to the other Party accordingly. If a Party does not request the resumption of the arbitration tribunal's work at the expiry of the suspension period, the authority of the arbitration tribunal shall lapse and the dispute settlement procedure shall be terminated. In the event of a suspension of the work of the arbitration tribunal, the relevant time periods shall be extended by the same time period for which the work of the arbitration tribunal was suspended.
Article 756
Mutually agreed solution
1.   The Parties may at any time reach a mutually agreed solution with respect to any dispute referred to in Article 735.
2.   If a mutually agreed solution is reached during panel proceedings, the Parties shall jointly notify the agreed solution to the chairperson of the arbitration tribunal. Upon such notification, the arbitration proceedings shall be terminated.
3.   The solution may be adopted by means of a decision of the Partnership Council. Mutually agreed solutions shall be made publicly available. The version disclosed to the public shall not contain any information either Party has designated as confidential.
4.   Each Party shall take the measures necessary to implement the mutually agreed solution within the agreed time period.
5.   No later than the date of expiry of the agreed time period, the implementing Party shall inform the other Party in writing of any measures thus taken to implement the mutually agreed solution.
Article 757
Time Periods
1.   All time periods laid down in this Title shall be counted in days from the day following the act to which they refer.
2.   Any time period referred to in this Title may be modified by mutual agreement of the Parties.
3.   The arbitration tribunal may at any time propose to the Parties to modify any time period referred to in this Title, stating the reasons for the proposal.
Article 758
Costs
1.   Each Party shall bear its own expenses derived from the participation in the arbitration tribunal procedure.
2.   The Parties shall share jointly and equally the expenses derived from organisational matters, including the remuneration and expenses of the members of the arbitration tribunal. The remuneration of the arbitrators shall be in accordance with Annex 48.
Article 759
Annexes
1.   Dispute settlement procedures set out in this Title shall be governed by the rules of procedure set out in Annex 48 and conducted in accordance with Annex 49.
2.   The Partnership Council may amend Annexes 48 and 49.
CHAPTER 5
SPECIFIC ARRANGEMENTS FOR UNILATERAL MEASURES
Article 760
Special procedures for remedial measures and rebalancing
1.   For the purposes of Article 374 and Article 411(2) and (3), this Title applies with the modifications set out in this Article.
2.   By way of derogation from Article 740 and Annex 48, if the Parties do not agree on the composition of the arbitration tribunal within two days, the co-chair of the Partnership Council from the complaining Party shall select, no later than one day after the expiry of the two-day time period, an arbitrator by lot from the sub-list of each Party and the chairperson of the arbitration tribunal by lot from the sub-list of chairpersons established pursuant to Article 752. The co-chair of the Partnership Council from the complaining Party may delegate such selection by lot of the arbitrator or chairperson. Each individual shall confirm his or her availability to both Parties within two days from the date on which he or she was informed of his or her appointment. The organisational meeting referred to in Rule 10 of Annex 48 shall take place within two days from the establishment of the arbitration tribunal.
3.   By way of derogation from Rule 11 of Annex 48 the complaining Party shall deliver its written submission no later than seven days after the date of establishment of the arbitration tribunal. The respondent Party shall deliver its written submission no later than seven days after the date of delivery of the written submission of the complaining Party. The arbitration tribunal shall adjust any other relevant time periods of the dispute settlement procedure as necessary to ensure the timely delivery of the report.
4.   Article 745 does not apply and references to the ruling in this Title shall be read as references to the ruling referred to in Article 374(10) or point (c) of Article 411(3).
5.   By way of derogation from Article 748(2), the arbitration tribunal shall deliver its decision to the Parties within 30 days from the date of delivery of the request.
Article 761
Suspension of obligations for the purposes of Article 374(12), Article 501(5) and Article 506(7)
1.   The level of suspension of obligations shall not exceed the level equivalent to the nullification or impairment of benefits under this Agreement or under a supplementing agreement that is directly caused by the remedial or compensatory measures from the date the remedial or compensatory measures enter into effect until the date of the delivery of the arbitration ruling.
2.   The level of suspension of obligations requested by the complaining Party and the determination of the level of suspension of obligations by the arbitration tribunal shall be based on facts demonstrating that the nullification or impairment arises directly from the application of the remedial or compensatory measure and affects specific goods, service suppliers, investors or other economic actors and not merely on allegation, conjecture or remote possibility.
3.   The level of nullified or impaired benefits requested by the complaining Party or determined by the arbitration tribunal:
(a)
shall not include punitive damages, interest or hypothetical losses of profits or business opportunities;
(b)
shall be reduced by any prior refunds of duties, indemnification of damages or other forms of compensation already received by the concerned operators or the concerned Party; and
(c)
shall not include the contribution to the nullification or impairment by wilful or negligent action or omission of the concerned Party or any person or entity in relation to whom remedies are sought pursuant to the intended suspension of obligations.
Article 762
Conditions for rebalancing, remedial, compensatory and safeguard measures
Where a Party takes a measure under Article 374, Article 411, Article 469, Article 501, Article 506 or Article 773, that measure shall only be applied in respect of covered provisions within the meaning of Article 735 and shall comply, 
mutatis mutandis
, with the conditions set out in Article 749(3).
TITLE II
BASIS FOR COOPERATION
Article 763
Democracy, rule of law and human rights
1.   The Parties shall continue to uphold the shared values and principles of democracy, the rule of law, and respect for human rights, which underpin their domestic and international policies. In that regard, the Parties reaffirm their respect for the Universal Declaration of Human Rights and the international human rights treaties to which they are parties.
2.   The Parties shall promote such shared values and principles in international forums. The Parties shall cooperate in promoting those values and principles, including with or in third countries.
Article 764
Fight against climate change
1.   The Parties consider that climate change represents an existential threat to humanity and reiterate their commitment to strengthening the global response to this threat. The fight against human-caused climate change as elaborated in the United Nations Framework Convention on Climate Change ("UNFCCC") process, and in particular in the Paris Agreement adopted by the Conference of the Parties to the United Nations Framework Convention on Climate Change at its 21st session (the "Paris Agreement"), inspires the domestic and external policies of the Union and the United Kingdom. Accordingly, each Party shall respect the Paris Agreement and the process set up by the UNFCCC and refrain from acts or omissions that would materially defeat the object and purpose of the Paris Agreement.
2.   The Parties shall advocate the fight against climate change in international forums, including by engaging with other countries and regions to increase their level of ambition in the reduction of greenhouse emissions.
Article 765
Countering proliferation of weapons of mass destruction
1.   The Parties consider that the proliferation of weapons of mass destruction ("WMD") and their means of delivery, to both state and non-state actors, represents one of the most serious threats to international stability and security. The Parties therefore agree to cooperate and to contribute to countering the proliferation of weapons of mass destruction and their means of delivery through full compliance with and national implementation of existing obligations under international disarmament and non-proliferation treaties and agreements and other relevant international obligations.
2.   The Parties, furthermore, agree to cooperate on and to contribute to countering the proliferation of weapons of mass destruction and their means of delivery by:
(a)
taking steps to sign, ratify, or accede to, as appropriate, and fully implement all other relevant international instruments; and
(b)
establishing an effective system of national export controls, controlling the export as well as transit of WMD-related goods, including a WMD end-use control on dual use technologies and containing effective sanctions for breaches of export controls.
3.   The Parties agree to establish a regular dialogue on those matters.
Article 766
Small arms and light weapons and other conventional weapons
1.   The Parties recognise that the illicit manufacture, transfer and circulation of small arms and light weapons ("SALW"), including their ammunition, their excessive accumulation, their poor management, inadequately secured stockpiles and their uncontrolled spread continue to pose a serious threat to peace and international security.
2.   The Parties agree to observe and fully implement their respective obligations to deal with the illicit trade in SALW, including their ammunition, under existing international agreements and UN Security Council resolutions, as well as their respective commitments within the framework of other international instruments applicable in this area, such as the UN Programme of Action to prevent, combat and eradicate the illicit trade in SALW in all its aspects.
3.   The Parties recognise the importance of domestic control systems for the transfer of conventional arms in line with existing international standards. The Parties recognise the importance of applying such controls in a responsible manner, as a contribution to international and regional peace, security and stability, and to the reduction of human suffering, as well as to the prevention of diversion of conventional weapons.
4.   The Parties undertake, in that regard, to fully implement the Arms Trade Treaty and to cooperate with each other within the framework of that Treaty, including in promoting the universalisation and full implementation of that Treaty by all UN member states.
5.   The Parties therefore undertake to cooperate in their efforts to regulate or improve the regulation of international trade in conventional arms and to prevent, combat and eradicate the illicit trade in arms.
6.   The Parties agree to establish a regular dialogue on those matters.
Article 767
The most serious crimes of concern to the international community
1.   The Parties reaffirm that the most serious crimes of concern to the international community as a whole must not go unpunished and that their effective prosecution must be ensured by taking measures at the national level and by enhancing international cooperation, including with the International Criminal Court. The Parties agree to fully support the universality and integrity of the Rome Statute of the International Criminal Court and related instruments.
2.   The Parties agree to establish a regular dialogue on those matters.
Article 768
Counter-terrorism
1.   The Parties shall cooperate at the bilateral, regional and international levels to prevent and combat acts of terrorism in all its forms and manifestations in accordance with international law, including, where applicable, international counterterrorism-related agreements, international humanitarian law and international human rights law, as well as in accordance with the principles of the Charter of the United Nations.
2.   The Parties shall enhance cooperation on counter-terrorism, including preventing and countering violent extremism and the financing of terrorism, with the aim of advancing their common security interests, taking into account, the United Nations Global Counter-Terrorism Strategy and relevant United Nations Security Council resolutions, without prejudice to law enforcement and judicial cooperation in criminal matters and intelligence exchanges.
3.   The Parties agree to establish a regular dialogue on those matters. This dialogue will, inter alia, aim to promote and facilitate:
(a)
the sharing of assessments on the terrorist threat;
(b)
the exchange of best practices and expertise on counter terrorism;
(c)
operational cooperation and exchange of information; and
(d)
exchanges on cooperation in the framework of multilateral organisations.
Article 769
Personal data protection
1.   The Parties affirm their commitment to ensuring a high level of personal data protection. They shall endeavour to work together to promote high international standards.
2.   The Parties recognise that individuals have a right to the protection of personal data and privacy and that high standards in this regard contribute to trust in the digital economy and to the development of trade, and are a key enabler for effective law enforcement cooperation. To that end, the Parties shall undertake to respect, each in the framework of their respective laws and regulations, the commitments they have made in this Agreement in connection with that right.
3.   The Parties shall cooperate at bilateral and multilateral levels, while respecting their respective laws and regulations. Such cooperation may include dialogue, exchanges of expertise, and cooperation on enforcement, as appropriate, with respect to personal data protection.
4.   Where this Agreement or any supplementing agreement provide for the transfer of personal data, such transfer shall take place in accordance with the transferring Party's rules on international transfers of personal data. For greater certainty, this paragraph is without prejudice to the application of any specific provisions in this Agreement relating to the transfer of personal data, in particular Article 202 and Article 525, and to Title I of Part Six. Where needed, each Party will make best efforts, while respecting its rules on international transfers of personal data, to establish safeguards necessary for the transfer of personal data, taking into account any recommendations of the Partnership Council under point (h) of Article 7(4).
Article 770
Global cooperation on issues of shared economic, environmental and social interest
1.   The Parties recognise the importance of global cooperation to address issues of shared economic, environmental and social interest. Where it is in their mutual interest, they shall promote multilateral solutions to common problems.
2.   While preserving their decision-making autonomy, and without prejudice to other provisions of this Agreement or any supplementing agreement, the Parties shall endeavour to cooperate on current and emerging global issues of common interest such as peace and security, climate change, sustainable development, cross-border pollution, environmental protection, digitalisation, public health and consumer protection, taxation, financial stability, and free and fair trade and investment. To that end, they shall endeavour to maintain a constant and effective dialogue and to coordinate their positions in multilateral organisations and forums in which the Parties participate, such as the United Nations, the Group of Seven (G-7) and the Group of Twenty (G-20), the Organisation for Economic Co-operation and Development, the International Monetary Fund, the World Bank and the World Trade Organization.
Article 771
Essential elements
Article 763(1), Article 764(1) and Article 765(1) constitute essential elements of the partnership established by this Agreement and any supplementing agreement.
TITLE III
FULFILLMENT OF OBLIGATIONS AND SAFEGUARD MEASURES
Article 772
Fulfilment of obligations described as essential elements
1.   If either Party considers that there has been a serious and substantial failure by the other Party to fulfil any of the obligations that are described as essential elements in Article 771, it may decide to terminate or suspend the operation of this Agreement or any supplementing agreement in whole or in part.
2.   Before doing so, the Party invoking the application of this Article shall request that the Partnership Council meet immediately with a view to seeking a timely and mutually agreeable solution. If no mutually agreeable solution is found within 30 days from the date of the request to the Partnership Council, the Party may take the measures referred to in paragraph 1.
3.   The measures referred to in paragraph 1 shall be in full respect of international law and shall be proportionate. Priority shall be given to the measures which least disturb the functioning of this Agreement and of any supplementing agreements.
4.   The Parties consider that, for a situation to constitute a serious and substantial failure to fulfil any of the obligations described as essential elements in Article 771, its gravity and nature would have to be of an exceptional sort that threatens peace and security or that has international repercussions. For greater certainty, an act or omission which materially defeats the object and purpose of the Paris Agreement shall always be considered as a serious and substantial failure for the purposes of this Article.
Article 773
Safeguard measures
1.   If serious economic, societal or environmental difficulties of a sectorial or regional nature, including in relation to fishing activities and their dependent communities, that are liable to persist arise, the Party concerned may unilaterally take appropriate safeguard measures. Such safeguard measures shall be restricted with regard to their scope and duration to what is strictly necessary in order to remedy the situation. Priority shall be given to those measures which will least disturb the functioning of this Agreement.
2.   The Party concerned shall, without delay, notify the other Party through the Partnership Council and shall provide all relevant information. The Parties shall immediately enter into consultations in the Partnership Council with a view to finding a mutually agreeable solution.
3.   The Party concerned may not take safeguard measures until one month has elapsed after the date of notification referred to in paragraph 2, unless the consultation procedure pursuant to paragraph 2 has been jointly concluded before the expiration of the stated time limit. When exceptional circumstances requiring immediate action exclude prior examination, the Party concerned may apply forthwith the safeguard measures strictly necessary to remedy the situation.
The Party concerned shall, without delay, notify the measures taken to the Partnership Council and shall provide all relevant information.
4.   If a safeguard measure taken by the Party concerned creates an imbalance between the rights and obligations under this Agreement or under any supplementing agreement, the other Party may take such proportionate rebalancing measures as are strictly necessary to remedy the imbalance. Priority shall be given to those measures which will least disturb the functioning of this Agreement. Paragraphs 2 to 4 shall apply 
mutatis mutandis
 to such rebalancing measures.
5.   Either Party may, without having prior recourse to consultations pursuant to Article 738, initiate the arbitration procedure referred to in Article 739 to challenge a measure taken by the other Party in application of paragraphs 1 to 5 of this Article.
6.   The safeguard measures referred to in paragraph 1 and the rebalancing measures referred to in paragraph 5 may also be taken in relation to a supplementing agreement, unless otherwise provided therein.
PART SEVEN
FINAL PROVISIONS
Article 774
Territorial scope
1.   This Agreement applies to:
(a)
the territories to which the TEU, the TFEU and the Treaty establishing the European Atomic Energy Community are applicable, and under the conditions laid down in those Treaties; and
(b)
the territory of the United Kingdom.
2.   This Agreement also applies to the Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle of Man to the extent set out in Heading Five of Part Two and Article 520.
3.   This Agreement shall neither apply to Gibraltar nor have any effects in that territory.
4.   This Agreement does not apply to the overseas territories having special relations with the United Kingdom: Anguilla; Bermuda; British Antarctic Territory; British Indian Ocean Territory; British Virgin Islands; Cayman Islands; Falkland Islands; Montserrat; Pitcairn, Henderson, Ducie and Oeno Islands; Saint Helena, Ascension and Tristan da Cunha; South Georgia and the South Sandwich Islands; and Turks and Caicos Islands.
Article 775
Relationship with other agreements
This Agreement and any supplementing agreement apply without prejudice to any earlier bilateral agreement between the United Kingdom of the one part and the Union and the European Atomic Energy Community of the other part. The Parties reaffirm their obligations to implement any such Agreement.
Article 776
Review
The Parties shall jointly review the implementation of this Agreement and supplementing agreements and any matters related thereto five years after the entry into force of this Agreement and every five years thereafter.
Article 777
Classified information and sensitive non-classified information
Nothing in this Agreement or in any supplementing agreement shall be construed as requiring a Party to make available classified information.
Classified information or material provided by or exchanged between the Parties under this Agreement or any supplementing agreement shall be handled and protected in compliance with the Agreement on security procedures for exchanging and protecting classified information and any implementing arrangement concluded under it.
The Parties shall agree upon handling instructions to ensure the protection of sensitive non-classified information exchanged between them.
Article 778
Integral parts of this Agreement
1.   The Protocols, Annexes, Appendices and footnotes to this Agreement shall form an integral part of this Agreement.
2.   Each of the Annexes to this Agreement, including its appendices, shall form an integral part of the Section, Chapter, Title, Heading or Protocol that refers to that Annex or to which reference is made in that Annex. For greater certainty:
(a)
Annex 1 forms an integral part of Title III of Part One;
(b)
Annexes 2, 3, 4, 5, 6, 7, 8 and 9 form an integral part of Chapter 2 of Title I of Heading One of Part Two;
(c)
Annex 10 forms an integral part of Chapter 3 of Title I of Heading One of Part Two;
(d)
Annexes 11, 12, 13, 14, 15, 16 and 17 form an integral part of Chapter 4 of Title I of Heading One of Part Two;
(e)
Annex 18 forms an integral part of Chapter 5 of Title I of Heading One of Part Two;
(f)
Annexes 19, 20, 21, 22, 23 and 24 form an integral part of Title II of Heading One of Part Two;
(g)
Annex 25 forms an integral part of Title VI of Heading One of Part Two;
(h)
Annexes 26, 27, 28 and 29 form an integral part of Title VIII of Heading One of Part Two;
(i)
Annex 27 forms an integral part of Title XI of Heading One of Part Two;
(j)
Annex 30 and any annex adopted in accordance with Article 454 form an integral part of Title Two of Heading Two of Part Two;
(k)
Annex 31 forms an integral part of Title I of Heading Three of Part Two;
(l)
Annexes 32, 33 and 34 form an integral part of Title II of Heading Three of Part Two;
(m)
Annexes 35, 36, 37 and 38 form an integral part of Heading Five of Part Two;
(n)
Annex 39 forms an integral part of Title II of Part Three;
(o)
Annex 40 forms an integral part of Title III of Part Three;
(p)
Annex 41 forms an integral part of Title V of Part Three;
(q)
Annex 42 forms an integral part of Title VI of Part Three;
(r)
Annex 43 forms an integral part of Title VII of Part Three;
(s)
Annex 44 forms an integral part of Title IX of Part Three;
(t)
Annex 45 forms an integral part of Title III, Title VII and Title XI of Part Three;
(u)
Annex 46 forms an integral part of Title XI of Part Three;
(v)
Annex 47 forms an integral part of Section 2 of Chapter 1 of Part Five;
(w)
Annexes 48 and 49 form an integral part of Title I of Part Six;
(x)
the Annex to the protocol on administrative cooperation and combating fraud in the field of value added tax and on mutual assistance for the recovery of claims relating to taxes and duties forms an integral part of the Protocol on administrative cooperation and combating fraud in the field of value added tax and on mutual assistance for the recovery of claims relating to taxes and duties;
(y)
Annexes SSC-1, SSC-2, SSC-3, SSC-4, SSC-5, SSC-6, SSC-7 and SSC-8 and their Appendices form an integral part of the Protocol on Social Security Coordination.
Article 779
Termination
Either Party may terminate this Agreement by written notification through diplomatic channels. This Agreement and any supplementing agreement shall cease to be in force on the first day of the twelfth month following the date of notification.
Article 780
Authentic texts
This Agreement shall be drawn up in duplicate in the Bulgarian, Croatian, Czech, Danish, Dutch, English, Estonian, Finnish, French, German, Greek, Hungarian, Irish, Italian, Latvian, Lithuanian, Maltese, Polish, Portuguese, Romanian, Slovak, Slovenian, Spanish and Swedish languages. By 30 April 2021, all language versions of the Agreement shall be subject to a process of final legal-linguistic revision. Notwithstanding the previous sentence, the process of final legal-linguistic revision for the English version of the Agreement shall be finalised at the latest by the day referred to in Article 783(1) if that day is earlier than 30 April 2021.
The language versions resulting from the above process of final legal-linguistic revision shall replace 
ab initio
 the signed versions of the Agreement and shall be established as authentic and definitive by exchange of diplomatic notes between the Parties.
Article 781
Future accessions to the Union
1.   The Union shall notify the United Kingdom of any new request for accession of a third country to the Union.
2.   During the negotiations between the Union and a third country regarding the accession of that country to the Union 
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87
)
, the Union shall endeavour to:
(a)
on request of the United Kingdom and, to the extent possible, provide any information regarding any matter covered by this Agreement and any supplementing agreement; and
(b)
take into account any concerns expressed by the United Kingdom.
3.   The Partnership Council shall examine any effects of accession of a third country to the Union on this Agreement and any supplementing agreement sufficiently in advance of the date of such accession.
4.   To the extent necessary, the United Kingdom and the Union shall, before the entry into force of the agreement on the accession of a third country to the Union:
(a)
amend this Agreement or any supplementing agreement,
(b)
put in place by decision of the Partnership Council any other necessary adjustments or transitional arrangements regarding this Agreement or any supplementing agreement; or
(c)
decide within the Partnership Council whether:
(i)
to apply Article 492 to the nationals of that third country; or
(ii)
to establish transitional arrangements as regards Article 492 in relation to that third country and its nationals once it accedes to the Union.
5.   In the absence of a decision under point (c)(i) or (ii) of paragraph 4 of this Article by the entry into force of the agreement on the accession of the relevant third country to the Union, Article 492 shall not apply to nationals of that third country.
6.   In the event that the Partnership Council establishes transitional arrangements as referred to in point (c)(ii) of paragraph 4, it shall specify their duration. The Partnership Council may extend the duration of those transitional arrangements.
7.   Before the expiry of the transitional arrangements referred to in point (c)(ii) of paragraph 4 of this Article, the Partnership Council shall decide whether to apply Article 492 to the nationals of that third country from the end of the transitional arrangements. In the absence of such a decision Article 492 shall not apply in relation to the nationals of that third country from the end of the transitional arrangements.
8.   Point (c) of paragraph 4, and paragraphs 5 to 7 are without prejudice to the Union's prerogatives under its domestic legislation.
9.   For greater certainty, without prejudice to point (c) of paragraph 4 and paragraphs 5 to 7, this Agreement shall apply in relation to a new Member State of the Union from the date of accession of that new Member State to the Union.
Article 782
Interim provision for transmission of personal data to the United Kingdom
1.   For the duration of the specified period, transmission of personal data from the Union to the United Kingdom shall not be considered as a transfer to a third country under Union law, provided that the data protection legislation of the United Kingdom on 31 December 2020, as it is saved and incorporated into United Kingdom law by the European Union (Withdrawal) Act 2018 and as modified by the Data Protection, Privacy and Electronic Communications (Amendments etc) (EU Exit) Regulations 2019 (SI 2019/419) 
(
88
)
 (the "applicable data protection regime"), applies and provided that the United Kingdom does not exercise the designated powers without the agreement of the Union within the Partnership Council.
2.   Subject to paragraphs 3 to 11, paragraph 1 shall also apply in respect of transfers of personal data from Iceland, the Principality of Liechtenstein and the Kingdom of Norway to the United Kingdom during the specified period made under Union law as applied in those states by the Agreement on the European Economic Area done at Porto on 2 May 1992, for so long as paragraph 1 applies to transfers of personal data from the Union to the United Kingdom, provided that those states notify both Parties in writing of their express acceptance to apply this provision.
3.   For the purposes of this Article, the "designated powers" means the powers:
(a)
to make regulations pursuant to sections 17A, 17C and 74A of the UK Data Protection Act 2018;
(b)
to issue a new document specifying standard data protection clauses pursuant to section 119A of the UK Data Protection Act 2018;
(c)
to approve a new draft code of conduct pursuant to Article 40(5) of the UK General Data Protection Regulation ("UK GDPR"), other than a code of conduct which cannot be relied on to provide appropriate safeguards for transfers of personal data to a third country under Article 46(2)(e) of the UK GDPR;
(d)
to approve new certification mechanisms pursuant to Article 42(5) of the UK GDPR, other than certification mechanisms which cannot be relied on to provide appropriate safeguards for transfers of personal data to a third country under Article 46(2)(f) of the UK GDPR;
(e)
to approve new binding corporate rules pursuant to Article 47 of the UK GDPR;
(f)
to authorise new contractual clauses referred to in Article 46(3)(a) of the UK GDPR; or
(g)
to authorise new administrative arrangements referred to in Article 46(3)(b) of the UK GDPR.
4.   The "specified period" begins on the date of entry into force of this Agreement and, subject to paragraph 5, ends on one of the following dates, whichever is earlier:
(a)
on the date on which adequacy decisions in relation to the United Kingdom are adopted by the European Commission under Article 36(3) of Directive (EU) 2016/680 and under Article 45(3) of Regulation (EU) 2016/679, or
(b)
on the date four months after the date on which the specified period begins, which period shall be extended by two further months unless one of the Parties objects.
5.   Subject to paragraphs 6 and 7, if, during the specified period, the United Kingdom amends the applicable data protection regime or exercises the designated powers without the agreement of the Union within the Partnership Council, the specified period shall end on the date on which the powers are exercised or the amendment comes into force.
6.   The references to exercising the designated powers in paragraphs 1 and 5 do not include the exercise of such powers the effect of which is limited to alignment with the relevant Union data protection law.
7.   Anything that would otherwise be an amendment to the applicable data protection regime which is:
(a)
made with the agreement of the Union within the Partnership Council; or
(b)
limited to alignment with the relevant Union data protection law;
shall not be treated as an amendment to the applicable data protection regime for the purposes of paragraph 5 and instead should be treated as being part of the applicable data protection regime for the purposes of paragraph 1.
8.   For the purposes of paragraphs 1, 5 and 7, "the agreement of the Union within the Partnership Council" means:
(a)
a decision of the Partnership Council as described in paragraph 11; or
(b)
deemed agreement as described in paragraph 10.
9.   Where the United Kingdom notifies the Union that it proposes to exercise the designated powers or proposes to amend the applicable data protection regime, either party may request, within five working days, a meeting of the Partnership Council which must take place within two weeks of such request.
10.   If no such meeting is requested, the Union is deemed to have given agreement to such exercise or amendment during the specified period.
11.   If such a meeting is requested, at that meeting the Partnership Council shall consider the proposed exercise or amendment and may adopt a decision stating that it agrees to the exercise or amendment during the specified period.
12.   The United Kingdom shall, as far as is reasonably possible, notify the Union when, during the specified period, it enters into a new instrument which can be relied on to transfer personal data to a third country under Article 46(2)(a) of the UK GDPR or section 75(1)(a) of the UK Data Protection Act 2018 during the specified period. Following a notification by the United Kingdom under this paragraph, the Union may request a meeting of the Partnership Council to discuss the relevant instrument.
13.   Title I of Part Six does not apply in respect of disputes regarding the interpretation and application of this Article.
Article 783
Entry into force and provisional application
1.   This Agreement shall enter into force on the first day of the month following that in which both Parties have notified each other that they have completed their respective internal requirements and procedures for establishing their consent to be bound.
2.   The Parties agree to provisionally apply this Agreement from 1 January 2021 provided that prior to that date they have notified each other that their respective internal requirements and procedures necessary for provisional application have been completed. Provisional application shall cease on one of the following dates, whichever is the earliest:
(a)
28 February 2021 or another date as decided by the Partnership Council; or
(b)
the day referred to in paragraph 1.
3.   As from the date from which this Agreement is provisionally applied, the Parties shall understand references in this Agreement to "the date of entry into force of this Agreement" or to "the entry into force of this Agreement" as references to the date from which this Agreement is provisionally applied.
Съставено в Брюксел и Лондон на тридесети декември две хиляди и двадесета година.
Hecho en Bruselas y Londres, el treinta de diciembre de dos mil veinte.
V Bruselu a v Londýně dne třicátého prosince dva tisíce dvacet.
Udfærdiget i Bruxelles og London, den tredivte december to tusind og tyve.
Geschehen zu Brüssel und London am dreißigsten Dezember zweitausendzwanzigt.
Kahe tuhande kahekümnenda aasta detsembrikuu kolmekümnendal päeval Brüsselis ja Londonis.
Έγινε στις Βρυξέλλες και στο Λονδίνο, στις τριάντα Δεκεμβρίου δύο χιλιάδες είκοσι.
Done at Brussels and London on the thirtieth day of December in the year two thousand and twenty.
Fait à Bruxelles et à Londres, le trente décembre deux mille vingt.
Arna dhéanamh sa Bhruiséil agus i Londain, an tríochadú lá de mhí na Nollag an bhliain dhá mhíle fiche.
Sastavljeno u Bruxellesu i Londonu tridesetog prosinca godine dvije tisuće dvadesete.
Fatto a Bruxelles e Londra, addì trenta dicembre duemilaventi.
Briselē un Londonā, divi tūkstoši divdesmitā gada trīsdesmitajā decembrī.
Priimta du tūkstančiai dvidešimtų metų gruodžio trisdešimtą dieną Briuselyje ir Londone.
Kelt Brüsszelben és Londonban, a kétezer-huszadik év december havának harmincadik napján.
Magħmul fi Brussell u Londra, fit-tletin jum ta’ Diċembru fis-sena elfejn u għoxrin.
Gedaan te Brussel en Londen, dertig december tweeduizend twintig.
Sporządzono w Brukseli i Londynie dnia trzydziestego grudnia roku dwa tysiące dwudziestego.
Feito em Bruxelas e em Londres, em trinta de dezembro de dois mil e vinte.
Întocmit la Bruxelles și la Londra la treizeci decembrie două mii douăzeci.
V Bruseli a Londýne tridsiateho decembra dvetisícdvadsať.
V Bruslju in Londonu, tridesetega decembra dva tisoč dvajset.
Tehty Brysselissä ja Lontoossa kolmantenakymmenentenä päivänä joulukuuta vuonna kaksituhattakaksikymmentä.
Som skedde i Bryssel och i London den trettionde december år tjugohundratjugo.
(
1
)
  For the purpose of this Article, interested parties shall be defined as per Article 6.11 of the Anti-dumping Agreement and Article 12.9 of the SCM Agreement.
(
2
)
  Preserving operations such as chilling, freezing or ventilating are considered insufficient within the meaning of point (a), whereas operations such as pickling, drying or smoking that are intended to give a product special or different characteristics are not considered insufficient.
(
3
)
  The period will be of 12 months for requests of information pursuant to Article 62(2) addressed to the customs authority of the exporting Party during the first three months of the application of this Agreement.
(
4
)
  G/TBT/9, 13 November 2000, Annex 4.
(
5
)
  For greater certainty, it is understood that, in particular for the purposes of this Chapter, the notion of "person" includes any association of persons lacking the legal status of a legal person but recognized under applicable law as having the capacity to perform legal acts.
(
6
)
  Air services or related services in support of air services include, but are not limited to, the following services: air transportation; services provided by using an aircraft whose primary purpose is not the transportation of goods or passengers, such as aerial fire-fighting, flight training, sightseeing, spraying, surveying, mapping, photography, parachute jumping, glider towing, helicopter-lift for logging and construction, and other airborne agricultural, industrial and inspection services; the rental of aircraft with crew; and airport operation services.
(
7
)
  National maritime cabotage covers: for the Union, without prejudice to the scope of activities that may be considered cabotage under the relevant national legislation, transportation of passengers or goods between a port or point located in a Member State and another port or point located in that same Member State, including on its continental shelf, as provided for in the United Nations Convention on the Law of the Sea and traffic originating and terminating in the same port or point located in a Member State; for the United Kingdom, transportation of passengers or goods between a port or point located in the United Kingdom and another port or point located in the United Kingdom, including on its continental shelf, as provided for in the United Nations Convention on the Law of the Sea and traffic originating and terminating in the same port or point located in the United Kingdom.
(
8
)
  For greater certainty, the term "activities performed in the exercise of governmental authority" when used in relation to measures of a Party affecting the supply of services, includes "services supplied in the exercise of governmental authority" as defined in point (p) of Article 124.
(
9
)
  For greater certainty, the shipping companies referred to in this point are only considered as legal persons of a Party with respect to their activities relating to the supply of maritime transport services.
(
10
)
  Points (a)(i) to (iii) of Article 128 do not cover measures taken in order to limit the production of an agricultural or fishery product.
(
11
)
  Point (a)(iii) of Article 128 does not cover measures by a Party which limit inputs for the supply of services.
(
12
)
  For greater certainty, point (f) of Article 132(1) is without prejudice to the provisions of Article 207.
(
13
)
  Point (a) (iii) of Article 135 does not cover measures by a Party which limit inputs for the supply of services.
(
14
)
  Where the degree or qualification has not been obtained in the Party where the service is supplied, that Party may evaluate whether this is equivalent to a university degree required in its territory.
(
15
)
  Where the degree or qualification has not been obtained in the Party where the service is supplied, that Party may evaluate whether this is equivalent to a university degree required in its territory.
(
16
)
  Managers and specialists may be required to demonstrate they possess the professional qualifications and experience needed in the legal person to which they are transferred.
(
17
)
  While managers do not directly perform tasks concerning the actual supply of the services, this does not prevent them, in the course of executing their duties as described above, from performing such tasks as may be necessary for the provision of the services.
(
18
)
  The recipient enterprise may be required to submit a training programme covering the duration of the stay for prior approval, demonstrating that the purpose of the stay is for training. For AT, CZ, DE, FR, ES, HU and LT, training must be linked to the university degree which has been obtained.
(
19
)
  Balancing resource constraints against the potential burden on businesses, in cases where it is reasonable to do so, competent authorities may require that all information is submitted in a specified format to consider it "complete for the purposes of processing".
(
20
)
  Competent authorities may meet the requirement set out in point (ii) by informing an applicant in advance in writing, including through a published measure, that a lack of response after a specified period of time from the date of submission of the application indicates acceptance of the application. The reference to "in writing" should be understood as including electronic format.
(
21
)
  Such "opportunity" does not require a competent authority to provide extensions of deadlines.
(
22
)
  Competent authorities are not responsible for delays due to reasons outside their competence.
(
23
)
  For greater certainty, this Article shall not be construed to prevent the negotiation and conclusion of one or more agreements between the Parties on the recognition of professional qualifications on conditions and requirements different from those provided for in this Article.
(
24
)
  For greater certainty, such arrangements shall not lead to the automatic recognition of qualifications but shall set, in the mutual interest of both Parties, the conditions for the competent authorities granting recognition.
(
25
)
  Information requested shall be treated in accordance with the requirements of confidentiality.
(
26
)
  Administrative fees do not include payments for rights to use scarce resources and mandated contributions to universal service provision.
(
27
)
  For the purposes of this Article, "non-discriminatory" means most-favoured-nation and national treatment as defined in Articles 129, 130, 136 and 137, as well as under terms and conditions no less favourable than those accorded to any other user of like public telecommunications networks or services in like situations.
(
28
)
  This Article does not apply to intra-European Union roaming services, which are commercial mobile services provided pursuant to a commercial agreement between suppliers of public telecommunications services that enable an end user to use its home mobile handset or other device for voice, data or messaging services in a Member State other than that in which the end user's home public telecommunications network is located.
(
29
)
  For greater certainty, this modification applies to "services supplied in the exercise of governmental authority" in point (o) of Article 124 as it applies to "activities performed in the exercise of governmental authority" in point (f) of Article 124.
(
30
)
  For greater certainty, this shall not prevent a Party from adopting or maintaining measures for prudential reasons in relation to branches established in its territory by legal persons in the other Party.
(
31
)
  For greater certainty, for the purposes of this Title, Union law is part of the home jurisdiction law of the lawyers referred to in point (e)(i) of this Article.
(
32
)
  
            "Legal arbitration, conciliation and mediation services" means the preparation of documents to be submitted to, the preparation for and appearance before, an arbitrator, conciliator or mediator in any dispute involving the application and interpretation of law. It does not include arbitration, conciliation and mediation services in disputes not involving the application and interpretation of law, which fall under services incidental to management consulting. It also does not include acting as an arbitrator, conciliator or mediator. As a sub-category, international legal arbitration, conciliation or mediation services refers to the same services when the dispute involves parties from two or more countries.
(
33
)
  For greater certainty, for the purposes of this paragraph "designated legal services" means, for services supplied in the Union, legal services in relation to the law of the United Kingdom or any part of it and public international law (excluding Union law), and for services supplied in the United Kingdom, legal services in relation to the law of the Member States (including Union law) and public international law (excluding Union law).
(
34
)
  For greater certainty, "conditions of general application" refer to conditions formulated in objective terms that apply horizontally to an unidentified number of economic operators and thus cover a range of situations and cases.
(
35
)
  For greater certainty, serious balance of payments or external financial difficulties, or threat thereof, may be caused among other factors by serious difficulties related to monetary or exchange rate policies, or threat thereof.
(
36
)
  Each Party may determine the relevant date of filing of the application in accordance with its own legislation.
(
37
)
  This section does not apply to the protection known in the United Kingdom as a design right.
(
38
)
  For the purposes of this Title, the term "plant protection product" shall be defined for each Party by the respective legislations of the Parties.
(
39
)
  For greater certainty, and in so far as permitted by the law of a Party, the term "federations and associations" includes at least collective rights management bodies and professional defence bodies which are regularly recognised as having the right to represent holders of intellectual property rights.
(
40
)
  For the Union the competent authority means the customs authorities.
(
41
)
  For greater certainty, application of the national treatment obligation provided for in this Article is subject to the exceptions referred to in note 3 of the Notes of Sub-sections B1 and B2 of Section B of Annex 25.
(
42
)
  Regulation (EU) 2019/942 of the European Parliament and of the Council of 5 June 2019 establishing a European Union Agency for the Cooperation of Energy Regulators (
OJ EU L 158, 14.6.2019, p. 22
).
(
43
)
  Regulation (EU) 2019/943 of the European Parliament and of the Council of 5 June 2019 on the internal market for electricity (
OJ EU L 158, 14.6.2019, p. 54
) or its predecessors: 
OJ EU L 176, 15.7.2003, p.1
 and 
OJ EU L 211, 14.8.2009, p. 15
.
(
44
)
  Directive 2009/73/EC of the European Parliament and of the Council of 13 July 2009 concerning common rules for the internal market in natural gas (
OJ EU L 211, 14.8.2009, p. 94
) or its predecessor: 
OJ EU L 176, 15.7.2003, p. 57
.
(
45
)
  Commission Regulation (EU) No 838/2010 of 23 September 2010 on laying down guidelines relating to the inter-transmission system operator compensation mechanism and a common regulatory approach to transmission charging (
OJ EU L 250, 24.9.2010, p. 5
).
(
46
)
  Regulation (EC) No 715/2009 of the European Parliament and of the Council of 13 July 2009 on conditions for access to the natural gas transmission networks and repealing Regulation (EC) No 1775/2005 (
OJ EU L 211, 14.8.2009, p. 36
).
(
47
)
  Directive (EU) 2018/2001 of the European Parliament and of the Council of 11 December 2018 on the promotion of the use of energy from renewable sources (
OJ EU L 328, 21.12.2018, p. 82
).
(
48
)
  Directive 2012/27/EU of the European Parliament and of the Council of 25 October 2012 on energy efficiency (
OJ EU L 315, 14.11.2012, p.1
).
(
49
)
  For the Union, such principles include the precautionary principle.
(
50
)
  For the United Kingdom, "small and medium-sized enterprises" means small and micro-sized businesses.
(
51
)
  In the case of the United Kingdom, major regulatory measures shall be understood as significant regulatory measures in accordance with the definition of such measures in the United Kingdom's rules and procedures.
(
52
)
  For greater certainty, in relation to the implementation of this Agreement in the territory of the Union, the precautionary approach refers to the precautionary principle.
(
53
)
  For this purpose, discrimination means that there is less favourable treatment of an economic actor compared with others in like situations and that that differential treatment is not justified by objective criteria.
(
54
)
  For greater certainty, this standard is met when the facts demonstrate that the granting of a subsidy, without having been made legally contingent upon export performance, is in fact tied to actual or anticipated exportation or export earnings. The mere fact that a subsidy is granted to economic actors which export shall not for that reason alone be considered to be an export subsidy within the meaning of this provision.
(
55
)
  The marketable risk countries are the United Kingdom, the Member States of the Union, Australia, Canada, Iceland, Japan, New Zealand, Norway, Switzerland, and the United States of America.
(
56
)
  For greater certainty, this is without prejudice to Article 364(1) and (2).
(
57
)
  For greater certainty, the law of the United Kingdom for the purposes of this Article does not include any law [i] having effect by virtue of section 2(1) of the European Communities Act 1972, as saved by section 1A of the European Union (Withdrawal) Act 2018, or [ii] passed or made under, or for a purpose specified in, section 2(2) of the European Communities Act 1972.
(
58
)
  For the United Kingdom, this Article requires a new remedy of recovery which would be available at the end of a successful judicial review, in accordance with the standard of review under national law, commenced within the specified time period; such review is not expanded in any other way, in accordance with Article 372(3). No beneficiary would be able to raise a legitimate expectation to resist such recovery.
(
59
)
  The Parties note that the United Kingdom will implement a new system of subsidy control subsequent to the entry into force of this Agreement.
(
60
)
  National maritime cabotage covers: for the Union, without prejudice to the scope of activities which may be considered as cabotage under the relevant national legislation, transportation of passengers or goods between a port or point located in a Member State of the Union and another port or point located in that same Member State of the Union, including on its continental shelf, as provided for in the United Nations Convention on the Law of the Sea, and traffic originating and terminating in the same port or point located in a Member State of the Union; for the United Kingdom, transportation of passengers or goods between a port or point located in the United Kingdom and another port or point located in the United Kingdom, including on its continental shelf, as provided for in the United Nations Convention on the Law of the Sea, and traffic originating and terminating in the same port or point located in the United Kingdom.
(
61
)
  For greater certainty, this paragraph shall not apply with respect to the purchase or sale of shares, stock or other forms of equity by a covered entity as a means of its equity participation in another enterprise.
(
62
)
  For greater certainty, this Chapter and Article 411 do not apply to the Parties' law and standards relating to social security and pensions.
(
63
)
  Each Party maintains its right to determine its priorities, policies and the allocation of resources in the effective implementation of the ILO Conventions and the relevant provisions of the European Social Charter in a manner consistent with its international commitments, including those under this Title. The Council of Europe, established in 1949, adopted the European Social Charter in 1961, which was revised in 1996. All Member States have ratified the European Social Charter in its original or revised version. For the United Kingdom, the reference to the European Social Charter in paragraph 5 refers to the original 1961 version.
(
64
)
  For greater certainty, in this case the Party shall not have prior recourse to consultations in accordance with Article 738.
(
65
)
  Such measures may include withdrawal or adjustment of the rebalancing measures, as appropriate.
(
66
)
  Suspension of obligations under Article 749 shall be available only if rebalancing measures have in fact been applied.
(
67
)
  The public security and public order exceptions may be invoked only where a genuine and sufficiently serious threat is posed to one of the fundamental interests of society.
(
68
)
  For greater certainty, such determination shall be without prejudice to Title I of Part Six.
(
69
)
  Measures that are aimed at ensuring the equitable or effective imposition or collection of direct taxes include measures taken by a Party under its taxation system which:
(i)
apply to non-resident service suppliers in recognition of the fact that the tax obligation of non-residents is determined with respect to taxable items sourced or located in the Party's territory; or
(ii)
apply to non-residents in order to ensure the imposition or collection of taxes in the Party's territory; or
(iii)
apply to non-residents or residents in order to prevent the avoidance or evasion of taxes, including compliance measures; or
(iv)
apply to consumers of services supplied in or from the territory of the other Party or of a third country in order to ensure the imposition or collection of taxes on such consumers derived from sources in the Party's territory; or
(v)
distinguish service suppliers subject to tax on worldwide taxable items from other service suppliers, in recognition of the difference in the nature of the tax base between them; or
(vi)
determine, allocate or apportion income, profit, gain, loss, deduction or credit of resident persons or branches, or between related persons or branches of the same person, in order to safeguard the Party's tax base.
(
70
)
  Regulation (EC) No 1073/2009 of the European Parliament and of the Council of 21 October 2009 on common rules for access to the international market for coach and bus services, and amending Regulation (EC) No 561/2006 (recast) (
OJ EU L 300, 14.11.2009, p. 88
).
(
71
)
  For greater certainty, the term "measure" includes failures to act.
(
72
)
  This does not include natural persons residing in the territory referred to in Article 774(3).
(
73
)
  The definition of natural person also includes persons permanently residing in the Republic of Latvia who are not citizens of the Republic of Latvia or any other state but who are entitled, under the law of the Republic of Latvia, to receive a non-citizen's passport.
(
74
)
  For greater certainty, the "GPA" shall be understood to be the GPA as amended by the Protocol Amending the Agreement on Government Procurement, done at Geneva on 30 March 2012.
(
75
)
  Regulation (EU) No 952/2013 of the European Parliament and of the Council of 9 October 2013 laying down the Union Customs Code (recast) (
OJ EU L 269, 10.10.2013, p. 1
).
(
76
)
  For greater certainty, for the Union, the areas beyond each Party's territorial sea shall be understood as the respective areas of the Member States of the Union.
(
77
)
  Council Decision 2008/615/JHA of 23 June 2008 on the stepping up of cross-border cooperation, particularly in combating terrorism and cross-border crime (
OJ EU L 210, 6.8.2008, p. 1
).
(
78
)
  Council Decision 2008/616/JHA of 23 June 2008 on the implementation of Decision 2008/615/JHA on the stepping up of cross-border cooperation, particularly in combating terrorism and cross-border crime (
OJ EU L 210, 6.8.2008, p. 12
).
(
79
)
  Regulation (EU) 2016/794 of the European Parliament and of the Council of 11 May 2016 on the European Union Agency for Law Enforcement Cooperation (Europol) and replacing and repealing Council Decisions 2009/371/JHA, 2009/934/JHA, 2009/935/JHA, 2009/936/JHA and 2009/968/JHA (
OJ EU L 135, 24.5.2016, p. 53
).
(
80
)
  Regulation (EU) 2018/1727 of the European Parliament and of the Council of 14 November 2018 on the European Union Agency for Criminal Justice Cooperation (Eurojust), and replacing and repealing Council Decision 2002/187/JHA (
OJ EU L 295, 21.11.2018, p. 138
).
(
81
)
  Council Framework Decision 2002/584/JHA of 13 June 2002 on the European arrest warrant and the surrender procedures between Member States (
OJ EU L 190, 18.7.2002, p. 1
).
(
82
)
  Directive (EU) 2016/680 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data by competent authorities for the purposes of the prevention, investigation, detection or prosecution of criminal offences or the execution of criminal penalties, and on the free movement of such data, and repealing Council Framework Decision 2008/977/JHA (
OJ EU L 119, 4.5.2016, p. 89
).
(
83
)
  2018 chapter 12.
(
84
)
  Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation) (Text with EEA relevance) (
OJ EU L 119, 4.5.2016, p. 1
).
(
85
)
  Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (
OJ EU L 193, 30.7.2018, p. 1
).
(
86
)
  Decision No 541/2014/EU of the European Parliament and of the Council of 16 April 2014 establishing a Framework for Space Surveillance and Tracking Support (
OJ EU L 158, 27.5.2014, p. 227
).
(
87
)
  For greater certainty, paragraphs 2 to 9 apply in respect of negotiations between the Union and a third country for accession to the Union taking place after the entry into force of this Agreement, notwithstanding the fact a request for accession took place before the entry into force of this Agreement.
(
88
)
  As amended by the Data Protection, Privacy and Electronic Communications (Amendments etc) (EU Exit) Regulations 2020 (SI 2020/1586).
ANNEX 1
RULES OF PROCEDURE OF THE PARTNERSHIP COUNCIL AND COMMITTEES
Rule 1
Chair
1.   The Union and the United Kingdom shall notify each other of the name, position and contact details of their respective designated co-chairs. A co-chair is deemed to have the authorisation for representing, respectively, the Union or the United Kingdom until the date a new co-chair has been notified to the other Party.
2.   The decisions of the co-chairs provided for by these Rules of Procedure shall be taken by mutual consent.
3.   A co-chair may be replaced for a particular meeting by a designee. The co-chair, or his or her designee, shall notify the other co-chair and the Secretariat of the Partnership Council of the designation as early as possible. Any reference in these Rules of Procedure to the co-chairs shall be understood to include a designee.
Rule 2
Secretariat
The Secretariat of the Partnership Council (the "Secretariat") shall be composed of an official of the Union and an official of the Government of the United Kingdom. The Secretariat shall perform the tasks conferred on it by these Rules of Procedure.
The Union and the United Kingdom shall notify each other of the name, position and contact details of the official who is the member of the Secretariat of the Partnership Council for the Union and the United Kingdom, respectively. This official is deemed to continue acting as member of the Secretariat for the Union or for the United Kingdom until the date either the Union or the United Kingdom has notified a new member.
Rule 3
Meetings
1.   Each meeting of the Partnership Council shall be convened by the Secretariat at a date and time agreed by the co-chairs. Where the Union or the United Kingdom has transmitted a request for a meeting through the Secretariat, the Partnership Council shall endeavour to meet within 30 days of such request, or sooner in cases provided for in this Agreement.
2.   The Partnership Council shall hold its meetings alternately in Brussels and London, unless the co-chairs decide otherwise.
3.   By way of derogation from paragraph 2, the co-chairs may agree that a meeting of the Partnership Council be held by videoconference or teleconference.
Rule 4
Participation in meetings
1.   A reasonable period of time in advance of each meeting, the Union and the United Kingdom shall inform each other through the Secretariat of the intended composition of their respective delegations and shall specify the name and function of each member of the delegation.
2.   Where appropriate the co-chairs may, by mutual consent, invite experts (i.e. non-government officials) to attend meetings of the Partnership Council in order to provide information on a specific subject and only for the parts of the meeting where such specific subjects are discussed.
Rule 5
Documents
Written documents on which the deliberations of the Partnership Council are based shall be numbered and circulated to the Union and the United Kingdom by the Secretariat.
Rule 6
Correspondence
1.   The Union and the United Kingdom shall send their correspondence addressed to the Partnership Council via the Secretariat. Such correspondence may be sent in any form of written communication, including by electronic mail.
2.   The Secretariat shall ensure that correspondence addressed to the Partnership Council is delivered to the co-chairs and is circulated, where appropriate, in accordance with Rule 5.
3.   All correspondence from, or addressed directly to, the co-chairs shall be forwarded to the Secretariat and shall be circulated, where appropriate, in accordance with Rule 5.
Rule 7
Agenda for the meetings
1.   For each meeting, a draft provisional agenda shall be drawn up by the Secretariat. It shall be transmitted, together with the relevant documents, to the co-chairs no later than 10 days before the date of the meeting.
2.   The provisional agenda shall include items requested by the Union or the United Kingdom. Any such request, together with any relevant document, shall be submitted to the Secretariat no later than 15 days before the beginning of the meeting.
3.   No later than 5 days before the date of the meeting, the co-chairs shall decide on the provisional agenda for a meeting.
4.   The agenda shall be adopted by the Partnership Council at the beginning of each meeting. On request by the Union or the United Kingdom, an item other than those included in the provisional agenda may be included in the agenda by consensus.
5.   The co-chairs may, by mutual consent, reduce or increase the time periods specified in paragraphs 1, 2 and 3 in order to take account of the requirements of a particular case.
Rule 8
Minutes
1.   Draft minutes of each meeting shall be drawn up by the official acting as member of the Secretariat of the Party hosting the meeting, within 15 days from the end of the meeting, unless otherwise decided by the co-chairs. The draft minutes shall be transmitted for comments to the member of the Secretariat of the other Party. The latter may submit comments within 7 days from the date of receipt of the draft minutes.
2.   The minutes shall, as a rule, summarise each item on the agenda, specifying where applicable:
(a)
the documents submitted to the Partnership Council;
(b)
any statement that one of the co-chairs requested to be entered in the minutes; and
(c)
the decisions taken, recommendations made, statements agreed upon and conclusions adopted on specific items.
3.   The minutes shall include as an annex a list of participants setting out for each of the delegations the names and functions of all individuals who attended the meeting.
4.   The Secretariat shall adjust the draft minutes on the basis of comments received and the draft minutes, as revised, shall be approved by the co-chairs within 28 days of the date of the meeting, or by any other date agreed by the co-chairs. Once approved, two versions of the minutes shall be authenticated by signature of the members of the Secretariat. The Union and the United Kingdom shall each receive one of these authentic versions. The co-chairs may agree that signing and exchanging electronic copies satisfies this requirement.
Rule 9
Decisions and Recommendations
1.   In the period between meetings, the Partnership Council may adopt decisions or recommendations by written procedure. The text of a draft decision or recommendation shall be presented in writing by a co-chair to the other co-chair in the working language of the Partnership Council. The other Party shall have one month, or any longer period of time specified by the proposing Party, to express its agreement to the draft decision or recommendation. If the other Party does not express its agreement, the proposed decision or recommendation shall be discussed and may be adopted at the next meeting of the Partnership Council. The draft decisions or recommendations shall be deemed to be adopted once the other Party expresses its agreement and shall be recorded in the minutes of the next meeting of the Partnership Council pursuant to Rule 8.
2.   Where the Partnership Council adopts decisions or recommendations, the words "Decision" or "Recommendation", respectively, shall be inserted in the title of such acts. The Secretariat shall record any decision or recommendation under a serial number and with a reference to the date of its adoption.
3.   Decisions adopted by the Partnership Council shall specify the date on which they take effect.
4.   Decisions and recommendations adopted by the Partnership Council shall be established in duplicate in the authentic languages and signed by the co-chairs and shall be sent by the Secretariat to the Union and the United Kingdom immediately after signature. The co-chairs may agree that signing and exchanging electronic copies satisfies the requirement for signature.
Rule 10
Transparency
1.   The co-chairs may agree that the Partnership Council shall meet in public.
2.   Each Party may decide on the publication of the decisions and recommendations of the Partnership Council in its respective official journal or online.
3.   If the Union or the United Kingdom submits information that is confidential or protected from disclosure under its laws and regulations to the Partnership Council, the other party shall treat that information received as confidential.
4.   Provisional agendas of the meetings shall be made public before the meeting of the Partnership Council takes place. The minutes of the meetings shall be made public following their approval in accordance with Rule 8.
5.   Publication of documents referred to in paragraphs 2, 3 and 4 shall be made in compliance with both Parties’ applicable data protection rules.
Rule 11
Languages
1.   The official languages of the Partnership Council shall be the official languages of the Union and the United Kingdom.
2.   The working language of the Partnership Council shall be English. Unless otherwise decided by the co-chairs, the Partnership Council shall base its deliberations on documents prepared in English.
3.   The Partnership Council shall adopt decisions concerning the amendment or interpretation of this Agreement in the languages of the authentic texts of this Agreement. All other decisions of the Partnership Council, including the ones through which the present rules of procedure are amended, shall be adopted in the working language referred to in paragraph 2.
Rule 12
Expenses
1.   The Union and the United Kingdom shall each meet any expenses they incur as a result of participating in the meetings of the Partnership Council.
2.   Expenditure in connection with the organisation of meetings and reproduction of documents shall be borne by the party hosting the meeting.
3.   Expenditure in connection with interpretation to and from the working language of the Partnership Council at meetings shall be borne by the party requesting such interpretation.
4.   Each Party shall be responsible for the translation of decisions and other documents into its own official language(s), if required pursuant to Rule 11, and it shall meet expenditures associated with such translations.
Rule 13
Committees
1.   Without prejudice to paragraph 2 of this Rule, Rules 1 to 12 shall apply 
mutatis mutandis
 to the Committees.
2.   The Committees shall inform the Partnership Council of their meeting schedules and agenda sufficiently in advance of their meetings, and shall report to the Partnership Council on the results and conclusions of each of their meetings.
ANNEX 2
INTRODUCTORY NOTES TO PRODUCT-SPECIFIC RULES OF ORIGIN
NOTE 1
General principles
1.
This Annex sets out the general rules for the applicable requirements of Annex 3 as provided for in point (c) of Article 39(1) of this Agreement.
2.
For the purposes of this Annex and Annex 3, the requirements for a product to be originating in accordance with point (c) of Article 39(1) of this Agreement are a change in tariff classification, a production process, a maximum value or weight of non-originating materials, or any other requirement specified in this Annex and Annex 3.
3.
Reference to weight in a product-specific rule of origin means the net weight, which is the weight of a material or a product, not including the weight of any packaging.
4.
This Annex and Annex 3 are based on the Harmonised System, as amended on 1 January 2017.
NOTE 2
The structure of the list of product-specific rules of origin
1.
Notes on sections or Chapters, where applicable, are read in conjunction with the product-specific rules of origin for the relevant section, Chapter, heading or subheading.
2.
Each product-specific rule of origin set out in Column 2 of Annex 3 applies to the corresponding product indicated in Column 1 of Annex 3.
3.
If a product is subject to alternative product-specific rules of origin, the product shall be originating in a Party if it satisfies one of the alternatives.
4.
If a product is subject to a product-specific rule of origin that includes multiple requirements, the product shall be originating in a Party only if it satisfies all of the requirements.
5.
For the purposes of this Annex and Annex 3, the following definitions apply:
(a)
"section" means a section of the Harmonised System;
(b)
"Chapter" means the first two-digits in the tariff classification number under the Harmonised System;
(c)
"heading" means the first four-digits in the tariff classification number under the Harmonised System; and
(d)
"subheading" means the first six-digits in the tariff classification number under the Harmonised System.
6.
For the purposes of the product-specific rules of origin, the following abbreviations apply:
"CC" means production from non-originating materials of any Chapter, except that of the product; this means that any non-originating material used in the production of the product must be classified under a Chapter (2-digit level of the Harmonised System) other than that of the product (i.e. a change in Chapter);
"CTH" means production from non-originating materials of any heading, except that of the product; this means that any non-originating material used in the production of the product must be classified under a heading (4-digit level of the Harmonised System) other than that of the product (i.e. a change in heading);
"CTSH" means production from non-originating materials of any subheading, except that of the product; this means that any non-originating material used in the production of the product must be classified under a subheading (6-digit level of the Harmonised System) other than that of the product (i.e. a change in subheading).
NOTE 3
Application of the product-specific rules of origin
1.
Article 39 of this Agreement, concerning products having acquired originating status which are used in the production of other products, applies whether or not this status has been acquired inside the same factory in a Party where these products are used.
2.
If a product-specific rule of origin specifically excludes certain non-originating material or provides that the value or weight of a specified non-originating material shall not exceed a specific threshold, these conditions do not apply to non-originating materials classified elsewhere in the Harmonised System.
Example 1: when the rule for bulldozers (subheading 8429.11) requires: "CTH except from non-originating materials of heading 84.31", the use of non-originating materials classified elsewhere than 84.29 and 84.31- such as screws (HS heading 73.18), insulated wires and electric conductors (heading 85.44) and various electronics (Chapter 85) - is not limited.
Example 2: When the rule for heading 35.05 (dextrins and other modified starches; glues based on starches etc) requires "CTH except from non-originating materials of heading 11.08" then the use of non-originating materials classified elsewhere than 11.08 (starches, inulin), such as materials of Chapter 10 (cereals), is not limited.
3.
If a product-specific rule of origin provides that a product shall be produced from a particular material, this does not prevent the use of other materials which are unable to satisfy that rule because of their inherent nature.
NOTE 4
Calculation of a maximum value of non-originating materials
For the purposes of the product-specific rules of origin, the following definitions apply:
(a)
"customs value" means the value as determined in accordance with the Agreement on Implementation of Article VII of GATT 1994;
(b)
"EXW" or "ex-works price" means:
(i)
the price of the product paid or payable to the producer in whose undertaking the last working or processing is carried out, provided that the price includes the value of all the materials used and all other costs incurred in the production of the product, minus any internal taxes which are, or may be, repaid when the product obtained is exported; or
(ii)
if there is no price paid or payable or if the actual price paid does not reflect all costs related to the production of the product which are actually incurred in the production of the product, the value of all the materials used and all other costs incurred in the production of the product in the exporting Party:
(A)
including selling, general and administrative expenses, as well as profit, that can reasonably be allocated to the product; and
(B)
excluding the cost of freight, insurance, all other costs incurred in transporting the product and any internal taxes of the exporting Party which are, or may be, repaid when the product obtained is exported;
(iii)
for the purposes of point (i), where the last production has been contracted to a producer, the term "producer" in point (i) refers to the person who has employed the subcontractor.
(c)
"MaxNOM" means the maximum value of non-originating materials expressed as a percentage and shall be calculated according to the following formula:
(d)
"VNM" means the value of the non-originating materials used in the production of the product which is its customs value at the time of importation including freight, insurance if appropriate, packing and all other costs incurred in transporting the materials to the importation port in the Party where the producer of the product is located; where the value of the non-originating materials is not known and cannot be ascertained, the first ascertainable price paid for the non-originating materials in the Union or in the United Kingdom is used; the value of the non-originating materials used in the production of the product may be calculated on the basis of the weighted average value formula or other inventory valuation method under accounting principles which are generally accepted in the Party.
NOTE 5
Definitions of processes referred to in Sections V to VII of Annex 3
For the purposes of product-specific rules of origin, the following definitions apply:
(a)
"biotechnological processing" means:
(i)
biological or biotechnological culturing (including cell culture), hybridisation or genetic modification of micro-organisms (bacteria, viruses (including phages) etc.) or human, animal or plant cells; and
(ii)
production, isolation or purification of cellular or intercellular structures (such as isolated genes, gene fragments and plasmids), or fermentation;
(b)
"change in particle size" means the deliberate and controlled modification in particle size of a product, other than by merely crushing or pressing, resulting in a product with a defined particle size, defined particle size distribution or defined surface area, which is relevant to the purposes of the resulting product and with physical or chemical characteristics different from those of the input materials;
(c)
"chemical reaction" means a process (including a biochemical processing) which results in a molecule with a new structure by breaking intramolecular bonds and by forming new intramolecular bonds, or by altering the spatial arrangement of atoms in a molecule, with the exception of the following, which are not considered to be chemical reactions for the purpose of this definition:
(i)
dissolving in water or other solvents;
(ii)
the elimination of solvents including solvent water; or
(iii)
the addition or elimination of water of crystallisation;
(d)
"distillation" means:
(i)
atmospheric distillation: a separation process in which petroleum oils are converted, in a distillation tower, into fractions according to boiling point and the vapour then condensed into different liquefied fractions; products produced from petroleum distillation may include liquefied petroleum gas, naphtha, gasoline, kerosene, diesel or heating oil, light gas oils and lubricating oil; and
(ii)
vacuum distillation: distillation at a pressure below atmospheric but not so low that it would be classed as molecular distillation; vacuum distillation is used for distilling high-boiling and heat-sensitive materials such as heavy distillates in petroleum oils to produce light to heavy vacuum gas oils and residuum;
(e)
"isomer separation" means the isolation or separation of isomers from a mixture of isomers;
(f)
"mixing and blending" means the deliberate and proportionally controlled mixing or blending (including dispersing) of materials, other than the addition of diluents, only to conform to predetermined specifications which results in the production of a product having physical or chemical characteristics that are relevant to the purposes or uses of the product and are different from the input materials;
(g)
"production of standard materials" (including standard solutions) means a production of a preparation suitable for analytical, calibrating or referencing uses with precise degrees of purity or proportions certified by the producer; and
(h)
"purification" means a process which results in the elimination of at least 80 % of the content of existing impurities or the reduction or elimination of impurities resulting in a good suitable for one or more of the following applications:
(i)
pharmaceutical, medical, cosmetic, veterinary or food grade substances;
(ii)
chemical products and reagents for analytical, diagnostic or laboratory uses;
(iii)
elements and components for use in micro-electronics;
(iv)
specialised optical uses;
(v)
biotechnical use, for example, in cell culturing, in genetic technology or as a catalyst;
(vi)
carriers used in a separation process; or
(vii)
nuclear grade uses.
NOTE 6
Definitions of terms used in Section XI of Annex 3
For the purposes of the product-specific rules of origin, the following definitions apply:
(a)
"man-made staple fibres" means synthetic or artificial filament tow, staple fibres or waste, of headings 55.01 to 55.07;
(b)
"natural fibres" means fibres other than synthetic or artificial fibres, the use of which is restricted to the stages before spinning takes place, including waste, and, unless otherwise specified, includes fibres which have been carded, combed or otherwise processed, but not spun; "natural fibres" includes horsehair of heading 05.11, silk of headings 50.02 and 50.03, wool-fibres and fine or coarse animal hair of headings 51.01 to 51.05, cotton fibres of headings 52.01 to 52.03, and other vegetable fibres of headings 53.01 to 53.05;
(c)
"printing" means a technique by which an objectively assessed function, such as colour, design, or technical performance, is given to a textile substrate with a permanent character, using screen, roller, digital or transfer techniques; and
(d)
"printing (as standalone operation)" means a technique by which an objectively assessed function, such as colour, design, or technical performance, is given to a textile substrate with a permanent character, using screen, roller, digital or transfer techniques combined with at least two preparatory or finishing operations (such as scouring, bleaching, mercerizing, heat setting, raising, calendaring, shrink resistance processing, permanent finishing, decatising, impregnating, mending and burling, shearing, singeing, process of air-tumbler, process of stenter, milling, steam and shrinking, and wet decatising), provided that the value of all the non-originating materials used does not exceed 50 % of the EXW of the product.
NOTE 7
Tolerances applicable to products containing two or more basic textile materials
1.
For the purposes of this Note, basic textile materials are the following:
(a)
silk;
(b)
wool;
(c)
coarse animal hair;
(d)
fine animal hair;
(e)
horsehair;
(f)
cotton;
(g)
paper-making materials and paper;
(h)
flax;
(i)
true hemp;
(j)
jute and other textile bast fibres;
(k)
sisal and other textile fibres of the genus Agave;
(l)
coconut, abaca, ramie and other vegetable textile fibres;
(m)
synthetic man-made filaments;
(n)
artificial man-made filaments;
(o)
current-conducting filaments;
(p)
synthetic man-made staple fibres of polypropylene;
(q)
synthetic man-made staple fibres of polyester;
(r)
synthetic man-made staple fibres of polyamide;
(s)
synthetic man-made staple fibres of polyacrylonitrile;
(t)
synthetic man-made staple fibres of polyimide;
(u)
synthetic man-made staple fibres of polytetrafluoroethylene;
(v)
synthetic man-made staple fibres of poly (phenylene sulphide);
(w)
synthetic man-made staple fibres of poly (vinyl chloride);
(x)
other synthetic man-made staple fibres;
(y)
artificial man-made staple fibres of viscose;
(z)
other artificial man-made staple fibres;
(aa)
yarn made of polyurethane segmented with flexible segments of polyether, whether or not gimped;
(bb)
yarn made of polyurethane segmented with flexible segments of polyester whether or not gimped;
(cc)
products of heading 56.05 (metallised yarn) incorporating strip consisting of a core of aluminium foil or of a core of plastic film irrespective of whether or not coated with aluminium powder, of a width not exceeding 5 mm, sandwiched by means of a transparent or coloured adhesive between two layers of plastic film;
(dd)
other products of heading 56.05;
(ee)
glass fibres; and
(ff)
metal fibres.
2.
Where reference to this Note is made in Annex 3, the requirements set out in its Column 2 shall not apply, as a tolerance, to non-originating basic textile materials which are used in the production of a product, provided that:
(a)
the product contains two or more basic textile materials; and
(b)
the weight of the non-originating basic textile materials, taken together, does not exceed 10 % of the total weight of all the basic textile materials used.
Example: For a woollen fabric of heading 51.12 containing woollen yarn of heading 51.07, synthetic yarn of staple fibres of heading 55.09 and materials other than basic textile materials, non-originating woollen yarn which does not satisfy the requirement set out in Annex 3, or non-originating synthetic yarn which does not satisfy the requirement set out in Annex 3, or a combination of both, may be used, provided that their total weight does not exceed 10 % of the weight of all the basic textile materials.
3.
Notwithstanding point (b) of paragraph 2, for products containing "yarn made of polyurethane segmented with flexible segments of polyether, whether or not gimped", the maximum tolerance is 20 %. However, the percentage of the other non-originating basic textile materials shall not exceed 10 %.
4.
Notwithstanding point (b) of paragraph 2, for products containing "strip consisting of a core of aluminium foil or of a core of plastic film irrespective of whether or not coated with aluminium powder, of a width not exceeding 5 mm, sandwiched by means of a transparent or coloured adhesive between two layers of plastic film", the maximum tolerance is 30 %. However, the percentage of the other non-originating basic textile materials shall not exceed 10 %.
NOTE 8
Other tolerances applicable to certain textile products
1.
Where reference to this Note is made in Annex 3, non-originating textile materials (with the exception of linings and interlinings) which do not satisfy the requirements set out in its Column 2 for a made-up textile product may be used, provided that they are classified under a heading other than that of the product and that their value does not exceed 8 % of the EXW of the product.
2.
Non-originating materials which are not classified under Chapters 50 to 63 may be used without restriction in the production of textile products classified under Chapters 50 to 63, whether or not they contain textiles.
Example: If a requirement set out in Annex 3 provides that yarn shall be used, for a certain textile item (such as trousers), this does not prevent the use of non-originating metal items (such as buttons), because metal items are not classified under Chapters 50 to 63. For the same reasons, it does not prevent the use of non-originating slide fasteners, even though slide-fasteners normally contain textiles.
3.
Where a requirement set out in Annex 3 consists in a maximum value of non-originating materials, the value of the non-originating materials which are not classified under Chapters 50 to 63 shall be taken into account in the calculation of the value of the non-originating materials.
NOTE 9
Agricultural products
Agricultural products classified under Section II of the Harmonised System and heading 24.01, which are grown or harvested in the territory of a Party, shall be treated as originating in the territory of that Party, even if grown from seeds, bulbs, rootstock, cuttings, slips, grafts, shoots, buds, or other live parts of plants imported from a third country.
ANNEX 3
PRODUCT-SPECIFIC RULES OF ORIGIN
Column 1
Harmonised System classification (2017) including specific description
Column 2
Product-specific rule of origin
SECTION I
LIVE ANIMALS; ANIMAL PRODUCTS
Chapter 1
Live animals
01.01-01.06
All animals of Chapter 1 are wholly obtained.
Chapter 2
Meat and edible meat offal
02.01-02.10
Production in which all the materials of Chapters 1 and 2 used are wholly obtained.
Chapter 3
Fish and crustaceans, molluscs and other aquatic invertebrates
03.01-03.08
Production in which all the materials of Chapter 3 used are wholly obtained.
Chapter 4
Dairy produce; birds' eggs; natural honey; edible products of animal origin, not elsewhere specified or included
04.01-04.10
Production in which:
—
all the materials of Chapter 4 used are wholly obtained; and
—
the total weight of non-originating materials of headings 17.01 and 17.02 does not exceed 20 % of the weight of the product.
Chapter 5
Products of animal origin, not elsewhere specified or included
05.01-05.11
Production from non-originating materials of any heading.
SECTION II
VEGETABLE PRODUCTS
Chapter 6
Live trees and other plants; bulbs, roots and the like; cut flowers and ornamental foliage
06.01-06.04
Production in which all the materials of Chapter 6 used are wholly obtained.
Chapter 7
Edible vegetables and certain roots and tubers
07.01-07.14
Production in which all the materials of Chapter 7 used are wholly obtained.
Chapter 8
Edible fruit and nuts; peel of citrus fruit or melons
08.01-08.14
Production in which:
—
all the materials of Chapter 8 used are wholly obtained; and
—
the total weight of non-originating materials of headings 17.01 and 17.02 does not exceed 20 % of the weight of the product.
Chapter 9
Coffee, tea, maté and spices
09.01-09.10
Production from non-originating materials of any heading.
Chapter 10
Cereals
10.01-10.08
Production in which all the materials of Chapter 10 used are wholly obtained.
Chapter 11
Products of the milling industry; malt; starches; inulin; wheat gluten
11.01-11.09
Production in which all materials of Chapters 10 and 11, headings 07.01, 07.14, 23.02 to 23.03 or subheading 0710.10 used are wholly obtained.
Chapter 12
Oil seeds and oleaginous fruits; miscellaneous grains, seeds and fruit; industrial or medicinal plants; straw and fodder
12.01-12.14
CTH
Chapter 13
Lac; gums, resins and other vegetable saps and extracts
13.01-13.02
Production from non-originating materials of any heading in which the total weight of non-originating materials of headings 17.01 and 17.02 does not exceed 20 % of the weight of the product.
Chapter 14
Vegetable plaiting materials; vegetable products not elsewhere specified or included
14.01-14.04
Production from non-originating materials of any heading.
SECTION III
ANIMAL OR VEGETABLE FATS AND OILS AND THEIR CLEAVAGE PRODUCTS; PREPARED EDIBLE FATS; ANIMAL OR VEGETABLE WAXES
Chapter 15
Animal or vegetable fats and oils and their cleavage products; prepared edible fats; animal or vegetable waxes
15.01-15.04
CTH
15.05-15.06
Production from non-originating materials of any heading.
15.07-15.08
CTSH
15.09-15.10
Production in which all the vegetable materials used are wholly obtained.
15.11-15.15
CTSH
15.16-15.17
CTH
15.18-15.19
CTSH
15.20
Production from non-originating materials of any heading.
15.21-15.22
CTSH
SECTION IV
PREPARED FOODSTUFFS; BEVERAGES, SPIRITS AND VINEGAR; TOBACCO AND MANUFACTURED TOBACCO SUBSTITUTES
Chapter 16
Preparations of meat, of fish or of crustaceans, molluscs or other aquatic invertebrates
1601.00-1604.18
Production in which all the materials of Chapters 1, 2, 3 and 16 used are wholly obtained
 (
1
)
.
1604.19
CC
1604.20
—
Preparations of surimi:
CC
—
Others:
Production in which all the materials of Chapters 3 and 16 used are wholly obtained
 (
2
)
.
1604.31-1605.69
Production in which all the materials of Chapters 3 and 16 used are wholly obtained.
Chapter 17
Sugars and sugar confectionery
17.01
CTH
17.02
CTH, provided that the total weight of non-originating materials of headings 11.01 to 11.08, 17.01 and 17.03 used does not exceed 20 % of the weight of the product.
17.03
CTH
17.04
—
White chocolate:
CTH, provided that:
(a)
all the materials of Chapter 4 used are wholly obtained; and
(b)
(i)
the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 40 % of the weight of the product; or
(ii)
the value of non-originating materials of headings 17.01 and 17.02 used does not exceed 30 % of the ex-works price of the product.
—
Others:
CTH, provided that:
—
all the materials of Chapter 4 used are wholly obtained; and
—
the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 40 % of the weight of the product.
Chapter 18
Cocoa and cocoa preparations
18.01-18.05
CTH
1806.10
CTH, provided that:
—
all the materials of Chapter 4 used are wholly obtained; and
—
the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 40 % of the weight of the product.
1806.20-1806.90
CTH, provided that:
(a)
all the materials of Chapter 4 used are wholly obtained; and
(b)
(i)
the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 40 % of the weight of the product; or
(ii)
the value of non-originating materials of headings 17.01 and 17.02 used does not exceed 30 % of the ex-works price of the product.
Chapter 19
Preparations of cereals, flour, starch or milk; pastrycooks' products
19.01-19.05
CTH, provided that:
—
all the materials of Chapter 4 used are wholly obtained;
—
the total weight of non-originating materials of Chapters 2, 3 and 16 used does not exceed 20 % of the weight of the product;
—
the total weight of non-originating materials of headings 10.06 and 11.08 used does not exceed 20 % of the weight of the product; and
—
the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 40 % of the weight of the product.
Chapter 20
Preparations of vegetables, fruit, nuts or other parts of plants
20.01
CTH
20.02-20.03
Production in which all the materials of Chapter 7 used are wholly obtained.
20.04-20.09
CTH, provided that the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 40 % of the weight of the product.
Chapter 21
Miscellaneous edible preparations
21.01-21.02
CTH, provided that:
—
all the materials of Chapter 4 used are wholly obtained; and
—
the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 20 % of the weight of the product.
2103.10
2103.20
2103.90
CTH; however, non-originating mustard flour or meal or prepared mustard may be used.
2103.30
Production from non-originating materials of any heading.
21.04-21.06
CTH, provided that:
—
all the materials of Chapter 4 used are wholly obtained; and
—
the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 20 % of the weight of the product.
Chapter 22
Beverages, spirits and vinegar
22.01-22.06
CTH except from non-originating materials of headings 22.07 and 22.08, provided that:
—
all the materials of subheadings 0806.10, 2009.61, 2009.69 used are wholly obtained;
—
all the materials of Chapter 4 used are wholly obtained; and
—
the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 20 % of the weight of the product.
22.07
CTH except from non-originating materials of heading 22.08, provided that all the materials of Chapter 10, subheadings 0806.10, 2009.61 and 2009.69 used are wholly obtained.
22.08-22.09
CTH except from non-originating materials of headings 22.07 and 22.08, provided that all the materials of subheadings 0806.10, 2009.61 and 2009.69 used are wholly obtained.
Chapter 23
Residues and waste from the food industries; prepared animal fodder
23.01
CTH
2302.10-2303.10
CTH, provided that the total weight of non-originating materials of Chapter 10 used does not exceed 20 % of the weight of the product.
2303.20-2308.00
CTH
23.09
CTH, provided that:
—
all the materials of Chapters 2 and 4 used are wholly obtained;
—
the total weight of non-originating materials of headings 10.01 to 10.04, 10.07 to 10.08, Chapter 11, and headings 23.02 and 23.03 used does not exceed 20 % of the weight of the product; and
—
the total weight of non-originating materials of headings 17.01 and 17.02 used does not exceed 20 % of the weight of the product.
Chapter 24
Tobacco and manufactured tobacco substitutes
24.01
Production in which all materials of heading 24.01 are wholly obtained.
2402.10
Production from non-originating materials of any heading, provided that the total weight of non-originating materials of heading 24.01 used does not exceed 30 % of the weight of materials of Chapter 24 used.
2402.20
Production from non-originating materials of any heading, except that of the product and of smoking tobacco of subheading 2403.19, and in which at least 10 % by weight of all materials of heading 24.01 used is wholly obtained.
2402.90
Production from non-originating materials of any heading, provided that the total weight of non-originating materials of heading 24.01 used does not exceed 30 % of the weight of materials of Chapter 24 used.
24.03
CTH, in which at least 10 % by weight of all materials of heading 24.01 used are wholly obtained.
SECTION V
MINERAL PRODUCTS
Section note: For definitions of horizontal processing rules within this Section, see Note 5 of Annex 2
Chapter 25
Salt; sulphur; earths and stone; plastering materials, lime and cement
25.01-25.30
CTH;
or
MaxNOM 70 % (EXW).
Chapter 26
Ores, slag and ash
26.01-26.21
CTH
Chapter 27
Mineral fuels, mineral oils and products of their distillation; bituminous substances; mineral waxes
27.01-27.09
Production from non-originating materials of any heading.
27.10
CTH except from non-originating biodiesel of subheading 3824.99 or 3826.00;
or
Distillation or a chemical reaction is undergone, provided that biodiesel (including hydrotreated vegetable oil) of heading 27.10 and subheadings 3824.99 and 3826.00 used is obtained by esterification, transesterification or hydrotreatment.
27.11-27.15
Production from non-originating materials of any heading.
SECTION VI
PRODUCTS OF THE CHEMICAL OR ALLIED INDUSTRIES
Section note: For definitions of horizontal processing rules within this Section, see Note 5 of Annex 2
Chapter 28
Inorganic chemicals; organic or inorganic compounds of precious metals, of rare-earth metals, of radioactive elements or of isotopes
28.01-28.53
CTSH;
A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone;
or
MaxNOM 50 % (EXW).
Chapter 29
Organic chemicals
2901.10-2905.42
CTSH;
A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone;
or
MaxNOM 50 % (EXW).
2905.43-2905.44
CTH except from non-originating materials of heading 17.02 and subheading 3824.60.
2905.45
CTSH, however, non-originating materials of the same subheading as the product may be used, provided that their total value does not exceed 20 % of the ex-works price of the product;
or
MaxNOM 50 % (EXW).
2905.49-2942
CTSH;
A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone;
or
MaxNOM 50 % (EXW).
Chapter 30
Pharmaceutical products
30.01-30.06
CTSH;
A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone;
or
MaxNOM 50 % (EXW).
Chapter 31
Fertilisers
31.01-31.04
CTH, however, non-originating materials of the same heading as the product may be used, provided that their total value does not exceed 20 % of the EXW of the product;
or
MaxNOM 40 % (EXW).
31.05
—
Sodium nitrate
—
Calcium cyanamide
—
Potassium sulphate
—
Magnesium potassium sulphate
CTH, however, non-originating materials of the same heading as the product may be used, provided that their total value does not exceed 20 % of the EXW of the product;
or
MaxNOM 40 % (EXW).
-Others
CTH, however, non-originating materials of the same heading as the product may be used, provided that their total value does not exceed 20 % of the EXW of the product, and in which the value of all non-originating materials used does not exceed 50 % of the EXW of the product;
or
MaxNOM 40 % (EXW).
Chapter 32
Tanning or dyeing extracts; tannins and their derivatives; dyes, pigments and other colouring matter; paints and varnishes; putty and other mastics; inks
32.01-32.15
CTSH;
A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone;
or
MaxNOM 50 % (EXW).
Chapter 33
Essential oils and resinoids; perfumery, cosmetic or toilet preparations
33.01
CTSH;
A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone;
or
MaxNOM 50 % (EXW).
3302.10
CTH, however, non-originating materials of subheading 3302.10 may be used, provided that their total value does not exceed 20 % of the EXW of the product.
3302.90
CTSH;
A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone;
or
MaxNOM 50 % (EXW).
33.03
Production from non-originating materials of any heading.
33.04 -33.07
CTSH;
A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone;
or
MaxNOM 50 % (EXW).
Chapter 34
Soap, organic surface-active agents, washing preparations, lubricating preparations, artificial waxes, prepared waxes, polishing or scouring preparations, candles and similar articles, modelling pastes, "dental waxes" and dental preparations with a basis of plaster
34.01-34.07
CTSH;
A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone;
or
MaxNOM 50 % (EXW).
Chapter 35
Albuminoidal substances; modified starches; glues; enzymes
35.01-35.04
CTH except from non-originating materials of Chapter 4.
35.05
CTH except from non-originating materials of heading 11.08.
35.06-35.07
CTSH;
A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone;
or
MaxNOM 50 % (EXW).
Chapter 36
Explosives; pyrotechnic products; matches; pyrophoric alloys; certain combustible preparations
36.01-36.06
CTSH;
A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone;
or
MaxNOM 50 % (EXW).
Chapter 37
Photographic or cinematographic goods
37.01-37.07
CTSH;
A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone;
or
MaxNOM 50 % (EXW).
Chapter 38
Miscellaneous chemical products
38.01-38.08
CTSH;
A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone;
or
MaxNOM 50 % (EXW).
3809.10
CTH except from non-originating materials of headings 11.08 and 35.05.
3809.91-3822.00
CTSH;
A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone;
or
MaxNOM 50 % (EXW).
38.23
Production from non-originating material of any heading.
3824.10-3824.50
CTSH;
A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone;
or
MaxNOM 50 % (EXW).
3824.60
CTH except from non-originating materials of subheadings 2905.43 and 2905.44.
3824.71-3825.90
CTSH;
A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone;
or
MaxNOM 50 % (EXW).
38.26
Production in which biodiesel is obtained through transesterification, esterification or hydro-treatment.
SECTION VII
PLASTICS AND ARTICLES THEREOF; RUBBER AND ARTICLES THEREOF
Section note: For definitions of horizontal processing rules within this Section, see Note 5 of Annex 2
Chapter 39
Plastics and articles thereof
39.01-39.15
CTSH;
A chemical reaction, purification, mixing and blending, production of standard materials, a change in particle size, isomer separation, or biotechnological processing is undergone;
or
MaxNOM 50 % (EXW).
39.16-39.19
CTH;
or
MaxNOM 50 % (EXW).
39.20
CTSH;
or
MaxNOM 50 % (EXW).
39.21-39.22
CTH;
or
MaxNOM 50 % (EXW).
3923.10-3923.50
CTSH;
or
MaxNOM 50 % (EXW).
3923.90-3925.90
CTH;
or
MaxNOM 50 % (EXW).
39.26
CTSH;
or
MaxNOM 50 % (EXW).
Chapter 40
Rubber and articles thereof
40.01-40.11
CTH;
or
MaxNOM 50 % (EXW).
4012.11-4012.19
CTSH;
or
Retreading of used tyres.
4012.20-4017.00
CTH;
or
MaxNOM 50 % (EXW).
SECTION VIII
RAW HIDES AND SKINS, LEATHER, FURSKINS AND ARTICLES THEREOF; SADDLERY AND HARNESS; TRAVEL GOODS, HANDBAGS AND SIMILAR CONTAINERS; ARTICLE OF ANIMAL GUT (OTHER THAN SILK-WORM GUT)
Chapter 41
Raw hides and skins (other than furskins) and leather
41.01-4104.19
CTH
4104.41-4104.49
CTSH except from non-originating materials of subheadings 4104.41 to 4104.49.
4105.10
CTH
4105.30
CTSH
4106.21
CTH
4106.22
CTSH
4106.31
CTH
4106.32-4106.40
CTSH
4106.91
CTH
4106.92
CTSH
41.07-41.13
CTH except from non-originating materials of subheadings 4104.41, 4104.49, 4105.30, 4106.22, 4106.32 and 4106.92. However, non-originating materials of subheadings 4104.41, 4104.49, 4105.30, 4106.22, 4106.32 or 4106.92 may be used provided that they undergo a retanning operation.
4114.10
CTH
4114.20
CTH except from non-originating materials of subheadings 4104.41, 4104.49, 4105.30, 4106.22, 4106.32, 4106.92 and 4107. However, non-originating materials of subheadings 4104.41, 4104.49, 4105.30, 4106.22, 4106.32, 4106.92 and heading 41.07 may be used provided that they undergo a retanning operation.
41.15
CTH
Chapter 42
Articles of leather; saddlery and harness; travel goods, handbags and similar containers; articles of animal gut (other than silk-worm gut)
42.01-42.06
CTH;
or
MaxNOM 50 % (EXW).
Chapter 43
Furskins and artificial fur; manufactures thereof
4301.10-4302.20
CTH;
or
MaxNOM 50 % (EXW).
4302.30
CTSH
43.03-43.04
CTH;
or
MaxNOM 50 % (EXW).
SECTION IX
WOOD AND ARTICLES OF WOOD; WOOD CHARCOAL; CORK AND ARTICLES OF CORK; MANUFACTURES OF STRAW, OF ESPARTO OR OTHER PLAITING MATERIALS; BASKETWARE AND WICKERWORK
Chapter 44
Wood and articles of wood; wood charcoal
44.01-44.21
CTH;
or
MaxNOM 50 % (EXW).
Chapter 45
Cork and articles of cork
45.01-45.04
CTH;
or
MaxNOM 50 % (EXW).
Chapter 46
Manufactures of straw, of esparto or of other plaiting materials; basketware and wickerwork
46.01-46.02
CTH;
or
MaxNOM 50 % (EXW).
SECTION X
PULP OF WOOD OR OF OTHER FIBROUS CELLULOSIC MATERIAL; RECOVERED (WASTE AND SCRAP) PAPAER OR PAPERBOARD; PAPER AND PAPERBOARD AND ARTICLES THEREOF
Chapter 47
Pulp of wood or of other fibrous cellulosic material; recovered (waste and scrap) paper or paperboard
47.01-47.07
CTH;
or
MaxNOM 50 % (EXW).
Chapter 48
Paper and paperboard; articles of paper pulp, of paper or of paperboard
48.01-48.23
CTH;
or
MaxNOM 50 % (EXW).
Chapter 49
Printed books, newspapers, pictures and other products of the printing
industry; manuscripts, typescripts and plans
49.01-49.11
CTH;
or
MaxNOM 50 % (EXW).
SECTION XI
TEXTILES AND TEXTILE ARTICLES
Section note: For definitions of terms used for tolerances applicable to certain products made of textile materials, see Notes 6,7 and 8 of Annex 2
Chapter 50
Silk
50.01-50.02
CTH
50.03
—
Carded or combed:
Carding or combing of silk waste.
—
Others:
CTH
50.04-50.05
Spinning of natural fibres;
Extrusion of man-made continuous filament combined with spinning;
Extrusion of man-made continuous filament combined with twisting;
or
Twisting combined with any mechanical operation.
50.06
—
Silk yarn and yarn spun from silk waste:
Spinning of natural fibres;
Extrusion of man-made continuous filament combined with spinning;
Extrusion of man-made continuous filament combined with twisting;
or
Twisting combined with any mechanical operation.
—
Silk-worm gut:
CTH
50.07
Spinning of natural or man-made staple fibres combined with weaving;
Extrusion of man-made filament yarn combined with weaving;
Twisting or any mechanical operation combined with weaving;
Weaving combined with dyeing;
Yarn dyeing combined with weaving;
Weaving combined with printing;
or
Printing (as standalone operation).
Chapter 51
Wool, fine or coarse animal hair; horsehair yarn and woven fabric
51.01-51.05
CTH
51.06-51.10
Spinning of natural fibres;
Extrusion of man-made fibres combined with spinning;
or
Twisting combined with any mechanical operation.
51.11-51.13
Spinning of natural or man-made staple fibres combined with weaving;
Extrusion of man-made filament yarn combined with weaving;
Weaving combined with dyeing;
Yarn dyeing combined with weaving;
Weaving combined with printing;
or
Printing (as standalone operation).
Chapter 52
Cotton
52.01-52.03
CTH
52.04-52.07
Spinning of natural fibres;
Extrusion of man-made fibres combined with spinning;
or
Twisting combined with any mechanical operation.
52.08-52.12
Spinning of natural or man-made staple fibres combined with weaving;
Extrusion of man-made filament yarn combined with weaving;
Twisting or any mechanical operation combined with weaving;
Weaving combined with dyeing or with coating or with laminating;
Yarn dyeing combined with weaving;
Weaving combined with printing;
or
Printing (as standalone operation).
Chapter 53
Other vegetable textile fibres; paper yarn and woven fabrics of paper yarn
53.01-53.05
CTH
53.06-53.08
Spinning of natural fibres;
Extrusion of man-made fibres combined with spinning;
or
Twisting combined with any mechanical operation.
53.09-53.11
Spinning of natural or man-made staple fibres combined with weaving;
Extrusion of man-made filament yarn combined with weaving;
Weaving combined with dyeing or with coating or with laminating;
Yarn dyeing combined with weaving;
Weaving combined with printing;
or
Printing (as standalone operation).
Chapter 54
Man-made filaments; strip and the like of man-made textile materials
54.01-54.06
Spinning of natural fibres;
Extrusion of man-made fibres combined with spinning;
or
Twisting combined with any mechanical operation.
54.07-54.08
Spinning of natural or man-made staple fibres combined with weaving;
Extrusion of man-made filament yarn combined with weaving;
Yarn dyeing combined with weaving;
Weaving combined with dyeing or with coating or with laminating;
Twisting or any mechanical operation combined with weaving;
Weaving combined with printing;
or
Printing (as standalone operation).
Chapter 55
Man-made staple fibres
55.01-55.07
Extrusion of man-made fibres.
55.08-55.11
Spinning of natural fibres;
Extrusion of man-made fibres combined with spinning;
or
Twisting combined with any mechanical operation.
55.12-55.16
Spinning of natural or man-made staple fibres combined with weaving;
Extrusion of man-made filament yarn combined with weaving;
Twisting or any mechanical operation combined with weaving;
Weaving combined with dyeing or with coating or with laminating;
Yarn dyeing combined with weaving;
Weaving combined with printing;
or
Printing (as standalone operation).
Chapter 56
Wadding, felt and nonwovens; special yarns; twine, cordage, ropes and cables and articles thereof
56.01
Spinning or bonding of natural fibres;
Extrusion of man-made fibres combined with spinning or bonding;
Flocking combined with dyeing or with printing;
or
Coating, flocking, laminating, or metalizing combined with at least two other main preparatory or finishing operations (such as calendering, shrink-resistance processes, heat setting, permanent finishing), provided that the value of non-originating materials used does not exceed 50 % of the EXW of the product.
56.02
—
Needleloom Felt:
Extrusion of man-made fibres combined with fabric formation; however:
—
non-originating polypropylene filament of heading 54.02;
—
non-originating polypropylene fibres of heading 55.03 or 55.06; or
—
non-originating polypropylene filament tow of heading 55.01;
of which the denomination in all cases of a single filament or fibre is less than 9 decitex, may be used, provided that their total value does not exceed 40 % of the EXW of the product;
or
Non-woven fabric formation alone in the case of felt made from natural fibres.
—
Others:
Extrusion of man-made fibres combined with fabric formation;
or
Non-woven fabric formation alone in the case of other felt made from natural fibres.
5603.11-5603.14
Production from
—
directionally or randomly oriented filaments; or
—
substances or polymers of natural or man-made origin;
followed in both cases by bonding into a nonwoven.
5603.91-5603.94
Production from
—
directionally or randomly oriented staple fibres; or
—
chopped yarns, of natural or man-made origin;
followed in both cases by bonding into a nonwoven.
5604.10
Production from rubber thread or cord, not textile covered.
5604.90
Spinning of natural fibres;
Extrusion of man-made fibres combined with spinning;
or
Twisting combined with any mechanical operation.
56.05
Spinning of natural or man-made staple fibres;
Extrusion of man-made fibres combined with spinning;
or
Twisting combined with any mechanical operation.
56.06
Extrusion of man-made fibres combined with spinning;
Twisting combined with gimping;
Spinning of natural or man-made staple fibres;
or
Flocking combined with dyeing.
56.07-56.09
Spinning of natural fibres;
or
Extrusion of man-made fibres combined with spinning.
Chapter 57
Carpets and other textile floor coverings
Chapter note: For products of this Chapter non-originating jute fabric may be used as a backing.
57.01-57.05
Spinning of natural or man-made staple fibres combined with weaving or with tufting;
Extrusion of man-made filament yarn combined with weaving or with tufting;
Production from coir yarn or sisal yarn or jute yarn or classical ring spun viscose yarn;
Tufting combined with dyeing or with printing;
Tufting or weaving of man-made filament yarn combined with coating or with laminating;
Flocking combined with dyeing or with printing;
or
Extrusion of man-made fibres combined with nonwoven techniques including needle punching.
Chapter 58
Special woven fabrics; tufted textile fabrics; lace; tapestries; trimmings; embroidery
58.01-58.04
Spinning of natural or man-made staple fibres combined with weaving or with tufting;
Extrusion of man-made filament yarn combined with weaving or with tufting;
Weaving combined with dyeing or with flocking or with coating or with laminating or with metalizing;
Tufting combined with dyeing or with printing;
Flocking combined with dyeing or with printing;
Yarn dyeing combined with weaving;
Weaving combined with printing;
or
Printing (as standalone operation).
58.05
CTH
58.06-58.09
Spinning of natural or man-made staple fibres combined with weaving or with tufting;
Extrusion of man-made filament yarn combined with weaving or with tufting;
Weaving combined with dyeing or with flocking or with coating or with laminating or with metalizing;
Tufting combined with dyeing or with printing;
Flocking combined with dyeing or with printing;
Yarn dyeing combined with weaving;
Weaving combined with printing;
or
Printing (as standalone operation).
58.10
Embroidering in which the value of non-originating materials of any heading, except that of the product, used does not exceed 50 % of the EXW of the product.
58.11
Spinning of natural or man-made staple fibres combined with weaving or with tufting;
Extrusion of man-made filament yarn combined with weaving or with tufting;
Weaving combined with dyeing or with flocking or with coating or with laminating or with metalizing;
Tufting combined with dyeing or with printing;
Flocking combined with dyeing or with printing;
Yarn dyeing combined with weaving;
Weaving combined with printing;
or
Printing (as standalone operation).
Chapter 59
Impregnated, coated, covered or laminated textile fabrics; textile articles of a kind suitable for industrial use
59.01
Weaving combined with dyeing or with flocking or with coating or with laminating or with metalising;
or
Flocking combined with dyeing or with printing.
59.02
—
Containing not more than 90 % by weight of textile materials:
Weaving.
—
Others:
Extrusion of man-made fibres combined with weaving.
59.03
Weaving, knitting or crocheting combined with impregnating or with coating or with covering or with laminating or with metalising;
Weaving combined with printing; or
Printing (as standalone operation).
59.04
Calendaring combined with dyeing, coating, laminating or metalizing. Non-originating jute fabric may be used as a backing;
or
Weaving combined with dyeing or with coating or with laminating or with metalising. Non-originating jute fabric may be used as a backing.
59.05
—
Impregnated, coated, covered or laminated with rubber, plastics or other materials:
Weaving, knitting or non-woven fabric formation combined with impregnating or with coating or with covering or with laminating or with metalising.
—
Others:
Spinning of natural or man-made staple fibres combined with weaving;
Extrusion of man-made filament yarn combined with weaving;
Weaving, knitting or nonwoven fabric formation combined with dyeing or with coating or with laminating;
Weaving combined with printing;
or
Printing (as standalone operation).
59.06
—
Knitted or crocheted fabrics:
Spinning of natural or man-made staple fibres combined with knitting or with crocheting;
Extrusion of man-made filament yarn combined with knitting or with crocheting;
Knitting or crocheting combined with rubberising; or
Rubberising combined with at least two other main preparatory or finishing operations (such as calendering, shrink-resistance processes, heat setting, permanent finishing) provided that the value of non-originating materials used does not exceed 50 % of the EXW of the product.
—
Other fabrics made of synthetic filament yarn, containing more than 90 % by weight of textile materials:
Extrusion of man-made fibres combined with weaving.
—
Others:
Weaving, knitting or nonwoven process combined with dyeing or with coating or with rubberising;
Yarn dyeing combined with weaving, knitting or nonwoven process;
or
Rubberising combined with at least two other main preparatory or finishing operations (such as calendering, shrink-resistance processes, heat setting, permanent finishing) provided that the value of non-originating materials used does not exceed 50 % of the EXW of the product.
59.07
Weaving, knitting or nonwoven fabric formation combined with dyeing or with printing or with coating or with impregnating or with covering;
Flocking combined with dyeing or with printing;
or
Printing (as standalone operation).
59.08
—
Incandescent gas mantles, impregnated:
Production from tubular knitted or crocheted gas-mantle fabric.
—
Others:
CTH
59.09-59.11
Spinning of natural or of man-made staple fibres combined with weaving;
Extrusion of man-made fibres combined with weaving;
Weaving combined with dyeing or with coating or with laminating;
or
Coating, flocking, laminating or metalizing combined with at least two other main preparatory or finishing operations (such as calendering, shrink-resistance processes, heat setting, permanent finishing) provided that the value of non-originating materials used does not exceed 50 % of the EXW of the product.
Chapter 60
Knitted or crocheted fabrics
60.01-60.06
Spinning of natural or man-made staple fibres combined with knitting or with crocheting;
Extrusion of man-made filament yarn combined with knitting or with crocheting;
Knitting or crocheting combined with dyeing or with flocking or with coating or with laminating or with printing;
Flocking combined with dyeing or with printing;
Yarn dyeing combined with knitting or with crocheting; or
Twisting or texturing combined with knitting or with crocheting provided that the value of non-originating non-twisted or non-textured yarns used does not exceed 50 % of the EXW of the product.
Chapter 61
Articles of apparel and clothing accessories, knitted or crocheted
61.01-61.17
—
Obtained by sewing together or otherwise assembling, two or more pieces of knitted or crocheted fabric which have been either cut to form or obtained directly to form:
Knitting or crocheting combined with making-up including cutting of fabric.
—
Others:
Spinning of natural or man-made staple fibres combined with knitting or with crocheting;
Extrusion of man-made filament yarn combined with knitting or with crocheting; or
Knitting and making-up in one operation.
Chapter 62
Articles of apparel and clothing accessories, not knitted or crocheted
62.01
Weaving combined with making-up including cutting of fabric;
or
Making-up including cutting of fabric preceded by printing (as standalone operation).
62.02
—
Embroidered:
Weaving combined with making-up including cutting of fabric;
or
Production from unembroidered fabric, provided that the value of non-originating unembroidered fabric used does not exceed 40 % of the EXW of the product.
—
Others:
Weaving combined with making-up including cutting of fabric;
or
Making-up including cutting of fabric preceded by printing (as standalone operation).
62.03
Weaving combined with making-up including cutting of fabric;
or
Making-up including cutting of fabric preceded by printing (as standalone operation).
62.04
—
Embroidered:
Weaving combined with making-up including cutting of fabric;
or
Production from unembroidered fabric, provided that the value of non-originating unembroidered fabric used does not exceed 40 % of the EXW of the product.
—
Others:
Weaving combined with making-up including cutting of fabric;
or
Making-up including cutting of fabric preceded by printing (as standalone operation).
62.05
Weaving combined with making-up including cutting of fabric;
or
Making-up including cutting of fabric preceded by printing (as standalone operation).
62.06
—
Embroidered:
Weaving combined with making-up including cutting of fabric;
or
Production from unembroidered fabric, provided that the value of non-originating unembroidered fabric used does not exceed 40 % of the EXW of the product.
—
Others:
Weaving combined with making-up including cutting of fabric;
or
Making-up including cutting of fabric preceded by printing (as standalone operation).
62.07-62.08
Weaving combined with making-up including cutting of fabric;
or
Making-up including cutting of fabric preceded by printing (as standalone operation).
62.09
—
Embroidered:
Weaving combined with making-up including cutting of fabric;
or
Production from unembroidered fabric, provided that the value of non-originating unembroidered fabric used does not exceed 40 % of the EXW of the product.
—
Others:
Weaving combined with making-up including cutting of fabric;
or
Making-up including cutting of fabric preceded by printing (as standalone operation).
62.10
—
Fire-resistant equipment of fabric covered with foil of aluminised polyester:
Weaving combined with making-up including cutting of fabric;
or
Coating or laminating combined with making-up including cutting of fabric, provided that the value of non-originating uncoated or unlaminated fabric used does not exceed 40 % of the EXW of the product.
—
Others:
Weaving combined with making-up including cutting of fabric;
or
Making-up including cutting of fabric preceded by printing (as standalone operation).
62.11
—
Women's, or girls' garments, embroidered:
Weaving combined with making-up including cutting of fabric;
or
Production from unembroidered fabric, provided that the value of non-originating unembroidered fabric used does not exceed 40 % of the EXW of the product.
—
Others:
Weaving combined with making-up including cutting of fabric;
or
Making-up including cutting of fabric preceded by printing (as standalone operation).
62.12
—
Knitted or crocheted obtained by sewing together or otherwise assembling, two or more pieces of knitted or crocheted fabric which have been either cut to form or obtained directly to form:
Knitting combined with making-up including cutting of fabric;
or
Making-up including cutting of fabric preceded by printing (as standalone operation).
—
Others:
Weaving combined with making-up including cutting of fabric;
or
Making-up including cutting of fabric preceded by printing (as standalone operation).
62.13-62.14
—
Embroidered:
Weaving combined with making-up including cutting of fabric;
Production from unembroidered fabric, provided that the value of non-originating unembroidered fabric used does not exceed 40 % of the EXW of the product;
or
Making-up including cutting of fabric preceded by printing (as standalone operation).
—
Others:
Weaving combined with making-up including cutting of fabric;
or
Making-up including cutting of fabric preceded by printing (as standalone operation).
62.15
Weaving combined with making-up including cutting of fabric;
or
Making-up including cutting of fabric preceded by printing (as standalone operation).
62.16
—
Fire-resistant equipment of fabric covered with foil of aluminised polyester:
Weaving combined with making-up including cutting of fabric;
or
Coating or laminating combined with making-up including cutting of fabric, provided that the value of non-originating uncoated or unlaminated fabric used does not exceed 40 % of the EXW of the product.
—
Others:
Weaving combined with making-up including cutting of fabric;
or
Making-up including cutting of fabric preceded by printing (as standalone operation).
62.17
—
Embroidered:
Weaving combined with making-up including cutting of fabric;
Production from unembroidered fabric, provided that the value of non-originating unembroidered fabric used does not exceed 40 % of the EXW of the product;
or
Making-up including cutting of fabric preceded by printing (as standalone operation).
—
Fire-resistant equipment of fabric covered with foil of aluminised polyester:
Weaving combined with making-up including cutting of fabric;
or
Coating or laminating combined with making-up including cutting of fabric, provided that the value of non-originating uncoated or unlaminated fabric used does not exceed 40 % of the EXW of the product.
—
Interlinings for collars and cuffs, cut out:
CTH, provided that the value of all the non-originating materials used does not exceed 40 % of the EXW of the product.
—
Others:
Weaving combined with making-up including cutting of fabric.
Chapter 63
Other made up textile articles; sets; worn clothing and worn textile articles; rags
63.01-63.04
—
Of felt, of nonwovens:
Nonwoven fabric formation combined with making-up including cutting of fabric.
—
Others:
—
Embroidered:
Weaving or knitting or crocheting combined with making-up including cutting of fabric;
or
Production from unembroidered fabric (other than knitted or crocheted), provided that the value of non-originating unembroidered fabric used does not exceed 40 % of the EXW of the product.
—
Others:
Weaving, knitting or crocheting combined with making-up including cutting of fabric.
63.05
Extrusion of man-made fibres or spinning of natural or man-made staple fibres, combined with weaving or with knitting and making-up including cutting of fabric.
63.06
—
Of nonwovens:
Nonwoven fabric formation combined with making-up including cutting of fabric.
—
Others:
Weaving combined with making-up including cutting of fabric.
63.07
MaxNOM 40 % (EXW).
63.08
Each item in the set must satisfy the rule which would apply to it if it were not included in the set; however, non-originating articles may be incorporated, provided that their total value does not exceed 15 % of the EXW of the set.
63.09-63.10
CTH
SECTION XII
FOOTWEAR, HEADGEAR, UMBRELLAS, SUN UMBRELLAS, WALKING-STICKS, SEAT-STICKS, WHIPS, RIDING-CROPS AND PARTS THEREOF; PREPARED FEATHERS AND ARTICLES MADE THEREWITH; ARTIFICIAL FLOWERS; ARTICLE OF HUMAN HAIR
Chapter 64
Footwear, gaiters and the like; parts of such articles
64.01-64.05
Production from non-originating materials of any heading, except from non-originating assemblies of uppers affixed to inner soles or to other sole components of heading 64.06.
64.06
CTH
Chapter 65
Headgear and parts thereof
65.01-65.07
CTH
Chapter 66
Umbrellas, sun umbrellas, walking-sticks, seat-sticks, whips, riding-crops and parts thereof
66.01-66.03
CTH;
or
MaxNOM 50 % (EXW).
Chapter 67
Prepared feathers and down and articles made of feathers or of down; artificial flowers; articles of human hair
67.01-67.04
CTH
SECTION XIII
ARTICLES OF STONE, PLASTER, CEMENT, ASBESTOS, MICA OR SIMILAR MATERIALS; CERAMIC PRODUCTS; GLASS AND GLASSWARE
Chapter 68
Articles of stone, plaster, cement, asbestos, mica or similar materials
68.01-68.15
CTH;
or
MaxNOM 70 % (EXW).
Chapter 69
Ceramic products
69.01-69.14
CTH
Chapter 70
Glass and glassware
70.01-70.09
CTH;
or
MaxNOM 50 % (EXW).
70.10
CTH
70.11
CTH;
or
MaxNOM 50 % (EXW).
70.13
CTH except from non-originating materials of heading 70.10.
70.14-70.20
CTH;
or
MaxNOM 50 % (EXW).
SECTION XIV
NATURAL OR CULTURED PEARLS, PRECIOUS OR SEMI-PRECIOUS STONES, PRECIOUS METALS, METALS CLAD WITH PRECIOUS METAL, AND ARTICLES THEREOF; IMITATION JEWELLERY; COIN
Chapter 71
Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal, and articles thereof; imitation jewellery; coin
71.01-71.05
Production from non-originating materials of any heading.
71.06
—
Unwrought:
CTH except from non-originating materials of headings 71.06, 71.08 and 71.10;
Electrolytic, thermal or chemical separation of non-originating precious metals of headings 71.06, 71.08 and 71.10;
or
Fusion or alloying of non-originating precious metals of headings 71.06, 71.08 and 71.10 with each other or with base metals or purification.
—
Semi-manufactured or in powder form:
Production from non-originating unwrought precious metals.
71.07
Production from non-originating materials of any heading.
71.08
—
Unwrought:
CTH except from non-originating materials of headings 71.06, 71.08 and 71.10;
Electrolytic, thermal or chemical separation of non-originating precious metals of headings 71.06, 71.08 and 71.10;
or
Fusion or alloying of non-originating precious metals of headings 71.06, 71.08 and 71.10 with each other or with base metals or purification.
—
Semi-manufactured or in powder form:
Production from non-originating unwrought precious metals.
71.09
Production from non-originating materials of any heading.
71.10
—
Unwrought:
CTH except from non-originating materials of headings 71.06, 71.08 and 71.10;
Electrolytic, thermal or chemical separation of non-originating precious metals of headings 71.06, 71.08 and 71.10;
or
Fusion or alloying of non-originating precious metals of headings 71.06, 71.08 and 71.10 with each other or with base metals or purification.
—
Semi-manufactured or in powder form:
Production from non-originating unwrought precious metals.
71.11
Production from non-originating materials of any heading.
71.12-71.18
CTH
SECTION XV
BASE METALS AND ARTICLES OF BASE METAL
Chapter 72
Iron and Steel
72.01-72.06
CTH
72.07
CTH except from non-originating materials of heading 72.06.
72.08-72.17
CTH except from non-originating materials of headings 72.08 to 72.17.
72.18
CTH
72.19-72.23
CTH except from non-originating materials of headings 72.19 to 72.23.
72.24
CTH
72.25-72.29
CTH except from non-originating materials of headings 72.25 to 72.29.
Chapter 73
Articles of iron or steel
7301.10
CC except from non-originating materials of headings 72.08 to 72.17.
7301.20
CTH
73.02
CC except from non-originating materials of headings 72.08 to 72.17.
73.03
CTH
73.04-73.06
CC except from non-originating materials of headings 72.13 to 72.17, 72.21 to 72.23 and 72.25 to 72.29.
73.07
—
Tube or pipe fittings of stainless steel:
CTH except from non-originating forged blanks; however, non-originating forged blanks may be used provided that their value does not exceed 50 % of the EXW of the product.
—
Others:
CTH
73.08
CTH except from non-originating materials of subheading 7301.20.
7309.00-7315.19
CTH
7315.20
CTH;
or
MaxNOM 50 % (EXW).
7315.81-7326.90
CTH
Chapter 74
Copper and articles thereof
74.01-74.02
CTH
74.03
Production from non-originating materials of any heading.
74.04-74.07
CTH
74.08
CTH and MaxNOM 50 % (EXW).
74.09-74.19
CTH
Chapter 75
Nickel and articles thereof
75.01
CTH
75.02
Production from non-originating materials of any heading.
75.03-75.08
CTH
Chapter 76
Aluminium and articles thereof
76.01
CTH and MaxNOM 50 % (EXW);
or
Thermal or electrolytic treatment from unalloyed aluminium or waste and scrap of aluminium.
76.02
CTH
76.03-76.16
CTH and MaxNOM 50 % (EXW)
 (
3
)
.
Chapter 78
Lead and articles thereof
7801.10
Production from non-originating materials of any heading.
7801.91-7806.00
CTH
Chapter 79
Zinc and articles thereof
79.01-79.07
CTH
Chapter 80
Tin and articles thereof
80.01-80.07
CTH
Chapter 81
Other base metals; cermets; articles thereof
81.01-81.13
Production from non-originating materials of any heading.
Chapter 82
Tools, implements, cutlery, spoons and forks, of base metal; parts thereof of base metal
8201.10-8205.70
CTH;
or
MaxNOM 50 % (EXW).
8205.90
CTH, however, non-originating tools of heading 82.05 may be incorporated into the set, provided that their total value does not exceed 15 % of the EXW of the set.
82.06
CTH except from non-originating materials of headings 82.02 to 82.05; however, non-originating tools of headings 82.02 to 82.05 may be incorporated into the set, provided that their total value does not exceed 15 % of the EXW of the set.
82.07-82.15
CTH;
or
MaxNOM 50 % (EXW).
Chapter 83
Miscellaneous articles of base metal
83.01-83.11
CTH;
or
MaxNOM 50 % (EXW).
SECTION XVI
MACHINERY AND MECHANICAL APPLIANCE; ELECTRICAL EQUIPMENT; PARTS THEREOF; SOUND RECORDERS AND REPRODUCERS, TELEVISION IMAGE AND SOUND RECORDERS AND REPRODUCERS, AND PARTS AND ACCESSORIES OF SUCH ARTICLES
Chapter 84
Nuclear reactors, boilers, machinery and mechanical appliances; parts thereof
84.01-84.06
CTH;
or
MaxNOM 50 % (EXW).
84.07-84.08
MaxNOM 50 % (EXW).
84.09-84.12
CTH;
or
MaxNOM 50 % (EXW).
8413.11-8415.10
CTSH;
or
MaxNOM 50 % (EXW).
8415.20
CTH;
or
MaxNOM 50 % (EXW).
8415.81-8415.90
CTSH;
or
MaxNOM 50 % (EXW).
84.16-84.20
CTH;
or
MaxNOM 50 % (EXW).
84.21
CTSH;
or
MaxNOM 50 % (EXW).
84.22-84.24
CTH;
or
MaxNOM 50 % (EXW).
84.25-84.30
CTH except from non-originating materials of heading 84.31;
or
MaxNOM 50 % (EXW).
84.31-84.43
CTH;
or
MaxNOM 50 % (EXW).
84.44-84.47
CTH except from non-originating materials of heading 84.48;
or
MaxNOM 50 % (EXW).
84.48-84.55
CTH;
or
MaxNOM 50 % (EXW).
84.56-84.65
CTH except from non-originating materials of heading 84.66;
or
MaxNOM 50 % (EXW).
84.66-84.68
CTH;
or
MaxNOM 50 % (EXW).
84.70-84.72
CTH except from non-originating materials of heading 84.73;
or
MaxNOM 50 % (EXW).
84.73-84.78
CTH;
or
MaxNOM 50 % (EXW).
8479.10-8479.40
CTSH;
or
MaxNOM 50 % (EXW).
8479.50
CTH;
or
MaxNOM 50 % (EXW).
8479.60-8479.82
CTSH;
or
MaxNOM 50 % (EXW).
8479.89
CTH;
or
MaxNOM 50 % (EXW).
8479.90
CTSH;
or
MaxNOM 50 % (EXW).
84.80
CTH;
or
MaxNOM 50 % (EXW).
84.81
CTSH;
or
MaxNOM 50 % (EXW).
84.82-84.87
CTH;
or
MaxNOM 50 % (EXW).
Chapter 85
Electrical machinery and equipment and parts thereof; sound recorders and reproducers, television image and sound recorders and reproducers, and parts and accessories of such articles
85.01-85.02
CTH except from non-originating materials of heading 85.03;
or
MaxNOM 50 % (EXW).
85.03-85.06
CTH;
or
MaxNOM 50 % (EXW).
85.07
—
Accumulators containing one or more battery cells or battery modules and the circuitry to interconnect them amongst themselves,
often referred to as "battery packs", of a kind used as the primary source of electrical power for propulsion of vehicles of headings 87.02, 87.03 and 87.04
CTH except from non-originating active cathode materials;
or
MaxNOM 30 % (EXW)
 (
4
)
.
—
Battery cells, battery modules and parts thereof, intended to be incorporated into an electric accumulator of a kind used as the primary source of electrical power for propulsion of vehicles of headings 87.02, 87.03 and 87.04
CTH except from non-originating active cathode materials;
or
MaxNOM 35 % (EXW)
 (
5
)
—
others
CTH;
or
MaxNOM 50 % (EXW).
85.08-85.18
CTH;
or
MaxNOM 50 % (EXW).
85.19-85.21
CTH except from non-originating materials of heading 85.22;
or
MaxNOM 50 % (EXW).
85.22-85.23
CTH;
or
MaxNOM 50 % (EXW).
85.25-85.27
CTH except from non-originating materials of heading 85.29;
or
MaxNOM 50 % (EXW).
85.28-85.34
CTH;
or
MaxNOM 50 % (EXW).
85.35-85.37
CTH except from non-originating materials of heading 85.38;
or
MaxNOM 50 % (EXW).
8538.10-8541.90
CTH;
or
MaxNOM 50 % (EXW).
8542.31-8542.39
CTH;
Non-originating materials undergo a diffusion;
or
MaxNOM 50 % (EXW).
8542.90-8543.90
CTH;
or
MaxNOM 50 % (EXW).
85.44-85.48
MaxNOM 50 % (EXW).
SECTION XVII
VEHICLES, AIRCRAFT, VESSELS AND ASSOCIATED TRANSPORT EQUIPMENT
Chapter 86
Railway or tramway locomotives, rolling-stock and parts thereof; railway or tramway track fixtures and fittings and parts thereof; mechanical (including electro-mechanical) traffic signalling equipment of all kinds
86.01-86.09
CTH except from non-originating materials of heading 86.07;
or
MaxNOM 50 % (EXW).
Chapter 87
Vehicles other than railway or tramway rolling-stock, and parts and accessories thereof
87.01
MaxNOM 45 % (EXW).
87.02-87.04
—
vehicles with both internal combustion piston engine and electric motor as motors for propulsion capable of being charged by plugging to external source of electric power ("plug-in hybrid");
—
vehicles with only electric motor for propulsion
MaxNOM 45 % (EXW) and battery packs of heading 85.07 of a kind used as the primary source of electrical power for propulsion of the vehicle must be originating
 (
6
)
.
—
others
MaxNOM 45 % (EXW)
 (
7
)
.
87.05-87.07
MaxNOM 45 % (EXW).
87.08-87.11
CTH;
or
MaxNOM 50 % (EXW).
87.12
MaxNOM 45 % (EXW).
87.13-87.16
CTH;
or
MaxNOM 50 % (EXW).
Chapter 88
Aircraft, spacecraft, and parts thereof
88.01-88.05
CTH;
or
MaxNOM 50 % (EXW).
Chapter 89
Ships, boats and floating structures
89.01-89.08
CC;
or
MaxNOM 40 % (EXW).
SECTION XVIII
OPTICAL, PHOTOGRAPHIC, CINEMATOGRAPHIC, MEASURING, CHECKING, PRECISION, MEDICAL OR SURGICAL INSTRUMENTS AND APPARATUS; CLOCKS AND WATCHES; MUSICAL INSTRUMENTS; PARTS AND ACCESSORIES THEREOF
Chapter 90
Optical, photographic, cinematographic, measuring, checking, precision, medical or surgical instruments and apparatus; parts and accessories thereof
9001.10-9001.40
CTH;
or
MaxNOM 50 % (EXW).
9001.50
CTH;
Surfacing of the semi-finished lens into a finished ophthalmic lens with optical corrective power meant to be mounted on a pair of spectacles;
Coating of the lens through appropriated treatments to improve vision and ensure protection of the wearer;
or
MaxNOM 50 % (EXW).
9001.90-9033.00
CTH;
or
MaxNOM 50 % (EXW).
Chapter 91
Clocks and watches and parts thereof
91.01-91.14
CTH;
or
MaxNOM 50 % (EXW).
Chapter 92
Musical instruments; parts and accessories of such articles
92.01-92.09
MaxNOM 50 % (EXW).
SECTION XIX
ARMS AND AMMUNITION; PARTS AND ACCESSORIES THEREOF
Chapter 93
Arms and ammunition; parts and accessories thereof
93.01-93.07
MaxNOM 50 % (EXW).
SECTION XX
MISCELLANEOUS MANUFACTURED ARTICLES
Chapter 94
Furniture; bedding, mattresses, mattress supports, cushions and similar stuffed furnishings; lamps and lighting fittings, not elsewhere specified or included; illuminated signs, illuminated name-plates and the like; prefabricated buildings
94.01-94.06
CTH;
or
MaxNOM 50 % (EXW).
Chapter 95
Toys, games and sports requisites; parts and accessories thereof
95.03-95.08
CTH;
or
MaxNOM 50 % (EXW).
Chapter 96
Miscellaneous manufactured articles
96.01-96.04
CTH;
or
MaxNOM 50 % (EXW).
96.05
Each item in the set shall satisfy the rule which would apply to it if it were not included in the set, provided that non-originating articles may be incorporated, provided that their total value does not exceed 15 % of the EXW of the set.
96.06-9608.40
CTH;
or
MaxNOM 50 % (EXW).
9608.50
Each item in the set shall satisfy the rule which would apply to it if it were not included in the set, provided that non-originating articles may be incorporated, provided that their total value does not exceed 15 % of the EXW of the set.
9608.60-96.20
CTH;
or
MaxNOM 50 % (EXW).
SECTION XXI
WORKS OF ART, COLLECTORS' PIECES AND ANTIQUES
Chapter 97
Works of Art, Collectors' Pieces and Antiques
97.01-97.06
CTH
(
1
)
  Prepared or preserved tunas, skipjack and bonito (
Sarda
 spp.), whole or in pieces (excl. minced) classified under subheading 1604.14 may be considered as originating under alternative product-specific rules of origin within annual quotas as specified in Annex 4.
(
2
)
  Prepared or preserved tunas, skipjack or other fish of genus Euthynnus (excl. whole or in pieces) classified under subheading 1604.20 may be considered as originating under alternative product-specific rules of origin within annual quotas as specified in Annex 4.
(
3
)
  Certain aluminium products may be considered as originating under alternative product-specific rules of origin with annual quotas as specified in Annex 4.
(
4
)
  For the period from the entry into force of this Agreement until 31 December 2026 alternative product-specific rules of origin apply, as specified in Annex 5.
(
5
)
  For the period from the entry into force of this Agreement until 31 December 2026 alternative product-specific rules of origin apply, as specified in Annex 5.
(
6
)
  For the period from the entry into force of this Agreement until 31 December 2026 alternative product-specific rules of origin apply, as specified in Annex 5.
(
7
)
  For hybrid vehicles with both internal combustion engine and electric motor as motors for propulsion, other than those capable of being charged by plugging to external source of electric power, alternative product-specific rules of origin apply for the period from the entry into force of this Agreement until 31 December 2026, as specified in Annex 5.
ANNEX 4
ORIGIN QUOTAS AND ALTERNATIVES TO THE PRODUCT-SPECIFIC RULES OF ORIGIN IN ANNEX 3
Common provisions
1.
For the products listed in the tables below, the corresponding rules of origin are alternatives to those set out in Annex 3, within the limits of the applicable annual quota.
2.
A statement on origin made out pursuant to this Annex shall contain the following statement: "Origin quotas - Product originating in accordance with Annex 4".
3.
In the Union, any quantities referred to in this Annex shall be managed by the European Commission, which shall take all administrative actions it deems advisable for their efficient management in respect of the applicable legislation of the Union.
4.
In the United Kingdom, any quantities referred to in this Annex shall be managed by its customs authority, which shall take all administrative actions it deems advisable for their efficient management in respect of the applicable legislation in the United Kingdom.
5.
The importing Party shall manage the origin quotas on a first-come first-served basis and shall calculate the quantity of products entered under these origin quotas on the basis of that Party's imports.
SECTION 1
Annual quota allocation for canned tuna
Harmonised system classification (2017)
Product description
Alternative product-specific rule
Annual quota for exports from the Union to the United Kingdom
(net weight)
Annual quota for exports from the United Kingdom to the Union
(net weight)
1604.14
Prepared or preserved tunas, skipjack and bonito (
Sarda
 spp.), whole or in pieces (excl. minced)
CC
3 000  tonnes
3 000  tonnes
1604.20
Other prepared or preserved fish
Of tuna, skipjack or other fish of the genus Euthynnus (excl. whole or in pieces)
CC
4 000  tonnes
4 000  tonnes
Of other fish
-
-
-
SECTION 2
Annual quota allocation for aluminium products 
(
1
)
Table 1
Quotas applicable from 1 January 2021 until 31 December 2023
Harmonised system classification (2017)
Product description
Alternative product-specific rule
Annual quota for exports from the Union to the United Kingdom
(net weight)
Annual quota for exports from the United Kingdom to the Union
(net weight)
76.03, 76.04, 76.06, 76.08-76.16
Aluminium products and articles of aluminium (excluding aluminium wire and aluminium foil)
CTH
95 000  tonnes
95 000  tonnes
76.05
Aluminium wire
CTH except from non-originating materials of heading 76.04
76.07
Aluminium foil
CTH except from non-originating materials of heading 76.06
Table 2
Quotas applicable from 1 January 2024 until 31 December 2026
Harmonised system classification (2017)
Product description
Alternative product-specific rule
Annual quota for exports from the Union to the United Kingdom
(net weight)
Annual quota for exports from the United Kingdom to the Union
(net weight)
76.03, 76.04, 76.06, 76.08-76.16
Aluminium products and articles of aluminium (excluding aluminium wire and aluminium foil)
CTH
72 000  tonnes
72 000  tonnes
76.05
Aluminium wire
CTH except from non-originating materials of heading 76.04
76.07
Aluminium foil
CTH except from non-originating materials of heading 76.06
Table 3
Quotas applicable from 1 January 2027 onwards
Harmonised system classification (2017)
Product description
Alternative product-specific rule
Annual quota for exports from the Union to the United Kingdom
(net weight)
Annual quota for exports from the United Kingdom to the Union
(net weight)
76.04
Aluminium bars, rods and profiles
CTH
57 500  tonnes
57 500  tonnes
76.06
Aluminium plates, sheets and strip, of a thickness exceeding 0,2 mm
CTH
76.07
Aluminium foil
CTH except from non-originating materials of heading 76.06
Review of quotas for aluminium products in Table 3 in Section 2
1.
Not earlier than 5 years from the entry into force of this Agreement and not earlier than 5 years from the completion of any review referred to in this paragraph, the Trade Partnership Committee, at the request of either Party and assisted by the Trade Specialised Committee on Customs Cooperation and Rules of Origin, shall review the quotas for aluminium contained in Table 3 in Section 2.
2.
The review referred to in paragraph 1 shall be made on the basis of available information about the market conditions in both Parties and information about their imports and exports of relevant products.
3.
On the basis of the result of a review carried out pursuant to paragraph 1, the Partnership Council may adopt a decision to increase or maintain the quantity, to change the scope, or to apportion or change any apportionment between products, of the quotas for aluminium contained in Table 3 in Section 2.
(
1
)
  The quantities listed in each table in Section 2 are the entire quota quantities available (for exports from the Union to the United Kingdom, and for exports from the United Kingdom to the Union, respectively) for all the products listed in that table.
ANNEX 5
TRANSITIONAL PRODUCT-SPECIFIC RULES FOR ELECTRIC ACCUMULATORS AND ELECTRIFIED VEHICLES
SECTION 1
Interim product-specific rules applicable from the entry into force of this Agreement until 31 December 2023
1.
For the products listed in column 1 below, the product-specific rule listed in column 2 shall apply for the period from the entry into force of this Agreement until 31 December 2023.
Column 1
Harmonised System classification (2017) including specific description
Column 2
Product-specific rule of origin applicable from the entry into force of this Agreement until 31 December 2023
85.07
—
Accumulators containing one or more battery cells or battery modules and the circuitry to interconnect them amongst themselves, often referred to as "battery packs", of a kind used as the primary source of electrical power for propulsion of vehicles of headings 87.02, 87.03 and 87.04
CTSH;
Assembly of battery packs from non-originating battery cells or battery modules;
or
MaxNOM 70 % (EXW)
—
Battery cells, battery modules, and parts thereof, intended to be incorporated into an electric accumulator of a kind used as the primary source of electrical power for propulsion of vehicles of headings 87.02, 87.03 and 87.04
CTH;
or
MaxNOM 70 % (EXW)
87.02-87.04
—
vehicles with both internal combustion engine and electric motor as motors for propulsion other than those capable of being charged by plugging to external source of electric power ("hybrid");
—
vehicles with both internal combustion piston engine and electric motor as motors for propulsion capable of being charged by plugging to external source of electric power ("plug-in hybrid");
—
vehicles with only electric motor for propulsion
MaxNOM 60 % (EXW)
SECTION 2
Interim product-specific rules applicable from 1 January 2024 until 31 December 2026
1.
For the products listed in column 1 below, the product specific rule listed in column 2 shall apply for the period from 1 January 2024 until 31 December 2026.
Column 1
Harmonised System classification (2017) including specific description
Column 2
Product-specific rule of origin applicable from 1 January 2024 until 31 December 2026
85.07
—
Accumulators containing one or more battery cells or battery modules and the circuitry to interconnect them amongst themselves, often referred to as "battery packs", of a kind used as the primary source of electrical power for propulsion of vehicles of headings 87.02, 87.03 and 87.04
CTH except from non-originating active cathode materials;
or
MaxNOM 40 % (EXW)
—
Battery cells, battery modules, and parts thereof, intended to be incorporated into an electric accumulator of a kind used as the primary source of electrical power for propulsion of vehicles of headings 87.02, 87.03 and 87.04
CTH except from non-originating active cathode materials;
or
MaxNOM 50 % (EXW)
87.02-87.04
—
vehicles with both internal combustion engine and electric motor as motors for propulsion other than those capable of being charged by plugging to external source of electric power ("hybrid");
—
vehicles with both internal combustion piston engine and electric motor as motors for propulsion capable of being charged by plugging to external source of electric power ("plug-in hybrid");
—
vehicles with only electric motor for propulsion
MaxNOM 55 % (EXW)
SECTION 3
Review of product-specific rules for heading 85.07
1.
Not earlier than 4 years from the entry into force of this Agreement, the Trade Partnership Committee shall, on request of either Party and assisted by the Trade Specialised Committee on Customs Cooperation and Rules of Origin, review the product-specific rules for heading 85.07 applicable as from 1 January 2027, contained in Annex 3.
2.
The review referred to in paragraph 1, shall be made on the basis of available information about the markets within the Parties, such as the availability of sufficient and suitable originating materials, the balance between supply and demand and other relevant information.
3.
On the basis of the results of the review carried out pursuant to paragraph 1, the Partnership Council may adopt a decision to amend the product-specific rules for heading 85.07 applicable as from 1 January 2027, contained in Annex 3.
ANNEX 6
SUPPLIER’S DECLARATION
1.
A supplier’s declaration shall have the content set out in this Annex.
2.
Except in the cases referred to in point 3, a supplier’s declaration shall be made out by the supplier for each consignment of products in the form provided for in Appendix 6-A and annexed to the invoice, or to any other document describing the products concerned in sufficient detail to enable them to be identified.
3.
Where a supplier regularly supplies a particular customer with products for which the production carried out in a Party is expected to remain constant for a period of time, that supplier may provide a single supplier’s declaration to cover subsequent consignments of those products (the "long-term supplier’s declaration"). A long-term supplier’s declaration is normally valid for a period of up to two years from the date of making out the declaration. The customs authorities of the Party where the declaration is made out may lay down the conditions under which longer periods may be used. The long-term supplier’s declaration shall be made out by the supplier in the form provided for in Appendix 6-B and shall describe the products concerned in sufficient detail to enable them to be identified. The supplier shall inform the customer immediately if the long-term supplier’s declaration ceases to apply to the products supplied.
4.
The supplier making out a declaration shall be prepared to submit at any time, at the request of the customs authorities of the Party where the declaration is made out, all appropriate documents proving that the information given on that declaration is correct.
Appendix 6-A
SUPPLIER'S DECLARATION
The supplier's declaration, the text of which is provided below, must be made out in accordance with the footnotes. However, the footnotes do not have to be reproduced.
SUPPLIER'S DECLARATION
I, the undersigned, the supplier of the products covered by the annexed document, declare that:
1.
The following materials which do not originate in [indicate the name of the relevant Party] have been used in [indicate the name of the relevant Party] to produce these products:
Description of the products supplied
(1)
Description of non-originating materials used
HS heading of non-originating materials used
(2)
Value of non-originating materials used
(2)(3)
Total value
2.
All the other materials used in [indicate the name of the relevant Party] to produce those products originate in [indicate the name of the relevant Party]
I undertake to make available any further supporting documents required.
… (Place and Date)
… (Name and position of the undersigned, name and address of company)
… (Signature)
(6)
Appendix 6-B
LONG-TERM SUPPLIER'S DECLARATION
The long-term supplier's declaration, the text of which is given below, must be made out in accordance with the footnotes. However, the footnotes do not have to be reproduced.
LONG-TERM SUPPLIER'S DECLARATION
I, the undersigned, the supplier of the products covered by the annexed document, which are regularly supplied to
(4)
…, declare that:
1.
The following materials which do not originate in [indicate the name of the relevant Party] have been used in [indicate the name of the relevant Party] to produce these products:
Description of the products supplied
(1)
Description of non-originating materials used
HS heading of non-originating materials used
(2)
Value of non-originating materials used
(2)(3)
Total value
2.
All the other materials used in [indicate the name of the relevant Party] to produce those products originate in a Party [indicate the name of the relevant Party];
This declaration is valid for all subsequent consignments of these products dispatched
from … to … 
(5)
I undertake to inform … 
(4)
 immediately if this declaration ceases to be valid.
… (Place and Date)
…
(Name and position of the undersigned, name and address of company)
… (Signature)
(6)
Footnotes
(1)
Where the invoice or other document to which the declaration is annexed relates to different kinds of products, or to products which do not incorporate non-originating materials to the same extent, the supplier must clearly differentiate them.
(2)
The information requested does not have to be given unless it is necessary.
Examples:
One of the rules for garments of Chapter 62 provides "Weaving combined with making-up including cutting of fabric". If a manufacturer of such garments in a Party uses fabric imported from the other Party which has been obtained there by weaving non-originating yarn, it is sufficient for the supplier in the latter Party to describe in his declaration the non-originating material used as yarn, without it being necessary to indicate the HS heading and the value of such yarn.
A producer of wire of iron of HS heading 72.17 who has produced it from non-originating iron bars should indicate in the second column "bars of iron". Where that wire is to be used in the production of a machine for which the rule contains a limitation for all non-originating materials used to a certain percentage value, it is necessary to indicate in the third column the value of non-originating bars.
(3)
"Value of non-originating materials used" means the value of the non-originating materials used in the production of the product, which is its customs value at the time of importation, including freight, insurance if appropriate, packing and all other costs incurred in transporting the materials to the importation port in the Party where the producer of the product is located; where the value of the non-originating materials is not known and cannot be ascertained, the first ascertainable price paid for the non-originating materials in the Union or in the United Kingdom is used.
(4)
Name and address of the customer
(5)
Insert dates
(6)
This field may contain an electronic signature, a scanned image or other visual representation of the signer’s handwritten signature instead of original signatures, where appropriate.
ANNEX 7
TEXT OF THE STATEMENT ON ORIGIN
The statement on origin referred to in Article 56 of this Agreement shall be made out using the text set out below in one of the following language versions and in accordance with the laws and regulations of the exporting Party. If the statement on origin is handwritten, it shall be written in ink in printed characters. The statement on origin shall be made out in accordance with the respective footnotes. The footnotes do not have to be reproduced.
Bulgarian version
Croatian version
Czech version
Danish version
Dutch version
English version
Estonian version
Finnish version
French version
German version
Greek version
Hungarian version
Italian version
Latvian version
Lithuanian version
Maltese version
Polish version
Portuguese version
Romanian version
Slovak version
Slovenian version
Spanish version
Swedish version
(Period: from … to … 
(1)
)
The exporter of the products covered by this document (Exporter Reference No ...
(2)
) declares that, except where otherwise clearly indicated, these products are of ...
(3)
 preferential origin.
…
(4)
(Place and date)
…
(Name of the exporter)
(1)
If the statement on origin is completed for multiple shipments of identical originating products within the meaning of point (b) of Article 56(4) of this Agreement, indicate the period for which the statement on origin is to apply. That period shall not exceed 12 months. All importations of the product must occur within the period indicated. If a period is not applicable, the field may be left blank.
(2)
Indicate the reference number by which the exporter is identified. For the Union exporter, this will be the number assigned in accordance with the laws and regulations of the Union. For the United Kingdom exporter, this will be the number assigned in accordance with the laws and regulations applicable within the United Kingdom. Where the exporter has not been assigned a number, this field may be left blank.
(3)
Indicate the origin of the product: the United Kingdom or the Union.
(4)
Place and date may be omitted if the information is contained on the document itself.
ANNEX 8
JOINT DECLARATION CONCERNING THE PRINCIPALITY OF ANDORRA
1.
Products originating in the Principality of Andorra that fall within Chapters 25 to 97 of the Harmonised System shall be accepted by the United Kingdom as originating in the Union within the meaning of this Agreement.
2.
Paragraph 1 only applies if, by virtue of the customs union established by Council Decision 90/680/EEC of 26 November 1990 on the conclusion of an agreement in the form of an exchange of letters between the European Economic Community and the Principality of Andorra, the Principality of Andorra applies to products originating in the United Kingdom the same preferential tariff treatment as the Union applies to such products.
3.
Part Two, Heading One, Title I, Chapter 2 of this Agreement applies 
mutatis mutandis
 for the purpose of defining the originating status of products referred to in paragraph 1 of this Joint Declaration.
ANNEX 9
JOINT DECLARATION CONCERNING THE REPUBLIC OF SAN MARINO
1.
Products originating in the Republic of San Marino shall be accepted by the United Kingdom as originating in the Union within the meaning of this Agreement.
2.
Paragraph 1 only applies if, by virtue of the Agreement on Cooperation and Customs Union between the European Economic Community and the Republic of San Marino, done at Brussels on 16 December 1991, the Republic of San Marino applies to products originating in the United Kingdom the same preferential tariff treatment as the Union applies to such products.
3.
Part Two, Heading One, Title I, Chapter 2 of this Agreement applies 
mutatis mutandis
 for the purposes of defining the originating status of products referred to in paragraph 1 of this Joint Declaration.
ANNEX 10
CRITERIA REFERRED TO IN POINT (d) OF ARTICLE 87
The criteria referred to in point (d) of Article 87 of this Agreement are:
(a)
the information made available by the exporting Party for the purposes of obtaining import authorisation of a given product into the importing party according to Article 75 of this Agreement;
(b)
the outcome of audits and verifications by the importing party in accordance with Article 79 of this Agreement;
(c)
the frequency and severity of non-compliance detected by the importing party on products from the exporting party;
(d)
the exporting operators' past record as regards compliance with the requirements of the importing party; and
(e)
available scientific assessments and any other pertinent information regarding the risk associated with the products.
ANNEX 11
MOTOR VEHICLES AND EQUIPMENT AND PARTS THEREOF
Article 1
Definitions
1.   For the purposes of this Annex, the following definitions apply:
(a)
"WP.29" means the World Forum for Harmonisation of Vehicle Regulations within the framework of the United Nations Economic Commission for Europe ("UNECE");
(b)
"1958 Agreement" means the Agreement Concerning the Adoption of Harmonized Technical United Nations Regulations for Wheeled Vehicles, Equipment and Parts which can be Fitted and/or be Used on Wheeled Vehicles and the Conditions for Reciprocal Recognition of Approvals Granted on the Basis of these United Nations Regulations, done at Geneva on 20 March 1958, administered by the WP.29, and all subsequent amendments and revisions thereof;
(c)
"1998 Agreement" means the Agreement concerning the Establishing of Global Technical Regulations for Wheeled Vehicles, Equipment and Parts which can be Fitted and/or be Used on Wheeled Vehicles, done at Geneva on 25 June 1998, administered by the WP.29, and all subsequent amendments and revisions thereof;
(d)
"UN Regulations" means Regulations adopted in accordance with the 1958 Agreement;
(e)
"GTR" means a Global Technical Regulation established and placed on the Global Registry in accordance with the 1998 Agreement;
(f)
"HS 2017" means the 2017 edition of the Harmonised System Nomenclature issued by the World Customs Organization;
(g)
"type approval" means the procedure whereby an approval authority certifies that a type of vehicle, system, component or separate technical unit satisfies the relevant administrative provisions and technical requirements;
(h)
"type-approval certificate" means the document whereby an approval authority officially certifies that a type of vehicle, system, component or separate technical unit is type-approved.
2.   Terms referred to in this Annex shall have the same meaning as they have in the 1958 Agreement or in Annex 1 to the TBT Agreement.
Article 2
Product scope
This Annex applies to the trade between the Parties of all categories of motor vehicles, equipment and parts thereof, as defined in Paragraph 1 of UNECE Consolidated Resolution on the Construction of Vehicles (R.E.3) 
(
1
)
, falling under, inter alia, Chapters 40, 84, 85, 87 and 94 of the HS 2017 (hereinafter referred to as "products covered").
Article 3
Objectives
With regard to the products covered, the objectives of this Annex are to:
(a)
eliminate and prevent any unnecessary technical barriers to bilateral trade;
(b)
promote the compatibility and convergence of regulations based on international standards;
(c)
promote the recognition of approvals based on approval schemes applied under the agreements administered by WP.29;
(d)
reinforce competitive market conditions based on principles of openness, non-discrimination and transparency;
(e)
promote high levels of protection of human health, safety and the environment; and
(f)
maintain cooperation on issues of mutual interest to foster continued mutually beneficial development in trade.
Article 4
Relevant international standards
The Parties recognise that the WP.29 is the relevant international standardising body and that UN Regulations and GTRs under the 1958 Agreement and 1998 Agreement are relevant international standards for the products covered by this Annex.
Article 5
Regulatory convergence based on relevant international standards
1.   The Parties shall refrain from introducing or maintaining any domestic technical regulation, marking, or conformity assessment procedure diverging from UN Regulations or GTRs in areas covered by such Regulations or GTRs, including where the relevant UN Regulations or GTRs have not been completed but their completion is imminent, unless there are substantiated reasons why a specific UN Regulation or GTR is an ineffective or inappropriate means for the fulfilment of legitimate objectives pursued, for example, in the areas of road safety or the protection of the environment or human health.
2.   A Party which introduces a divergent domestic technical regulation, marking, or conformity assessment procedure as referred to in paragraph 1, at the request of the other Party, shall identify the parts of the domestic technical regulation, marking, or conformity assessment procedure which substantially diverge from the relevant UN Regulations or GTRs and provide justification for the divergence.
3.   Each Party shall systematically consider applying UN Regulations adopted after the entry into force of this Agreement, and shall inform each other of any changes regarding the implementation of those UN Regulations in its respective domestic legal system following the protocol established under the 1958 Agreement and in line with Articles 8 and 9.
4.   Insofar as a Party has introduced or maintains domestic technical regulations, markings or conformity assessment procedures that diverge from UN Regulations or GTRs as permitted by paragraph 1, that Party shall review those domestic technical regulations, markings or conformity assessment procedures at regular intervals, preferably not exceeding five years, with a view to increasing their convergence with the relevant UN Regulations or GTRs. When reviewing their domestic technical regulations, markings and conformity assessment procedures, each Party shall consider whether the justification for the divergence still exists. The outcome of these reviews, including any scientific and technical information used, shall be notified to the other Party upon request.
5.   Each Party shall refrain from introducing or maintaining domestic technical regulations, markings, or conformity assessment procedures which have the effect of prohibiting, restricting or increasing the burden for the importation and putting into service on their domestic market of products type-approved under UN Regulations for the areas covered by those UN Regulations unless such domestic technical regulations, markings or conformity assessment procedures are explicitly provided for by those UN Regulations.
Article 6
Type approval and market surveillance
1.   Each Party shall accept on its market products which are covered by a valid UN type-approval certificate as compliant with its domestic technical regulations, markings and conformity assessment procedures, without requiring any further testing or marking to verify or attest compliance with any requirement covered by the UN type-approval certificate concerned. In the case of vehicle approvals, the UN Universal International Whole Vehicle Type Approval (U-IWVTA) shall be considered valid in respect of the requirements covered by the U-IWVTA. UN type-approval certificates issued by a Party can only be considered valid if that Party has acceded to the relevant UN Regulations.
2.   Each Party shall only be required to accept valid UN type-approval certificates issued pursuant to the latest version of the UN Regulations it has acceded to.
3.   For the purpose of paragraph 1, the following shall be considered sufficient proof of the existence of a valid UN type-approval:
(a)
for whole vehicles, a valid UN Declaration of Conformance certifying compliance with a U-IWVTA;
(b)
for equipment and parts, a valid UN type-approval mark affixed to the product; or
(c)
for equipment and parts to which a UN type-approval mark cannot be affixed, a valid UN type-approval certificate.
4.   For the purpose of conducting market surveillance, the competent authorities of a Party may verify that the products covered comply, as appropriate, with
(a)
all the domestic technical regulations of that Party; or
(b)
the UN Regulations with which compliance has been attested, in accordance with this Article, by a valid UN Declaration of Conformance certifying compliance with a U-IWVTA in the case of whole vehicles, or by a valid UN type-approval mark affixed to the product or a valid UN type-approval certificate in the case of equipment and parts.
Such verifications shall be carried out by random sampling in the market and in accordance with the technical regulations referred to in point (a) or (b) of this paragraph, as the case may be.
5.   The Parties shall endeavour to cooperate in the field of market surveillance to support the identification and addressing of non-conformities of vehicles, systems, components or separate technical units.
6.   A Party may take any appropriate measures with respect to vehicles, systems, components or separate technical units that present a serious risk to the health or safety of persons or with regard to other aspects of the protection of public interests, or that otherwise do not comply with applicable requirements. Such measures may include prohibiting or restricting the making available on the market, the registration or the entry into service of the vehicles, systems, components or separate technical units concerned, or withdrawing them from the market or recalling them. A Party that adopts or maintains such measures shall promptly inform the other Party of those measures and, at the request of the other Party, shall provide its reasons for adopting those measures.
Article 7
Products with new technologies or new features
1.   Neither Party shall refuse or restrict the access to its market of a product that is covered by this Annex and that has been approved by the exporting Party on the grounds that the product incorporates a new technology or a new feature that the importing Party has not yet regulated, unless it can demonstrate that it has reasonable grounds for believing that the new technology or new feature creates a risk for human health, safety or the environment.
2.   If a Party decides to refuse the access to its market or requires the withdrawal from its market of a product of the other Party covered by this Annex on the grounds that it incorporates a new technology or a new feature creating a risk for human health, safety or the environment, it shall promptly notify that decision to the other Party and to the economic operator or operators concerned. The notification shall include all relevant scientific or technical information taken into account in the decision.
Article 8
Cooperation
1.   In order to further facilitate trade in motor vehicles, their parts and equipment, and to prevent market access problems, while ensuring human health, safety and environmental protection, the Parties shall endeavour to cooperate and to exchange information as appropriate.
2.   Areas of cooperation under this Article may include in particular:
(a)
the development and establishment of technical regulations or related standards;
(b)
the exchange, to the extent possible, of research, information and results linked to the development of new vehicle safety regulations or related standards, advanced emission reduction, and emerging vehicle technologies;
(c)
the exchange of available information on the identification of safety-related or emission-related defects and non-compliance with technical regulations; and
(d)
the promotion of greater international harmonisation of technical requirements through multilateral fora, such as the 1958 Agreement and the 1998 Agreement, including through cooperation in the planning of initiatives in support of such harmonisation.
Article 9
Working Group on Motor Vehicles and Parts
1.   A Working Group on Motor Vehicles and Parts shall assist the Trade Specialised Committee on Technical Barriers to Trade in monitoring and reviewing the implementation of this Annex and ensuring its proper functioning.
2.   The functions of the Working Group on Motor Vehicles and Parts shall be the following:
(a)
discussing any matter arising under this Annex, on request of a Party;
(b)
facilitating cooperation and exchange of information in accordance with Article 8;
(c)
carrying out technical discussions in accordance with Article 97 of this Agreement on matters falling within the scope of this Annex; and
(d)
maintaining a list of contact points responsible for matters arising under this Annex.
(
1
)
  ECE/TRANS/WP.29/78/Rev.6 of 11 July 2017.
ANNEX 12
MEDICINAL PRODUCTS
Article 1
Definitions
For the purposes of this Annex, the following definitions apply:
(a)
"authority" means an authority of a Party as listed in Appendix 12-A;
(b)
"Good Manufacturing Practice" or "GMP" means that part of quality assurance which ensures that products are consistently produced and controlled in accordance with the quality standards appropriate for their intended use and as required by the applicable marketing authorisation or product specifications, as listed in Appendix 12-B;
(c)
"inspection" means an evaluation of a manufacturing facility to determine whether such manufacturing facility is operating in compliance with Good Manufacturing Practice and/or commitments made as part of the approval to market a product, which is conducted in accordance with the laws, regulations and administrative provisions of the relevant Party, and includes pre-marketing and post-marketing inspection;
(d)
"official GMP document" means a document issued by an authority of a Party following the inspection of a manufacturing facility, including, for example, inspection reports, certificates attesting the compliance of a manufacturing facility with GMP, or a GMP non-compliance statement.
Article 2
Scope
The provisions of this Annex apply to medicinal products as listed in Appendix 12-C.
Article 3
Objectives
With regard to the products covered, the objectives of this Annex are:
(a)
to facilitate the availability of medicines in each Party’s territory;
(b)
to set out the conditions for the recognition of inspections and for the exchange and acceptance of official GMP documents between the Parties;
(c)
to promote public health by safeguarding patient safety and animal health and welfare, as well as to protect high levels of consumer and environmental protection, where relevant, by promoting regulatory approaches in line with the relevant international standards.
Article 4
International standards
The relevant standards for the products covered by this Annex shall ensure a high level of protection of public health in line with standards, practices and guidelines developed by the World Health Organization (WHO), the Organization for Economic Cooperation and Development (OECD), the International Council for Harmonisation of Technical Requirements for Pharmaceuticals for Human Use (ICH), and the International Cooperation on Harmonisation of Technical Requirements for Registration of Veterinary Medicinal Products (VICH).
Article 5
Recognition of inspections and acceptance of official GMP documents
1.   A Party shall recognise inspections carried out by the other Party and shall accept official GMP documents issued by the other Party in accordance with the laws, regulations and technical guidelines listed in Appendix 12-B.
2.   An authority of a Party may in specific circumstances opt not to accept an official GMP document issued by an authority of the other Party for manufacturing facilities located in the territory of the issuing authority. Examples of such circumstances include the indication of material inconsistencies or inadequacies in an inspection report, quality defects identified in post-market surveillance or other specific evidence of serious concern in relation to product quality or patient safety. Each Party shall ensure that where an authority of a Party opts not to accept an official GMP document issued by an authority of the other Party, that authority notifies the relevant authority of the other Party of the reasons for not accepting the document and may request clarification from the authority of the other Party. The relevant Party shall ensure that its authority endeavours to respond to the request for clarification in a timely manner.
3.   A Party may accept official GMP documents issued by an authority of the other Party for manufacturing facilities located outside the territory of the issuing authority.
4.   Each Party may determine the terms and conditions under which it accepts official GMP documents issued under paragraph 3.
Article 6
Exchange of official GMP documents
1.   Each Party shall ensure that if an authority of a Party requests an official GMP document from the authority of the other Party, the authority of the other Party shall endeavour to transmit the document within 30 calendar days of the date of the request.
2.   Each Party shall treat the information in a document obtained pursuant to paragraph 1 as confidential.
Article 7
Safeguards
1.   Each Party has the right to conduct its own inspection of manufacturing facilities that have been certified as compliant by the other Party.
2.   Each Party shall ensure that, prior to conducting an inspection under paragraph 1, the authority of the Party that intends to conduct the inspection notifies the relevant authority of the other Party of the inspection in writing, stating the reasons for conducting its own inspection. The authority of the Party that intends to conduct the inspection shall endeavour to notify the authority of the other Party in writing at least 30 days before a proposed inspection, but may provide a shorter notice in urgent situations. The authority of the other Party may join the inspection.
Article 8
Changes to applicable laws and regulations
1.   Each Party shall notify the other Party at least 60 days before adopting any new measures or changes relating to Good Manufacturing Practice concerning any of the relevant laws, regulations and technical guidelines listed in Appendix 12-B.
2.   The Parties shall exchange all the necessary information, including changes to their respective laws, regulations, technical guidelines or inspection procedures relating to Good Manufacturing Practice so that each Party can consider whether the conditions for the recognition of inspections and acceptance of official GMP documents pursuant to Article 5(1) continue to exist.
3.   If as a result of any of the new measures or changes referred to in paragraph 1 of this Article, a Party considers that it can no longer recognise inspections or accept official GMP documents issued by the other Party, it shall notify the other Party of its intention to apply Article 9 and the Parties shall enter into consultations within the Working Group on Medicinal Products.
4.   Any notification under this Article shall be done via the designated contact points in the Working Group on Medicinal Products.
Article 9
Suspension
1.   Without prejudice to Article 5(2), each Party has the right to suspend totally or partially the recognition of inspections and acceptance of official GMP documents of the other Party pursuant to Article 5(1) for all or some of the products listed in Appendix 12-C. That right shall be exercised in an objective and reasoned manner. The Party exercising such right shall notify the other Party and provide a written justification. A Party shall continue to accept official GMP documents of the other Party issued prior to such suspension, unless the Party decides otherwise on the basis of health or safety considerations.
2.   Where, following consultations referred to in Article 8(3), a Party nevertheless suspends the recognition of inspections and acceptance of official GMP documents pursuant to Article 5(1), it may do so in accordance with paragraph 1 of this Article not earlier than 60 days after the commencement of the consultations. During that 60-day period, both Parties shall continue to recognise inspections and accept official GMP documents issued by an authority of the other Party.
3.   Where recognition of inspections and acceptance of official GMP documents pursuant to Article 5(1) is suspended, at the request of a Party, the Parties shall discuss the matter within the Working Group on Medicinal Products and they shall make every effort to consider possible measures that would enable the recognition of inspections and acceptance of official GMP documents to be restored.
Article 10
Regulatory cooperation
1.   The Parties shall endeavour to consult one another, as permitted by their respective law, on proposals to introduce significant changes to technical regulations or inspection procedures, including those that affect how documents from the other Party are recognised in accordance with Article 5 and, where appropriate, to provide the opportunity to comment on such proposals, without prejudice to Article 8.
2.   The Parties shall endeavour to cooperate with a view to strengthening, developing and promoting the adoption and implementation of internationally agreed scientific or technical guidelines including, where feasible, through the presentation of joint initiatives, proposals and approaches in the relevant international organisations and bodies referred to in Article 4.
Article 11
Amendments to appendices
The Partnership Council shall have the power to amend Appendix 12-A in order to update the list of authorities, Appendix 12-B in order to update the list of applicable laws, regulations and technical guidelines, and Appendix 12-C in order to update the list of covered products.
Article 12
Working Group on Medicinal Products
1.   The Working Group on Medicinal Products shall assist the Trade Specialised Committee on Technical Barriers to Trade in monitoring and reviewing the implementation of this Annex and ensuring its proper functioning.
2.   The functions of the Working Group on Medicinal Products shall be the following:
(a)
discussing any matter arising under this Annex at the request of a Party;
(b)
facilitating cooperation and exchanges of information for the purposes of Articles 8 and 10;
(c)
functioning as the forum for consultations and discussions for the purposes of Articles 8(3) and 9(3);
(d)
carrying out technical discussions in accordance with Article 97 of this Agreement on matters falling within the scope of this Annex; and
(e)
maintaining a list of contact points responsible for matters arising under this Annex.
Article 13
Non-application of dispute settlement
Title I of Part Six of this Agreement does not apply in respect of disputes regarding the interpretation and application of this Annex.
Appendix 12-A
AUTHORITIES OF THE PARTIES
(1)
European Union:
Country
For medicinal products for human use
For medicinal products for veterinary use
Belgium
Federal agency for medicines and health products /
Federaal Agentschap voor geneesmiddelen en gezondheidsproducten/ Agence fédérale des médicaments et produits de santé
See authority for medicinal products for human use
Bulgaria
Bulgarian Drug Agency /
ИЗПЪЛНИТЕЛНА АГЕНЦИЯ ПО ЛЕКАРСТВАТА
Bulgarian Food Safety Agency /
Българска агенция по безопасност на храните
Czechia
State Institute for Drug Control /
Státní ústav pro kontrolu léčiv (SÚKL)
Institute for State Control of Veterinary Biologicals and Medicaments /
Ústav pro státní kontrolu veterinárních biopreparátů a léčiv (ÚSKVBL)
Denmark
Danish Medicines Agency /
Laegemiddelstyrelsen
See authority for medicinal products for human use
Germany
Federal Institute for Drugs and Medical Devices /
Bundesinstitut für Arzneimittel und Medizinprodukte (BfArM)
Paul-Ehrlich-Institute (PEI), Federal Institute for Vaccines and Biomedicines / Paul-Ehrlich-Institut (PEI) Bundesinstitut für Impfstoffe und biomedizinische Arzneimittel
Federal Ministry of Health / Bundesministerium für Gesundheit (BMG) / Zentralstelle der Länder für Gesundheitsschutz bei Arzneimitteln und Medizinprodukten (ZLG)
 (
1
)
Federal Office for Consumer Protection and Food Safety /
Bundesamt für Verbraucherschutz und Lebensmittelsicherheit (BVL)
Federal Ministry of Food and Agriculture, Bundesministerium für Ernährung und Landwirtschaft
Paul-Ehrlich-Institute (PEI), Federal Institute for Vaccines and Biomedicines / Paul-Ehrlich-Institut (PEI) Bundesinstitut für Impfstoffe und biomedizinische Arzneimittel
Estonia
State Agency of Medicines /
Ravimiamet
See authority for medicinal products for human use
Ireland
Health Products Regulatory Authority (HPRA)
See authority for medicinal products for human use
Greece
National Organisation for Medicines /
Ethnikos Organismos Farmakon (EOF) - (ΕΘΝIΚΟΣ ΟΡΓΑΝIΣΜΟΣ ΦΑΡΜΑΚΩΝ)
See authority for medicinal products for human use
Spain
Spanish Agency of Medicines and Medical Devices /
Agencia Española de Medicamentos y Productos Sanitarios
 (
2
)
See authority for medicinal products for human use
France
French National Agency for Medicines and Health Products Safety Agence nationale de sécurité du médicament et des produits de santé (ANSM)
French agency for food, environmental and occupational health safety-National Agency for Veterinary Medicinal Products /
Agence Nationale de Sécurité Sanitaire de l’alimentation, de l’environnement et du travail-Agence Nationale du Médicament Vétérinaire (Anses-ANMV)
Croatia
Agency for Medicinal Products and Medical Devices /
Agencija za lijekove i medicinske proizvode (HALMED)
Ministry of Agriculture, Veterinary and Food Safety Directorate /
Ministarstvo Poljoprivrede, Uprava za veterinarstvo i sigurnost hrane
Italy
Italian Medicines Agency / Agenzia Italiana del Farmaco
Direction General for Animal Health and Veterinary Medicinal Products /
Ministero della Salute, Direzione Generale della Sanità Animale e dei Farmaci Veterinari
Cyprus
Ministry of Health - Pharmaceutical Services /
Φαρμακευτικές Υπηρεσίες, Υπουργείο Υγείας
Ministry of Agriculture, Rural Development and Environment-
Veterinary Services /
Κτηνιατρικές Υπηρεσίες- Υπουργείο Γεωργίας, Αγροτικής Ανάπτυξης και Περιβάλλοντος
Latvia
State Agency of Medicines /
Zāļu valsts aģentūra
Assessment and Registration Department of the Food and Veterinary Service / Pārtikas un veterinārā dienesta Novērtēšanas un reģistrācijas departaments
Lithuania
State Medicines Control Agency /
Valstybinė vaistų kontrolės tarnyba
State Food and Veterinary Service /
Valstybinė maisto ir veterinarijos tarnyba
Luxembourg
Minìstere de la Santé, Division de la Pharmacie et des Médicaments
See authority for medicinal products for human use
Hungary
Országos Gyógyszerészeti és Élelmezés-egészségügyi Intézet / National Institute of Pharmacy and Nutrition
National Food Chain Safety Office, Directorate of Veterinary Medicinal Products / Nemzeti Élelmiszerlánc-biztonsági Hivatal,
Állatgyógyászati Termékek Igazgatósága (ÁTI)
Malta
Medicines Regulatory Authority
Veterinary Medicines Section of the National Veterinary Laboratory (NVL) within
The Animal Health and Welfare Department (AHWD)
Netherlands
Healthcare and Youth Inspectorate / Inspectie Gezondheidszorg en Youth (IGJ)
Medicines Evaluation Board /
Bureau Diergeneesmiddelen, College ter Beoordeling van Geneesmiddelen (CBG)
Austria
Austrian Agency for Health and Food Safety /
Österreichische Agentur für Gesundheit und Ernährungssicherheit GmbH
See authority for medicinal products for human use
Poland
The Main Pharmaceutical Inspectorate /
Główny Inspektorat Farmaceutyczny (GIF)
See authority medicinal products for human use
Portugal
National Authority of Medicines and Health Products /
INFARMED, I.P
Autoridade Nacional do Medicamento e Produtos de Saúde, I.P
General Directorate of Food and Veterinary / DGAV - Direção Geral de Alimentação e Veterinária (PT)
Romania
National Agency for Medicines and Medical Devices /
Agenţia Naţională a Medicamentului şi a Dispozitivelor Medicale
National Sanitary Veterinary and Food Safety Authority / Autoritatea Naţională Sanitară Veterinară şi pentru Siguranţa Alimentelor
Slovenia
Agency for Medicinal Products and Medical Devices of the Republic of Slovenia /
Javna agencija Republike Slovenije za zdravila in medicinske pripomočke (JAZMP)
See authority for medicinal products for human use
Slovakia
State Institute for Drug Control /
Štátny ústav pre kontrolu liečiv (ŠÚKL)
Institute for State Control of Veterinary Biologicals and Medicaments /
Ústav štátnej kontroly veterinárnych biopreparátov a liečiv (ÚŠKVBL)
Finland
Finnish Medicines Agency /
Lääkealan turvallisuus- ja kehittämiskeskus (FIMEA)
See authority for medicinal products for human use
Sweden
Medical Products Agency / Läkemedelsverket
See authority for medicinal products for human use
(2)
United Kingdom
Medicines and Healthcare Products Regulatory Agency
Veterinary Medicines Directorate
Appendix 12-B
LIST OF APPLICABLE LAWS, REGULATIONS AND TECHNICAL GUIDELINES RELATING TO GOOD MANUFACTURING PRACTICE
(1)
For the European Union:
Directive 2001/83/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to medicinal products for human use 
(
3
)
;
Directive 2001/82/EC of the European Parliament and of the Council of 6 November 2001 on the Community code relating to veterinary medicinal products 
(
4
)
;
Directive 2001/20/EC of European Parliament and of the Council of 4 April 2001 on the approximation of the laws, regulations and administrative provisions of the Member States relating to the implementation of good clinical practice in the conduct of clinical trials on medicinal products for human use 
(
5
)
;
Regulation (EU) No 536/2014 of 16 April 2014 on clinical trials on medicinal products for human use, and repealing Directive 2001/20/EC 
(
6
)
;
Regulation (EC) No 726/2004 of the European Parliament and of the Council of 31 March 2004 laying down Community procedures for the authorisation and supervision of medicinal products for human and veterinary use and establishing a European Medicines Agency 
(
7
)
;
Regulation (EC) No 1394/2007 of the European Parliament and of the Council of 13 November 2007 on advanced therapy medicinal products and amending Directive 2001/83/EC and Regulation (EC) No 726/2004 
(
8
)
;
Commission Directive 2003/94/EC of 8 October 2003 laying down the principles and guidelines of good manufacturing practice in respect of medicinal products for human use and investigational medicinal products for human use 
(
9
)
;
Commission Directive 91/412/EEC of 23 July 1991 laying down the principles and guidelines of good manufacturing practice for veterinary medicinal products 
(
10
)
;
Commission Directive (EU) 2017/1572 of 15 September 2017 supplementing Directive 2001/83/EC of the European Parliament and of the Council as regards the principles and guidelines of good manufacturing practice for medicinal products for human use 
(
11
)
;
Commission Delegated Regulation (EU) 1252/2014 of 28 May 2014 supplementing Directive 2001/83/EC of the European Parliament and of the Council with regard to principles and guidelines of good manufacturing practice for active substances for medicinal products for human use 
(
12
)
;
Commission Delegated Regulation (EU) 2017/1569 of 23 May 2017 supplementing Regulation (EU) No 536/2014 of the European Parliament and of the Council by specifying principles of and guidelines for good manufacturing practice for investigational medicinal products for human use and arrangements for inspections 
(
13
)
;
Current version of the Guide to good manufacturing practice contained in volume IV of Rules governing medicinal products in the European Union and compilation of the community procedures on inspections and exchange of information.
(2)
For the United Kingdom:
The Human Medicines Regulations 2012 (SI 2012/1916)
The Medicines for Human Use (Clinical Trials) Regulations 2004 (SI 2004/1031)
The Veterinary Medicines Regulations 2013 (SI 2013/2033)
Regulations on good manufacturing practice made under regulation B17, and guidelines on good manufacturing practice published pursuant to regulation C17, of the Human Medicines Regulations 2012
The principles and guidelines on good manufacturing practice applicable for the purposes of Schedule 2 to the Veterinary Medicines Regulations 2013
Appendix 12-C
COVERED PRODUCTS
Medicinal products for human use and veterinary use:
—
marketed medicinal products for human or veterinary use, including marketed biological and immunological products for human and veterinary use,
—
advanced therapy medicinal products,
—
active pharmaceutical ingredients for human or veterinary use,
—
investigational medicinal products.
(
1
)
  For the purpose of this Annex, and without prejudice to the internal division of competence in Germany on matters falling within the scope of this Annex, ZLG shall be understood as covering all the competent Länder authorities issuing GMP documents and conducting pharmaceutical inspections.
(
2
)
  For the purpose of this Annex, and without prejudice to the internal division of competence in Spain on matters falling within the scope of this Annex, Agencia Española de Medicamentos y Productos Sanitarios shall be understood as covering all the competent regional authorities issuing official GMP documents and conducting pharmaceutical inspections.
(
3
)
  
            
OJ EU L 311, 28.11.2001, p. 67
.
(
4
)
  
            
OJ EU L 311, 28.11.2001, p. 1
.
(
5
)
  
            
OJ EU L 121, 1.5.2001, p. 34
.
(
6
)
  
            
OJ EU L 158, 27.5.2014, p. 1
.
(
7
)
  
            
OJ EU L 136, 30.4.2004, p. 1
.
(
8
)
  
            
OJ EU L 324, 10.12.2007, p. 121
.
(
9
)
  
            
OJ EU L 262, 14.10.2003, p. 22
.
(
10
)
  
            
OJ EU L 228, 17.8.1991, p. 70
.
(
11
)
  
            
OJ EU L 238, 16.9.2017, p. 44
.
(
12
)
  
            
OJ EU L 337, 25.11.2014, p. 1
.
(
13
)
  
            
OJ EU L 238, 16.9.2017, p. 12
.
ANNEX 13
CHEMICALS
Article 1
Definitions
For the purposes of this Annex, the following definitions apply:
(a)
"responsible authorities" means:
(i)
for the Union: the European Commission;
(ii)
for the United Kingdom: the government of the United Kingdom;
(b)
"UN GHS" means the United Nations Globally Harmonized System of Classification and Labelling of Chemicals.
Article 2
Scope
This Annex applies to the trade, regulation, import and export of chemicals between the Union and the United Kingdom in respect of their registration, evaluation, authorisation, restriction, approval, classification, labelling and packaging.
Article 3
Objectives
1.   The objectives of this Annex are to:
(a)
facilitate the trade of chemicals and related products between the Parties;
(b)
ensure high levels of protection for the environment, and human and animal health; and
(c)
provide for cooperation between Union and United Kingdom responsible authorities.
2.   The Parties acknowledge that the commitments made under this Annex do not prevent either Party from setting its own priorities on chemicals regulation, including establishing its own levels of protection in respect of the environment, and human and animal health.
Article 4
Relevant international organisations and bodies
The Parties recognise that international organisations and bodies, in particular the OECD and the Sub-Committee of Experts on the Globally Harmonized System of Classification and Labelling of Chemicals (SCEGHS) of the United Nations Economic and Social Council (ECOSOC), are relevant for developing scientific and technical guidelines with respect to chemicals.
Article 5
Participation in relevant international organisations and bodies and regulatory developments
1.   The Parties shall actively contribute to the development of the scientific or technical guidelines referred to in Article 4 with respect to the assessment of hazards and risks of chemicals and the formats for documenting the results of such assessments.
2.   Each Party shall implement any guidelines issued by the international organisations and bodies referred to in Article 4, unless those guidelines would be ineffective or inappropriate for the achievement of that Party’s legitimate objectives.
Article 6
Classification and labelling of chemicals
1.   Each Party shall implement the UN GHS as comprehensively as it considers feasible within its respective system, including for chemicals that are not within the scope of this Annex, except where there are specific reasons to apply a different labelling system for particular chemical products in their finished state intended for the final user. Each Party shall periodically update its implementation based on the regularly issued revisions of the UN GHS.
2.   Where the responsible authority of a Party intends to classify individual substances in accordance with its respective rules and procedures, it shall give the responsible authority of the other Party the possibility of expressing its views in accordance with those respective rules and procedures within the applicable timelines.
3.   Each Party shall make information about its procedures related to the classification of substances publicly available in accordance with its respective rules and procedures. Each Party shall endeavour to respond to comments received from the other Party pursuant to paragraph 2.
4.   Nothing in this Article shall oblige either Party to achieve any particular outcome regarding the implementation of the UN GHS in its territory or regarding the classification of a given substance, or to advance, suspend or delay its respective procedures and decision-making processes.
Article 7
Cooperation
1.   The Parties recognise that voluntary cooperation on chemicals regulation can facilitate trade in ways that benefit consumers, businesses and the environment and that contribute to enhancing the protection of human and animal health.
2.   The Parties commit to facilitating the exchange of non-confidential information between their responsible authorities, including through cooperation on electronic formats and tools used to store data.
3.   The Parties shall cooperate where appropriate with a view to strengthening, developing and promoting the adoption and implementation of internationally agreed scientific or technical guidelines, including, where feasible, through the presentation of joint initiatives, proposals and approaches in the relevant international organisations and bodies, in particular those referred to in Article 4.
4.   The Parties shall cooperate, if considered beneficial by both Parties, with regard to the dissemination of data related to chemicals safety, and shall make such information available to the public with the objective of ensuring easy access to and the comprehensibility of that information by different target groups. Upon request of either Party, the other Party shall provide available non-confidential information on chemicals safety to the requesting Party.
5.   If a Party so requests and the other Party agrees to do so, the Parties shall enter into consultations on scientific information and data in the context of new and emerging issues related to the hazards or risks posed by chemicals to human health or the environment, with a view to creating a common pool of knowledge and, if feasible and to the extent possible, promoting a common understanding of the science related to such issues.
Article 8
Information exchange
The Parties shall cooperate and exchange information with respect to any issue relevant for the implementation of this Annex within the Trade Specialised Committee on Technical Barriers to Trade.
ANNEX 14
ORGANIC PRODUCTS
Article 1
Objective and scope
1.   The objective of this Annex is to set out the provisions and procedures for fostering trade in organic products in accordance with the principles of non-discrimination and reciprocity, by means of the recognition of equivalence by the Parties of their respective laws.
2.   This Annex applies to the organic products listed in Appendices 14-A and 14-B which comply with the laws and regulations listed in Appendix 14-C or 14-D. The Partnership Council shall have the power to amend Appendices 14-A, 14-B, 14-C and 14-D.
Article 2
Definitions
For the purposes of this Annex, the following definitions apply:
(a)
"competent authority" means an official agency that has jurisdiction over the laws and regulations listed in Appendix 14-C or 14-D and is responsible for the implementation of this Annex;
(b)
"control authority" means an authority on which the competent authority has conferred, in whole or in part, its competence for inspections and certifications in the field of organic production in accordance with the laws and regulations listed in Appendix 14-C or 14-D;
(c)
"control body" means an entity recognised by the competent authority to carry out inspections and certifications in the field of organic production in accordance with the laws and regulations listed in Appendix 14-C or 14-D; and
(d)
"equivalence" means the capability of different laws, regulations and requirements, as well as inspection and certification systems, of meeting the same objectives.
Article 3
Recognition of equivalence
1.   With respect to products listed in Appendix 14-A, the Union shall recognise the laws and regulations of the United Kingdom listed in Appendix 14-C as equivalent to the Union's laws and regulations listed in Appendix 14-D.
2.   With respect to products listed in Appendix 14-B, the United Kingdom shall recognise the laws and regulations of the Union listed in Appendix 14-D as equivalent to the United Kingdom's laws and regulations listed in Appendix 14-C.
3.   In view of the date of application of 1 January 2022 of Regulation (EU) 2018/848 of the European Parliament and of the Council of 30 May 2018 on organic production and labelling of organic products and repealing Council Regulation (EC) No 834/2007, the recognition of equivalence referred to in paragraphs 1 and 2 shall be reassessed by each Party by 31 December 2023. If, as a result of that reassessment, equivalence is not confirmed by a Party, recognition of equivalence shall be suspended.
4.   Without prejudice to paragraph 3, in the event of the modification, revocation or replacement of the laws and regulations listed in Appendix 14-C or 14-D, the new rules shall be considered equivalent to the other Party’s rules unless a Party objects in accordance with the procedure set out in paragraphs 5 and 6.
5.   If, following the receipt of further information from the other Party that it has requested, a Party considers that the laws, regulations or administrative procedures or practices of the other Party no longer meet the requirements for equivalence, that Party shall issue a reasoned request to the other Party to amend the relevant laws, regulations or administrative procedures or practices, and shall provide the other Party with an adequate period, which shall not be less than three months, for ensuring equivalence.
6.   If, following the expiry of the period in paragraph 5, the Party concerned still considers that the requirements for equivalence are not met, it may take a decision to unilaterally suspend the recognition of equivalence of the relevant laws and regulations listed in Appendix 14-C or 14-D, as regards the relevant organic products listed in Appendix 14-A or 14-B.
7.   A decision to unilaterally suspend the recognition of equivalence of the laws and regulations listed in Appendix 14-C or 14-D, as regards the relevant organic products listed in Appendix 14-A or 14-B may also be taken, following the expiry of a notice period of three months, where a Party has not provided the information required under Article 6 or does not agree to a peer review under Article 7.
8.   Where recognition of equivalence is suspended in accordance with this Article, the Parties shall, at the request of a Party, discuss the matter within the Working Group on Organic Products and they shall make every effort to consider possible measures that would enable recognition of equivalence to be restored.
9.   With respect to products not listed in Appendix 14-A or 14-B, equivalence shall be discussed by the Working Group on Organic Products at the request of a Party.
Article 4
Import and placing on the market
1.   The Union shall accept the import into its territory of the products listed in Appendix 14-A, and the placing of those products on the market as organic products, provided that those products comply with the laws and regulations of the United Kingdom listed in Appendix 14-C and are accompanied by a certificate of inspection issued by a control body recognised by the United Kingdom and indicated to the Union as referred to in paragraph 3.
2.   The United Kingdom shall accept the import into its territory of the products listed in Appendix 14-B, and the placing of those products on the market as organic products, provided that those products comply with the laws and regulations of the Union listed in Appendix 14-D and are accompanied by a certificate of inspection issued by a control body recognised by the Union and indicated to the United Kingdom as referred to in paragraph 3.
3.   Each Party recognises the control authorities or control bodies indicated by the other Party as responsible for performing the relevant controls as regards organic products covered by the recognition of equivalence as referred to in Article 3 and for issuing the certificate of inspection as referred to in paragraphs 1 and 2 of this Article with a view to their import into and placing on the market in the territory of the other Party.
4.   The importing Party, in cooperation with the other Party, shall assign code numbers to each relevant control authority and control body indicated by the other Party.
Article 5
Labelling
1.   Products imported into the territory of a Party in accordance with this Annex shall meet the requirements for labelling set out in the laws and regulations of the importing Party listed in Appendices 14-C and 14-D. Those products may bear the Union’s organic logo, any United Kingdom organic logo or both logos, as set out in the relevant laws and regulations, provided that those products comply with the labelling requirements for the respective logo or both logos.
2.   The Parties undertake to avoid any misuse of the terms referring to organic production in relation to organic products that are covered by the recognition of equivalence under this Annex.
3.   The Parties undertake to protect the Union’s organic logo and any United Kingdom organic logo set out in the relevant laws and regulations against any misuse or imitation. The Parties shall ensure that the Union’s organic logo and any United Kingdom organic logo are used only for the labelling, advertising or commercial documents of organic products that comply with the laws and regulations listed in Appendices 14-C and 14-D.
Article 6
Exchange of information
1.   The Parties shall exchange all relevant information with respect to the implementation and application of this Annex. In particular, by 31 March of the second year following the entry into force of this Agreement, and by 31 March of each following year, each Party shall send to the other:
(a)
a report that contains information with respect to the types and quantities of organic products exported under this Annex, covering the period from January to December of the previous year;
(b)
a report on the monitoring and supervisory activities carried out by its competent authorities, the results obtained, and the corrective measures taken, covering the period from January to December of the previous year; and
(c)
details of observed irregularities and infringements of the laws and regulations listed in Appendix 14-C or 14-D, as relevant.
2.   Each Party shall inform the other Party without delay of:
(a)
any update to the list of its competent authorities, control authorities and control bodies, including the relevant contact details (in particular the address and the internet address);
(b)
any changes or repeals it intends to make in respect of laws or regulations listed in Appendix 14-C or Appendix 14-D, any proposals for new laws or regulations or any relevant proposed changes to administrative procedures and practices related to organic products covered by this Annex; and
(c)
any changes or repeals it has adopted in respect of laws or regulations listed in Appendix 14-C or Appendix 14-D, any new legislation or relevant changes to administrative procedures and practices related to organic products covered by this Annex.
Article 7
Peer reviews
1.   Following advance notice of at least six months, each Party shall permit officials or experts designated by the other Party to conduct peer reviews in its territory to verify that the relevant control authorities and control bodies are carrying out the controls required to implement this Annex.
2.   Each Party shall cooperate with and assist the other Party, to the extent permitted under the applicable law, in carrying out the peer reviews referred to in paragraph 1, which may include visits to offices of relevant control authorities and control bodies, processing facilities and certified operators.
Article 8
Working Group on Organic Products
1.   The Working Group on Organic Products shall assist the Trade Specialised Committee on Technical Barriers to Trade in monitoring and reviewing the implementation of this Annex and ensuring its proper functioning.
2.   The functions of the Working Group on Organic Products shall be the following:
(a)
discussing any matter arising under this Annex at the request of a Party, including any possible need for amendments to this Annex or any of its Appendices;
(b)
facilitating cooperation regarding laws, regulations, standards and procedures concerning the organic products covered by this Annex, including discussions on any technical or regulatory issue related to rules and control systems; and
(c)
carrying out technical discussions in accordance with Article 97 of this Agreement on matters falling within the scope of this Annex.
Appendix 14-A
ORGANIC PRODUCTS FROM THE UNITED KINGDOM FOR WHICH THE UNION RECOGNISES EQUIVALENCE
Description
Comments
Unprocessed plant products
Live animals or unprocessed animal products
Includes Honey
Aquaculture products and seaweeds
Processed agricultural products for use as food
Processed agricultural products for use as feed
Seeds and propagating material
The organic products listed in this Appendix shall be unprocessed agricultural or aquaculture products produced in the United Kingdom or processed agricultural products for use as food or feed that have been processed in the United Kingdom with ingredients that have been grown in the United Kingdom or that have been imported into the United Kingdom in accordance with United Kingdom laws and regulations.
Appendix 14-B
ORGANIC PRODUCTS FROM THE UNION FOR WHICH THE UNITED KINGDOM RECOGNISES EQUIVALENCE
Description
Comments
Unprocessed plant products
Live animals or unprocessed animal products
Includes Honey
Aquaculture products and seaweeds
Processed agricultural products for use as food
Processed agricultural products for use as feed
Seeds and propagating material
The organic products listed in this Appendix shall be unprocessed agricultural or aquaculture products produced in the Union or processed agricultural products for use as food or feed that have been processed in the Union with ingredients that have been grown in the Union or that have been imported into the Union in accordance with the Union laws and regulations.
Appendix 14-C
LAWS AND REGULATIONS ON ORGANIC PRODUCTS APPLICABLE IN THE UNITED KINGDOM 
(
1
)
The following laws and regulations are applicable in the United Kingdom:
1.
Retained Regulation (EC) No 834/2007
2.
Retained Regulation (EC) No 889/2008
3.
Retained Regulation (EC) No 1235/2008
4.
The Organic Products Regulations 2009 (SI 2009/842)
Appendix 14-D
LAWS AND REGULATIONS ON ORGANIC PRODUCTS APPLICABLE IN THE UNION
The following laws and regulations are applicable in the Union:
1.
Council Regulation (EC) No 834/2007 of 28 June 2007 on organic production and labelling of organic products and repealing Regulation (EEC) No 2092/91 
(
2
)
2.
Commission Regulation (EC) No 889/2008 of 5 September 2008 laying down detailed rules for the implementation of Council Regulation (EC) No 834/2007 on organic production and labelling of organic products with regard to organic production, labelling and control 
(
3
)
3.
Commission Regulation (EC) No 1235/2008 of 8 December 2008 laying down detailed rules for implementation of Council Regulation (EC) No 834/2007 as regards the arrangements for imports of organic products from third countries 
(
4
)
(
1
)
  References in this list to Retained Union law are deemed to be references to such legislation, as amended by the United Kingdom to apply to the United Kingdom.
(
2
)
  
            
OJ EU L 189, 20.7.2007, p. 1
.
(
3
)
  
            
OJ EU L 250, 18.9.2008, p. 1
.
(
4
)
  
            
OJ EU L 334, 12.12.2008, p. 25
.
ANNEX 15
TRADE IN WINE
Article 1
Scope and definitions
1.   This Annex applies to wine falling under heading 22.04 of the Harmonised System.
2.   For the purposes of this Annex, "wine produced in" means fresh grapes, grape must and grape must in fermentation that have been turned into wine or added to wine in the territory of the exporting Party.
Article 2
Product definitions, oenological practices and processes
1.   Oenological practices for wine recommended and published by the International Organisation of the Vine and Wine ("OIV") shall be considered relevant international standards for the purposes of this Annex.
2.   Each Party shall authorise the importation and sale for consumption of wine produced in the other Party, if that wine has been produced in accordance with:
(a)
product definitions authorised in each Party under the laws and regulations referred to in Appendix 15-A;
(b)
the oenological practices established in each Party under the laws and regulations referred to in Appendix 15-A that are in accordance with the relevant OIV standards; and
(c)
oenological practices and restrictions established in each Party that are not in accordance with the relevant OIV standards, listed in Appendix 15-B.
3.   The Partnership Council shall have the power to amend the Appendices referred to in paragraph 2.
Article 3
Certification requirements on import in the respective territories of the Parties
1.   For wine produced in a Party and placed on the market in the other Party, the documentation and certification that may be required by either Party shall be limited to a certificate, as set out in Appendix 15-C, authenticated in conformity with the exporting Party’s laws and regulations.
2.   A certificate required under paragraph 1 may take the form of an electronic document. Access to the electronic document or to the data necessary for its establishment shall be given by each Party on request of the competent authorities of the other Party where the goods are to be released into free circulation. If access to the relevant electronic systems is not available, the necessary data may also be requested in the form of a paper document.
3.   The Partnership Council shall have the power to amend Appendix 15-C.
4.   The methods of analysis recognised as reference methods by the OIV and published by the OIV shall be the reference methods for the determination of the analytical composition of the wine in the context of control operations.
Article 4
Food information and lot codes
1.   Unless otherwise specified in this Article, labelling of wine imported and marketed under this Agreement shall be conducted in compliance with the laws and regulations that apply in the territory of the importing Party.
2.   A Party shall not require any of the following dates or their equivalent to appear on the container, label, or packaging of wine:
(a)
the date of packaging;
(b)
the date of bottling;
(c)
the date of production or manufacture;
(d)
the date of expiration, use by date, use or consume by date, expire by date;
(e)
the date of minimum durability, best-by-date, best quality before date; or
(f)
the sell-by-date.
By way of derogation from point (e) of the first subparagraph, a Party may require the display of a date of minimum durability on products that on account of the addition of perishable ingredients could have a shorter date of minimum durability than would normally be expected by the consumer.
3.   Each Party shall ensure that a code is indicated on the label of packaged products that allows for the identification of the lot to which the product belongs, in accordance with the legislation of the Party exporting the packaged product. The lot code shall be easily visible, clearly legible and indelible. A Party shall not allow the marketing of packaged products which do not comply with the requirements set out in this paragraph.
4.   Each Party shall permit mandatory information, including translations or an indication of the number of standard drinks or alcohol units whenever required, to be displayed on a supplementary label affixed to a wine container. Supplementary labels may be affixed to a wine container after importation but prior to the product being placed on the market in the Party's territory, provided that the mandatory information is fully and accurately displayed.
5.   The importing Party shall not require the display on the label of allergens which have been used in the production of wine but are not present in the final product.
Article 5
Transitional measures
Wine which, at the date of entry into force of this Agreement, has been produced, described and labelled in accordance with the laws and regulations of a Party but in a manner that does not comply with this Annex, may continue to be labelled and placed on the market as follows:
(a)
by wholesalers or producers, for a period of two years from the entry into force of this Agreement; and
(b)
by retailers, until stocks are exhausted.
Article 6
Information exchange
The Parties shall cooperate and exchange information on any issue relevant for the implementation of this Annex within the Trade Specialised Committee on Technical Barriers to Trade.
Article 7
Review
No later than three years from the entry into force of this Agreement, the Parties shall consider further steps to facilitate trade in wine between the Parties.
Appendix 15-A
LAWS AND REGULATIONS OF THE PARTIES
Laws and regulations of the United Kingdom 
(
1
)
Laws and regulations referred to in Article 2(2) concerning:
a)
product definitions:
(i)
Retained Regulation (EU) No 1308/2013, in particular production rules in the wine sector, in accordance with Articles 75, 81 and 91, Part IV of Annex II and Part II of Annex VII to that Regulation and its implementing rules, including subsequent modifications;
(ii)
Retained Commission Delegated Regulation (EU) 2019/33, in particular Articles 47, 52 to 54 and Annexes III, V and VI to that Regulation, including subsequent modifications;
(iii)
Retained Regulation (EU) No 1169/2011, including subsequent modifications;
b)
oenological practices and restrictions:
(i)
Retained Regulation (EU) No 1308/2013, in particular oenological practices and restrictions in accordance with Articles 80 and 83 and Annex VIII to that Regulation and its implementing rules, including subsequent modifications;
(ii)
Retained Commission Delegated Regulation (EU) 2019/934, including subsequent modifications.
Laws and regulations of the Union:
Laws and regulations referred to in Article 2(2) concerning:
a)
product definitions:
(i)
Regulation (EU) No 1308/2013 of the European Parliament and of the Council 
(
2
)
, in particular production rules in the wine sector, in accordance with Articles 75, 81 and 91, Part IV of Annex II and Part II of Annex VII to that Regulation and its implementing rules, including subsequent modifications;
(ii)
Commission Delegated Regulation (EU) 2019/33 
(
3
)
, in particular Articles 47, 52 to 54 and Annexes III, V and VI to that Regulation, including subsequent modifications;
(iii)
Regulation (EU) No 1169/2011 of the European Parliament and of the Council 
(
4
)
, including subsequent modifications.
b)
oenological practices and restrictions:
(i)
Regulation (EU) No 1308/2013, in particular oenological practices and restrictions in accordance with Articles 80 and 83 and Annex VIII to that Regulation and its implementing rules, including subsequent modifications;
(ii)
Commission Delegated Regulation (EU) 2019/934 
(
5
)
, including subsequent modifications.
Appendix 15-B
ADDITIONAL OENOLOGICAL PRACTICES AND RESTRICTIONS JOINTLY ACCEPTED BY THE PARTIES
(1)
Concentrated grape must, rectified concentrated grape must and sucrose may be used for enrichment and sweetening under the specific and limited conditions set out in Part I of Annex VIII to Regulation (EU) No 1308/2013 and in Part I of Annex VIII to Retained Regulation (EU) No 1308/2013, subject to the exclusion of use of these products in a reconstituted form in wines covered by this Agreement.
(2)
The addition of water in winemaking is not allowed, except where required on account of a specific technical necessity.
(3)
Fresh lees may be used under the specific and limited conditions set out in line item 11.2 of Table 2 of Part A of Annex I to Commission Delegated Regulation (EU) 2019/934 and in line item 11.2 of Table 2 of Part A of Annex I to Retained Commission Delegated Regulation (EU) 2019/934.
Appendix 15-C
TEMPLATE FOR SELF-CERTIFICATE FOR WINE IMPORTED FROM THE [EUROPEAN UNION / UNITED KINGDOM] INTO THE [UNITED KINGDOM / EUROPEAN UNION]
(1)
1.
Exporter (name and address)
2.
Serial No
(2)
3.
Importer (name and address)
4.
Competent authority at the place of dispatch in the [European Union / United Kingdom]
(3)
5.
Customs stamp (for official [European Union / United Kingdom] use only)
6.
Means of transport and transport details
(4)
7.
Place of unloading (if different from 3)
8.
Description of the imported product
(5)
9.
Quantity in l/hl/kg
10.
Number of containers
(6)
11.
Certificate
The product described above is intended for direct human consumption and complies with the definitions and oenological practices authorised under Annex 15 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part. It has been produced by a producer who is subject to inspection and supervision by the following competent authority
(7)
:
Consignor certifying the above information
(8)
Identification of the consignor
(9)
Place, date and signature of the consignor
(1)
In accordance with Article 3(1) of Annex 15 to the Trade and Cooperation Agreement between the European Union European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part.
(2)
Indicate the traceability number of the consignment, i.e. a serial number that identifies the consignment in the records of the exporter.
(3)
Indicate full name, address and contact details of the competent authority in one of the Member States of the European Union or in the United Kingdom from which the consignment is exported that is responsible for verifying the information referred to in this certificate.
(4)
Indicate transport used for delivery to the point of entry into the European Union or the United Kingdom; specify transport mode (ship, airplane, etc.), give name of the means of transport (name of ship, number of flight, etc.).
(5)
Indicate the following information:
—
sale designation, as it appears on the label,
—
name of producer,
—
wine-growing region,
—
name of the country of production (one of the Member States of the European Union, or the United Kingdom),
—
name of the GI, if relevant,
—
total alcoholic strength by volume,
—
colour of the product (state "red", "rosé", "pink" or "white" only),
—
Combined Nomenclature code (CN code).
(6)
A container means a receptacle for wine of less than 60 litres. The number of containers may be the number of bottles.
(7)
Indicate full name, address and contact details of relevant competent authority in one of the Member States of the European Union or in the United Kingdom.
(8)
Indicate full name, address and contact details of the consignor.
(9)
Indicate:
—
For the European Union: the System of Exchange of Excise Data (SEED) excise number, or VAT number in case the consignor has no SEED number, or reference to the number in the list or register provided for in Article 8(3) of Commission Delegated Regulation (EU) 2018/273 
(
6
)
;
—
For the United Kingdom: the System of Exchange of Excise Data (SEED) excise number, or VAT number in case the consignor has no SEED number, or reference to the WSB number.
(
1
)
  References in this list to Retained Union law are deemed to be references to such legislation, as amended by the United Kingdom to apply to the United Kingdom.
(
2
)
  Regulation (EU) No 1308/2013 of the European Parliament and of the Council of 17 December 2013 establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/2001 and (EC) No 1234/2007 (
OJ EU L 347, 20.12.2013, p. 671
).
(
3
)
  Commission Delegated Regulation (EU) 2019/33 of 17 October 2018 supplementing Regulation (EU) No 1308/2013 of the European Parliament and of the Council as regards applications for protection of designations of origin, geographical indications and traditional terms in the wine sector, the objection procedure, restrictions of use, amendments to product specifications, cancellation of protection, and labelling and presentation (
OJ EU L 9, 11.1.2019, p. 2
).
(
4
)
  Regulation (EU) No 1169/2011 of the European Parliament and of the Council of 25 October 2011 on the provision of food information to consumers, amending Regulations (EC) No 1924/2006 and (EC) No 1925/2006 of the European Parliament and of the Council, and repealing Commission Directive 87/250/EEC, Council Directive 90/496/EEC, Commission Directive 1999/10/EC, Directive 2000/13/EC of the European Parliament and of the Council, Commission Directives 2002/67/EC and 2008/5/EC and Commission Regulation (EC) No 608/2004 (
OJ EU L 304, 22.11.2011, p. 18
).
(
5
)
  Commission Delegated Regulation (EU) 2019/934 of 12 March 2019 supplementing Regulation (EU) No 1308/2013 of the European Parliament and of the Council as regards wine-growing areas where the alcoholic strength may be increased, authorised oenological practices and restrictions applicable to the production and conservation of grapevine products, the minimum percentage of alcohol for by-products and their disposal, and publication of OIV files (
OJ EU L 149, 7.6.2019, p. 1
).
(
6
)
  Commission Delegated Regulation (EU) 2018/273 of 11 December 2017 supplementing Regulation (EU) No 1308/2013 of the European Parliament and of the Council as regards the scheme of authorisations for vine plantings, the vineyard register, accompanying documents and certification, the inward and outward register, compulsory declarations, notifications and publication of notified information, and supplementing Regulation (EU) No 1306/2013 of the European Parliament and of the Council as regards the relevant checks and penalties, amending Commission Regulations (EC) No 555/2008, (EC) No 606/2009 and (EC) No 607/2009 and repealing Commission Regulation (EC) No 436/2009 and Commission Delegated Regulation (EU) 2015/560 (
OJ EU L 58, 28.2.2018, p. 1
).
ANNEX 16
ARRANGEMENT REFERRED TO IN ARTICLE 96(4) FOR THE REGULAR EXCHANGE OF INFORMATION IN RELATION TO THE SAFETY OF NON-FOOD PRODUCTS AND RELATED PREVENTIVE, RESTRICTIVE AND CORRECTIVE MEASURES
This Annex shall establish an arrangement for the regular exchange of information between the Union’s Rapid Alert System for non-food products (RAPEX), or its successor, and the United Kingdom’s database relating to market surveillance and product safety established under the General Product Safety Regulations 2005, or its successor.
In accordance with Article 96(8) of this Agreement, the arrangement shall specify the type of information to be exchanged, the modalities for the exchange and the application of confidentiality and personal data protection rules.
ANNEX 17
ARRANGEMENT REFERRED TO IN ARTICLE 96(5) FOR THE REGULAR EXCHANGE OF INFORMATION REGARDING MEASURES TAKEN ON NON-COMPLIANT NON-FOOD PRODUCTS, OTHER THAN THOSE COVERED BY ARTICLE 96(4)
This Annex shall establish an arrangement for the regular exchange of information, including the exchange of information by electronic means, regarding measures taken on non-compliant non-food products, other than those covered by Article 96(4) of this Agreement.
In accordance with Article 96(8) of this Agreement, the arrangement shall specify the type of information to be exchanged, the modalities for the exchange and the application of confidentiality and personal data protection rules.
ANNEX 18
AUTHORISED ECONOMIC OPERATORS
Article 1
Criteria for and treatment of Authorised Economic Operators
1.   The specified criteria for qualification as an Authorised Economic Operator ("AEO") referred to in Article 110 of this Agreement, shall be established by the Parties' laws, regulations or procedures. The specified criteria, which shall be published, shall include:
(a)
the absence of any serious infringement or repeated infringements of customs legislation and taxation rules, including no record of serious criminal offences relating to the economic activity of the applicant;
(b)
the demonstration by the applicant of a high level of control of his or her operations and of the flow of goods, by means of a system of managing commercial and, where appropriate, transport records, which allows appropriate customs controls;
(c)
financial solvency which shall be deemed to be proven where the applicant has good financial standing, which enables him or her to fulfil his or her commitments, with due regard to the characteristics of the type of business activity concerned; and
(d)
appropriate security and safety standards which shall be considered as fulfilled where the applicant demonstrates that he or she maintains appropriate measures to ensure the security and safety of the international supply chain including in the areas of physical integrity and access controls, logistical processes and handling of specific types of goods, personnel and identification of his or her business partners.
2.   The specified criteria for qualification as an AEO shall not be designed or applied so as to afford or create arbitrary or unjustifiable discrimination between operators where the same conditions prevail. Those criteria shall allow small and medium-sized enterprises to qualify as AEOs.
3.   The trade partnership programme referred to in Article 110 of this Agreement shall include the following treatment:
(a)
taking the AEO status granted by the other Party favourably into account in its risk assessment to reduce inspections or controls and in other security and safety-related measures;
(b)
giving priority to the inspection of consignments covered by exit or entry summary declarations lodged by an AEO, if the customs authority decides to proceed with an inspection;
(c)
taking the AEO status granted by the other Party into account with a view to treating the AEO as a secure and safe partner when assessing requirements concerning business partners for applicants under its own Programme; and
(d)
endeavouring to establish a joint business continuity mechanism to respond to disruptions in trade flows due to increases in security alerts levels, border closures and/or natural disasters, hazardous emergencies or other major incidents where priority cargos related to AEOs could be facilitated and expedited to the extent possible by the customs authorities of the Parties.
Article 2
Mutual recognition and responsibility for implementation
1.   AEO Status under the trade partnership programmes of the Union and the United Kingdom are recognised to be compatible, and holders of the AEO status granted under each programme shall be treated in a manner consistent with Article 4.
2.   The trade partnership programmes concerned are:
a)
The European Union Authorised Economic operator (security and safety) (point (b) of Article 38(2) of Regulation (EU) No 952/2013);
b)
The United Kingdom Authorised Economic Operator programme (security and safety) (point (b) of Article 38(2) of Regulation (EU) No 952/2013, as retained in United Kingdom domestic law).
3.   The customs authorities, as defined in point (a) of Article 512 of this Agreement ("customs authorities"), are responsible for the implementation of the provisions in this Annex.
Article 3
Compatibility
1.   The Parties shall cooperate to maintain compatibility of the standards applied to each of their trade partnership programmes with respect to the following matters:
(a)
the application process for granting the AEO status to operators;
(b)
the assessment of AEO status applications;
(c)
the granting of the AEO status; and
(d)
the managing, monitoring, suspension and re-assessment, and revocation of the AEO status.
The Parties shall ensure that their customs authorities monitor AEOs′ compliance with the relevant conditions and criteria.
2.   The Parties shall complete a joint work programme setting out a minimum number of joint validations of holders of the AEO status granted under each trade partnership programme that must be completed by the end of 2021, at the latest.
3.   The Parties shall ensure that their trade partnership programmes operate within the relevant standards of the SAFE Framework.
Article 4
Treatment of status holders
1.   Each Party shall provide comparable treatment to that given to AEOs under the other Party's trade partnership programme. This treatment shall include in particular the treatment set out in Article 1(3).
2.   Each Party may suspend the treatment referred to in Article 1(3) to an AEO under the other Party's trade partnership programme under this Agreement if that AEO ceases to comply with the legal requirements. Such suspension shall be promptly communicated to the other customs authority together with any additional information regarding the basis for suspension, as appropriate.
3.   Each Party shall promptly inform the other Party in cases where it identifies any irregularity committed by an AEO authorised by the other customs authority to allow it to take an informed decision on the possible revocation or suspension of the membership of the operator concerned.
Article 5
Exchange of information and communication
1.   The Parties shall endeavour to communicate effectively with each other in the implementation of this Agreement. They shall exchange information and foster communication regarding their trade partnership programmes, in particular by:
(a)
providing updates on the operation and development of their trade partnership programmes in a timely manner;
(b)
engaging in mutually beneficial exchanges of information regarding supply chain security;
(c)
designating the contact points for their respective trade partnership programmes and providing the contact details for those contact points to the other Party; and
(d)
facilitating effective inter-agency communication between the European Commission's Directorate-General for Taxation and Customs Union and Her Majesty's Revenue and Customs to enhance risk management practices under their respective trade partnership programmes with respect to supply chain security on the part of AEOs.
2.   Information and related data shall be exchanged in a systematic manner by electronic means.
3.   The data to be exchanged regarding AEOs shall include:
(a)
name;
(b)
address;
(c)
status of membership;
(d)
validation or authorisation date;
(e)
suspensions and revocations;
(f)
the unique authorisation or identification number (in a form mutually determined by the customs authorities); and
(g)
other details that may be mutually determined between the customs authorities, subject, where applicable, to any necessary safeguards.
The exchange of data shall commence with the entry into force of this Agreement.
4.   The Parties shall use their best endeavours to establish, within six months of entry into force of this Agreement, an arrangement for fully automated exchange of the data referred to in paragraph 3, and in any event shall implement such an arrangement no later than one year after the entry into force of this Agreement.
Article 6
Treatment of data
Any exchange of information between the Parties under this Annex shall be 
mutatis mutandis
 subject to the confidentiality and protection of information set out in Article 12 of the Protocol on mutual administrative assistance in customs matters.
Article 7
Consultation and review
The Trade Specialised Committee on Customs Cooperation and Rules of Origin shall review the implementation of the provisions of this Annex regularly. That review shall include:
(a)
joint validations of AEOs granted status by each Party to identify strengths and weaknesses in implementing this Annex;
(b)
exchanges of views on data to be shared and treatment of operators.
Article 8
Suspension and discontinuation
1.   A Party may pursue the procedure set out in paragraph 2 in the event that either of the following circumstances arise:
a)
Before or within three months of entry into force of this Agreement the other Party has made material changes to the legal provisions referred to in Article 2(2) that were assessed in order to establish that the trade partnership programmes are compatible, such that the compatibility required for recognition under Article 2(1) has ceased to exist.
b)
The provisions under Article 5(2) are not operational.
2.   In the event that either of the circumstances set out in point (a) or (b) of paragraph 1 arise, a Party may suspend the recognition provided for in Article 2(1) 60 days after notifying the other Party of their intention.
3.   Where a party gives notice of its intention to suspend the recognition provided for in Article 2(1) in accordance with paragraph 2 of this Article, the other Party may request consultations in the Trade Specialised Committee on Customs Cooperation and Rules of Origin. These consultations shall be held within 60 days of the request.
4.   A Party may pursue the procedure set out in paragraph 5 in the event that either of the following circumstances arise:
a)
The other Party changes its AEO programme or its implementation of this programme such that the compatibility required for recognition under Article 2(1) has ceased to exist;
b)
The joint validations provided for in Article 3(2) do not confirm the compatibility of the Parties' respective AEO programmes.
5.   In the event that either of the circumstances set out in point (a) or (b) of paragraph 4 arise, a Party may request consultations with the other Party in the framework of the Trade Specialised Committee on Customs Cooperation and Rules of Origin. These consultations shall be held within 60 days from the request. If 90 days after the request a Party still considers that the compatibility required for recognition under Article 2(1) has ceased to exist, it may notify the other Party of its intention to suspend recognition of its programme. Suspension shall take effect 30 days after notification.
ANNEX 19
EXISTING MEASURES
Headnotes
1.
The Schedules of the United Kingdom and the Union set out, under Articles 133, 139 and 195 of this Agreement, the reservations taken by the United Kingdom and the Union with respect to existing measures that do not conform with obligations imposed by:
(a)
Article 128 or 135 of this Agreement;
(b)
Article 136 of this Agreement;
(c)
Article 129 or 137 of this Agreement;
(d)
Article 130 or 138 of this Agreement;
(e)
Article 131 of this Agreement;
(f)
Article 132 of this Agreement; or
(g)
Article 194 of this Agreement.
2.
The reservations of a Party are without prejudice to the rights and obligations of the Parties under GATS.
3.
Each reservation sets out the following elements:
(a)
"sector" refers to the general sector in which the reservation is taken;
(b)
"sub-sector" refers to the specific sector in which the reservation is taken;
(c)
"industry classification" refers, where applicable, to the activity covered by the reservation according to the CPC, ISIC Rev. 3.1, or as expressly otherwise described in that reservation;
(d)
"type of reservation" specifies the obligation referred to in paragraph 1 for which a reservation is taken;
(e)
"level of government" indicates the level of government maintaining the measure for which a reservation is taken;
(f)
"measures" identifies the laws or other measures as qualified, where indicated, by the "description" element for which the reservation is taken. A "measure" cited in the "measures" element:
(i)
means the measure as amended, continued or renewed as of the date of entry into force of this Agreement;
(ii)
includes any subordinate measure adopted or maintained under the authority of and consistent with the measure; and
(iii)
in respect of the Schedule of the Union, includes any laws or other measures which implement a directive at Member State level; and
(g)
"description" sets out the non-conforming aspects of the existing measure for which the reservation is taken.
4.
For greater certainty, if a Party adopts a new measure at a level of government different to that at which the reservation was originally taken, and this new measure effectively replaces – within the territory to which it applies – the non-conforming aspect of the original measure cited in the "measures" element, the new measure shall be deemed to constitute "modification" to the original measure within the meaning of point (c) of Article 133(1), point (c) of Article 139(1), point (c) of Article 144 and point (c) of Article 195(1) of this Agreement.
5.
In the interpretation of a reservation, all elements of the reservation shall be considered. A reservation shall be interpreted in the light of the relevant obligations of the Chapters or Sections against which the reservation is taken. The "measures" element shall prevail over all other elements.
6.
For the purposes of the Schedules of the United Kingdom and the Union:
(a)
"ISIC Rev. 3.1" means the International Standard Industrial Classification of All Economic Activities as set out in Statistical Office of the United Nations, Statistical Papers, Series M, No.4, ISIC Rev. 3.1, 2002;
(b)
"CPC" means the Provisional Central Product Classification (Statistical Papers, Series M No. 77, Department of International Economic and Social Affairs, Statistical Office of the United Nations, New York, 1991).
7.
For the purposes of the Schedules of the United Kingdom and the Union, a reservation for a requirement to have a local presence in the territory of the Union or the United Kingdom is taken against Article 136 of this Agreement, and not against Article 135 or 137 of this Agreement. Furthermore, such a requirement is not taken as a reservation against Article 129 of this Agreement.
8.
A reservation taken at the level of the Union applies to a measure of the Union, to a measure of a Member State at the central level or to a measure of a government within a Member State, unless the reservation excludes a Member State. A reservation taken by a Member State applies to a measure of a government at the central, regional or local level within that Member State. For the purposes of the reservations of Belgium, the central level of government covers the federal government and the governments of the regions and the communities as each of them holds equipollent legislative powers. For the purposes of the reservations of the Union and its Member States, a regional level of government in Finland means the Åland Islands. A reservation taken at the level of the United Kingdom applies to a measure of the central government, a regional government or a local government.
9.
The list of reservations below does not include measures relating to qualification requirements and procedures, technical standards and licensing requirements and procedures where they do not constitute a limitation within the meaning of Article 128, 129, 135, 136, 137 or 194 of this Agreement. These measures may include, in particular, the need to obtain a licence, to satisfy universal service obligations, to have recognised qualifications in regulated sectors, to pass specific examinations, including language examinations, to fulfil a membership requirement of a particular profession, such as membership in a professional organisation, to have a local agent for service, or to maintain a local address, or any other non-discriminatory requirements that certain activities may not be carried out in protected zones or areas. While not listed, such measures continue to apply.
10.
For greater certainty, for the Union, the obligation to grant national treatment does not entail the requirement to extend to natural or legal persons of the United Kingdom the treatment granted in a Member State, pursuant to the Treaty on the Functioning of the European Union, or any measure adopted pursuant to that Treaty, including their implementation in the Member States, to:
(i)
natural persons or residents of another Member State; or
(ii)
legal persons constituted or organised under the law of another Member State or of the Union and having their registered office, central administration or principal place of business in the Union.
11.
Treatment granted to legal persons established by investors of a Party in accordance with the law of the other Party (including, in the case of the Union, the law of a Member State) and having their registered office, central administration or principal place of business within that other Party, is without prejudice to any condition or obligation, consistent with Chapter 2 of Title II of Heading One of Part Two of this Agreement, which may have been imposed on such legal person when it was established in that other Party, and which shall continue to apply.
12.
The Schedules apply only to the territories of the United Kingdom and the Union in accordance with Article 520(2) and Article 774 of this Agreement and are only relevant in the context of trade relations between the Union and its Member States with the United Kingdom. They do not affect the rights and obligations of the Member States under Union law.
13.
For greater certainty, non-discriminatory measures do not constitute a market access limitation within the meaning of Article 128, 135 or 194 of this Agreement for any measure:
(a)
requiring the separation of the ownership of infrastructure from the ownership of the goods or services provided through that infrastructure to ensure fair competition, for example in the fields of energy, transportation and telecommunications;
(b)
restricting the concentration of ownership to ensure fair competition;
(c)
seeking to ensure the conservation and protection of natural resources and the environment, including a limitation on the availability, number and scope of concessions granted, and the imposition of a moratorium or ban;
(d)
limiting the number of authorisations granted because of technical or physical constraints, for example telecommunications spectra and frequencies; or
(e)
requiring that a certain percentage of the shareholders, owners, partners, or directors of an enterprise be qualified or practice a certain profession such as lawyers or accountants.
14.
With respect to financial services: Unlike foreign subsidiaries, branches established directly in a Member State by a non-European Union financial institution are not, with certain limited exceptions, subject to prudential regulations harmonised at Union level which enable such subsidiaries to benefit from enhanced facilities to set up new establishments and to provide cross-border services throughout the Union. Therefore, such branches receive an authorisation to operate in the territory of a Member State under conditions equivalent to those applied to domestic financial institutions of that Member State, and may be required to satisfy a number of specific prudential requirements such as, in the case of banking and securities, separate capitalisation and other solvency requirements and reporting and publication of accounts requirements or, in the case of insurance, specific guarantee and deposit requirements, a separate capitalisation, and the localisation in the Member State concerned of the assets representing the technical reserves and at least one third of the solvency margin.
The following abbreviations are used in the list of reservations below:
UK
United Kingdom
EU
European Union, including all its Member States
AT
Austria
BE
Belgium
BG
Bulgaria
CY
Cyprus
CZ
Czechia
DE
Germany
DK
Denmark
EE
Estonia
EL
Greece
ES
Spain
FI
Finland
FR
France
HR
Croatia
HU
Hungary
IE
Ireland
IT
Italy
LT
Lithuania
LU
Luxembourg
LV
Latvia
MT
Malta
NL
The Netherlands
PL
Poland
PT
Portugal
RO
Romania
SE
Sweden
SI
Slovenia
SK
Slovak Republic
Schedule of the Union
Reservation No. 1 - All sectors
Reservation No. 2 - Professional services (except health-related professions)
Reservation No. 3 - Professional services (health related and retail of pharmaceuticals)
Reservation No. 4 - Research and development services
Reservation No. 5 - Real estate services
Reservation No. 6 - Business services
Reservation No. 7 - Communication services
Reservation No. 8 - Construction Services
Reservation No. 9 - Distribution services
Reservation No. 10 - Education services
Reservation No. 11 - Environmental services
Reservation No. 12 - Financial Services
Reservation No. 13 - Health services and social services
Reservation No. 14 - Tourism and travel related services
Reservation No. 15 - Recreational, cultural and sporting services
Reservation No. 16 - Transport services and services auxiliary to transport services
Reservation No. 17 - Energy related activities
Reservation No. 18 - Agriculture, fishing and manufacturing
Reservation No. 1 - All sectors
Sector:
All sectors
Type of reservation:
Market access
National treatment
Most-favoured-nation treatment
Performance requirements
Senior management and boards of directors
Obligations for legal services
Chapter/Section:
Investment liberalisation; Cross-border trade in services and Regulatory framework for legal services
Level of government:
EU/Member State (unless otherwise specified)
Description:
(a)   Type of establishment
With respect to Investment liberalisation – National treatment and Regulatory framework for legal services – Obligations:
The EU: Treatment granted pursuant to the Treaty on the Functioning of the European Union to legal persons formed in accordance with the law of the Union or of a Member State and having their registered office, central administration or principal place of business within the Union, including those established in the Union by investors of the United Kingdom, is not accorded to legal persons established outside the Union, nor to branches or representative offices of such legal persons, including to branches or representative offices of legal persons of the United Kingdom.
Treatment less favourable may be accorded to legal persons formed in accordance with the law of the Union or of a Member State which have only their registered office in the Union, unless it can be shown that they possess an effective and continuous link with the economy of one of the Member States.
Measures:
EU: Treaty on the Functioning of the European Union.
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors:
This reservation applies only to health, social or education services:
The EU (applies also to the regional level of government): Any Member State, when selling or disposing of its equity interests in, or the assets of, an existing state enterprise or an existing governmental entity providing health, social or education services (CPC 93, 92), may prohibit or impose limitations on the ownership of such interests or assets, and/or restrict the ability of owners of such interests and assets to control any resulting enterprise, with respect to investors of the United Kingdom or their enterprises. With respect to such a sale or other disposition, any Member State may adopt or maintain any measure relating to the nationality of senior management or members of the boards of directors, as well as any measure limiting the number of suppliers.
For the purposes of this reservation:
(i)
any measure maintained or adopted after the date of entry into force of this Agreement that, at the time of the sale or other disposition, prohibits or imposes limitations on the ownership of equity interests or assets or imposes nationality requirements or imposes limitations on the numbers of suppliers as described in this reservation shall be deemed to be an existing measure; and
(ii)
"state enterprise" means an enterprise owned or controlled through ownership interests by any Member State and includes an enterprise established after the date of entry into force of this Agreement solely for the purposes of selling or disposing of equity interests in, or the assets of, an existing state enterprise or governmental entity.
Measures:
EU: As set out in the description element as indicated above.
With respect to Investment liberalisation – National Treatment and Regulatory framework for legal services – Obligations
In AT: For the operation of a branch, non-European Economic Area (non-EEA) corporations must appoint at least one person responsible for its representation who is resident in Austria.
Executives (managing directors, natural persons) responsible for the observance of the Austrian Trade Act (Gewerbeordnung) must be domiciled in Austria.
In BG: Foreign legal persons, unless established under the legislation of a Member State of the European Economic Area (EEA), may conduct business and pursue activities if established in the Republic of Bulgaria in the form of a company registered in the Commercial Register. Establishment of branches is subject to authorisation.
Representative offices of foreign enterprises are to be registered with Bulgarian Chamber of Commerce and Industry and may not engage in economic activity but are only entitled to advertise their owner and act as representatives or agents.
In EE: If the residence of at least half of the members of the management board of a private limited company, a public limited company or a branch is not in Estonia, in another Member State of the EEA or in the Swiss Confederation, the private limited company, the public limited company or the foreign company shall appoint a point of contact whose Estonian address can be used for the delivery of the procedural documents of the undertaking and the declarations of intent addressed to the undertaking (i.e. the branch of a foreign company).
With respect to Investment liberalisation – National treatment; Cross-border trade in services – Market access and Regulatory framework for legal services – Obligations:
In FI: At least one of the partners in a general partnership or of general partners in a limited partnership needs to have residency in the EEA or, if the partner is a legal person, be domiciled (no branches allowed) in the EEA. Exemptions may be granted by the registration authority.
To carry on trade as a private entrepreneur, residency in the EEA is required.
If a foreign organisation from a country outside the EEA intends to carry on a business or trade by establishing a branch in Finland, a trade permit is required.
Residency in the EEA is required for at least one of the ordinary and one of the deputy members of the board of directors and for the managing director. Company exemptions may be granted by the registration authority.
In SE: A foreign company, which has not established a legal entity in Sweden or is conducting its business through a commercial agent, shall conduct its commercial operations through a branch, registered in Sweden, with independent management and separate accounts. The managing director and the vice-managing director, if appointed, of the branch, must reside in the EEA. A natural person not resident in the EEA, who conducts commercial operations in Sweden, shall appoint and register a resident representative responsible for the operations in Sweden. Separate accounts shall be kept for the operations in Sweden. The competent authority may in individual cases grant exemptions from the branch and residency requirements. Building projects with duration of less than a year, conducted by a company located or a natural person residing outside the EEA, are exempted from the requirements of establishing a branch or appointing a resident representative.
For limited liability companies and co-operative economic associations, at least 50 per cent of the members of the board of directors, at least 50 per cent of the deputy board members, the managing director, the vice-managing director, and at least one of the persons authorised to sign for the company, if any, must reside within the EEA. The competent authority may grant exemptions from this requirement. If none of the company's or society's representatives reside in Sweden, the board must appoint and register a person resident in Sweden, who has been authorised to receive servings on behalf of the company or society.
Corresponding conditions prevail for establishment of all other types of legal entities.
In SK: A foreign natural person whose name is to be registered in the appropriate register (Commercial register, Entrepreneurial or other professional register) as a person authorised to act on behalf of an entrepreneur is required to submit a residence permit for Slovakia.
Measures:
AT: Aktiengesetz, BGBL. Nr. 98/1965, § 254 (2);
GmbH-Gesetz, RGBL. Nr. 58/1906, § 107 (2); and Gewerbeordnung, BGBL. Nr. 194/1994, § 39 (2a).
BG: Commercial Law, Article 17a; and
Law for Encouragement of Investments, Article 24.
EE: Äriseadustik (Commercial Code) § 63
1
 (1, 2 and 4).
FI: Laki elinkeinon harjoittamisen oikeudesta (Act on the Right to Carry on a Trade) (122/1919), s. 1;
Osuuskuntalaki (Co-Operatives Act) 1488/2001;
Osakeyhtiölaki (Limited Liabilities Company Act) (624/2006); and
Laki luottolaitostoiminnasta (Act on Credit Institutions) (121/2007).
SE: Lag om utländska filialer m.m (Foreign Branch Offices Act) (1992:160);
Aktiebolagslagen (Companies Act) (2005:551);
The Co-operative Economic Associations Act (2018:672); and Act on European Economic Interest Groupings (1994:1927).
SK: Act 513/1991 on Commercial Code (Article 21); Act 455/1991 on Trade Licensing; and
Act no 404/2011 on Residence of Aliens (Articles 22 and 32).
With respect to Investment liberalisation – Market Access, National Treatment, Performance requirements and Regulatory framework for legal services – Obligations:
In BG: Established enterprises may employ third country nationals only for positions for which there is no requirement for Bulgarian nationality. The total number of third country nationals employed by an established enterprise over a period of the preceding 12 months must not exceed 20 percent (35 percent for small and medium-sized enterprises) of the average number of Bulgarian nationals, nationals of other Member States, of states parties to the Agreement on the EEA or of the Swiss Confederation hired on an employment contract. In addition, the employer must demonstrate that there is no suitable Bulgarian, EU, EEA or Swiss worker for the respective position by conducting a labour market test before employing a third country national.
For highly qualified, seasonal and posted workers, as well as for intra-corporate transferees, researchers and students there is no limitation on the number of third country nationals working for a single enterprise. For the employment of third country nationals in these categories, no labour market test is required.
Measures:
BG: Labour Migration and Labour Mobility Act.
With respect to Investment liberalisation – Market access, National treatment:
In PL: The scope of operations of a representative office may only encompass advertising and promotion of the foreign parent company represented by the office. For all sectors except legal services, establishment by non-European Union investors and their enterprises may only be in the form of a limited partnership, limited joint-stock partnership, limited liability company, and joint-stock company, while domestic investors and enterprises have access also to the forms of non-commercial partnership companies (general partnership and unlimited liability partnership).
Measures:
PL: Act of 6 March 2018 on rules regarding economic activity of foreign entrepreneurs and other foreign persons in the territory of the Republic of Poland.
(b)   Acquisition of real estate
With respect to Investment liberalisation – National treatment:
In AT (applies to the regional level of government): The acquisition, purchase and rental or leasing of real estate by non-European Union natural persons and enterprises requires authorisation by the competent regional authorities (Länder). Authorisation will only be granted if the acquisition is considered to be in the public (in particular economic, social and cultural) interest.
In CY: Cypriots or persons of Cypriot origin, as well as nationals of a Member State, are allowed to acquire any property in Cyprus without restrictions. A foreigner shall not acquire, otherwise than 
mortis causa
, any immovable property without obtaining a permit from the Council of Ministers. For foreigners, where the acquisition of immovable property exceeds the extent necessary for the erection of a premises for a house or professional roof, or otherwise exceeds the extent of two donums (2,676 square meter), any permit granted by the Council of Ministers shall be subject to such terms, limitations, conditions and criteria which are set by Regulations made by the Council of Ministers and approved by the House of Representatives. A foreigner is any person who is not a citizen of the Republic of Cyprus, including a foreign controlled company. The term does not include foreigners of Cypriot origin or non-Cypriot spouses of citizens of the Republic of Cyprus.
In CZ: Specific rules apply to agricultural land under state ownership. State agricultural land can be acquired only by Czech nationals, nationals of another Member State, or states parties to the Agreement on the EEA or the Swiss Confederation. Legal persons can acquire state agriculture land from the state only if they are agricultural entrepreneurs in the Czech Republic or persons with similar status in other Member State of the European Union, or states parties to the Agreement on the EEA or the Swiss Confederation.
In DK: Natural persons who are not resident in Denmark, and who have not previously been resident in Denmark for a total period of five years, must in accordance with the Danish Acquisition Act obtain permission from the Ministry of Justice to acquire title to real property in Denmark. This also applies for legal persons that are not registered in Denmark. For natural persons, acquisition of real property will be permitted if the applicant is going to use the real property as his or her primary residence.
For legal persons that are not registered in Denmark, acquisition of real property will in general be permitted, if the acquisition is a prerequisite for the business activities of the purchaser. Permission is also required if the applicant is going to use the real property as a secondary dwelling. Such permission will only be granted if the applicant through an overall and concrete assessment is regarded to have particular strong ties to Denmark.
Permission under the Acquisition Act is only granted for the acquisition of a specific real property. The acquisition of agricultural land by natural or legal persons is in addition governed by the Danish Agricultural Holdings Act, which imposes restrictions on all persons, Danish or foreign, when acquiring agricultural property. Accordingly, any natural or legal person, who wishes to acquire agricultural real property, must fulfil the requirements in this Act. This generally means a limited residence requirement on the agricultural holding applies. The residence requirement is not personal. Legal entities must be of the types listed in §20 and §21 of the act and must be registered in the Union (or EEA).
In EE: A legal person from an OECD Member State has the right to acquire an immovable which contains:
(i)
less than ten hectares of agricultural land, forest land or agricultural and forest land in total without restrictions.
(ii)
ten hectares or more of agricultural land if the legal person has been engaged, for three years immediately preceding the year of making the transaction of acquisition of the immovable, in production of agricultural products listed in Annex I to the Treaty on the Functioning of the European Union, except fishery products and cotton (hereinafter agricultural product).
(iii)
ten hectares or more of forest land if the legal person has been engaged, for three years immediately preceding the year of making the transaction of acquisition of the immovable, in forest management within the meaning of the Forest Act (hereinafter forest management) or production of agricultural products.
(iv)
less than ten hectares of agricultural land and less than ten hectares of forest land, but ten hectares or more of agricultural and forest land in total, if the legal person has been engaged, for three years immediately preceding the year of making the transaction of acquisition of the immovable, in production of agricultural products or forest management.
If a legal person does not meet the requirements provided for in (ii)–(iv), the legal person may acquire an immovable which contains ten hectares or more of agricultural land, forest land or agricultural and forest land in total only with the authorisation of the council of the local government of the location of the immovable to be acquired.
Restrictions on acquiring immovable property apply in certain geographical areas for non-EEA nationals.
In EL: Real estate acquisition or tenancy in the border regions is prohibited to natural or legal persons whose nationality or base is outside the Member States and the European Free Trade Association. The ban may be lifted with a discretionary decision taken by a committee of the appropriate Decentralized Administration (or the Minister of National Defense in case the properties to be exploited belong to the Fund for the Exploitation of Private Public Property).
In HR: Foreign companies are only allowed to acquire real estate for the supply of services if they are established and incorporated in Croatia as legal persons. Acquisition of real estate necessary for the supply of services by branches requires the approval of the Ministry of Justice. Agricultural land cannot be acquired by foreigners.
In MT: Non-nationals of a Member State may not acquire immovable property for commercial purposes. Companies with 25 per cent (or more) of non-European Union shareholding must obtain an authorisation from the competent authority (Minister responsible for Finance) to buy immovable property for commercial or business purposes. The competent authority will determine whether the proposed acquisition represents a net benefit to the Maltese economy.
In PL: The acquisition of real estate, direct and indirect, by foreigners requires a permit. A permit is issued through an administrative decision by a minister competent in internal affairs, with the consent of the Minister of National Defence, and in the case of agricultural real estate, also with the consent of the Minister of Agriculture and Rural Development.
Measures:
AT: Burgenländisches Grundverkehrsgesetz, LGBL. Nr. 25/2007;
Kärntner Grundverkehrsgesetz, LGBL. Nr. 9/2004;
NÖ- Grundverkehrsgesetz, LGBL. 6800;
OÖ- Grundverkehrsgesetz, LGBL. Nr. 88/1994;
Salzburger Grundverkehrsgesetz, LGBL. Nr. 9/2002;
Steiermärkisches Grundverkehrsgesetz, LGBL. Nr. 134/1993;
Tiroler Grundverkehrsgesetz, LGBL. Nr. 61/1996; Voralberger Grundverkehrsgesetz, LGBL. Nr. 42/2004; and
Wiener Ausländergrundverkehrsgesetz, LGBL. Nr. 11/1998.
CY: Immovable Property Acquisition (Aliens) Law (Chapter 109), as amended.
CZ: Act No. 503/2012, Coll. on State Land Office as amended.
DK: Danish Act on Acquisition of Real Property (Consolidation Act No. 265 of 21 March 2014 on Acquisition of Real Property);
Acquisition Executive Order (Executive Order No. 764 of 18 September 1995); and The Agricultural Holdings Act (Consolidation Act No. 27 of 4 January 2017).
EE: Kinnisasja omandamise kitsendamise seadus (Restrictions on Acquisition of Immovables Act) Chapter 2 § 4, Chapter 3§ 10, 2017.
EL: Law 1892/1990, as it stands today, in combination, as far as the application is concerned, with the ministerial decision F.110/3/330340/S.120/7-4-14 of the Minister of National Defense and the Minister of Citizen Protection.
HR: Ownership and other Proprietary Rights Act (OG 91/96, 68/98, 137/99, 22/00, 73/00, 129/00, 114/01, 79/06, 141/06, 146/08, 38/09, 143/12, 152/14), Articles 354 to 358.b; Agricultural Land Act (OG 20/18, 115/18, 98/19) Article 2; General Administrative Procedure Act.
MT: Immovable Property (Acquisition by Non-Residents) Act (Cap. 246); and Protocol No 6 of the EU Accession Treaty on the acquisition of secondary residences in Malta.
PL: Law of 24
th
 March 1920 on the Acquisition of Real Estate by Foreigners (Journal of Laws of 2016, item 1061 as amended).
With respect to Investment liberalisation – Market access, National treatment:
In HU: The purchase of real estate by non-residents is subject to obtaining authorisation from the appropriate administrative authority responsible for the geographical location of the property.
Measures:
HU: Government Decree No. 251/2014 (X. 2.) on the Acquisition by Foreign Nationals of Real Estate other than Land Used for Agricultural or Forestry Purposes; and Act LXXVIII of 1993 (Paragraph 1/A).
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment:
In LV: Acquisition of urban land by nationals of the United Kingdom is permitted through legal persons registered in Latvia or other Member States:
(i)
if more than 50 per cent of their equity capital is owned by nationals of Member States, the Latvian Government or a municipality, separately or in total;
(ii)
if more than 50 per cent of their equity capital is owned by natural persons and companies of third country with whom Latvia has concluded bilateral agreements on promotion and reciprocal protection of investments and which have been approved by the Latvian Parliament before 31 December 1996;
(iii)
if more than 50 per cent of their equity capital is possessed by natural persons and companies of third country with whom Latvia has concluded bilateral agreements on promotion and reciprocal protection of investments after 31 December 1996, if in those agreements the rights of Latvian natural persons and companies on acquisition of land in the respective third country have been determined;
(iv)
if more than 50 per cent of their equity capital is possessed jointly by persons referred to in points (i) to (iii); or
(v)
which are public joint stock companies, if their shares thereof are quoted in the stock exchange.
Where the United Kingdom allows Latvian nationals and enterprises to purchase urban real estate in their territories, Latvia will allow nationals and enterprises of the United Kingdom to purchase urban real estate in Latvia under the same conditions as Latvian nationals.
Measures:
LV: Law on land reform in the cities of the Republic of Latvia, Section 20 and 21.
With respect to Investment liberalisation - National treatment, Most-favoured-nation treatment:
In DE: Certain conditions of reciprocity may apply for the acquisition of real estate.
In ES: Foreign investment in activities directly relating to real estate investments for diplomatic missions by states that are not Member States requires an administrative authorisation from the Spanish Council of Ministers, unless there is a reciprocal liberalisation agreement in place.
In RO: Foreign nationals, stateless persons and legal persons (other than nationals and legal persons of a Member State of the EEA) may acquire property rights over lands, under the conditions regulated by international treaties, based on reciprocity. Foreign nationals, stateless persons and legal persons may not acquire the property right over lands under more favourable conditions than those applicable to natural or legal persons of the European Union.
Measures:
DE: Einführungsgesetz zum Bürgerlichen Gesetzbuche (EGBGB; Introductory Law to the Civil Code).
ES: Royal Decree 664/1999 of 23 April 1999 relating to foreign investment.
RO: Law 17/2014 on some measures regulating the selling-buying agricultural land situated outside town and amending; and
Law No 268/2001 on the privatization of companies that own land in public ownership and private management of the state for agricultural and establishing the State Domains Agency, with subsequent amendments.
Reservation No. 2 - Professional services (except health-related professions)
Sector – sub-sector:
Professional services – legal services; patent agent, industrial property agent, intellectual property attorney; accounting and bookkeeping services; auditing services, taxation advisory services; architecture and urban planning services, engineering services and integrated engineering services
Industry classification:
CPC 861, 862, 863, 8671, 8672, 8673, 8674, part of 879
Type of reservation:
Market access
National treatment
Most-favoured-nation treatment
Senior management and boards of directors
Local presence
Obligations for legal Services
Chapter/Section:
Investment liberalisation, Cross-border trade in services and Regulatory framework for legal services
Level of government:
EU/Member State (unless otherwise specified)
Description:
(a)   Legal services (part of CPC 861) 
(
1
)
With respect to Investment liberalisation – Market access – and Regulatory framework for legal services – Obligations
In EU: Specific non-discriminatory legal form requirements apply in each Member State.
(i)
Designated legal services supplied under the home professional title (part of CPC 861 – legal advisory, arbitration, conciliation and mediation services with regard to home-jurisdiction and international law governed by Section 7 of Chapter 5 of Title II of Heading One of Part Two of this Agreement).
For greater certainty, consistent with the Headnotes, in particular paragraph 9, requirements to register with a Bar may include a requirement to have completed some training under the supervision of a licensed lawyer, or to have an office or a postal address within the jurisdiction of a specific Bar in order to be eligible to apply for membership in that Bar. Some Member States may impose the requirement of having the right to practise host-jurisdiction law on those natural persons holding certain positions within a law firm/company/enterprise or for shareholders.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – National treatment, Market access and Regulatory framework for legal services – Obligations:
In AT: EEA or Swiss nationality as well as residency (commercial presence) is required for the practice of legal services in respect of host jurisdiction (Union and Member State) law, including representation before courts. Only lawyers of EEA or Swiss nationality are allowed to provide legal services through commercial presence. The practice of legal services in respect of public international law and home-jurisdiction law is only allowed on a cross-border basis.
Equity participation and shares in the operating result of any law firm by foreign lawyers (who must be fully qualified in their home-jurisdiction) is allowed up to 25 per cent; the rest must be held by fully qualified EEA or Swiss lawyers and only the latter may exercise decisive influence in the decision making of the law firm.
In BE: (with respect also to Most-favoured-nation treatment) Foreign lawyers may practise as legal consultants. Lawyers who are members of foreign (non-EU) Bars and want to establish in Belgium but do not meet the conditions for registration on the Tableau of fully qualified lawyers, on the EU-list or on the List of Trainee Lawyers, may request registration on the so-called "B-List". Only at the Brussels Bar there exists such a "B-List". A lawyer on the B-list is allowed to supply designated legal services.
In BG: (with respect also to Most-favoured-nation treatment): Permanent residency is required for legal mediation services. A mediator may be only a person who has been entered in the Uniform Register of Mediators with the Minister of Justice.
In Bulgaria, full national treatment on the establishment and operation of companies, as well as on the supply of services, may be extended only to companies established in, and citizens of, countries with whom bilateral agreements on mutual legal assistance have been or will be concluded.
In CY: EEA or Swiss nationality as well as residency (commercial presence) is required. Only advocates enrolled in the Bar may be partners or shareholders or members of the board of directors in a law company in Cyprus.
In CZ: For foreign lawyers residence (commercial presence) is required.
In DE: For foreign lawyers (with other than EEA and Swiss qualification) there may be restrictions for holding shares of a lawyers company which provides legal services in host-jurisdiction law.
In DK: Without prejudice to the EU reservation above, shares of a law firm can only be owned by advocates who actively practise law in the firm, its parent company or its subsidiary company, other employees in the firm, or another law firm registered in Denmark. Other employees in the firm may collectively only own less than 10 per cent of the shares and of the voting rights, and in order to be shareholders they must pass an exam on the rules of particular importance for the practice of law.
Only advocates who actively practise law in the firm, its parent company or its subsidiary company, other shareholders, and representatives of employees, may be members of the board. The majority of the members of the board must be advocates who actively practise law in the firm, its parent company or its subsidiary company. Only advocates who actively practise law in the firm, its parent company or its subsidiary company, and other shareholders having passed the exam mentioned above, may be a director of the law firm.
In ES: Professional address is required in order to provide designated legal services.
In FR, Residency or establishment in the EEA is required to practise on a permanent basis. Without prejudice to the EU reservation above: For all lawyers, company must take one of the following legal forms authorised under French law on a non-discriminatory basis: SCP (société civile professionnelle), SEL (société d'exercice libéral), SEP (société en participation), SARL (société à responsabilité limitée), SAS (société par actions simplifiée), SA (société anonyme), SPE (société pluriprofessionnelle d'exercice) and "association", under certain conditions. Shareholders, directors and partners may be subject to specific restrictions related to their professional activity.
In HR: Only a lawyer who has the Croatian title of lawyer can establish a law firm (UK firms can establish branches, which may not employ Croatian lawyers).
In HU: A cooperation contract concluded with a Hungarian attorney (ügyvéd) or law firm (ügyvédi iroda) is required. A foreign legal adviser cannot be a member of a Hungarian law firm. A foreign lawyer is not authorized for the preparation of documents to be submitted to, or act as the client's legal representative before an arbitrator, conciliator or mediator in any dispute.
In PT (with respect also to Most-favoured-nation treatment): Foreigners holding a diploma awarded by any Faculty of Law in Portugal, may register with the Portuguese Bar (Ordem dos Advogados), under the same terms as Portuguese nationals, if their respective country grants Portuguese nationals reciprocal treatment.
Other foreigners holding a Degree in Law which has been acknowledged by a Faculty of Law in Portugal may register as members of the Bar Association provided they undergo the required training and pass the final assessment and admission exam.
Legal consultation is allowed by jurists, provided they have their professional residence ("domiciliação") in PT, pass an admission exam and are registered in the Bar.
In RO: A foreign lawyer may not make oral or written conclusions before the courts and other judicial bodies, except for international arbitration.
In SE: (with respect also to Most-favoured-nation treatment) Without prejudice to the EU reservation above: A member of the Swedish Bar Association may not be employed by anyone other than a Bar member or a company conducting the business of a Bar member. However, a Bar member may be employed by a foreign company conducting the business of an advocate, provided that the company in question is domiciled in a country within the Union, the EEA or the Swiss Confederation. Subject to an exemption from the Board of the Swedish Bar Association, a member of the Swedish Bar Association may also be employed by a non-European Union law firm.
Bar members conducting their practice in the form of a company or a partnership may not have any other objective and may not carry out any other business than the practice of an advocate. Collaboration with other advocate businesses is permitted, however, collaboration with foreign businesses requires permission by the Board of the Swedish Bar Association. Only a Bar member may directly or indirectly, or through a company, practise as an advocate, own shares in the company or be a partner. Only a member may be a member or deputy member of the Board or deputy managing director, or an authorised signatory or secretary of the company or the partnership.
In SI: (with respect also to Most-favoured-nation treatment) A foreign lawyer who has the right to practise home-jurisdiction law may supply legal services or practise law under the conditions laid down in Article 34a of the Attorneys Act, provided the condition of actual reciprocity is fulfilled. Without prejudice to the EU reservation on non-discriminatory legal form requirements, commercial presence for appointed attorneys by the Slovene Bar Association is restricted to sole proprietorship, law firm with limited liability (partnership) or to a law firm with unlimited liability (partnership) only. The activities of a law firm shall be restricted to the practice of law. Only attorneys may be partners in a law firm.
In SK: For non-EU lawyers actual reciprocity is required.
(ii)
Other legal services (host-jurisdiction law including legal advisory, arbitration, conciliation and mediation services and legal representational services).
For greater certainty, consistent with the Headnotes, in particular paragraph 9, requirements to register with a Bar may include a requirement to have obtained a law degree in the host jurisdiction or its equivalent, or to have completed some training under the supervision of a licensed lawyer, or to have an office or a postal address within the jurisdiction of a specific Bar in order to be eligible to apply for membership in that Bar.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – National treatment, Local presence:
In EU: Representation of natural or legal persons before the European Union Intellectual Property Office (EUIPO) may only be undertaken by a legal practitioner qualified in one of the Member States of the EEA and having their place of business within the EEA, to the extent that they are entitled, within the said Member State, to act as a representative in trade mark matters or in industrial property matters and by professional representatives whose names appear on the list maintained for this purpose by the EUIPO. (Part of CPC 861)
In AT: EEA or Swiss nationality as well as residency (commercial presence) is required for the practice of legal services in respect of host jurisdiction (Union and Member State) law, including representation before courts. Only lawyers of EEA or Swiss nationality are allowed to provide legal services through commercial presence. The practice of legal services in respect of public international law and home-jurisdiction law is only allowed on a cross-border basis.
Equity participation and shares in the operating result of any law firm by foreign lawyers (who must be fully qualified in their home-jurisdiction) is allowed up to 25 per cent; the rest must be held by fully qualified EEA or Swiss lawyers and only the latter may exercise decisive influence in the decision making of the law firm.
In BE: (with respect also to Most-favoured-nation treatment) Residency is required for full admission to the Bar, including for representation before courts. The residency requirement for a foreign lawyer to obtain full admission to the Bar is at least six years from the date of application for registration, three years under certain conditions. Requirement to have a certificate issued by the Belgian Minister of Foreign Affairs under which the national law or international convention allows reciprocity (reciprocity condition).
Foreign lawyers may practise as legal consultants. Lawyers who are members of foreign (non-EU) Bars and want to establish in Belgium but do not meet the conditions for registration on the Tableau of fully qualified lawyers, on the EU-list or on the List of Trainee Lawyers, may request registration on the so-called "B-List". Only at the Brussels Bar there exists such a "B-List". A lawyer on the B-list is allowed to give advice. Representation before "the Cour de Cassation" is subject to nomination on a specific list.
In BG: (with respect also to Most-favoured-nation treatment) Reserved to nationals of a Member State, of another State which is a party to the Agreement on the EEA, or of the Swiss Confederation who has been granted authorisation to pursue the profession of lawyer according to the legislation of any of the aforementioned countries. A foreign national (except for the above mentioned) who has been authorised to pursue the profession of lawyer in accordance with the legislation of his or her own country, may appeal before judicial bodies of the Republic of Bulgaria as defence-counsel or mandatary of a national of his or her own country, acting on a specific case, together with a Bulgarian attorney-at-law, in cases where this has been envisaged in an agreement between the Bulgarian and the respective foreign state, or on the basis of mutuality, making a preliminary request to this effect to the Chairperson of the Supreme Bar Council. Countries, in respect of which mutuality exists, shall be designated by the Minister of Justice, upon request of the Chairperson of the Supreme Bar Council. In order to provide legal mediation services, a foreign national must have a permit for long-term or permanent residence in the Republic of Bulgaria and has been entered in the Uniform Register of Mediators with the Minister of Justice.
In CY: EEA or Swiss nationality as well as residency (commercial presence) is required. Only advocates enrolled in the Bar may be partners or shareholders or members of the board of directors in a law company in Cyprus.
In CZ: For foreign lawyers full admission to the Czech Bar Association and residence (commercial presence) is required.
In DE: Only lawyers with EEA or Swiss qualification may be admitted to the Bar and are thus entitled to provide legal services. Commercial presence is required in order to obtain full admission to the Bar. Exemptions may be granted by the competent bar association. For foreign lawyers (with other than EEA and Swiss qualification) there may be restrictions for holding shares of a lawyers company which provides legal services in domestic law.
In DK: Legal services provided under the title "advokat" (advocate) or any similar title, as well as representation before the courts, is reserved for advocates with a Danish license to practise. EU, EEA and Swiss advocates may practise under the title of their country of origin.
Without prejudice to the EU reservation on non-discriminatory legal form requirements, shares of a law firm can only be owned by advocates who actively practise law in the firm, its parent company or its subsidiary company, other employees in the firm, or another law firm registered in Denmark. Other employees in the firm may collectively only own less than 10 per cent of the shares and of the voting rights, and in order to be shareholders they must pass an exam on the rules of particular importance for the practice of law.
Only advocates who actively practise law in the firm, its parent company or its subsidiary company, other shareholders, and representatives of employees, may be members of the board. The majority of the members of the board must be advocates who actively practise law in the firm, its parent company or its subsidiary company. Only advocates who actively practise law in the firm, its parent company or its subsidiary company, and other shareholders having passed the exam mentioned above, may be a director of the law firm.
In EE: Residency (commercial presence) is required.
In EL: EEA or Swiss nationality and residency (commercial presence) is required
In ES: EEA or Swiss nationality is required. The competent authorities may grant nationality waivers.
In FI: EEA or Swiss residency and Bar membership is required for the use of the professional title of "advocate" (in Finnish "asianajaja" or in Swedish "advokat"). Legal services may also be provided by non-Bar members.
In FR: Without prejudice to the EU reservation on non-discriminatory legal form requirements, residency or establishment in the EEA is required for full admission to the Bar, necessary for the practice of legal services. In a law firm, shareholding and voting rights may be subject to quantitative restrictions related to the professional activity of the partners. Representation before "the Cour de Cassation" and "Conseil d'Etat" is subject to quotas and reserved for FR and EU nationals.
For all lawyers, company must take one of the following legal forms authorised under French law on a non-discriminatory basis: SCP (société civile professionnelle), SEL (société d'exercice libéral), SEP (société en participation), SARL (société à responsabilité limitée), SAS (société par actions simplifiée), SA (société anonyme), SPE (société pluriprofessionnelle d'exercice) and "association", under certain conditions. Residency or establishment in the EEA is required to practise on a permanent basis.
In HR: European Union nationality is required.
In HU: EEA or Swiss nationality and residency (commercial presence) is required.
In LT: (With respect also to Most-favoured-nation treatment) EEA or Swiss nationality and residency (commercial presence) is required.
Attorneys from foreign countries can practise as advocates in court only in accordance with international agreements, including specific provisions regarding representation before courts. Full admission to the Bar is required.
In LU (with respect also to Most-favoured-nation treatment): EEA or Swiss nationality and residency (commercial presence) is required. The Council of the Order may, on the basis of reciprocity, agree to waive the nationality requirement for a foreign national.
In LV (with respect also to Most-favoured-nation treatment): EEA or Swiss nationality is required. Attorneys from foreign countries can practise as advocates in court only in accordance with bilateral agreements on mutual legal assistance.
For European Union or foreign advocates, special requirements exist. For example, participation in court proceedings in criminal cases is only permitted in association with an advocate of the Latvian Collegium of Sworn Advocates.
In MT: EEA or Swiss nationality as well as residency (commercial presence) is required.
In NL: Only locally-licensed lawyers registered in the Dutch registry can use the title "advocate". Instead of using the full term "advocate", (non-registered) foreign lawyers are obliged to mention their home-jurisdiction professional organisation for the purposes of their activities in the Netherlands.
In PT (with respect also to Most-favoured-nation treatment): residency (commercial presence) is required. For representation before courts, full admission to the Bar is required. Foreigners holding a diploma awarded by any Faculty of Law in Portugal, may register with the Portuguese Bar (Ordem dos Advogados), under the same terms as Portuguese nationals, if their respective country grants Portuguese nationals reciprocal treatment.
Other foreigners holding a Degree in Law which has been acknowledged by a Faculty of Law in Portugal may register as members of the Bar Association provided they undergo the required training and pass the final assessment and admission exam. Only law firms where the shares belong exclusively to lawyers admitted to the Portuguese Bar can practise in Portugal.
In RO: A foreign lawyer may not make oral or written conclusions before the courts and other judicial bodies, except for international arbitration.
In SE: (with respect also to Most-favoured-nation treatment) EEA or Swiss residency is required for admission to the Bar and use of the title of "advokat". Exemptions may be granted by the board of the Swedish Bar Association. Admission to the Bar is not necessary for the practice of Swedish law.
Without prejudice to the EU reservation on non-discriminatory legal form requirements, a member of the Swedish Bar Association may not be employed by anyone other than a Bar member or a company conducting the business of a Bar member. However, a Bar member may be employed by a foreign company conducting the business of an advocate, provided that the company in question is domiciled in a country within the EEA or the Swiss Confederation. Subject to an exemption from the Board of the Swedish Bar Association, a member of the Swedish Bar Association may also be employed by a non-European Union law firm.
Bar members conducting their practice in the form of a company or a partnership may not have any other objective and may not carry out any other business than the practice of an advocate. Collaboration with other advocate businesses is permitted, however, collaboration with foreign businesses requires permission by the Board of the Swedish Bar Association. Only a Bar member may directly or indirectly, or through a company, practise as an advocate, own shares in the company or be a partner. Only a member may be a member or deputy member of the Board or deputy managing director, or an authorised signatory or secretary of the company or the partnership.
In SI: (with respect also to Most-favoured-nation treatment) Representing clients before the court against payment is conditioned by commercial presence in Republic of Slovenia. A foreign lawyer who has the right to practise home-jurisdiction law may perform legal services or practise law under the conditions laid down in Article 34a of the Attorneys Act, provided the condition of actual reciprocity is fulfilled.
Without prejudice to the EU reservation on non-discriminatory legal form requirements, commercial presence for appointed attorneys by the Slovene Bar Association is restricted to sole proprietorship, law firm with limited liability (partnership) or to a law firm with unlimited liability (partnership) only. The activities of a law firm shall be restricted to the practice of law. Only attorneys may be partners in a law firm.
In SK: (with respect also to Most-favoured-nation treatment) EEA nationality as well as residency (commercial presence) is required for the practice of legal services in respect of host-jurisdiction law, including representation before courts. For non-EU lawyers actual reciprocity is required.
Measures:
EU: Article 120 of Regulation (EU) 2017/1001 of the European Parliament and of the Council 
(
2
)
; Article 78 of Council Regulation (EC) No 6/2002 of 12 December 2001
                      
(
3
)
.
AT: Rechtsanwaltsordnung (Lawyers Act) - RAO, RGBl. Nr. 96/1868, Article 1 and § 21c.
BE: Belgian Judicial Code (Articles 428-508); Royal Decree of 24 August 1970.
BG: Attorney Law; Law for Mediation; and Law for the Notaries and Notarial Activity.
CY: Advocates Law (Chapter 2), as amended.
CZ: Act No. 85/1996 Coll., the Legal Profession Act.
DE: § 59e, § 59f, § 206 Bundesrechtsanwaltsordnung (BRAO; Federal Lawyers Act);
Gesetz über die Tätigkeit europäischer Rechtsanwälte in Deutschland (EuRAG); and § 10 Rechtsdienstleistungsgesetz (RDG).
DK: Retsplejeloven (Administration of Justice Act) chapters 12 and 13 (Consolidated Act No. 1284 of 14 November 2018).
EE: Advokatuuriseadus (Bar Association Act);
Tsiviilkohtumenetluse seadustik (Code of Civil Procedure); halduskohtumenetluse seadustik (Code of Administrative Court Procedure); kriminaalmenetluse seadustik (Code of Criminal Procedure); and väärteomenetluse seadustik (Code of Misdemeanour Procedure).
EL: New Lawyers' Code n. 4194/2013.
ES: Estatuto General de la Abogacía Española, aprobado por Real Decreto 658/2001, Article 13.1
a
.
FI: Laki asianajajista (Advocates Act) (496/1958), ss. 1 and 3; and Oikeudenkäymiskaari (4/1734) (Code of Judicial Procedure).
FR: Loi 71-1130 du 31 décembre 1971, Loi 90- 1259 du 31 décembre 1990, décret 91-1197 du 27 novembre 1991, and Ordonnance du 10 septembre 1817 modifiée.
HR: Legal Profession Act (OG 9/94, 117/08, 75/09, 18/11).
HU: ACT LXXVIII of 2017 on the professional activities of Attorneys at Law.
LT: Law on the Bar of the Republic of Lithuania of 18 March 2004 No. IX-2066 as last amended on 12 December 2017 by law No XIII-571.
LU: Loi du 16 décembre 2011 modifiant la loi du 10 août 1991 sur la profession d'avocat.
LV: Criminal Procedure Law, s. 79; and Advocacy Law of the Republic of Latvia, s. 4.
MT: Code of Organisation and Civil Procedure (Cap. 12).
NL: Advocatenwet (Act on Advocates).
PT: Law 145/2015, 9 set., alterada p/ Lei 23/2020, 6 jul. (art.
o
 194 substituído p/ art.
o
 201.
o
; e art.
o
 203.
o
 substituído p/ art.
o
 213.
o
).
Portuguese Bar Statute (Estatuto da Ordem dos Advogados) and Decree-Law 229/2004, Articles 5, 7 – 9;
Decree-law 88/2003, Articles 77 and 102;
Solicitadores Public Professional Association Statute (Estatuto da Câmara dos Solicitadores), as amended by Law 49/2004, mas alterada p/ Lei 154/2015, 14 set; by Law 14/2006 and by Decree-Law n.
o
 226/2008 alterado p/ Lei 41/2013, 26 jun;
Law 78/2001, Articles 31, 4 Alterada p/ Lei 54/2013, 31 jul.;
Regulation of family and labour mediation (Ordinance 282/2010), alterada p/ Portaria 283/2018, 19 out;
Law 21/2007 on criminal mediation, Article 12;
Law 22/2013, 26 fev., alterada p/ Lei 17/2017, 16 maio, alterada pelo Decreto-Lei 52/2019, 17 abril.
RO: Attorney Law;
Law for Mediation; and
Law for the Notaries and the Notarial Activity.
SE: Rättegångsbalken (The Swedish Code of Judicial Procedure) (1942:740); and Swedish Bar Association Code of Conduct adopted 29 August 2008.
SI: Zakon o odvetništvu (Neuradno prečiščeno besedilo-ZOdv-NPB8 Državnega Zbora RS z dne 7 junij 2019 (Attorneys Act) unofficial consolidated text prepared by the Slovenian parliament from 7 June 2019).
SK: Act 586/2003 on Advocacy, Articles 2 and 12.
With respect to Investment liberalisation - Market access, National treatment:
In PL: Foreign lawyers may establish only in the form of a registered partnership, a limited partnership or a limited joint-stock partnership.
Measures:
PL: Act of 5 July 2002 on the provision by foreign lawyers of legal assistance in the Republic of Poland, Article 19.
With respect to Cross-Border Trade in Services – Market access
In IE, IT: Residency (commercial presence) is required for the practice of legal services in respect of host-jurisdiction law, including representation before courts.
Measures:
IE: Solicitors Acts 1954-2011.
IT: Royal Decree 1578/1933, Article 17 law on the legal profession.
(b)   Patent agents, industrial property agents, intellectual property attorneys (part of CPC 879, 861, 8613)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Local presence:
In AT: EEA or Swiss nationality is required for the practice of patent agency services, residency there is required.
In BG, and CY: EEA or Swiss nationality is required for the practice of patent agency services. In CY, residency is required.
In DE: Only patent lawyers having German qualifications may be admitted to the Bar and are thus entitled to provide patent agent services in Germany in domestic law. Foreign patent lawyers can offer legal services in foreign law when they prove expert knowledge, registration is required for legal services in Germany. Foreign (other than EEA and Swiss qualification) patent lawyers may not establish a firm together with national patent lawyers.
Foreign (other than EEA and Swiss) patent lawyers may have their commercial presence only in the form of a Patentanwalts-GmbH or Patentanwalts-AG by acquiring a minority share.
In EE: Estonian or EU nationality as well as permanent residency is required for the practice of patent agency services.
In ES and PT: EEA nationality is required for the practice of industrial property agent services.
In FR: To be registered on the industrial property agent services list, establishment or residency in the EEA is required. EEA nationality is required for natural persons. To represent a client in front of the national intellectual property office, establishment in the EEA is required. Provision only through SCP (société civile professionnelle), SEL (société d'exercice libéral) or any other legal form, under certain conditions. Irrespective of the legal form, more than half of shares and voting rights must be held by EEA professionals. Law firms may be entitled to provide industrial property agent services (see reservation for legal services).
With respect to Cross-border trade in services – Local presence:
In FI and HU: EEA residency is required for the practice of patent agency services.
In SI: Residency in Slovenia is required for a holder/applicant of registered rights (patents, trademarks, design protection). Alternatively, a patent agent or a trademark and design agent registered in Slovenia is required for the main purpose of services of process, notification, etc.
Measures:
AT: Patent Attorney Act (§§ 2 and 16a).
BG: Article 4 of the Ordinance for Representatives regarding Intellectual Property.
CY: Advocates Law (Chapter 2), as amended.
DE: Patentanwaltsordnung (PAO).
EE: Patendivoliniku seadus (Patent Agents Act) § 2, § 14.
ES: Ley 11/1986, de 20 de marzo, de Patentes de Invención y Modelos de utilidad, Articles 155-157.
FI: Tavaramerkkilaki (Trademarks Act) (7/1964);
Laki auktorisoiduista teollisoikeusasiamiehistä (Act on Authorised Industrial Property Attorneys) (22/2014); and
Laki kasvinjalostajanoikeudesta (Plant Breeder's Right Act) 1279/2009; and Mallioikeuslaki (Registered Designs Act) 221/1971.
FR: Code de la propriété intellectuelle.
HU: Act XXXII of 1995 on Patent Attorneys.
PT: Decree-Law 15/95, as modified by Law 17/2010, by Portaria 1200/2010, Article 5, and by Portaria 239/2013; and Law 9/2009.
SI: Zakon o industrijski lastnini (Industrial Property Act), Uradni list RS, št. 51/06 – uradno prečiščeno besedilo in 100/13 and 23/20 (Official Gazette of the Republic of Slovenia, No. 51/06 – official consolidated text 100/13 and 23/20).
With respect to Investment liberalisation – National treatment and Cross-border trade in services – National Treatment, Local presence:
In IE: For establishment, at least one of the directors, partners, managers or employees of a company to be registered as a patent or intellectual property attorney in Ireland. Cross-border basis requires EEA nationality and commercial presence, principal place of business in an EEA Member State, qualification under the law of an EEA Member State.
Measures:
IE: Section 85 and 86 of the Trade Marks Act 1996, as amended;
Rule 51, Rule 51A and Rule 51B of the Trade Marks Rules 1996, as amended; Section 106 and 107 of the Patent Act 1992, as amended; and Register of Patent Agent Rules S.I. 580 of 2015.
(c)   Accounting and bookkeeping services (CPC 8621 other than auditing services, 86213, 86219, 86220)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Local presence:
In AT: The capital interests and voting rights of foreign accountants, bookkeepers, qualified according to the law of their home country, in an Austrian enterprise may not exceed 25 per cent. The service supplier must have an office or professional seat in the EEA (CPC 862).
In FR: Establishment or residency is required. Provision through any company form except SNC (Société en nom collectif) and SCS (Société en commandite simple). Specific conditions apply to SEL (sociétés d'exercice libéral), AGC (Association de gestion et comptabilité) and SPE (Société pluri-professionnelle d'exercice). (CPC 86213, 86219, 86220).
In IT: Residence or business domicile is required for enrolment in the professional register, which is necessary for the provision of accounting and bookkeeping services (CPC 86213, 86219, 86220).
In PT: (with respect also to Most-favoured-nation treatment): Residence or business domicile is required for enrolment in the professional register by the Chamber of Certified Accountants (Ordem dos Contabilistas Certificados), which is necessary for the provision of accounting services, provided that there is reciprocal treatment for Portuguese nationals.
Measures:
AT: Wirtschaftstreuhandberufsgesetz (Public Accountant and Auditing Profession Act, BGBl.
I Nr. 58/1999), § 12, § 65, § 67, § 68 (1) 4; and
Bilanzbuchhaltungsgesetz (BibuG), BGBL. I Nr. 191/2013, §§ 7, 11, 28.
FR: Ordonnance 45-2138 du 19 septembre 1945.
IT: Legislative Decree 139/2005; and Law 248/2006.
PT: Decree-Law n.
o
452/99, changed by Law n.
o
 139/2015, september 7th.
With respect to Cross-border trade in services – Local presence:
In SI: Establishment in the European Union is required in order to provide accounting and bookkeeping services (CPC 86213, 86219, 86220).
Measures:
SI: Act on services in the internal market, Official Gazette RS No 21/10.
(d)   Auditing services (CPC – 86211, 86212 other than accounting and bookkeeping services)
With respect to Investment liberalisation – National treatment, Most-favoured nation treatment and Cross-border trade in services – National treatment, Most-favoured nation treatment:
In EU: Supply of statutory auditing services requires approval by the competent authorities of a Member State that may recognise the equivalence of the qualifications of an auditor who is a national of the United Kingdom or of any third country subject to reciprocity (CPC 8621).
Measures:
EU: Directive 2013/34/EU of the European Parliament and of the Council 
(
4
)
; and Directive 2006/43/EC of the European Parliament and of the Council 
(
5
)
.
With respect to Investment liberalisation – Market access:
In BG: Non-discriminatory legal form requirements may apply.
Measures:
BG: Independent Financial Audit Act.
With respect to Investment liberalisation – Market access, National treatment, and Cross-border trade in services – Local presence:
In AT: The capital interests and voting rights of foreign auditors, qualified according to the law of their home country, in an Austrian enterprise may not exceed 25 per cent. The service supplier must have an office or professional seat in the EEA.
Measures:
AT: Wirtschaftstreuhandberufsgesetz (Public Accountant and Auditing Profession Act, BGBl.
I Nr. 58/1999), § 12, § 65, § 67, § 68 (1) 4.
With respect to Investment liberalisation – Market access and Cross-border trade in services – Local presence:
In DK: Provision of statutory auditing services requires Danish approval as an auditor. Approval requires residency in a Member State of the EEA. Voting rights in approved audit firms of auditors and audit firms not approved in accordance with regulation implementing the Directive 2006/43/EC based on Article 54(3)(g) of the Treaty on statutory audit must not exceed 10 per cent of the voting rights.
In FR: (with respect also to Most-favoured-nation treatment) For statutory audits: establishment or residency is required. British nationals may provide statutory auditing services in France, subject to reciprocity. Provision through any company form except those in which partners are considered to be traders ("commerçants"), such as SNC (Société en nom collectif) and SCS (Société en commandite simple).
In PL: Establishment in the European Union is required in order to provide auditing services.
Legal form requirements apply.
Measures:
DK: Revisorloven (The Danish Act on Approved Auditors and Audit Firms), Act No. 1287 of 20/11/2018.
FR: Code de commerce
PL: Act of 11 May 2017 on statutory auditors, audit firms and public oversight - Journal of Laws of 2017, item 1089.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
In CY: Authorisation is required, subject to an economic needs test. Main criteria: the employment situation in the sub-sector. Professional associations (partnerships) between natural persons are permitted.
In SK: Only an enterprise in which at least 60 per cent of capital interests or voting rights are reserved to Slovak nationals or nationals of a Member State may be authorised to carry out audits in the Slovak Republic.
Measures:
CY: Auditors Law of 2017 (Law 53(I)/2017).
SK: Act No. 423/2015 on Statutory audit.
With respect to Investment liberalisation – Market access and Cross-border trade in services – National treatment, Local presence:
In DE: Auditing companies ("Wirtschaftsprüfungsgesellschaften") may only adopt legal forms admissible within the EEA. General partnerships and limited commercial partnerships may be recognised as "Wirtschaftsprüfungsgesellschaften" if they are listed as trading partnerships in the commercial register on the basis of their fiduciary activities, Article 27 WPO. However, auditors from third countries registered in accordance with Article 134 WPO may carry out the statutory audit of annual fiscal statements or provide the consolidated financial statements of a company with its headquarters outside the Union, whose transferable securities are offered for trading in a regulated market.
Measures:
DE: Handelsgesetzbuch (HGB; Code of Commercial Law);
Gesetz über eine Berufsordnung der Wirtschaftsprüfer (Wirtschaftsprüferordnung - WPO; Public Accountant Act).
With respect to Investment liberalisation – National treatment and Cross-border trade in services – National treatment:
In ES: statutory auditors must be a national of a Member State. This reservation does not apply to the auditing of non-European Union companies listed in a Spanish regulated market.
Measures:
ES: Ley 22/2015, de 20 de julio, de Auditoría de Cuentas (new Auditing Law: Law 22/2015 on Auditing services).
With respect to Investment liberalisation – Market access, National treatment:
In EE: Legal form requirements apply. The majority of the votes represented by the shares of an audit firm shall belong to sworn auditors subject to supervision of a competent authority of a EEA Member State, who have acquired their qualification in an EEA Member State, or to audit firms. At least three-fourths of the persons representing an audit firm on the basis of law shall have acquired their qualifications in an EEA Member State.
Measures:
EE: Auditors Activities Act (Audiitortegevuse seadus) § 76-77
With respect to Investment liberalisation – National treatment, Most-favoured nation treatment and Cross-border trade in services – Local presence:
In SI Commercial presence is required. A third country audit entity may hold shares or form partnerships in Slovenian audit company provided that, under the law of the country in which the third-country audit entity is incorporated, Slovenian audit companies may hold shares or form partnership in an audit entity in that country (reciprocity requirement).
Measures:
SI: Auditing Act (ZRev-2), Official Gazette RS No 65/2008 (as last amended No 84/18); and Companies Act (ZGD-1), Official Gazette RS No 42/2006 (as last amended No 22/19 - ZPosS).
With respect to Cross-border trade in services – Local presence:
In BE: An establishment in Belgium is required where the professional activity will take place and where acts, documents and correspondence relating to it will be maintained, and to have at least one administrator or manager of the establishment approved as auditor.
In FI: EEA residency required for at least one of the auditors of a Finnish Limited Liability company and of companies which are under the obligation to carry out an audit. An auditor must be a locally-licensed auditor or a locally-licensed audit firm.
In HR: Auditing services may be provided only by legal persons established in Croatia or by natural persons resident in Croatia.
In IT: Residency is required for the provision of auditing services by natural persons.
In LT: Establishment in the EEA is required for the provision of auditing services.
In SE: Only auditors approved in Sweden and auditing firms registered in Sweden may perform statutory auditing services. EEA residency is required. The titles of "approved auditor" and "authorised auditor" may only be used by auditors approved or authorised in Sweden. Auditors of co-operative economic associations and certain other enterprises who are not certified or approved accountants must be resident within the EEA, unless the Government, or a Government authority appointed by the Government, in a particular case allows otherwise.
Measures:
BE: Law of December 7
th
 2016 on the organization of the profession and the public supervision of auditors (Public Audit Act).
FI: Tilintarkastuslaki (Auditing Act) (459/2007), Sectoral laws requiring the use of locally licensed auditors.
HR: Audit Act (OG 146/05, 139/08, 144/12), Article 3.
IT: Legislative Decree 58/1998, Articles 155, 158 and 161;
Decree of the President of the Republic 99/1998; and Legislative Decree 39/2010, Article 2.
LT: Law on Audit of 15 June 1999 No. VIII -1227 (a new version of 3 July 2008 No. X1676).
SE: Revisorslagen (Auditors Act) (2001:883);
Revisionslag (Auditing Act) (1999:1079);
Aktiebolagslagen (Companies Act) (2005:551);
Lag om ekonomiska föreningar (The Co-operative Economic Associations Act) (2018:672); and
Others, regulating the requirements to make use of approved auditors.
(e)   Taxation advisory services (CPC 863, not including legal advisory and legal representational services on tax matters, which are to be found legal services)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Local presence:
In AT: The capital interests and voting rights of foreign tax advisors, qualified according to the law of their home country, in an Austrian enterprise may not exceed 25 per cent. The service supplier must have an office or professional seat in the EEA.
Measures:
AT: Wirtschaftstreuhandberufsgesetz (Public Accountant and Auditing Profession Act, BGBl.
I Nr. 58/1999), § 12, § 65, § 67, § 68 (1) 4.
With respect to Investment liberalisation – Market access and Cross-border trade in services – Local presence:
In FR: Establishment or residency is required. Provision through any company form except SNC (Société en nom collectif) and SCS (Société en commandite simple). Specific conditions apply to SEL (sociétés d'exercice libéral), AGC (Association de gestion et comptabilité) and SPE (Société pluri-professionnelle d'exercice).
Measures:
FR: Ordonnance 45-2138 du 19 septembre 1945.
With respect to Investment liberalisation – National treatment and Cross-border trade in services – National treatment:
In BG: Nationality of a Member State is required for tax advisors.
Measures:
BG: Accountancy Act;
Independent Financial Audit Act; Income Taxes on Natural Persons Act; and Corporate Income Tax Act.
With respect to Cross-border trade in services – Local presence:
In HU: EEA residency is required for the supply of taxation advisory services.
In IT: Residency is required.
Measures:
HU: Act 150 of 2017 on taxing; Government Decree 2018/263 on the registration and training of taxation advisory activities.
IT: Legislative Decree 139/2005; and Law 248/2006.
(f)   Architecture and urban planning services, engineering and integrated engineering services (CPC 8671, 8672, 8673, 8674)
With respect to Investment liberalisation – Market access:
In FR: An architect may only establish in France in order to provide architectural services using one of the following legal forms (on a non-discriminatory basis): SA et SARL (sociétés anonymes, à responsabilité limitée), EURL (Entreprise unipersonnelle à responsabilité limitée), SCP (en commandite par actions), SCOP (Société coopérative et participative), SELARL (société d'exercice libéral à responsabilité limitée), SELAFA (société d'exercice libéral à forme anonyme), SELAS (société d'exercice libéral) or SAS (Société par actions simplifiée), or as individual or as a partner in an architectural firm (CPC 8671).
Measures:
FR: Loi 90-1258 relative à l'exercice sous forme de société des professions libérales; Décret 95-129 du 2 février 1995 relatif à l'exercice en commun de la profession d'architecte sous forme de société en participation;
Décret 92-619 du 6 juillet 1992 relatif à l'exercice en commun de la profession d'architecte sous forme de société d'exercice libéral à responsabilité limitée SELARL, société d'exercice libéral à forme anonyme SELAFA, société d'exercice libéral en commandite par actions SELCA; and Loi 77-2 du 3 janvier 1977.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
In BG: Residency in the EEA or the Swiss Confederation is required for architecture, urban planning and engineering services provided by natural persons.
Measures:
BG: Spatial Development Act;
Chamber of Builders Act; and
Chambers of Architects and Engineers in Project Development Design Act.
With respect to Investment liberalisation – National treatment and Cross-border trade in services – National treatment:
In HR: A design or project created by a foreign architect, engineer or urban planner must be validated by an authorised natural or legal person in Croatia with regard to its compliance with Croatian Law (CPC 8671, 8672, 8673, 8674).
Measures:
HR: Act on Physical Planning and Building Activities (OG 118/18, 110/19)
Physical Planning Act (OG 153/13, 39/19).
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – National treatment, Local presence:
In CY: Nationality and residency condition applies for the provision of architecture and urban planning services, engineering and integrated engineering services (CPC 8671, 8672, 8673, 8674).
Measures:
CY: Law 41/1962 as amended; Law 224/1990 as amended; and Law 29(I)2001 as amended.
With respect to Cross-border trade in services – Local presence:
In CZ: Residency in the EEA is required.
In HU: EEA residency is required for the supply of the following services, insofar as they are being supplied by a natural person present in the territory of Hungary: architectural services, engineering services (only applicable to graduate trainees), integrated Engineering services and landscape architectural services (CPC 8671, 8672, 8673, 8674).
In IT: residency or professional domicile/business address in Italy is required for enrolment in the professional register, which is necessary for the exercise of architectural and engineering services (CPC 8671, 8672, 8673, 8674).
In SK: Residency in the EEA is required for registration in the professional chamber, which is necessary for the exercise of architectural and engineering services (CPC 8671, 8672, 8673, 8674).
Measures:
CZ: Act no. 360/1992 Coll. on practice of profession of authorised architects and authorised engineers and technicians working in the field of building constructions.
HU: Act LVIII of 1996 on the Professional Chambers of Architects and Engineers.
IT: Royal Decree 2537/1925 regulation on the profession of architect and engineer; Law 1395/1923; and
Decree of the President of the Republic (D.P.R.) 328/2001.
SK: Act 138/1992 on Architects and Engineers, Articles 3, 15, 15a, 17a and 18a.
With respect to Cross-border trade in services – Market access, National treatment:
In BE: the provision of architectural services includes control over the execution of the works (CPC 8671, 8674). Foreign architects authorised in their host countries and wishing to practice their profession on an occasional basis in Belgium are required to obtain prior authorisation from the Council of Order in the geographical area where they intend to practice their activity.
Measures:
BE: Law of February 20, 1939 on the protection of the title of the architect's profession; and
Law of 26
th
 June 1963, which creates the Order of Architects Regulations of December 16
th
, 1983 of ethics established by national Council in the Order of Architects (Approved by Article 1st of A.R. of April 18
th
, 1985, M.B., May 8
th
, 1985).
Reservation No. 3 - Professional services (health related and retail of pharmaceuticals)
Sector – sub-sector:
Professional services – medical (including psychologists) and dental services; midwives, nurses, physiotherapists and paramedical personnel; veterinary services; retail sales of pharmaceutical, medical and orthopaedic goods and other services provided by pharmacists
Industry classification:
CPC 9312, 93191, 932, 63211
Type of reservation:
Market access
National treatment
Most-favoured-nation treatment
Senior management and boards of directors
Local presence
Chapter/Section:
Investment Liberalisation and Cross-Border Trade in Services
Description:
(a)   Medical, dental, midwives, nurses, physiotherapists and para-medical services (CPC 852, 9312, 93191)
With respect to Investment liberalisation – National treatment, Most favoured nation treatment and Cross-border trade in services – National treatment, Most favoured nation treatment:
In IT: European Union nationality is required for the services provided by psychologists, foreign professionals may be allowed to practice based on reciprocity (part of CPC 9312).
Measures:
IT: Law 56/1989 on the psychologist profession.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market Access, National treatment, Local presence:
In CY: Cypriot nationality and residency condition applies for the provision of medical (including psychologists), dental, midwives, nurses, physiotherapists and para-medical services.
Measures:
CY: Registration of Doctors Law (Chapter 250) as amended;
Registration of Dentists Law (Chapter 249) as amended;
Law 75(I)/2013 - Podologists;
Law 33(I)/2008 as amended- Medical Physics;
Law 34(I)/2006 as amended - Occupational Therapists;
Law 9(I)/1996 as amended - Dental Technicians;
Law 68(I)/1995 as amended - Psychologists;
Law 16(I)/1992 as amended - Opticians;
Law 23(I)/2011 as amended - Radiologists/Radiotherapists;
Law 31(I)/1996 as amended - Dieticians/Nutritionists;
Law 140/1989 as amended - Physiotherapists; and
Law 214/1988 as amended - Nurses.
With respect to Investment liberalisation – Market Access and Cross-border trade in services – Market access, Local presence:
In DE (applies also to the regional level of government): Geographical restrictions may be imposed on professional registration, which apply to nationals and non-nationals alike.
Doctors (including psychologists, psychotherapists, and dentists) need to register with the regional associations of statutory health insurance physicians or dentists (kassenärztliche or kassenzahnärztliche Vereinigungen), if they wish to treat patients insured by the statutory sickness funds. This registration can be subject to quantitative restrictions based on the regional distribution of doctors. For dentists this restriction does not apply. Registration is necessary only for doctors participating in the public health scheme. Non-discriminatory restrictions on the legal form of establishment required to provide these services may exist (§ 95 SGB V).
For midwives services, access is restricted to natural persons only. For medical and dental services, access is possible for natural persons, licensed medical care centres and mandated bodies. Establishment requirements may apply.
Regarding telemedicine, the number of ICT (information and communications technology) - service suppliers may be limited to guarantee interoperability, compatibility and necessary safety standards. This is applied in a non-discriminatory way (CPC 9312, 93191).
Measures:
Bundesärzteordnung (BÄO; Federal Medical Regulation);
Gesetz über die Ausübung der Zahnheilkunde (ZHG);
Gesetz über den Beruf der Psychotherapeutin und des Psychotherapeuten (PsychThG; Act on the Provision of Psychotherapy Services);
Gesetz über die berufsmäßige Ausübung der Heilkunde ohne Bestallung (Heilpraktikergesetz);
Gesetz über das Studium und den Beruf von Hebammen(HebG);
Gesetz über die Pflegeberufe (PflBG);
Sozialgesetzbuch Fünftes Buch (SGB V; Social Code, Book Five) - Statutory Health Insurance.
Regional level:
Heilberufekammergesetz des Landes Baden-Württemberg;
Gesetz über die Berufsausübung, die Berufsvertretungen und die Berufsgerichtsbarkeit der
Ärzte, Zahnärzte, Tierärzte, Apotheker sowie der Psychologischen Psychotherapeuten und der
Kinder- und Jugendlichenpsychotherapeuten (Heilberufe-Kammergesetz - HKaG) in Bayern;
Berliner Heilberufekammergesetz (BlnHKG);
Heilberufsgesetz Brandenburg (HeilBerG);
Bremisches Gesetz über die Berufsvertretung, die Berufsausübung, die Weiterbildung und die Berufsgerichtsbarkeit der Ärzte, Zahnärzte, Psychotherapeuten, Tierärzte und Apotheker (Heilberufsgesetz - HeilBerG);
Heilberufsgesetz Mecklenburg-Vorpommern (Heilberufsgesetz M-V – HeilBerG);
Heilberufsgesetz (HeilBG NRW);
Heilberufsgesetz (HeilBG Rheinland-Pfalz);
Gesetz über die öffentliche Berufsvertretung, die Berufspflichten, die Weiterbildung und die Berufsgerichtsbarkeit der Ärzte/ Ärztinnen, Zahnärzte/ Zahnärztinnen, psychologischen Psychotherapeuten/ Psychotherapeutinnen und Kinder- und Jugendlichenpsychotherapeuten/psychotherapeutinnen, Tierärzte/Tierärztinnen und Apotheker/Apothekerinnen im Saarland (Saarländisches Heilberufekammergesetz - SHKG);
Gesetz über Berufsausübung, Berufsvertretungen und Berufsgerichtsbarkeit der Ärzte, Zahnärzte, Tierärzte, Apotheker sowie der Psychologischen Psychotherapeuten und der Kinder und Jugendlichenpsychotherapeuten im Freistaat (Sächsisches Heilberufekammergesetz – SächsHKaG)and Thüringer Heilberufegesetz.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, Local presence:
In FR: While other types of legal form are also available for Union investors, foreign investors only have access to the legal forms of "société d'exercice liberal"(SEL) and "société civile professionnelle" (SCP). For medical, dental and midwives services, French nationality is required. However, access by foreigners is possible within annually established quotas. For medical, dental and midwives services and services by nurses, provision through SEL à forme anonyme, à responsabilité limitée par actions simplifiée ou en commandite par actions SCP, société coopérative (for independent general and specialised practitioners only) or société interprofessionnelle de soins ambulatoires (SISA) for multidisciplinary health home (MSP) only.
Measures:
FR: Loi 90-1258 relative à l'exercice sous forme de société des professions libérales, Loi n°2011-940 du 10 août 2011 modifiant certaines dipositions de la loi n°2009-879 dite HPST, Loi n°47-1775 portant statut de la coopération; and Code de la santé publique.
With respect to Investment liberalisation – Market access:
In AT: Cooperation of physicians for the purpose of ambulatory public healthcare, so-called group practices, can take place only under the legal form of Offene Gesellschaft/OG or Gesellschaft mit beschränkter Haftung/GmbH. Only physicians may act as associates of such a group practice. They must be entitled to independent medical practice, registered with the Austrian Medical Chamber and actively pursue the medical profession in the practice. Other natural or legal persons may not act as associates of the group practice and may not take share in its revenues or profits (part of CPC 9312).
Measures:
AT: Medical Act, BGBl. I Nr. 169/1998, §§ 52a - 52c;
Federal Act Regulating High Level Allied Health Professions, BGBl. Nr. 460/1992; and Federal Act regulating Medical Masseurs lower and upper level, BGBl. Nr. 169/2002.
(b)   Veterinary services (CPC 932)
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment and Cross-border trade in services – Market access, National treatment, Most-favoured nation treatment:
In AT: Only nationals of a Member State of the EEA may provide veterinary services. The nationality requirement is waived for nationals of a non-Member State of the EEA where there is a Union agreement with that non-Member State of the EEA providing for national treatment with respect to investment and cross-border trade of veterinary services.
In ES: Membership in the professional association is required for the practice of the profession and requires Union nationality, which may be waived through a bilateral professional agreement. The provision of veterinary services is restricted to natural persons.
In FR: EEA nationality is required for the supply of veterinary services, but the nationality requirement may be waived subject to reciprocity. The legal forms available to a company providing veterinary services are limited to SCP (Société civile professionnelle) and SEL (Société d'exercice liberal).
Other legal forms of company provided for by French domestic law or the law of another Member State of the EEA and having their registered office, central administration or principal place of business therein may be authorised, under certain conditions.
Measures:
AT: Tierärztegesetz (Veterinary Act), BGBl. Nr. 16/1975, §3 (2) (3).
ES: Real Decreto 126/2013, de 22 de febrero, por el que se aprueban los Estatutos Generales de la Organización Colegial Veterinaria Española; Articles 62 and 64.
FR: Code rural et de la pêche maritime.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – National treatment, Local presence:
In CY: Nationality and residency condition applies for the provision of veterinary services.
In EL: EEA or Swiss nationality is required for the supply of veterinary services.
In HR: Only legal and natural persons established in a Member State for the purpose of conducting veterinary activities can supply cross border veterinary services in the Republic of Croatia. Only Union nationals can establish a veterinary practice in the Republic of Croatia.
In HU: EEA nationality is required for membership of the Hungarian Veterinary Chamber, necessary for supplying veterinary services. Authorisation for establishment is subject to an economic needs test. Main criteria: labour market conditions in the sector.
Measures:
CY: Law 169/1990 as amended.
EL: Presidential Degree 38/2010, Ministerial Decision 165261/IA/2010 (Gov. Gazette 2157/B).
HR: Veterinary Act (OG 83/13, 148/13, 115/18), Articles 3 (67), Articles 105 and 121.
HU: Act CXXVII of 2012 on the Hungarian Veterinary Chamber and on the conditions how to supply Veterinary services.
With respect to Cross-border trade in services – Local presence:
In CZ: Physical presence in the territory is required for the supply of veterinary services.
In IT and PT: Residency is required for the supply of veterinary services.
In PL: Physical presence in the territory is required for the supply of veterinary services to pursue the profession of veterinary surgeon present in the territory of Poland, non- European Union nationals have to pass an exam in Polish language organized by the Polish Chambers of Veterinary Surgeons.
In SI: Only legal and natural persons established in a Member State for the purpose of conducting veterinary activities can supply cross border veterinary services in to the Republic of Slovenia.
With respect to Investment liberalisation – Market acces, and Cross-border trade in services –Market access:
In SK: Residency in the EEA is required for registration in the professional chamber, which is necessary for the exercise of the profession. The provision of veterinary services is restricted to natural persons.
Measures:
CZ: Act No. 166/1999 Coll. (Veterinary Act), §58-63, 39; and
Act No. 381/1991 Coll. (on the Chamber of Veterinary Surgeons of the Czech Republic), paragraph 4.
IT: Legislative Decree C.P.S. 233/1946, Articles 7-9; and
Decree of the President of the Republic (DPR) 221/1950, paragraph 7.
PL: Law of 21
st
 December 1990 on the Profession of Veterinary Surgeon and Chambers of Veterinary Surgeons.
PT: Decree-Law 368/91 (Statute of the Veterinary Professional Association) alterado p/ Lei 125/2015, 3 set.
SI Pravilnik o priznavanju poklicnih kvalifikacij veterinarjev (Rules on recognition of professional qualifications for veterinarians), Uradni list RS, št. (Official Gazette No) 71/2008, 7/2011, 59/2014 in 21/2016, Act on services in the internal market, Official Gazette RS No 21/2010.
SK: Act 442/2004 on Private Veterinary Doctors and the Chamber of Veterinary Doctors, Article 2.
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access:
In DE (applies also to the regional level of government): The supply of veterinary services is restricted to natural persons. Telemedicine may only be provided in the context of a primary treatment involving the prior physical presence of a veterinary.
In DK and NL: The supply of veterinary services is restricted to natural persons.
In IE: The supply of veterinary services is restricted to natural persons or partnerships.
In LV: The supply of veterinary services is restricted to natural persons.
Measures:
DE: Bundes-Tierärzteordnung (BTÄO; Federal Code for the Veterinary Profession).
Regional level:
Acts on the Councils for the Medical Profession of the Länder (Heilberufs- und Kammergesetze der Länder) and (based on these)
Baden-Württemberg, Gesetz über das Berufsrecht und die Kammern der Ärzte, Zahnärzte, Tierärzte Apotheker, Psychologischen Psychotherapeuten sowie der Kinder- und Jugendlichenpsychotherapeuten (Heilberufe-Kammergesetz - HBKG);
Bayern, Gesetz über die Berufsausübung, die Berufsvertretungen und die Berufsgerichtsbarkeit der Ärzte, Zahnärzte, Tierärzte, Apotheker sowie der Psychologischen Psychotherapeuten und der Kinder- und Jugendlichenpsychotherapeuten (Heilberufe-Kammergesetz - HKaG);
Berliner Heilberufekammergesetz (BlnHKG);
Brandenburg, Heilberufsgesetz (HeilBerG);
Bremen, Gesetz über die Berufsvertretung, die Berufsausübung, die Weiterbildung und die Berufsgerichtsbarkeit der Ärzte, Zahnärzte, Psychotherapeuten, Tierärzte und Apotheker (Heilberufsgesetz - HeilBerG);
Hamburg, Hamburgisches Kammergesetz für die Heilberufe (HmbKGH);
Hessen, Gesetz über die Berufsvertretungen, die Berufsausübung, die Weiterbildung und die Berufsgerichtsbarkeit der Ärzte, Zahnärzte, Tierärzte, Apotheker, Psychologischen Psychotherapeuten und Kinder- und Jugendlichenpsychotherapeuten (Heilberufsgesetz);
Mecklenburg-Vorpommern, Heilberufsgesetz (HeilBerG);
Niedersachsen, Kammergesetz für die Heilberufe (HKG);
Nordrhein-Westfalen, Heilberufsgesetz NRW (HeilBerg);
Rheinland-Pfalz, Heilberufsgesetz (HeilBG);
Saarland, Gesetz Nr. 1405 über die öffentliche Berufsvertretung, die Berufspflichten, die Weiterbildung und die Berufsgerichtsbarkeit der Ärzte/Ärztinnen, Zahnärzte/Zahnärztinnen,
Tierärzte/Tierärztinnen und Apotheker/Apothekerinnen im Saarland (Saarländisches Heilberufekammergesetz - SHKG);
Sachsen, Gesetz über Berufsausübung, Berufsvertretungen und Berufsgerichtsbarkeit der Ärzte, Zahnärzte, Tierärzte, Apotheker sowie der Psychologischen Psychotherapeuten und der Kinder- und Jugendlichenpsychotherapeuten im Freistaat Sachsen (Sächsisches Heilberufekammergesetz – SächsHKaG);
Sachsen-Anhalt, Gesetz über die Kammern für Heilberufe Sachsen-Anhalt (KGHB-LSA);
Schleswig-Holstein, Gesetz über die Kammern und die Berufsgerichtsbarkeit für die Heilberufe (Heilberufekammergesetz - HBKG);
Thüringen, Thüringer Heilberufegesetz (ThürHeilBG); and
Berufsordnungen der Kammern (Codes of Professional Conduct of the Veterinary Practitioners' Councils).
DK: Lovbekendtgørelse nr. 40 af lov om dyrlæger af 15. januar 2020 (Consolidated act no. 40 of January 15
th
, 2020, on veterinary surgeons).
IE: Veterinary Practice Act 2005.
LV: Veterinary Medicine Law.
NL: Wet op de uitoefening van de diergeneeskunde 1990 (WUD).
(c)   Retail sales of pharmaceuticals, medical and orthopaedic goods and other services provided by pharmacists (CPC 63211)
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors:
In AT: The retail of pharmaceuticals and specific medical goods to the public may only be carried out through a pharmacy. Nationality of a Member State of the EEA or the Swiss Confederation is required in order to operate a pharmacy. Nationality of a Member State of the EEA or the Swiss Confederation is required for leaseholders and persons in charge of managing a pharmacy.
Measures:
AT: Apothekengesetz (Pharmacy Law), RGBl. Nr. 5/1907 as amended, §§ 3, 4, 12; Arzneimittelgesetz (Medication Act), BGBl. Nr. 185/1983 as amended, §§ 57, 59, 59a; and Medizinproduktegesetz (Medical Products Law), BGBl. Nr. 657/1996 as amended, § 99.
With respect to Investment liberalisation – Market Access, National Treatment:
In DE: Only natural persons (pharmacists) are permitted to operate a pharmacy. Nationals of other countries or persons who have not passed the German pharmacy exam may only obtain a licence to take over a pharmacy which has already existed during the preceding three years. The total number of pharmacies per person is restricted to one pharmacy and up to three branch pharmacies.
In FR: EEA or Swiss nationality is required in order to operate a pharmacy.
Foreign pharmacists may be permitted to establish within annually established quotas. Pharmacy opening must be authorised and commercial presence including sale at a distance of medicinal products to the public by means of information society services, must take one of the legal forms which are allowed under national law on a non-discriminatory basis: société d'exercice libéral (SEL) anonyme, par actions simplifiée, à responsabilité limitée unipersonnelle or pluripersonnelle, en commandite par actions, société en noms collectifs (SNC) or société à responsabilité limitée (SARL) unipersonnelle or pluripersonnelle only.
Measures:
DE: Gesetz über das Apothekenwesen (ApoG; German Pharmacy Act);
Gesetz über den Verkehr mit Arzneimitteln (AMG);
Gesetz über Medizinprodukte (MPG);
Verordnung zur Regelung der Abgabe von Medizinprodukten (MPAV)
FR: Code de la santé publique; and
Loi 90-1258 du 31 décembre 1990 relative à l'exercice sous forme de société des professions libérales and Loi 2015-990 du 6 août 2015.
With respect to Investment liberalisation – National Treatment:
In EL: European Union nationality is required in order to operate a pharmacy.
In HU: EEA nationality is required in order to operate a pharmacy.
In LV: In order to commence independent practice in a pharmacy, a foreign pharmacist or pharmacist's assistant, educated in a state which is not a Member State or a Member State of the EEA, must work for at least one year in a pharmacy in a Member State of the EEA under the supervision of a pharmacist.
Measures:
EL: Law 5607/1932 as amended by Laws 1963/1991 and 3918/2011.
HU: Act XCVIII of 2006 on the General Provisions Relating to the Reliable and Economically Feasible Supply of Medicinal Products and Medical Aids and on the Distribution of Medicinal Products.
LV: Pharmaceutical Law, s. 38.
With respect to Investment liberalisation – Market access:
In BG: Managers of pharmacies must be qualified pharmacists and may only manage one pharmacy in which they themselves work. A quota (not more than 4) exists for the number of pharmacies which may be owned per person in the Republic of Bulgaria.
In DK: Only natural persons, who have been granted a pharmacist licence from the Danish Health and Medicines Authority, are permitted to provide retail services of pharmaceuticals and specific medical goods to the public.
In ES, HR, HU, and PT: Establishment authorisation is subject to an economic needs test.
Main criteria: population and density conditions in the area.
In IE: The mail order of pharmaceuticals is prohibited, with the exception of non-prescription medicines.
In MT: Issuance of Pharmacy licences under specific restrictions. No person shall have more than one licence in his name in any town or village (Regulation 5(1) of the Pharmacy Licence Regulations (LN279/07)), except in the case where there are no further applications for that town or village (Regulation 5(2) of the Pharmacy Licence Regulations (LN279/07)).
In PT: In commercial companies where the capital is represented by shares, these shall be nominative. A person shall not hold or exercise, at the same time, directly or indirectly, ownership, operation or management of more than four pharmacies.
In SI The network of pharmacies in Slovenia consists of public pharmacy institutions, owned by municipalities, and of private pharmacists with concession where the majority owner must be a pharmacist by profession. Mail order of pharmaceuticals requiring a prescription is prohibited. Mail order of non-prescription medicines requires special state permission.
Measures:
BG: Law on Medicinal Products in Human Medicine, arts. 222, 224, 228.
DK: Apotekerloven (Danish Pharmacy Act) LBK nr. 801 12/06/2018.
ES: Ley 16/1997, de 25 de abril, de regulación de servicios de las oficinas de farmacia (Law 16/1997, of 25 April, regulating services in pharmacies), Articles 2, 3.1; and Real Decreto Legislativo 1/2015, de 24 de julio por el que se aprueba el Texto refundido de la Ley de garantías y uso racional de los medicamentos y productos sanitarios (Ley 29/2006).
HR: Health Care Act (OG 100/18, 125/19).
HU: Act XCVIII of 2006 on the General Provisions Relating to the Reliable and Economically Feasible Supply of Medicinal Products and Medical Aids and on the Distribution of Medicinal Products.
IE: Irish Medicines Boards Acts 1995 and 2006 (No. 29 of 1995 and No. 3 of 2006); Medicinal Products (Prescription and Control of Supply) Regulations 2003, as amended (S.I. 540 of 2003); Medicinal Products (Control of Placing on the Market) Regulations 2007, as amended (S.I. 540 of 2007); Pharmacy Act 2007 (No. 20 of 2007); Regulation of Retail Pharmacy Businesses Regulations 2008, as amended, (S.I. No 488 of 2008).
MT: Pharmacy Licence Regulations (LN279/07) issued under the Medicines Act (Cap. 458).
PT: Decree-Law 307/2007, Articles 9, 14 and 15 Alterado p/ Lei 26/2011, 16 jun., alterada:
—
p/ Acórdão TC 612/2011, 24/01/2012,
—
p/ Decreto-Lei 171/2012, 1 ago.,
—
p/ Lei 16/2013, 8 fev.,
—
p/ Decreto-Lei 128/2013, 5 set.,
—
p/ Decreto-Lei 109/2014, 10 jul.,
—
p/ Lei 51/2014, 25 ago.,
—
p/ Decreto-Lei 75/2016, 8 nov.; and Ordinance 1430/2007revogada p/ Portaria 352/2012, 30 out.
SI Pharmacy Services Act (Official Gazette of the RS No. 85/2016, 77/2017, 73/2019); and Medicinal Products Act (Official Gazette of the RS, No. 17/2014, 66/2019).
With respect to Investment liberalisation – Market Access, National treatment, Most-Favoured Nation treatment and Cross-border trade in services – Market access, National treatment:
In IT: The practice of the profession is possible only for natural persons enrolled in the register, as well as for legal persons in the form of partnerships, where every partner of the company must be an enrolled pharmacist. Enrolment in the pharmacist professional register requires nationality of a Member State of the European Union or residency and the practice of the profession in Italy. Foreign nationals having the necessary qualifications may enrol if they are citizens of a country with whom Italy has a special agreement, authorising the exercise of the profession, under condition of reciprocity (D. Lgsl. CPS 233/1946 Articles 7-9 and D.P.R. 221/1950 paragraphs 3 and 7). New or vacant pharmacies are authorised following a public competition. Only nationals of a Member State of the European Union enrolled in the Register of pharmacists ("albo") are able to participate in a public competition.
Establishment authorisation is subject to an economic needs test. Main criteria: population and density conditions in the area.
Measures:
IT: Law 362/1991, Articles 1, 4, 7 and 9; Legislative Decree CPS 233/1946, Articles 7-9; and Decree of the President of the Republic (D.P.R. 221/1950, paragraphs 3 and 7).
With respect to Investment liberalisation – Market Access, National treatment and Cross-border trade in services – Market access, National treatment:
In CY: Nationality requirement applies for the provision of retail sales of pharmaceuticals, medical and orthopaedic goods and other services provided by pharmacists (CPC 63211).
Measures:
CY: Pharmacy and Poisons Law (Chapter 254) as amended.
With respect to Investment liberalisation – Market access and Cross-border services – Market access:
In BG The retail of pharmaceuticals and specific medical goods to the public may only be carried out through a pharmacy. The mail order of pharmaceuticals is prohibited, with the exception of non-prescription medicines.
In EE: The retail of pharmaceuticals and specific medical goods to the public may only be carried out through a pharmacy. Mail order sale of medicinal products as well as delivery by post or express service of medicinal products ordered through the Internet is prohibited. Establishment authorisation is subject to an economic needs test. Main criteria: density conditions in the area.
In EL: Only natural persons, who are licenced pharmacists, and companies founded by licenced pharmacists, are permitted to provide retail services of pharmaceuticals and specific medical goods to the public.
In ES: Only natural persons, who are licenced pharmacists, are permitted to provide retail services of pharmaceuticals and specific medical goods to the public. Each pharmacist cannot obtain more than one licence.
In LU: Only natural persons are permitted to provide retail services of pharmaceuticals and specific medical goods to the public.
In NL: Mail order of medicine is subject to requirements.
Measures:
BG: Law on Medicinal Products in Human Medicine, arts.219, 222, 228, 234(5).
EE: Ravimiseadus (Medicinal Products Act), RT I 2005, 2, 4; § 29 (2) and § 41 (3); and Tervishoiuteenuse korraldamise seadus (Health Services Organisation Act, RT I 2001, 50, 284).
EL: Law 5607/1932 as amended by Laws 1963/1991 and 3918/2011.
ES: Ley 16/1997, de 25 de abril, de regulación de servicios de las oficinas de farmacia (Law 16/1997, of 25 April, regulating services in pharmacies), Articles 2, 3.1; and Real Decreto Legislativo 1/2015, de 24 de julio por el que se aprueba el Texto refundido de la Ley de garantías y uso racional de los medicamentos y productos sanitarios (Ley 29/2006).
LU: Loi du 4 juillet 1973 concernant le régime de la pharmacie (annex a043); Règlement grand-ducal du 27 mai 1997 relatif à l'octroi des concessions de pharmacie (annex a041); and Règlement grand-ducal du 11 février 2002 modifiant le règlement grand-ducal du 27 mai 1997 relatif à l'octroi des concessions de pharmacie (annex a017).
NL: Geneesmiddelenwet, article 67.
With respect to Investment liberalisation – National treatment and Cross-border services – Local presence:
In BG: Permanent residency is required for pharmacists.
Measures:
BG: Law on Medicinal Products in Human Medicine, arts. 146, 161, 195, 222, 228.
With respect to Cross-border trade in services – Local presence:
In DE, SK: Residency is required in order to obtain a licence as a pharmacist or to open a pharmacy for the retail of pharmaceuticals and certain medical goods to the public.
Measures:
DE: Gesetz über das Apothekenwesen (ApoG; German Pharmacy Act);
Gesetz über den Verkehr mit Arzneimitteln (AMG);
Gesetz über Medizinprodukte (MPG);
Verordnung zur Regelung der Abgabe von Medizinprodukten (MPAV).
SK: Act 362/2011 on pharmaceuticals and medical devices, Article 6; and Act 578/2004 on healthcare providers, medical employees, professional organisation in healthcare.
Reservation No. 4 - Research and development services
Sector – sub-sector:
Research and development (R&D) services
Industry classification:
CPC 851, 853
Type of reservation:
Market access
National treatment
Chapter:
Investment liberalisation and Cross-border trade in services
Level of government:
EU/Member State (unless otherwise specified)
Description:
The EU: For publicly funded research and development (R&D) services benefitting from funding provided by the Union at the Union level, exclusive rights or authorisations may only be granted to nationals of the Member States and to legal persons of the Union having their registered office, central administration or principal place of business in the Union (CPC 851, 853).
For publicly funded R&D services benefitting from funding provided by a Member State exclusive rights or authorisations may only be granted to nationals of the Member State concerned and to legal persons of the Member State concerned having their headquarters in that Member State (CPC 851, 853).
This reservation is without prejudice to Part Five of this Agreement and to the exclusion of procurement by a Party or subsidies, in Article 123(6) and (7) of this Agreement.
Measures:
EU: All currently existing and all future Union research or innovation framework programmes, including the Horizon 2020 Rules for Participation and regulations pertaining to Joint Technology Initiatives (JTIs), Article 185 Decisions, and the European Institute for Innovation and Technology (EIT), as well as existing and future national, regional or local research programmes.
Reservation No. 5 - Real estate services
Sector – sub-sector:
Real estate services
Industry classification:
CPC 821, 822
Type of reservation:
Market access
National treatment
Most-favoured nation treatment
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Level of government:
EU/Member State (unless otherwise specified)
Description:
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – National treatment, Local presence:
In CY: For the supply of real estate services, nationality and residency condition applies.
Measures:
CY: The Real Estate Agents Law 71(1)/2010 as amended.
With respect to Cross-border trade in services – Local presence:
In CZ: Residency for natural persons and establishment for legal persons in the Czech Republic are required to obtain the licence necessary for the provision of real estate services.
In HR: Commercial presence in EEA is required to supply real estate services.
In PT: EEA residency is required for natural persons. EEA incorporation is required for legal persons.
Measures:
CZ: Trade Licensing Act.
HR: Real Estate Brokerage Act (OG 107/07 and 144/12), Article 2.
PT: Decree-Law 211/2004 (Articles 3 and 25), as amended and republished by Decree-Law 69/2011.
With respect to Investment liberalisation – National treatment and Cross-border trade in services – Local presence:
In DK: For the supply of real estate services by a natural person present in the territory of Denmark, only authorised real estate agent who are natural persons that have been admitted to the Danish Business Authority's real estate agent register may use the title of "real estate agent". The act requires that the applicant be a Danish resident or a resident of the Union, EEA or the Swiss Confederation.
The Act on the sale of real estate is only applicable when providing real estate services to consumers. The Act on the sale of real estate does not apply to the leasing of real estate (CPC 822).
Measures:
DK: Lov om formidling af fast ejendom m.v. lov. nr. 526 af 28.05.2014 (The Act on the sale of real estate).
With respect to Cross-border trade in services – Market access, National treatment, Most-favoured-nation treatment:
In SI: In so far as the United Kingdom allows Slovenian nationals and enterprises to supply real estate agent services, Slovenia will allow nationals of the United Kingdom and enterprises to supply real estate agent services under the same conditions, in addition to the fulfilment of the following requirements: entitlement to act as a real estate agent in the country of origin, submission of the relevant document on impunity in criminal procedures, and inscription into the registry of real estate agents at the competent (Slovenian) ministry.
Measures:
SI: Real Estate Agencies Act.
Reservation No. 6 - Business services
Sector – sub-sector:
Business services - rental or leasing services without operators; services related to management consulting; technical testing and analyses; related scientific and technical consulting services; services incidental to agriculture; security services; placement services; translation and interpretation services and other business services
Industry classification:
ISIC Rev. 37, part of CPC 612, part of 621, part of 625, 831, part of 85990, 86602, 8675, 8676, 87201, 87202, 87203, 87204, 87205, 87206, 87209, 87901, 87902, 87909, 88, part of 893
Type of reservation:
Market access
National treatment
Most-favoured nation treatment
Senior management and boards of directors
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Level of government:
EU/Member State (unless otherwise specified)
Description:
(a)   Rental or leasing services without operators (CPC 83103, CPC 831)
With respect to Investment liberalisation – Market access, National treatment:
In SE: To fly the Swedish flag, proof of dominating Swedish operating influence must be shown in case of foreign ownership interests in ships. Dominating Swedish operating influence means that the operation of the ship is located in Sweden and that the ship also has a more than half of the shares of either Swedish ownership or ownership of persons in another EEA country. Other foreign ships may under certain conditions be granted an exemption from this rule where they are rented or leased by Swedish legal persons through bareboat charter contracts (CPC 83103).
Measures:
SE: Sjölagen (Maritime Law) (1994:1009), Chapter 1, § 1.
With respect to Cross-border trade in services – Local presence:
In SE: Suppliers of rental or leasing services of cars and certain off-road vehicles (terrängmotorfordon) without a driver, rented or leased for a period of less than one year, are obliged to appoint someone to be responsible for ensuring, among other things, that the business is conducted in accordance with applicable rules and regulations and that the road traffic safety rules are followed. The responsible person must reside in the EEA (CPC 831).
Measures:
SE: Lag (1998: 424) om biluthyrning (Act on renting and leasing cars).
(b)   Rental or leasing services and other business services related to aviation
With respect to Investment liberalisation - Market access, National treatment, Most-favoured nation treatment, and Cross-border trade in services - Market access, National treatment, Most-favoured-nation treatment:
The EU: For rental or leasing of aircraft without crew (dry lease), aircraft used by an air carrier of the Union are subject to applicable aircraft registration requirements. A dry lease agreement to which a Union carrier is a party shall be subject to requirements in the Union or national law on aviation safety, such as prior approval and other conditions applicable to the use of third countries' registered aircraft. To be registered, aircraft may be required to be owned either by natural persons meeting specific nationality criteria or by enterprises meeting specific criteria regarding ownership of capital and control (CPC 83104).
With respect to computer reservation system (CRS) services, where Union air carriers are not accorded, by CRS services suppliers operating outside the Union, equivalent (meaning non-discriminatory) treatment to the treatment provided by Union CRS service suppliers to air carriers of a third country in the Union, or where Union CRS services suppliers are not accorded, by non-Union air carriers, equivalent treatment to the treatment provided by air carriers in the Union to CRS service suppliers of a third country, measures may be taken to accord the equivalent discriminatory treatment, respectively, to the non-Union air carriers by the CRS services suppliers operating in the Union, or to the non-Union CRS services suppliers by Union air carriers.
Measures:
EU: Regulation (EC) No 1008/2008 of the European Parliament and of the Council 
(
6
)
; and Regulation (EC) No 80/2009 of the European Parliament and of the Council 
(
7
)
.
With respect to Investment liberalisation - National treatment and Cross-border trade in services - Market access, National treatment
In BE: Private (civil) aircraft belonging to natural persons who are not nationals of a member state of the EEA may only be registered if they are domiciled or resident in Belgium without interruption for at least one year. Private (civil) aircraft belonging to foreign legal entities not formed in accordance with the law of a member state of the EEA may only be registered if they have a seat of operations, an agency or an office in Belgium without interruption for at least one year (CPC 83104).
Authorisation procedures for aerial fire-fighting, flight training, spraying, surveying, mapping, photography, and other airborne agricultural, industrial and inspection services.
Measures:
BE: Arrêté Royal du 15 mars 1954 réglementant la navigation aérienne.
(c)   Services related to management consulting – arbitration and conciliation services (CPC 86602)
With respect to Cross-border trade in services –National treatment, Local presence:
In BG: For mediation services, permanent or long-term residency in the republic of Bulgaria is required for citizens of countries other than a member state of the EEA or the Swiss Confederation.
In HU: A notification, for admission into the register, to the minister responsible for justice is required for the pursuit of mediation (such as conciliation) activities.
Measures:
BG: Mediation Act, Art. 8.
HU: Act LV of 2002 on Mediation.
(d)   Technical testing and analysis services (CPC 8676)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
In CY: The provision of services by chemists and biologists requires nationality of a Member State.
In FR: The professions of biologist are reserved for natural persons, EEA nationality required.
Measures:
CY: Registration of Chemists Law of 1988 (Law 157/1988), as amended.
FR: Code de la Santé Publique.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Local presence:
In BG: Establishment in Bulgaria according to the Bulgarian Commercial Act and registration in the Commercial register is required for provision of technical testing and analysis services.
For the periodical inspection for proof of technical condition of road transport vehicles, the person should be registered in accordance with the Bulgarian Commercial Act or the Non-Profit Legal Persons Act, or else be registered in another Member State of the EEA.
The testing and analysis of the composition and purity of air and water may be conducted only by the Ministry of Environment and Water of Bulgaria, or its agencies in co-operation with the Bulgarian Academy of Sciences.
Measures:
BG: Technical Requirements towards Products Act; Measurement Act; Clean Ambient Air Act; and Water Act, Ordinance N-32 for the periodical inspection for proof of technical condition of road transport vehicles.
With respect to Investment liberalisation – National treatment, Most-favoured-nation treatment and Cross-border trade in services –National treatment, Most-favoured-nation treatment, Local presence:
In IT: For biologists, chemical analysts, agronomists and "periti agrari", residency and enrolment in the professional register are required. Third country nationals can enrol under condition of reciprocity.
Measures:
IT: Biologists, chemical analysts: Law 396/1967 on the profession of biologists; and Royal Decree 842/1928 on the profession of chemical analysts.
(e)   Related scientific and technical consulting services (CPC 8675)
With respect to Investment liberalisation – National treatment, Most-favoured nation treatment and Cross-border trade in services –National treatment, Most-favoured-nation treatment, Local presence:
In IT: Residency or professional domicile in Italy is required for enrolment in the geologists' register, which is necessary for the practice of the professions of surveyor or geologist in order to provide services relating to the exploration and the operation of mines, etc. Nationality of a Member State is required; however, foreigners may enrol under condition of reciprocity.
Measures:
IT: Geologists: Law 112/1963, Articles 2 and 5; D.P.R. 1403/1965, Article 1.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – National treatment, Local presence:
In BG: For natural persons, nationality and residency of a Member State of the EEA or the Swiss Confederation is required in order to execute functions pertinent to geodesy, cartography and cadastral surveying. For legal entities, trade registration under the legislation of a Member State of the EEA or the Swiss Confederation is required.
Measures:
BG: Cadastre and Property Register Act; and Geodesy and Cartography Act.
With respect to Investment liberalisation – National Treatment and Cross-border trade in services – National treatment:
In CY: Nationality requirement applies for the provision of relevant services.
Measures:
CY: Law 224/1990 as amended.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access:
In FR: For surveying, access through SEL (anonyme, à responsabilité limitée ou en commandite par actions), SCP (Société civile professionnelle), SA and SARL (sociétés anonymes, à responsabilité limitée) only. For exploration and prospecting services establishment is required. This requirement may be waived for scientific researchers, by decision of the Minister of scientific research, in agreement with the Minister of Foreign affairs.
Measures:
FR: Loi 46-942 du 7 mai 1946 and décret n°71-360 du 6 mai 1971.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services –National treatment, Local presence:
In HR: Services of basic geological, geodetic and mining consulting as well as related environmental protection consulting services in the territory of Croatia can be carried out only jointly with or through domestic legal persons.
Measures:
HR: Ordinance on requirements for issuing approvals to legal persons for performing professional environmental protection activities (OG No.57/10), Arts. 32-35.
(f)   Services incidental to agriculture (part of CPC 88)
With respect to Investment liberalisation –National treatment and Cross-border trade in services – National treatment, Most-favoured-nation treatment, Local presence:
In IT: For biologists, chemical analysts, agronomists and "periti agrari", residency and enrolment in the professional register are required. Third country nationals can enrol under condition of reciprocity.
Measures:
IT: Biologists, chemical analysts: Law 396/1967 on the profession of biologists; and Royal Decree 842/1928 on the profession of chemical analysts.
With respect to Investment liberalisation – Market access, Most-favoured-nation treatment and Cross-border trade in services – Market access, Most-favoured-nation treatment:
In PT: The professions of biologist, chemical analyst and agronomist are reserved for natural persons. For third-country nationals, reciprocity regime applies in the case of engineers and technical engineers (and not a citizenship requirement). For biologists, there is not a citizenship requirement nor a reciprocity requirement.
Measures:
PT: Decree Law 119/92 alterado p/ Lei 123/2015, 2 set. (Ordem Engenheiros); Law 47/2011 alterado p/ Lei 157/2015, 17 set. (Ordem dos Engenheiros Técnicos); and Decree Law 183/98 alterado p/ Lei 159/2015, 18 set. (Ordem dos Biólogos).
(g)   Security Services (CPC 87302, 87303, 87304, 87305, 87309)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment, Local presence:
In IT: Nationality of a Member State of the European Union and residency is required in order to obtain the necessary authorisation to supply security guard services and the transport of valuables.
In PT: The provision of security services by a foreign supplier on a cross-border basis is not allowed.
A nationality requirement exists for specialised personnel.
Measures:
IT: Law on public security (TULPS) 773/1931, Articles 133-141; Royal Decree 635/1940, Article 257.
PT: Law 34/2013 alterada p/ Lei 46/2019, 16 maio; and Ordinance 273/2013 alterada p/ Portaria 106/2015, 13 abril.
With respect to Investment liberalisation – National treatment, Most-Favoured Nation treatment and Cross-border trade in services – Local presence:
In DK: Residence requirement for individuals applying for an authorisation to provide security services.
Residence is also required for managers and the majority of members of the board of a legal entity applying for an authorisation to conduct security services. However, residence for management and boards of directors is not required to the extent it follows from international agreements or orders issued by the Minister for Justice.
Measures:
DK: Lovbekendtgørelse 2016-01-11 nr. 112 om vagtvirksomhed.
With respect to Cross-border trade in services – Local presence:
In EE: Residency is required for security guards.
Measures:
EE: Turvaseadus (Security Act) § 21, § 22.
(h)   Placement Services (CPC 87201, 87202, 87203, 87204, 87205, 87206, 87209)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment (applies to the regional level of government):
In BE: In all Regions in Belgium, a company having its head office outside the EEA has to demonstrate that it supplies placement services in its country of origin. In the Walloon Region, a specific type of legal entity (régulièrement constituée sous la forme d'une personne morale ayant une forme commerciale, soit au sens du droit belge, soit en vertu du droit d'un Etat membre ou régie par celui-ci, quelle que soit sa forme juridique) is required to supply placement services. A company having its head office outside the EEA has to demonstrate that it fulfils the conditions as set out in the Decree (for instance on the type of legal entity). In the German-speaking community, a company having its head office outside the EEA has to fulfil the admission criteria established by the mentioned Decree (CPC 87202).
Measures:
BE: Flemish Region: Article 8, § 3, Besluit van de Vlaamse Regering van 10 december 2010 tot uitvoering van het decreet betreffende de private arbeidsbemiddeling.
Walloon Region: Décret du 3 avril 2009 relatif à l'enregistrement ou à l'agrément des agences de placement (Decree of 3 April 2009 on registration of placement agencies), Article 7; and Arrêté du Gouvernement wallon du 10 décembre 2009 portant exécution du décret du 3 avril 2009 relatif à l'enregistrement ou à l'agrément des agences de placement (Decision of the Walloon Government of 10 December 2009 implementing the Decree of 3 April 2009 on registration of placement agencies), Article 4.
German-speaking community: Dekret über die Zulassung der Leiharbeitsvermittler und die Überwachung der privaten Arbeitsvermittler / Décret du 11 mai 2009 relatif à l'agrément des agences de travail intérimaire et à la surveillance des agences de placement privées, Article 6.
With respect to Investment liberalisation – National treatment and Cross-border trade in services –National treatment, Local presence:
In DE: Nationality of a Member State of the European Union or a commercial presence in the European Union is required in order to obtain a licence to operate as a temporary employment agency pursuant to Sec. 3 paragraphs 3 to 5 of this Act on temporary agency work (Arbeitnehmerüberlassungsgesetz). The Federal Ministry of Labour and Social Affairs may issue a regulation concerning the placement and recruitment of non-EEA personnel for specified professions e.g. for health and care related professions. The licence or its extension shall be refused if establishments, parts of establishments or ancillary establishments which are not located in the EEA are intended to execute the temporary employment pursuant to Sec. 3 paragraph 2 of the Act on temporary agency work (Arbeitnehmerüberlassungsgesetz).
Measures:
DE: Gesetz zur Regelung der Arbeitnehmerüberlassung (AÜG);
Sozialgesetzbuch Drittes Buch (SGB III; Social Code, Book Three) - Employment Promotion;
Verordnung über die Beschäftigung von Ausländerinnen und Ausländern (BeschV; Ordinance on the Employment of Foreigners).
With respect to Investment liberalisation – Market access:
In ES: Prior to the start of the activity, placement agencies are required to submit a sworn statement certifying the fulfilment of the requirements stated by the current legislation (CPC 87201, 87202).
Measures:
ES: Real Decreto-ley 8/2014, de 4 de julio, de aprobación de medidas urgentes para el crecimiento, la competitividad y la eficiencia (tramitado como Ley 18/2014, de 15 de octubre).
(i)   Translation and interpretation services (CPC 87905)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access:
In BG: To carry out official translation activities foreign natural persons are required to hold a permit for long-term or permanent residency in the Republic of Bulgaria.
Measures:
BG: Regulation for the legalisation, certification and translation of documents.
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access:
In HU: Official translations, official certifications of translations, and certified copies of official documents in foreign languages may only be provided by the Hungarian Office for Translation and Attestation (OFFI).
In PL: Only natural persons may be sworn translators.
Measures:
HU: Decree of the Council of Ministers No. 24/1986 on Official translation and interpretation.
PL: Act of 25 November 2004 on the profession of sworn translator or interpreter (Journal of Laws from 2019 item 1326).
With respect to Cross-border trade in services –Market Access:
In FI: Residency in the EEA is required for certified translators.
Measures:
FI: Laki auktorisoiduista kääntäjistä (Act on Authorised Translators) (1231/2007), s. 2(1).
With respect to Investment liberalisation – National treatment and Cross-border trade in services – National treatment:
In CY: Registration to registry of translators is necessary for the provision of official translation and certification services. Nationality requirement applies.
In HR: EEA nationality is required for certified translators.
Measures:
CY: The Establishment, Registration and Regulation of the Certified Translator Services in the Republic of Cyprus Law.
HR: Ordinance on permanent court interpreters (OG 88/2008), Article 2.
(j)   Other business services (part of CPC 612, part of 621, part of 625, 87901, 87902, 88493, part of 893, part of 85990, 87909, ISIC 37)
With respect to Investment liberalisation – Market access:
In SE: Pawn-shops must be established as a limited liability company or as a branch (part of CPC 87909).
With respect to Investment liberalisation – Market access, and Cross-border trade in services – Local presence:
In CZ: Only an authorised package company is allowed to supply services relating to packaging take-back and recovery and must be a legal person established as a joint-stock company (CPC 88493, ISIC 37).
With respect to Investment liberalisation – Market access, and Cross-border trade in services – Market access:
In NL: To provide hallmarking services, commercial presence in the Netherlands is required. The hallmarking of precious metal Articles is currently exclusively granted to two Dutch public monopolies (part of CPC 893).
Measures:
CZ: Act. 477/2001 Coll. (Packaging Act) paragraph 16.
SE: Pawn shop act (1995:1000).
NL: Waarborgwet 1986.
With respect to Investment liberalisation – Market Access, National Treatment:
In PT: Nationality of a Member State is required for the provision of collection agency services and credit reporting services (CPC 87901, 87902).
Measures:
PT: Law 49/2004.
With respect to Investment liberalisation – Market access, National Treatment and Cross-border trade in services – Local presence:
In CZ: Auction services are subject to licence. To obtain a licence (for the supply of voluntary public auctions), a company must be incorporated in the Czech Republic and a natural person is required to obtain a residency permit, and the company, or natural person must be registered in the Commercial Register of the Czech Republic (part of CPC 612, part of 621, part of 625, part of 85990).
Measures:
CZ: Act no.455/1991 Coll.; Trade Licence Act; and Act no. 26/2000 Coll., on public auctions.
With respect to Cross-border trade in services –Market access:
In SE: The economic plan for a building society must be certified by two persons. These persons must be publicly approved by authorities in the EEA (CPC 87909).
Measures:
SE: Cooperative building societies law (1991:614).
Reservation No. 7 - Communication services
Sector – sub-sector:
Communication services - postal and courier services
Industry classification:
Part of CPC 71235, part of 73210, part of 751
Type of reservation:
Market access
Chapter:
Investment liberalisation; Cross-border trade in services
Level of government:
EU/Member State (unless otherwise specified)
Description:
With respect to Investment liberalisation - Market access and Cross-border trade in services - Market access:
The EU: The organisation of the siting of letter boxes on the public highway, the issuing of postage stamps and the provision of the registered mail service used in the course of judicial or administrative procedures may be restricted in accordance with national legislation. Licensing systems may be established for those services for which a general universal service obligation exists. These licences may be subject to particular universal service obligations or a financial contribution to a compensation fund.
Measures:
EU: Directive 97/67/EC of the European Parliament and of the Council 
(
8
)
.
Reservation No. 8 - Construction Services
Sector – sub-sector:
Construction and related engineering services
Industry classification:
CPC 51
Type of reservation:
National treatment
Chapter:
Investment liberalisation; Cross-border trade in services
Level of government:
EU/Member State (unless otherwise specified)
Description:
In CY: Nationality requirement.
Measure:
The Registration and Control of Contractors of Building and Technical Works Law of 2001 (29 (I) / 2001), Articles 15 and 52.
Reservation No. 9 - Distribution services
Sector – sub-sector:
Distribution services – general, distribution of tobacco
Industry classification:
CPC 3546, part of 621, 6222, 631, part of 632
Type of reservation:
Market access
National treatment
Local presence
Chapter:
Investment liberalisation; Cross-Border trade in services
Level of government:
EU/Member State (unless otherwise specified)
Description:
(a)   Distribution services (CPC 3546, 631, 632 except 63211, 63297, 62276, part of 621)
With respect to Investment liberalisation – Market access:
In PT: A specific authorisation scheme exists for the installation of certain retail establishments and shopping centres. This relates to shopping centres that have a gross leasable area equal or greater than 8,000 m
2
, and retail establishments having a sales area equal or exceeding 2,000 m
2
, when located outside shopping centres. Main criteria: Contribution to a multiplicity of commercial offers; assessment of services to consumer; quality of employment and corporate social responsibility; integration in urban environment; contribution to eco-efficiency (CPC 631, 632 except 63211, 63297).
Measures:
PT: Decree-Law No. 10/2015, 16 January.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
In CY: Nationality requirement exists for distribution services provided by pharmaceutical representatives (CPC 62117).
Measures:
CY: Law 74(I) 2020 as amended.
With respect to Investment liberalisation – Market access and Cross-border trade in services – Local presence:
In LT: The distribution of pyrotechnics is subject to licensing. Only legal persons of the Union may obtain a licence (CPC 3546).
Measures:
LT: Law on Supervision of Civil Pyrotechnics Circulation (23 March 2004. No. IX-2074).
(b)   Distribution of tobacco (part of CPC 6222, 62228, part of 6310, 63108)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
In ES: There is a state monopoly on retail sales of tobacco. Establishment is subject to a Member State nationality requirement. Only natural persons may operate as a tobacconist. Each tobacconist cannot obtain more than one license (CPC 63108).
In FR: State monopoly on wholesale and retail sales of tobacco. Nationality requirement for tobacconists (buraliste) (part of CPC 6222, part of 6310).
Measures:
ES: Law 14/2013 of 27 September 2014.
FR: Code général des impôts.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
In AT: Only natural persons may apply for an authorisation to operate as a tobacconist.
Priority is given to nationals of a Member State of the EEA (CPC 63108).
Measures:
AT: Tobacco Monopoly Act 1996, § 5 and § 27.
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access, National treatment:
In IT: In order to distribute and sell tobacco, a licence is needed. The licence is granted through public procedures. The granting of licences is subject to an economic needs test. Main criteria: population and geographical density of existing selling points (part of CPC 6222, part of 6310).
Measures:
IT: Legislative Decree 184/2003;
Law 165/1962;
Law 3/2003;
Law 1293/1957;
Law 907/1942; and
Decree of the President of the Republic (D.P.R.) 1074/1958.
Reservation No. 10 - Education services
Sector – sub-sector:
Education services (privately funded)
Industry classification:
CPC 921, 922, 923, 924
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Local presence
Chapter:
Investment liberalisation; Cross-border trade in services
Level of government:
EU/Member State (unless otherwise specified)
Description:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access:
In CY: Nationality of a Member State is required for owners and majority shareholders in a privately funded school. Nationals of the United Kingdom may obtain authorisation from the Minister (of Education) in accordance with the specified form and conditions.
Measures:
CY: Private Schools Law of 2019 (N. 147(I)/2019)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
In BG: Privately funded primary and secondary education services may only be supplied by authorised Bulgarian enterprises (commercial presence is required). Bulgarian kindergartens and schools having foreign participation may be established or transformed at the request of associations, or corporations, or enterprises of Bulgarian and foreign natural or legal entities, duly registered in Bulgaria, by decision of the Council of Ministers on a motion by the Minister of Education and Science. Foreign owned kindergartens and schools may be established or transformed at the request of foreign legal entities in accordance with international agreements and conventions and under the provisions above. Foreign higher education institutions cannot establish subsidiaries in the territory of Bulgaria. Foreign higher education institutions may open faculties, departments, institutes and colleges in Bulgaria only within the structure of Bulgarian high schools and in cooperation with them (CPC 921, 922).
Measures:
BG: Pre-school and School Education Act; and
Law for the Higher Education, paragraph 4 of the additional provisions.
With respect to Investment liberalisation – Market access, National treatment
In SI: Privately funded elementary schools may be founded by Slovenian natural or legal persons only. The service supplier must establish a registered office or branch office (CPC 921).
Measures:
SI: Organisation and Financing of Education Act (Official Gazette of Republic of Slovenia, no. 12/1996) and its revisions, Article 40.
With respect to Cross-border services – Local presence:
In CZ and SK: Establishment in a Member State is required to apply for state approval to operate as a privately funded higher education institution. This reservation does not apply to post-secondary technical and vocational education services (CPC 92310).
Measures:
CZ: Act No. 111/1998, Coll. (Higher Education Act), § 39; and
Act No. 561/2004 Coll. on Pre-school, Basic, Secondary, Tertiary Professional and Other Education (the Education Act).
SK: Law No. 131/2002 on Universities.
With respect to Investment liberalisation – Market access and Cross-border services: Market access:
In ES and IT: An authorisation is required in order to open a privately funded university which issues recognised diplomas or degrees. An economic needs test is applied. Main criteria: population and density of existing establishments.
In ES: The procedure involves obtaining the advice of the Parliament.
In IT: This is based on a three-year programme and only Italian legal persons may be authorised to issue state-recognised diplomas (CPC 923).
Measures:
ES: Ley Orgánica 6/2001, de 21 de Diciembre, de Universidades (Law 6 / 2001 of 21 December, on Universities), Article 4.
IT: Royal Decree 1592/1933 (Law on secondary education);
Law 243/1991 (Occasional public contribution for private universities);
Resolution 20/2003 of CNVSU (Comitato nazionale per la valutazione del sistema universitario); and
Decree of the President of the Republic (DPR) 25/1998.
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access:
In EL: Nationality of a Member State is required for owners and a majority of the members of the board of directors in privately funded primary and secondary schools, and for teachers in privately funded primary and secondary education (CPC 921, 922). Education at university level shall be provided exclusively by institutions which are fully self-governed public law legal persons. However, Law 3696/2008 permits the establishment by Union residents (natural or legal persons) of private tertiary education institutions granting certificates which are not recognised as being equivalent to university degrees (CPC 923).
Measures:
EL: Laws 682/1977, 284/1968, 2545/1940, Presidential Degree 211/1994 as amended by
Presidential Degree 394/1997, Constitution of Hellas, Article 16, paragraph 5 and Law 3549/2007.
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access:
In AT: The provision of privately funded university level education services in the area of applied sciences requires an authorisation from the competent authority, the AQ Austria (Agency for Quality Assurance and Accreditation Austria). An investor seeking to provide such services must have his primary business being the supply of such services, and must submit a needs assessment and a market survey for the acceptance of the proposed study programme. The competent Ministry may deny the approval if the decision of the accreditation authority does not comply with national educational interests. The applicant for a private university requires an authorisation from the competent authority (AQ Austria - Agency for Quality Assurance and Accreditation Austria). The competent Ministry may deny the approval if the decision of the accreditation authority does not comply with national educational interests (CPC 923).
Measures:
AT: University of Applied Sciences Studies Act, BGBl. I Nr. 340/1993 as amended, § 2, 8; Private Higher Education Institution Act, BGBl. I Nr. 77/2020, § 2; and
Act on Quality Assurance in Higher Education, BGBl. Nr. 74/2011 as amended, § 25 (3).
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment and Cross-border trade in services – Market access, National treatment:
In FR: Nationality of a Member State is required in order to teach in a privately funded educational institution (CPC 921, 922, 923). However, nationals of the United Kingdom may obtain an authorisation from the relevant competent authorities in order to teach in primary, secondary and higher level educational institutions. Nationals of the United Kingdom may also obtain an authorisation from the relevant competent authorities in order to establish and operate or manage primary, secondary or higher level educational institutions. Such authorisation is granted on a discretionary basis.
Measures:
FR: Code de l'éducation.
With respect to Investment – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
In MT: Service suppliers seeking to provide privately funded higher or adult education services must obtain a licence from the Ministry of Education and Employment. The decision on whether to issue a licence may be discretionary (CPC 923, 924).
Measures:
MT: Legal Notice 296 of 2012.
Reservation No. 11 - Environmental services
Sector – sub-sector:
Environmental services – processing and recycling of used batteries and accumulators, old cars and waste from electrical and electronic equipment; protection of ambient air and climate cleaning services of exhaust gases
Industry classification:
Part of CPC 9402, 9404
Type of reservation:
Local presence
Chapter:
Cross-border trade in services
Level of government:
EU/Member State (unless otherwise specified)
Description:
In SE: Only entities established in Sweden or having their principal seat in Sweden are eligible for accreditation to perform control services of exhaust gas (CPC 9404).
In SK: For processing and recycling of used batteries and accumulators, waste oils, old cars and waste from electrical and electronic equipment, incorporation in the EEA is required (residency requirement) (part of CPC 9402).
Measures:
SE: The Vehicles Act (2002:574).
SK: Act 79/2015 on Waste.
Reservation No. 12 – Financial Services
Sector – sub-sector:
Financial services – insurance and banking
Industry classification:
Not applicable
Type of reservation:
Market access
National treatment
Most-favoured-nation treatment
Senior management and boards of directors
Local presence
Chapter:
Investment liberalisation; Cross-border trade in services
Level of government:
EU/Member State (unless otherwise specified)
Description:
(a)   Insurance and Insurance-related Services
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
In IT: Access to the actuarial profession through natural persons only. Professional associations (no incorporation) among natural persons permitted. European Union nationality is required for the practice of the actuarial profession, except for foreign professionals who may be allowed to practice based on reciprocity.
Measures:
IT: Article 29 of the code of private insurance (Legislative decree no. 209 of 7 September 2005); and Law 194/1942, Article 4, Law 4/1999 on the register.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Local presence:
In BG: Pension insurance shall be carried out as a joint-stock company licensed in accordance with the Code of Social Insurance and registered under the Commerce Act or under the legislation of another Member State of the EU (no branches).
In BG, ES, PL and PT: Direct branching is not permitted for insurance intermediation, which is reserved to companies formed in accordance with the law of a Member State (local incorporation is required). For PL, residency requirement for insurance intermediaries.
Measures:
BG: Insurance Code, articles 12, 56-63, 65, 66 and 80 paragraph 4, Social Insurance Code Art. 120a–162, Art. 209–253, Art. 260–310.
ES: Reglamento de Ordenación, Supervisión y Solvencia de Entidades Aseguradoras y Reaseguradoras (RD 1060/2015, de 20 de noviembre de 2015), article 36.
PL: Act on insurance and reinsurance activity of September 11, 2015 (Journal of Laws of 2020, item 895 and 1180); Act on insurance distribution of December 15, 2017 (Journal of Laws 2019, item 1881); Act on the organization and operation of pension funds of August 28, 1997 (Journal of Laws of 2020, item 105); Act of 6 March 2018 on rules regarding economic activity of foreign entrepreneurs and other foreign persons in the territory of the Republic of Poland.
PT: Article 7 of Decree-Law 94-B/98 revoked by Decree-Law 2/2009, January 5th; and chapter I, Section VI of Decree-Law 94-B/98, articles 34, nr. 6, 7, and article 7 of Decree-Law 144/2006, revoked by Law 7/2019, January 16th. Article 8 of the legal regime governing the business of insurance and reinsurance distribution, approved by Law 7/2019, of January 16
th
.
With respect to Investment liberalisation – National treatment:
In AT: The management of a branch office must consist of at least two natural persons resident in AT.
In BG: Residency requirement for the members of managing and supervisory body of (re)insurance undertakings and every person authorised to manage or represent the (re)insurance undertaking.
The Chairperson of the Management Board, the Chairperson of the Board of Directors, the Executive Director and the Managerial Agent of pension insurance companies must have a permanent address or hold a durable residence permit in Bulgaria.
Measures:
AT: Insurance Supervision Act 2016, Article 14 para. 1 no. 3, Federal Law Gazette I No. 34/2015 (Versicherungsaufsichtsgesetz 2016, § 14 Abs. 1 Z 3, BGBl. I Nr. 34/2015)
BG: Insurance Code, articles 12, 56-63, 65, 66 and 80 paragraph 4,
Social Insurance Code, Art. 120a–162, Art. 209–253, Art. 260–310
With respect to Investment liberalisation – Market access, National treatment:
In BG: Before establishing a branch or agency to provide insurance, a foreign insurer or reinsurer must have been authorised to operate in its country of origin in the same classes of insurance as those it wishes to provide in BG.
The income of the supplementary voluntary pension funds, as well as similar income directly connected with voluntary pension insurance, carried out by persons who are registered under the legislation of another Member State and who may, in compliance with the legislation concerned, perform voluntary pension insurance operations, shall not be taxable according to the procedure established by the Corporate Income Tax Act.
In ES: Before establishing a branch or agency in Spain in order to provide certain classes of insurance, a foreign insurer must have been authorised to operate in the same classes of insurance in its country of origin for at least five years.
In PT: In order to establish a branch or agency, foreign insurance undertakings must have been authorised to carry out the business of insurance or reinsurance, according to the relevant national law for at least five years.
Measures:
BG: Insurance Code, articles 12, 56-63, 65, 66 and 80 paragraph 4,
Social Insurance Code, Art. 120a–162, Art. 209–253, Art. 260–310.
ES: Reglamento de Ordenación, Supervisión y Solvencia de Entidades Aseguradoras y Reaseguradoras (RD 1060/2015, de 20 de noviembre de 2015), article 36.
PT: Article 7 of Decree-Law 94-B/98 and chapter I, Section VI of Decree-Law 94-B/98, articles 34, nr. 6, 7, and article 7 of Decree-Law 144/2006; Article 215 of legal regime governing the taking up and pursuit of the business of insurance and reinsurance, approved by Law 147/2005, of September 9th.
With respect to Investment liberalisation – Market access:
In AT: In order to obtain a licence to open a branch office, foreign insurers must have a legal form corresponding or comparable to a joint stock company or a mutual insurance association in their home country.
In EL: Insurance and reinsurance undertakings with head offices in third countries may operate in Greece via establishing a subsidiary or a branch, where branch in this case does not take any specific legal form, as it means a permanent presence in the territory of a Member State (i.e. Greece) of an undertaking with head office outside EU, which receives authorisation in that Member State (Greece) and which pursues insurance business.
Measures:
AT: Insurance Supervision Act 2016, Article 14 para. 1 no. 1, Federal Law Gazette I No. 34/2015 (Versicherungsaufsichtsgesetz 2016, § 14 Abs. 1 Z 1, BGBl. I Nr. 34/2015).
EL: Art. 130 of the Law 4364/ 2016 (Gov. Gazette 13/ A/ 05.02.2016).
With respect to Cross-border trade in services – National treatment, Local presence:
In AT: Promotional activity and intermediation on behalf of a subsidiary not established in the Union or of a branch not established in AT (except for reinsurance and retrocession) are prohibited.
In DK: No persons or companies (including insurance companies) may, for business purposes, assist in effecting direct insurance for persons resident in DK, for Danish ships or for property in DK, other than insurance companies licensed by Danish law or by Danish competent authorities.
In SE: The supply of direct insurance by a foreign insurer is allowed only through the mediation of an insurance service supplier authorised in Sweden, provided that the foreign insurer and the Swedish insurance company belong to the same group of companies or have an agreement of cooperation between them.
With respect to Cross-border trade in services – Local presence:
In DE, HU and LT: The supply of direct insurance services by insurance companies not incorporated in the European Union requires the setting up and authorisation of a branch.
In SE: The provision of insurance intermediation services by undertakings not incorporated in the EEA requires the establishment of a commercial presence (local presence requirement).
In SK: Air and maritime transport insurance, covering the aircraft/vessel and responsibility, can be underwritten only by insurance companies established in the Union or by the branch office of the insurance companies not established in the Union authorised in the Slovak Republic.
Measures
AT: Insurance Supervision Act 2016, Article 13 para. 1 and 2, Federal Law Gazette I No. 34/2015 (Versicherungsaufsichtsgesetz 2016, § 13 Abs. 1 und 2, BGBl. I Nr. 34/2015)
DE: Versicherungsaufsichtsgesetz (VAG) for all insurance services; in connection with Luftverkehrs-Zulassungs-Ordnung (LuftVZO) only for compulsory air liability insurance.
DK: Lov om finansiel virksomhed jf. lovbekendtgørelse 182 af 18. februar 2015.
HU: Act LX of 2003.
LT: Law on Insurance, 18 of September, 2003 m. Nr. IX-1737, last amendment 13 of June 2019 Nr. XIII-2232.
SE: Lag om försäkringsförmedling (Insurance Distribution Mediation Act) (Chapter 3, section 3, 2018:12192005:405); and Foreign Insurers Business in Sweden Act (Chapter 4, section 1 and 10, 1998:293).
SK: Act 39/2015 on insurance.
(b)   Banking and other financial services
With respect to Investment liberalisation – Market Access, National treatment, and Cross-border trade in services – Local presence:
In BG: For pursuing the activities of lending with funds which are not raised through taking of deposits or other repayable funds, acquiring holdings in a credit institution or another financial institution, financial leasing, guarantee transactions, acquisition of claims on loans and other forms of financing (factoring, forfeiting, etc.), non-bank financial institutions are subject to registration regime with the Bulgarian National Bank. The financial institution shall have its main business in the territory of Bulgaria.
In BG: Non-EEA banks may pursue banking activity in Bulgaria after obtaining a license from BNB for taking up and pursuing of business activities in the Republic of Bulgaria through a branch.
In IT: In order to be authorised to operate the securities settlement system or to provide central securities depository services with an establishment in Italy, a company is required to be incorporated in Italy (no branches).
In the case of collective investment schemes other than undertakings for collective investment in transferable securities ("UCITS") harmonised under Union legislation, the trustee or depository is required to be established in Italy or in another Member State and have a branch in Italy.
Management enterprises of investment funds not harmonised under Union legislation are also required to be incorporated in Italy (no branches).
Only banks, insurance enterprises, investment firms and enterprises managing UCITS harmonised under Union legislation having their legal head office in the Union, as well as UCITS incorporated in Italy, may carry out the activity of pension fund resource management.
In providing the activity of door-to-door selling, intermediaries must utilise authorised financial salesmen resident within the territory of a Member State.
Representative offices of non-European Union intermediaries cannot carry out activities aimed at providing investment services, including trading for own account and for the account of customers, placement and underwriting financial instruments (branch required).
In PT: Pension fund management may be provided only by specialised companies incorporated in PT for that purpose and by insurance companies established in PT and authorised to take up life insurance business, or by entities authorised to provide pension fund management in other Member States. Direct branching from non-European Union countries is not permitted.
Measures:
BG: Law on Credit Institutions, article 2, paragraph 5, article 3a and article 17
Code of Social Insurance, articles 121, 121b, 121f; and
Currency Law, article 3.
IT: Legislative Decree 58/1998, articles 1, 19, 28, 30-33, 38, 69 and 80;
Joint Regulation of Bank of Italy and Consob 22.2.1998, articles 3 and 41;
Regulation of Bank of Italy 25.1.2005;
Title V, Chapter VII, Section II, Consob Regulation 16190 of 29.10.2007, articles 17-21, 78-81, 91-111; and subject to:
Regulation (EU) No 909/2014 of the European Parliament and of the Council 
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9
)
.
PT: Decree-Law 12/2006, as amended by Decree-Law 180/2007 Decree-Law 357-A/2007, Regulation 7/2007-R, as amended by Regulation 2/2008-R, Regulation 19/2008-R, Regulation 8/2009. Article 3 of the legal regime governing the establishment and functioning of pension funds and their management entities approved by Law 27/2020, of July 23rd.
With respect to Investment liberalisation – Market access, National treatment:
In HU: Branches of non-EEA investment fund management companies may not engage in the management of European investment funds and may not provide asset management services to private pension funds.
Measures:
HU: Act CCXXXVII of 2013 on Credit Institutions and Financial Enterprises;
and
Act CXX of 2001 on the Capital Market.
With respect to Investment liberalisation – National Treatment and Cross-border trade in services – Market access:
In BG: А bank shall be managed and represented jointly by at least two persons. The persons who manage and represent the bank shall be personally present at its management address. Legal persons may not be elected members of the managing board or the board of directors of a bank.
In SE: A founder of a savings bank shall be a natural person.
Measures:
BG: Law on Credit Institutions, article 10;
Code Of Social Insurance, article 121e; and
Currency Law, article 3.
SE: Sparbankslagen (Savings Bank Act) (1987:619), Chapter 2, § 1.
With respect to Investment liberalisation – National treatment:
In HU: The board of directors of a credit institution shall have at least two members recognised as resident according to foreign exchange regulations and having had prior permanent residence in HU for at least one year.
Measures:
HU: Act CCXXXVII of 2013 on Credit Institutions and Financial Enterprises;
and
Act CXX of 2001 on the Capital Market.
With respect to Investment liberalisation – Market access:
In RO: Market operators are legal persons set up as joint stock companies according to the provisions of the Company law. Alternative trading systems (Multilateral trading facility (MTF) pursuant to MiFID II Directive) can be managed by a system operator set up under the conditions described above or by an investment firm authorised by ASF (Autoritatea de Supraveghere Financiară – Financial Supervisory Authority).
In SI: A pension scheme may be provided by a mutual pension fund (which is not a legal entity and is therefore managed by an insurance company, a bank or a pension company), a pension company or an insurance company. Additionally, a pension scheme can also be offered by pension scheme providers established in accordance with the regulations applicable in a Member State of the EU.
Measures:
RO: Law no. 126 of 11 June 2018 regarding financial instruments and Regulation no. 1/2017 for the amendment and supplement of Regulation no. 2/2006 on regulated markets and alternative trading systems, approved by Order of NSC no. 15/2006 - ASF – Autoritatea de Supraveghere Financiară – Financial Supervisory Authority.
SI: Pension and Disability Insurance Act, (Official Gazette no. 102/2015 (as last amended No 28/19).
With respect to Cross-border trade in services – Local presence:
In HU: Non-EEA companies may provide financial services or engage in activities auxiliary to financial services solely through a branch in HU.
Measures:
HU: Act CCXXXVII of 2013 on Credit Institutions and Financial Enterprises;
and
Act CXX of 2001 on the Capital Market.
Reservation No. 13 - Health services and social services
Sector – sub-sector:
Health services and social services
Industry classification:
CPC 931, 933
Type of reservation:
Market access
National treatment
Chapter:
Investment liberalisation and Cross-border trade in services
Level of government:
EU/Member State (unless otherwise specified)
Description:
With respect to Investment liberalisation – Market access:
In DE: (applies also to the regional level of government): Rescue services and "qualified ambulance services" are organised and regulated by the Länder. Most Länder delegate competences in the field of rescue services to municipalities. Municipalities are allowed to give priority to not-for-profit operators. This applies equally to foreign as well as domestic service suppliers (CPC 931, 933). Ambulance services are subject to planning, permission and accreditation. Regarding telemedicine, the number of ICT (information and communications technology) service suppliers may be limited to guarantee interoperability, compatibility and necessary safety standards. This is applied in a non-discriminatory way.
In HR: Establishment of some privately funded social care facilities may be subject to needs based limits in particular geographical areas (CPC 9311, 93192, 93193, 933).
In SI: a state monopoly is reserved for the following services: Supply of blood, blood preparations, removal and preservation of human organs for transplant, socio-medical, hygiene, epidemiological and health-ecological services, patho-anatomical services, and biomedically-assisted procreation (CPC 931).
Measures:
DE: Bundesärzteordnung (BÄO; Federal Medical Regulation):
Gesetz über die Ausübung der Zahnheilkunde (ZHG);
Gesetz über den Beruf der Psychotherapeutin und des Psychotherapeuten (PsychThG; Act on the Provision of Psychotherapy Services);
Gesetz über die berufsmäßige Ausübung der Heilkunde ohne Bestallung (Heilpraktikergesetz);
Gesetz über das Studium und den Beruf der Hebammen (HebG);
Gesetz über den Beruf der Notfallsanitäterin und des Notfallsanitäters (NotSanG);
Gesetz über die Pflegeberufe (PflBG);
Gesetz über die Berufe in der Physiotherapie (MPhG);
Gesetz über den Beruf des Logopäden (LogopG);
Gesetz über den Beruf des Orthoptisten und der Orthoptistin (OrthoptG);
Gesetz über den Beruf der Podologin und des Podologen (PodG);
Gesetz über den Beruf der Diätassistentin und des Diätassistenten (DiätAssG);
Gesetz über den Beruf der Ergotherapeutin und des Ergotherapeuten (ErgThg); Bundesapothekerordnung (BapO);
Gesetz über den Beruf des pharmazeutisch-technischen Assistenten (PTAG);
Gesetz über technische Assistenten in der Medizin (MTAG);
Gesetz zur wirtschaftlichen Sicherung der Krankenhäuser und zur Regelung der Krankenhauspflegesätze (Krankenhausfinanzierungsgesetz - KHG);
Gewerbeordnung (German Trade, Commerce and Industry Regulation Act);
Sozialgesetzbuch Fünftes Buch (SGB V; Social Code, Book Five) - Statutory Health Insurance;
Sozialgesetzbuch Sechstes Buch (SGB VI; Social Code, Book Six) - Statutory Pension Insurance;
Sozialgesetzbuch Siebtes Buch (SGB VII; Social Code, Book Seven) - Statutory Accident Insurance;
Sozialgesetzbuch Neuntes Buch (SGB IX; Social Code, Book Nine) - Rehabilitation and Participation of Persons with Disabilities;
Sozialgesetzbuch Elftes Buch (SGB XI; Social Code, Book Eleven) - Social Assistance.
Personenbeförderungsgesetz (PBefG; Act on Public Transport).
Regional level:
Gesetz über den Rettungsdienst (Rettungsdienstgesetz - RDG) in Baden-Württemberg;
Bayerisches Rettungsdienstgesetz (BayRDG);
Gesetz über den Rettungsdienst für das Land Berlin (Rettungsdienstgesetz);
Gesetz über den Rettungsdienst im Land Brandenburg (BbgRettG);
Bremisches Hilfeleistungsgesetz (BremHilfeG);
Hamburgisches Rettungsdienstgesetz (HmbRDG);
Gesetz über den Rettungsdienst für das Land Mecklenburg-Vorpommern (RDGM-V);
Niedersächsisches Rettungsdienstgesetz (NRettDG);
Gesetz über den Rettungsdienst sowie die Notfallrettung und den Krankentransport durch
Unternehmer (RettG NRW);
Landesgesetz über den Rettungsdienst sowie den Notfall- und Krankentransport (RettDG);
Saarländisches Rettungsdienstgesetz (SRettG);
Sächsisches Gesetz über den Brandschutz, Rettungsdienst und Katastrophenschutz (SächsBRKG);
Rettungsdienstgesetz des Landes Sachsen-Anhalt (RettDG LSA);
Schleswig-Holsteinisches Rettungsdienstgesetz (SHRDG);
Thüringer Rettungsdienstgesetz (ThüRettG).
Landespflegegesetze:
Gesetz zur Umsetzung der Pflegeversicherung in Baden-Württemberg (Landespflegegesetz -
LPflG);
Gesetz zur Ausführung der Sozialgesetze (AGSG);
Gesetz zur Planung und Finanzierung von Pflegeeinrichtungen (Landespflegeeinrichtungsgesetz-
LPflegEG);
Gesetz über die pflegerische Versorgung im Land Brandenburg (Landespflegegesetz - LPflegeG);
Gesetz zur Ausführung des Pflege-Versicherungsgesetzes im Lande Bremen und zur Änderung des Bremischen Ausführungsgesetzes zum Bundessozialhilfegesetz (BremAGPflegeVG);
Hamburgisches Landespflegegesetz (HmbLPG);
Hessisches Ausführungsgesetz zum Pflege-Versicherungsgesetz;
Landespflegegesetz (LPflegeG M-V);
Gesetz zur Planung und Förderung von Pflegeeinrichtungen nach dem Elften Buch
Sozialgesetzbuch (Niedersächsisches Pflegegesetz - NPflegeG);
Gesetz zur Weiterentwicklung des Landespflegerechts und Sicherung einer unterstützenden Infrastruktur für ältere Menschen, pflegebedürftige Menschen und deren Angehörige (Alten- und Pflegegesetz Nordrhein-Westfalen – APG NRW);
Landesgesetz zur Sicherstellung und Weiterentwicklung der pflegerischen Angebotsstruktur
(LPflegeASG) (Rheinland-Pfalz);
Gesetz Nr. 1694 zur Planung und Förderung von Angeboten für hilfe-, betreuungs- oder pflegebedürftige Menschen im Saarland (Saarländisches Pflegegesetz);
Sächsisches Pflegegesetz (SächsPflegeG);
Schleswig-Holstein: Ausführungsgesetz zum Pflege-Versicherungsgesetz (Landespflegegesetz - LPflegeG);
Thüringer Gesetz zur Ausführung des Pflege-Versicherungsgesetzes (ThürAGPflegeVG).
Landeskrankenhausgesetz Baden-Württemberg;
Bayerisches Krankenhausgesetz (BayKrG);
Berliner Gesetz zur Neuregelung des Krankenhausrechts;
Krankenhausentwicklungsgesetz Brandenburg (BbgKHEG);
Bremisches Krankenhausgesetz (BrmKrHG);
Hamburgisches Krankenhausgesetz (HmbKHG);
Hessisches Krankenhausgesetz 2011 (HKHG 2011);
Krankenhausgesetz für das Land Mecklenburg-Vorpommern (LKHG M-V);
Niedersächsisches Krankenhausgesetz (NKHG);
Krankenhausgestaltungsgesetz des Landes Nordrhein-Westfalen (KHGG NRW);
Landeskrankenhausgesetz Rheinland-Pfalz (LKG Rh-Pf);
Saarländisches Krankenhausgesetz (SKHG);
Gesetz zur Neuordnung des Krankenhauswesens (Sächsisches Krankenhausgesetz - SächsKHG);
Krankenhausgesetz Sachsen-Anhalt (KHG LSA);
Gesetz zur Ausführung des Krankenhausfinanzierungsgesetzes (AG-KHG) in Schleswig-Holstein;
Thüringisches Krankenhausgesetz (Thür KHG).
HR: Health Care Act (OG 150/08, 71/10, 139/10, 22/11, 84/11, 12/12, 70/12, 144/12).
SI: Law of Health Services, Official Gazette of the RS, No. 23/2005, Articles 1, 3 and 62-64; Infertility Treatment and Procedures of the Biomedically-Assisted Procreation Act, Official Gazette of the RS, No. 70/00, Articles 15 and 16; and Supply of Blood Act (ZPKrv-1), Official Gazette of RS, no. 104/06, Articles 5 and 8.
With respect to Investment liberalisation – Market access, National treatment:
In FR: For hospital and ambulance services, residential health facilities (other than hospital services) and social services, an authorisation is necessary in order to exercise management functions. The authorisation process takes into account the availability of local managers. Companies can take any legal forms, except those reserved to liberal professions.
Measures:
FR: Loi 90-1258 relative à l'exercice sous forme de société des professions libérales, Loi n°2011-940 du 10 août 2011 modifiant certaines dipositions de la loi n°2009-879 dite HPST, Loi n°47-1775 portant statut de la coopération; and Code de la santé publique.
Reservation No. 14 - Tourism and travel related services
Sector – sub-sector:
Tourism and travel related services - hotels, restaurants and catering; travel agencies and tour operators services (including tour managers); tourist guides services
Industry classification:
CPC 641, 642, 643, 7471, 7472
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Local presence
Chapter:
Investment liberalisation; Cross-border trade in services
Level of government:
EU/Member State (unless otherwise specified)
Description:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment:
In BG: Incorporation (no branches) is required. Tour operation or travel agency services may be provided by a person established in the EEA if, upon establishment in the territory of Bulgaria, the said person presents a copy of a document certifying the right thereof to practice that activity and a certificate or another document issued by a credit institution or an insurer containing data of the existence of insurance covering the liability of the said person for damage which may ensue as a result of a culpable non-fulfilment of professional duties. The number of foreign managers may not exceed the number of managers who are Bulgarian nationals, in cases where the public (state or municipal) share in the equity capital of a Bulgarian company exceeds 50 per cent. EEA nationality requirement for tourist guides (CPC 641, 642, 643, 7471, 7472).
Measures:
BG: Law for Tourism, Articles 61, 113 and 146.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment, Local presence:
In CY: A licence to establish and operate a tourism and travel company or agency, as well as the renewal of an operating licence of an existing company or agency, shall be granted only to European Union natural or legal persons. No non-resident company except those established in another Member State, can provide in the Republic of Cyprus, on an organised or permanent basis, the activities referred to under Article 3 of the abovementioned Law, unless represented by a resident company. The provision of tourist guide services and travel agencies and tour operators services requires nationality of a Member State (CPC 7471, 7472).
Measures:
CY: The Tourism and Travel Offices and Tourist Guides Law 1995 (Law 41(I)/1995) as amended).
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment and Cross-border trade in services – Market access, National treatment, Most-favoured nation treatment:
In EL: Third-country nationals have to obtain a diploma from the Tourist Guide Schools of the Greek Ministry of Tourism, in order to be entitled to the right of practicing the profession. By exception, the right of practicing the profession can be temporarily (up to one year) accorded to third-country nationals under certain explicitly defined conditions, by way of derogation of the above mentioned provisions, in the event of the confirmed absence of a tourist guide for a specific language.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment,:
In ES (for ES applies also to the regional level of government): Nationality of a Member State is required for the provision of tourist guide services (CPC 7472).
In HR: EEA or Swiss nationality is required for hospitality and catering services in households and rural homesteads (CPC 641, 642, 643, 7471, 7472).
Measures:
EL: Presidential Degree 38/2010, Ministerial Decision 165261/IA/2010 (Gov. Gazette 2157/B), Article 50 of the law 4403/2016, Article 47 of the law 4582/2018 (Gov. Gazette 208/A).
ES: Andalucía: Decreto 8/2015, de 20 de enero, Regulador de guías de turismo de Andalucía;
Aragón: Decreto 21/2015, de 24 de febrero, Reglamento de Guías de turismo de Aragón;
Cantabria: Decreto 51/2001, de 24 de julio, Article 4, por el que se modifica el Decreto 32/1997, de 25 de abril, por el que se aprueba el reglamento para el ejercicio de actividades turísticoinformativas privadas;
Castilla y León: Decreto 25/2000, de 10 de febrero, por el que se modifica el Decreto 101/1995, de 25 de mayo, por el que se regula la profesión de guía de turismo de la Comunidad Autónoma de Castilla y León;
Castilla la Mancha: Decreto 86/2006, de 17 de julio, de Ordenación de las Profesiones Turísticas;
Cataluña: Decreto Legislativo 3/2010, de 5 de octubre, para la adecuación de normas con rango de ley a la Directiva 2006/123/CE, del Parlamento y del Consejo, de 12 de diciembre de 2006, relativa a los servicios en el mercado interior, Article 88;
Comunidad de Madrid: Decreto 84/2006, de 26 de octubre del Consejo de Gobierno, por el que se modifica el Decreto 47/1996, de 28 de marzo;
Comunidad Valenciana: Decreto 90/2010, de 21 de mayo, del Consell, por el que se modifica el reglamento regulador de la profesión de guía de turismo en el ámbito territorial de la Comunitat Valenciana, aprobado por el Decreto 62/1996, de 25 de marzo, del Consell;
Extremadura: Decreto 37/2015, de 17 de marzo;
Galicia: Decreto 42/2001, de 1 de febrero, de Refundición en materia de agencias de viajes, guias de turismo y turismo activo;
Illes Balears: Decreto 136/2000, de 22 de septiembre, por el cual se modifica el Decreto 112/1996, de 21 de junio, por el que se regula la habilitación de guía turístico en las Islas Baleares;
Islas Canarias: Decreto 13/2010, de 11 de febrero, por el que se regula el acceso y ejercicio de la profesión de guía de turismo en la Comunidad Autónoma de Canarias, Article 5;
La Rioja: Decreto 14/2001, de 4 de marzo, Reglamento de desarrollo de la Ley de Turismo de La Rioja;
Navarra: Decreto Foral 288/2004, de 23 de agosto. Reglamento para actividad de empresas de turismo activo y cultural de Navarra.
Principado de Asturias: Decreto 59/2007, de 24 de mayo, por el que se aprueba el Reglamento regulador de la profesión de Guía de Turismo en el Principado de Asturias; and
Región de Murcia: Decreto n.
o
 37/2011, de 8 de abril, por el que se modifican diversos decretos en materia de turismo para su adaptación a la ley 11/1997, de 12 de diciembre, de turismo de la Región de Murcia tras su modificación por la ley 12/2009, de 11 de diciembre, por la que se modifican diversas leyes para su adaptación a la directiva 2006/123/CE, del Parlamento Europeo y del Consejo de 12 de diciembre de 2006, relativa a los servicios en el mercado interior.
HR: Hospitality and Catering Industry Act (OG 85/15, 121/16, 99/18, 25/19, 98/19, 32/20 and 42/20); and Act on Provision of Tourism Services (OG No. 130/17, 25/19, 98/19 and 42/20).
With respect to Investment liberalisation – National treatment and Cross-border trade in services – Market access, National treatment:
In HU: The supply of travel agent and tour operator services, and tourist guide services on a cross-border basis is subject to a licence issued by the Hungarian Trade Licensing Office. Licences are reserved to EEA nationals and legal persons having their seats in the EEA (CPC 7471, 7472).
In IT (applies also to the regional level of government): tourist guides from non-European Union countries need to obtain a specific licence from the region in order to act as a professional tourist guide. Tourist guides from Member States can work freely without the requirement for such a licence. The licence is granted to tourist guides demonstrating adequate competence and knowledge (CPC 7472).
Measures:
HU: Act CLXIV of 2005 on Trade, Government Decree No. 213/1996 (XII.23.) on Travel Organisation and Agency Activities.
IT: Law 135/2001 Articles 7.5 and 6; and Law 40/2007 (DL 7/2007).
Reservation No. 15 - Recreational, cultural and sporting services
Sector – sub-sector:
Recreational services; other sporting services
Industry classification:
CPC 962, part of 96419
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Chapter:
Investment liberalisation; Cross-border trade in services
Level of government:
EU/Member State (unless otherwise specified)
Description:
Other sporting services (CPC 96419)
With respect to Investment liberalisation – National treatment, Senior management and boards of directors and Cross-border trade in services –National treatment:
In AT (applies to the regional level of government): The operation of ski schools and mountain guide services is governed by the laws of the Bundesländer. The provision of these services may require nationality of a Member State of the EEA. Enterprises may be required to appoint a managing director who is a national of a Member State of the EEA.
With respect to Investment liberalisation – National treatment and Cross-border trade in services –National treatment:
In CY: Nationality requirement for the establishment of a dance school and nationality requirement for physical instructors.
Measures:
AT: Kärntner Schischulgesetz, LGBL. Nr. 53/97;
Kärntner Berg- und Schiführergesetz, LGBL. Nr. 25/98;
NÖ- Sportgesetz, LGBL. Nr. 5710;
OÖ- Sportgesetz, LGBl. Nr. 93/1997;
Salzburger Schischul- und Snowboardschulgesetz, LGBL. Nr. 83/89;
Salzburger Bergführergesetz, LGBL. Nr. 76/81;
Steiermärkisches Schischulgesetz, LGBL. Nr.58/97;
Steiermärkisches Berg- und Schiführergesetz, LGBL. Nr. 53/76;
Tiroler Schischulgesetz. LGBL. Nr. 15/95;
Tiroler Bergsportführergesetz, LGBL. Nr. 7/98;
Vorarlberger Schischulgesetz, LGBL. Nr. 55/02 §4 (2)a;
Vorarlberger Bergführergesetz, LGBL. Nr. 54/02; and
Wien: Gesetz über die Unterweisung in Wintersportarten, LGBL. Nr. 37/02.
CY: Law 65(I)/1997 as amended; and
Law 17(I) /1995 as amended.
Reservation No. 16 - Transport services and services auxiliary to transport services
Sector – sub-sector:
Transport services - fishing and water transportation – any other commercial activity undertaken from a ship; water transportation and auxiliary services for water transport; rail transport and auxiliary services to rail transport; road transport and services auxiliary to road transport; services auxiliary to air transport services
Industry classification:
ISIC Rev. 3.1 0501, 0502; CPC 5133, 5223, 711, 712, 721, 741, 742, 743, 744, 745, 748, 749, 7461, 7469, 83103, 86751, 86754, 8730, 882
Type of reservation:
Market access
National treatment
Most-favoured-nation treatment
Senior management and boards of directors
Local presence
Chapter:
Investment liberalisation; Cross-border trade in services
Level of government:
EU/Member State (unless otherwise specified)
Description:
(a)   Maritime transport and auxiliary services for maritime transport. Any commercial activity undertaken from a ship (ISIC Rev. 3.1 0501, 0502; CPC 5133, 5223, 721, Part of 742, 745, 74540, 74520, 74590, 882)
With respect to Investment liberalisation – Market access, and Cross-border trade in services – Market access:
In EU: For port services, the managing body of a port, or the competent authority, may limit the number of providers of port services for a given port service.
Measures:
EU: Article 6 of Regulation (EU) 2017/352 of the European Parliament and of the Council 
(
10
)
.
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors; Cross-border trade in services – Market access, National treatment:
In BG: The carriage and any activities related to hydraulic-engineering and underwater technical works, prospecting and extraction of mineral and other inorganic resources, pilotage, bunkering, receipt of waste, water-and-oil mixtures and other such, performed by vessels in the internal waters, and the territorial sea of Bulgaria, may only be performed by vessels flying the Bulgarian flag or vessels flying the flag of another Member State.
The number of the service suppliers at the ports may be limited depending on the objective capacity of the port, which is decided by an expert commission, set up by the Minister of Transport, Information Technology and Communications.
Nationality requirement for supporting services. The master and the chief engineer of the vessel shall mandatorily be nationals of a Member State of the EEA, or of the Swiss Confederation. (ISIC Rev. 3.1 0501, 0502, CPC 5133, 5223, 721, 74520, 74540, 74590, 882).
Measures:
BG: Merchant Shipping Code; Law For the Sea Water, Inland Waterways and Ports of the Republic of Bulgaria; Ordinance for the condition and order for selection of Bulgarian carriers for carriage of passengers and cargoes under international treaties; and Ordinance 3 for servicing of unmanned vessels.
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access:
In BG: Regarding supporting services for public transport carried out in Bulgarian ports, in ports having national significance, the right to perform supporting activities is granted through a concession contract. In ports having regional significance, this right is granted by a contract with the owner of the port (CPC 74520, 74540, 74590).
Measures:
BG: Merchant Shipping Code; Law For the Sea Water, Inland Waterways and Ports of the Republic of Bulgaria.
With respect to Cross-border trade in services – Local presence:
In DK: Pilotage-providers may only conduct pilotage service in Denmark, if they are domiciled in the EEA and registered and approved by the Danish Authorities in accordance with the Danish Act on Pilotage (CPC 74520).
Measures:
DK: Danish Pilotage Act, §18.
With respect to Investment liberalisation - Market access, National treatment, Most-favoured nation treatment and Cross-border trade in services - Market access, National treatment, Most-favoured-nation treatment:
In DE (applies also to the regional level of government): A vessel that does not belong to a national of a Member State may only be used for activities other than transport and auxiliary services in the German federal waterways after specific authorisation. Waivers for non- European Union vessels may only be granted if no European Union vessels are available or if they are available under very unfavourable conditions, or on the basis of reciprocity. Waivers for vessels flying under the United Kingdom flag may be granted on the basis of reciprocity (§ 2 paragraph 3 KüSchVO). All activities falling within the scope of the pilot law are regulated and accreditation is restricted to nationals of the EEA or the Swiss Confederation. Provision and Operation of facilities for pilotage is restricted to public authorities or companies, which are designated by them.
For rental or leasing of seagoing vessels with or without operators, and for rental or leasing without operator of non-seagoing vessels, the conclusion of contracts for freight transport by ships flying a foreign flag or the chartering of such vessels may be restricted, depending on the availability of ships flying under the German flag or the flag of another Member State.
Transactions between residents and non-residents concerning:
(i)
rental of inland waterway transport vessels, which are not registered in the economic area;
(ii)
transport of freight with such inland waterway transport vessels; or
(iii)
towing services by such inland waterway transport vessels,
within the economic area may be restricted (Water transport, Supporting services for water transport, Rental of ships, Leasing services of ships without operators (CPC 721, 745, 83103, 86751, 86754, 8730)).
Measures:
DE: Gesetz über das Flaggenrecht der Seeschiffe und die Flaggenführung der Binnenschiffe (Flaggenrechtsgesetz; Flag Protection Act);
Verordnung über die Küstenschifffahrt (KüSchV);
Gesetz über die Aufgaben des Bundes auf dem Gebiet der Binnenschiffahrt (Binnenschiffahrtsaufgabengesetz - BinSchAufgG);
Verordnung über Befähigungszeugnisse in der Binnenschiffahrt (Binnenschifferpatentverordnung - BinSchPatentV);
Gesetz über das Seelotswesen (Seelotsgesetz - SeeLG);
Gesetz über die Aufgaben des Bundes auf dem Gebiet der Seeschiffahrt (Seeaufgabengesetz - SeeAufgG); and
Verordnung zur Eigensicherung von Seeschiffen zur Abwehr äußerer Gefahren (See-Eigensicherungsverordnung - SeeEigensichV).
With respect to Investment liberalisation - Market access, National treatment and Cross-border trade in services - Market access, National treatment:
In FI: supporting services for maritime transport when provided in Finnish maritime waters are reserved to fleets operating under the national, Union or Norwegian flag (CPC 745).
Measures:
FI: Merilaki (Maritime Act) (674/1994); and
Laki elinkeinon harjoittamisen oikeudesta (Act on the Right to Carry on a Trade) (122/1919), s. 4.
With respect to Investment liberalisation - Market access:
In EL: Public monopoly imposed in port areas for cargo handling services (CPC 741).
In IT: An economic needs test is applied for maritime cargo-handling services. Main criteria: number of and impact on existing establishments, population density, geographic spread and creation of new employment (CPC 741).
Measures:
EL: Code of Public Maritime Law (Legislative Decree 187/1973).
IT: Shipping Code;
Law 84/1994; and
Ministerial decree 585/1995.
(b)   Rail transport and auxiliary services to rail transport (CPC 711, 743)
With respect to Investment liberalisation - Market access, National treatment, and Cross-border trade in services - Market access, National treatment:
In BG: Only nationals of a Member State may provide rail transport or supporting services for rail transport in Bulgaria. A licence to carry out passenger or freight transportation by rail is issued by the Minister of Transport to railway operators registered as traders (CPC 711, 743).
Measures:
BG: Law for Railway Transport, Articles 37 and 48.
With respect to Investment liberalisation - Market access:
In LT: The exclusive rights for the provision of transit services are granted to railway undertakings which are owned, or whose stock is 100 per cent owned, by the state (CPC 711).
Measures:
LT: Railway transport Code of the Republic of Lithuania of 22 April 2004 No. IX-2152 as amended by 8 June 2006 No. X-653.
(c)   Road transport and services auxiliary to road transport (CPC 712, 7121, 7122, 71222, 7123)
For road transport services not covered by Heading Three of Part Two of this Agreement and Annex 31 to this Agreement
With respect to Investment liberalisation - Market access, National treatment, and Cross-border trade in services - Market access, National treatment:
In AT (with respect also to Most-favoured-nation treatment): For passenger and freight transportation, exclusive rights or authorisations may only be granted to nationals of the Contracting Parties of the EEA and to legal persons of the Union having their headquarters in Austria. Licences are granted on non– discriminatory terms, under condition of reciprocity (CPC 712).
Measures:
AT: Güterbeförderungsgesetz (Goods Transportation Act), BGBl. Nr. 593/1995; § 5;
Gelegenheitsverkehrsgesetz (Occasional Traffic Act), BGBl. Nr. 112/1996; § 6; and
Kraftfahrliniengesetz (Law on Scheduled Transport), BGBl. I Nr. 203/1999 as amended, §§ 7 and 8.
With respect to Investment liberalisation - National treatment, Most-favoured-nation treatment:
In EL: For operators of road freight transport services. In order to engage in the occupation of road freight transport operator a Hellenic licence is needed. Licences are granted on non– discriminatory terms, under condition of reciprocity (CPC 7123).
Measures:
EL: Licensing of road freight transport operators: Greek law 3887/2010 (Government Gazette A' 174), as amended by Article 5 of law 4038/2012 (Government Gazette A' 14).
With respect to Investment liberalisation - Market access:
In IE: Economic needs test for intercity bussing services. Main criteria: number of and impact on existing establishments, population density, geographical spread, impact on traffic conditions and creation of new employment (CPC 7121, CPC 7122).
In MT: Taxis - numerical restrictions on the number of licences apply.
Karozzini (horse drawn carriages): Numerical Restrictions on the number of licences apply (CPC 712).
In PT: Economic needs test for limousine services. Main criteria: number of and impact on existing establishments, population density, geographic spread, impact on traffic conditions and creation of new employment (CPC 71222).
Measures:
IE: Public Transport Regulation Act 2009.
MT: Taxi Services Regulations (SL499.59).
PT: Decree-Law 41/80, August 21.
With respect to Investment liberalisation – Market access and Cross-border trade in services - Local presence:
In CZ: Incorporation in the Czech Republic is required (no branches).
Measures:
CZ: Act no. 111/1994. Coll. on Road Transport.
With respect to Investment liberalisation - Market access, National treatment and Cross-border trade in services - Market access, National treatment, Most-favoured-nation treatment:
In SE: In order to engage in the occupation of road transport operator, a Swedish licence is needed. Criteria for receiving a taxi licence include that the company has appointed a natural person to act as the transport manager (a 
de facto
 residency requirement – see the Swedish reservation on types of establishment).
Measures:
SE: Yrkestrafiklag (2012:210) (Act on professional traffic);
Yrkestrafikförordning (2012:237) (Government regulation on professional traffic);
Taxitrafiklag (2012:211) (Act on Taxis); and
Taxitrafikförordning (2012:238) (Government regulation on taxis).
With respect to Cross-border trade in services – Local presence:
In SK: A taxi service concession and a permit for the operation of taxi dispatching can be granted to a person who has a residence or place of establishment in the territory of the Slovak Republic or in another EEA Member State.
Measures:
Act 56/2012 Coll. on Road Transport
(d)   Services auxiliary to air transport services
With respect to Investment liberalisation - Market access, National treatment and Cross-border trade in services – Market access, National treatment:
In EU: For groundhandling services, establishment within the Union territory may be required. The level of openness of groundhandling services depends on the size of airport. The number of suppliers in each airport may be limited. For "big airports", this limit may not be less than two suppliers.
Measures:
EU: Council Directive 96/67/EC of 15 October 1996
                      
(
11
)
.
In BE (applies also to the regional level of government): For groundhandling services, reciprocity is required.
Measures:
BE: Arrêté Royal du 6 novembre 2010 réglementant l'accès au marché de l'assistance en escale à l'aéroport de Bruxelles-National (Article 18);
Besluit van de Vlaamse Regering betreffende de toegang tot de grondafhandelingsmarkt op de Vlaamse regionale luchthavens (Article 14); and
Arrêté du Gouvernement wallon réglementant l'accès au marché de l'assistance en escale aux aéroports relevant de la Région wallonne (Article14).
(e)   Supporting services for all modes of transport (part of CPC 748)
With respect to Cross-border trade in services – Local presence:
The EU (applies also to the regional level of government): Customs clearance services may only be provided by Union residents or legal persons established in the Union.
Measures:
EU: Regulation (EU) No 952/2013 of the European Parliament and of the Council 
(
12
)
Reservation No. 17 - Energy related activities
Sector – sub-sector:
Energy related activities - mining and quarrying; production, transmission and distribution on own account of electricity, gas, steam and hot water; pipeline transportation of fuels; storage and warehouse of fuels transported through pipelines; and services incidental to energy distribution
Industry classification:
ISIC Rev. 3.1 10, 11, 12, 13, 14, 40, CPC 5115, 63297, 713, part of 742, 8675, 883, 887
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Local presence
Chapter:
Investment liberalisation; Cross-border trade in services
Level of government:
EU/Member State (unless otherwise specified)
Description:
(a)   Mining and quarrying (ISIC Rev. 3.1 10, 11, 12, 13, 14, CPC 5115, 7131, 8675, 883)
With respect to Investment liberalisation – Market access:
In NL: The exploration for and exploitation of hydrocarbons in the Netherlands is always performed jointly by a private company and the public (limited) company designated by the Minister of Economic Affairs. Articles 81 and 82 of the Mining Act stipulate that all shares in this designated company must be directly or indirectly held by the Dutch State (ISIC Rev. 3.1 10, 3.1 11, 3.1 12, 3.1 13, 3.1 14).
In BE: The exploration for and exploitation of mineral resources and other non-living resources in territorial waters and the continental shelf are subject to concession. The concessionaire must have an address for service in Belgium (ISIC Rev. 3.1:14).
In IT (applies also to the regional level of government for exploration): Mines belonging to the State have specific exploration and mining rules. Prior to any exploitation activity, a permit for exploration is needed ("permesso di ricerca", Article 4 Royal Decree 1447/1927). This permit has a duration, defines exactly the borders of the ground under exploration and more than one exploration permit may be granted for the same area to different persons or companies (this type of licence is not necessarily exclusive). In order to cultivate and exploit minerals, an authorisation ("concessione", Article 14) from the regional authority is required (ISIC Rev. 3.1 10, 3.1 11, 3.1 12, 3.1 13, 3.1 14, CPC 8675, 883).
Measures
BE: Arrêté Royal du 1er septembre 2004 relatif aux conditions, à la délimitation géographique et à la procédure d'octroi des concessions d'exploration et d'exploitation des ressources minérales et autres ressources non vivantes de la mer territoriale et du plateau continental.
IT: Exploration services: Royal Decree 1447/1927; and Legislative Decree 112/1998, Article 34.
NL: Mijnbouwwet (Mining Act).
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment:
In BG: The activities of prospecting or exploration of underground natural resources on the territory of the Republic of Bulgaria, in the continental shelf and in the exclusive economic zone in the Black Sea are subject to permission, while the activities of extraction and exploitation are subject to concession granted under the Underground Natural Resources Act.
It is forbidden for companies registered in preferential tax treatment jurisdictions (that is, offshore zones) or related, directly or indirectly, to such companies to participate in open procedures for granting permits or concessions for prospecting, exploration or extraction of natural resources, including uranium and thorium ores, as well as to operate an existing permit or concession which has been granted, as such operations are precluded, including the possibility to register the geological or commercial discovery of a deposit as a result of exploration.
The mining of uranium ore is closed by Decree of the Council of Ministers No. 163 of 20.08.1992.
With regard to exploration and mining of thorium ore, the general regime of permits and concessions applies. Decisions to allow the exploration or mining of thorium ore are taken on a non-discriminatory individual case-by-case basis.
According to Decision of the National Assembly of the Republic of Bulgaria of 18 Jan 2012 (ch. 14 June 2012) any usage of hydraulic fracturing technology that is, fracking, for activities of prospecting, exploration or extraction of oil and gas is forbidden.
Exploration and extraction of shale gas is forbidden (ISIC Rev. 3.1 10, 3.1 11, 3.112, 3.1 13,3.1 14).
Measures:
BG: Underground Natural Resources Act;
Concessions Act;
Law on Privatisation and Post-Privatisation Control;
Safe Use of Nuclear Energy Act; Decision of the National Assembly of the Republic of Bulgaria of 18 Jan 2012; Economic and Financial Relations with Companies Registered in Preferential Tax Treatment Jurisdictions, the Persons Controlled Thereby and Their Beneficial Owners Act; and Subsurface Resources Act.
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment:
In CY: The Council of Ministers may refuse to allow the activities of prospecting, exploration and exploitation of hydrocarbons to be carried out by any entity which is effectively controlled by the United Kingdom or by nationals of the United Kingdom. After the granting of an authorisation, no entity may come under the direct or indirect control of the United Kingdom or a national of the United Kingdom without the prior approval of the Council of Ministers. The Council of Ministers may refuse to grant an authorisation to an entity which is effectively controlled by the United Kingdom or by a national of the United Kingdom, if the United Kingdom does not grant entities of the Republic or entities of Member States as regards access to and exercise of the activities of prospecting, exploring for and exploiting hydrocarbons, treatment comparable to that which the Republic or Member State grants entities from the United Kingdom (ISIC Rev 3.1 1110).
Measures:
CY: The Hydrocarbons (Prospecting, Exploration and Exploitation Law) of 2007, (Law 4(I)/2007) as amended.
With respect to Investment liberalisation – Market access, National treatment and Cross-border services – Local presence:
In SK: For mining, activities related to mining and geological activity, incorporation in the EEA is required (no branching). Mining and prospecting activities covered by Act of the Slovak Republic 44/1988 on protection and exploitation of natural resources are regulated on a non-discriminatory basis, including through public policy measures seeking to ensure the conservation and protection of natural resources and the environment such as the authorisation or prohibition of certain mining technologies. For greater certainty, such measures include the prohibition of the use of cyanide leaching in the treatment or refining of minerals, the requirement of a specific authorisation in the case of fracking for activities of prospecting, exploration or extraction of oil and gas, as well as prior approval by local referendum in the case of nuclear/radioactive mineral resources. This does not increase the non-conforming aspects of the existing measure for which the reservation is taken. (ISIC Rev. 3.1 10, 3.1 11, 3.1 12, 3.1 13, 3.1 14, CPC 5115, 7131, 8675 and 883).
Measures
SK: Act 51/1988 on Mining, Explosives and State Mining Administration; and Act 569/2007 on Geological Activity, Act 44/1988 on protection and exploitation of natural resources.
With respect to Investment liberalisation – Market access and Cross-border trade in services – Local presence:
In FI: The exploration for and exploitation of mineral resources are subject to a licensing requirement, which is granted by the Government in relation to the mining of nuclear material. A permit of redemption for a mining area is required from the Government. Permission may be granted to a natural person resident in the EEA or a legal person established in the EEA. An economic needs test may apply (ISIC Rev. 3.1 120, CPC 5115, 883, 8675).
In IE: Exploration and mining companies operating in Ireland are required to have a presence there. In the case of minerals exploration, there is a requirement that companies (Irish and foreign) employ either the services of an agent or a resident exploration manager in Ireland while work is being undertaken. In the case of mining, it is a requirement that a State Mining Lease or License be held by a company incorporated in Ireland. There are no restrictions as to ownership of such a company (ISIC Rev. 3.1 10, 3.1 13, 3.1 14, CPC 883).
Measures
FI: Kaivoslaki (Mining Act) (621/2011); and
Ydinenergialaki (Nuclear Energy Act) (990/1987).
IE: Minerals Development Acts 1940 – 2017; and Planning Acts and Environmental Regulations.
With respect only to Investment – Market access, National treatment and Cross-border trade in services – Local presence:
In SI: The exploration for and exploitation of mineral resources, including regulated mining services, are subject to establishment in or citizenship of the EEA, the Swiss Confederation or an OECD Member(ISIC Rev. 3.1 10, ISIC Rev. 3.1 11, ISIC Rev. 3.1 12, ISIC Rev. 3.1 13, ISIC Rev. 3.1 14, CPC 883, CPC 8675).
Measures
SI: Mining Act 2014.
(b)   Production, transmission and distribution on own account of electricity, gas, steam and hot water; pipeline transportation of fuels; storage and warehouse of fuels transported through pipelines; services incidental to energy distribution (ISIC Rev. 3.1 40, 3.1 401, CPC 63297, 713, part of 742, 74220, 887)
With respect to Investment liberalisation – Market access:
In DK: The owner or user intending to establish gas infrastructure or a pipeline for the transport of crude or refined petroleum and petroleum products and of natural gas must obtain a permit from the local authority before commencing work. The number of such permits which are issued may be limited (CPC 7131).
In MT: EneMalta plc has a monopoly for the provision of electricity (ISIC Rev. 3.1 401; CPC 887).
In NL: the ownership of the electricity network and the gas pipeline network are exclusively granted to the Dutch government (transmission systems) and other public authorities (distribution systems) (ISIC Rev. 3.1 040, CPC 71310).
Measures:
DK: Lov om naturgasforsyning, LBK 1127 05/09/2018, lov om varmeforsyning, LBK 64 21/01/2019, lov om Energinet, LBK 997 27/06/2018. Bekendtgørelse nr. 1257 af 27. november 2019 om indretning, etablering og drift af olietanke, rørsystemer og pipelines (Order no. 1257 of November 27th, 2019, on the arrangement, establishment and operation of oil tanks, piping systems and pipelines).
MT: EneMalta Act Cap. 272 and EneMalta (Transfer of Assets, Rights, Liabilities & Obligations) Act Cap. 536.
NL: Elektriciteitswet 1998; Gaswet.
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – National treatment, Local presence:
In AT: With regard to the transportation of gas authorisation is only granted to nationals of a Member State of the EEA domiciled in the EEA. Enterprises and partnerships must have their seat in the EEA. The operator of the network must appoint a Managing Director and a Technical Director who is responsible for the technical control of the operation of the network, both of whom must be nationals of a member state of the EEA.
The competent authority may waive the nationality and domiciliation requirements where the operation of the network is considered to be in the public interest.
For the transportation of goods other than gas and water, the following applies:
(i)
with regard to natural persons, authorisation is only granted to EEA-nationals who must have a seat in Austria; and
(ii)
enterprises and partnerships must have their seat in Austria. An Economic Needs Test or interest test is applied. Cross border pipelines must not jeopardise Austria's security interests and its status as a neutral country. Enterprises and partnerships have to appoint a managing director who must be a national of a member state of the EEA. The competent authority may waive the nationality and seat requirements if the operation of the pipeline is considered to be in the national economic interest (CPC 713).
Measures:
AT: Rohrleitungsgesetz (Law on Pipeline Transport), BGBl. Nr. 411/1975, § 5(1) and (2), §§ 5 (1) and (3), 15, 16; and
Gaswirtschaftsgesetz 2011(Gas Act), BGBl. I Nr. 107/2011, Articles 43 and 44, Articles 90 and 93.
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of director and Cross-border trade in services – (applies only to the regional level of government) National treatment, Local presence:
In AT: With regard to transmission and distribution of electricity, authorisation is only granted to nationals of a Member State of the EEA domiciled in the EEA. If the operator appoints a managing director or a leaseholder, the domicile requirement is waived.
Legal persons (enterprises) and partnerships must have their seat in the EEA. They must appoint a managing director or a leaseholder, both of whom must be nationals of a Member State of the EEA domiciled in the EEA.
The competent authority may waive the domicile and nationality requirements where the operation of the network is considered to be in the public interest (ISIC Rev. 3.1 40, CPC 887).
Measures:
AT: Burgenländisches Elektrizitätswesengesetz 2006, LGBl. Nr. 59/2006 as amended;
Niederösterreichisches Elektrizitätswesengesetz, LGBl. Nr. 7800/2005 as amended; Landesgesetz, mit dem das Oberösterreichische Elektrizitätswirtschafts- und -organisationsgesetz 2006 erlassen wird (Oö. ElWOG 2006), LGBl. Nr. 1/2006 as amended; Salzburger Landeselektrizitätsgesetz 1999 (LEG), LGBl. Nr. 75/1999 as amended;
Gesetz vom 16. November 2011 über die Regelung des Elektrizitätswesens in Tirol (Tiroler Elektrizitätsgesetz 2012 – TEG 2012), LGBl. Nr. 134/2011;
Gesetz über die Erzeugung, Übertragung und Verteilung von elektrischer Energie (Vorarlberger Elektrizitätswirtschaftsgesetz), LGBl. Nr. 59/2003 as amended;
Gesetz über die Neuregelung der Elektrizitätswirtschaft (Wiener Elektrizitätswirtschaftsgesetz 2005 – WElWG 2005), LGBl. Nr. 46/2005;
Steiermärkisches Elektrizitätswirtschafts- und Organisationsgesetz(ELWOG), LGBl. Nr. 70/2005; and Kärntner Elektrizitätswirtschafts-und Organisationsgesetz(ELWOG), LGBl. Nr. 24/2006.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Local presence:
In CZ: For electricity generation, transmission, distribution, trading, and other electricity market operator activities, as well as gas generation, transmission, distribution, storage and trading, as well as heat generation and distribution, authorisation is required. Such authorisation may only be granted to a natural person with a residence permit or a legal person established in the Union. Exclusive rights exist with regard to electricity and gas transmission and market operator licences (ISIC Rev. 3.1 40, CPC 7131, 63297, 742, 887).
In LT: The licences for transmission, distribution, public supply and organizing of trade of electricity may only be issued to legal persons established in the Republic of Lithuania or branches of foreign legal persons or other organisations of another Member State established in the Republic Lithuania. The permits to generate electricity, develop electricity generation capacities and build a direct line may be issued to individuals with residency in the Republic of Lithuania or to legal persons established in the Republic of Lithuania, or to branches of legal persons or other organizations of another Member States established in the Republic of Lithuania. This reservation does not apply to consultancy services related to the transmission and distribution on a fee or contract basis of electricity (ISIC Rev. 3.1 401, CPC 887).
In the case of fuels, establishment is required. Licences for transmission and distribution, storage of fuels and liquefaction of natural gas may only be issued to legal persons established in the Republic of Lithuania or branches of legal persons or other organisations (subsidiaries) of another Member State established in the Republic Lithuania.
This reservation does not apply to consultancy services related to the transmission and distribution on a fee or contract basis of fuels (CPC 713, CPC 887).
In PL: the following activities are subject to licensing under the Energy Law Act:
(i)
generation of fuels or energy, except for: generation of solid or gaseous fuels; generation of electricity using electricity sources of the total capacity of not more than 50 MW other than renewable energy sources; cogeneration of electricity and heat using sources of the total capacity of not more than 5 MW other than renewable energy sources; generation of heat using the sources of the total capacity of not more than 5 MW;
(ii)
storage of gaseous fuels in storage installations, liquefaction of natural gas and regasification of liquefied natural gas at LNG installations, as well as the storage of liquid fuels, except for: the local storage of liquid gas at installations of the capacity of less than 1 MJ/s capacity and the storage of liquid fuels in retail trade;
(iii)
transmission or distribution of fuels or energy, except for: the distribution of gaseous fuels in grids of less than 1 MJ/s capacity and the transmission or distribution of heat if the total capacity ordered by customers does not exceed 5 MW;
(iv)
trade in fuels or energy, except for: the trade in solid fuels; the trade in electricity using installations of voltage lower than 1 kV owned by the customer; the trade in gaseous fuels if their annual turnover value does not exceed the equivalent of EUR 100 000; the trade in liquid gas, if the annual turnover value does not exceed EUR 10 000; and the trade in gaseous fuels and electricity performed on commodity exchanges by brokerage houses which conduct the brokerage activity on the exchange commodities on the basis of the Act of 26 October 2000 on commodity exchanges, as well as the trade in heat if the capacity ordered by the customers does not exceed 5 MW. The limits on turnover do not apply to wholesale trade services in gaseous fuels or liquid gas or to retail services of bottled gas.
A licence may only be granted by the competent authority to an applicant that has registered their principal place of business or residence in the territory of a Member State of the EEA or the Swiss Confederation (ISIC Rev. 3.1 040, CPC 63297, 74220, CPC 887).
Measures:
CZ: Act No. 458/2000 Coll on Business conditions and public administration in the energy sectors (The Energy Act).
LT: Law on Natural Gas of the Republic of Lithuania of 10 October 2000 No VIII-1973; and Law on electricity of the Republic of Lithuania of 20 July 2000 No VIII-1881.
PL: Energy Law Act of 10 April 1997, Articles 32 and 33.
With respect to Cross-border trade in services – Local presence:
In SI: The production, trading, supply to final customers, transmission and distribution of electricity and natural gas is subject to establishment in the Union (ISIC Rev. 3.1 4010, 4020, CPC 7131, CPC 887).
Measures:
SI: Energetski zakon (Energy Act) 2014, Official Gazette RS, nr. 17/2014; and Mining Act 2014.
Reservation No. 18 - Agriculture, fishing and manufacturing
Sector – sub-sector:
Agriculture, hunting, forestry; animal and reindeer husbandry, fishing and aquaculture; publishing, printing and reproduction of recorded media
Industry classification:
ISIC Rev. 3.1 011, 012, 013, 014, 015, 1531, 050, 0501, 0502, 221, 222, 323, 324, CPC 881, 882, 88442
Type of reservation:
Market access
National treatment
Most-favoured-nation treatment
Performance requirements
Senior management and boards of directors
Local presence
Chapter:
Investment liberalisation; Cross-border trade in services
Level of government:
EU/Member State (unless otherwise specified)
Description:
(a)   Agriculture, hunting and forestry (ISIC Rev. 3.1 011, 012, 013, 014, 015, 1531, CPC 881)
With respect to Investment liberalisation – National treatment:
In IE: Establishment by foreign residents in flour milling activities is subject to authorisation (ISIC Rev. 3.1 1531).
Measures:
IE: Agriculture Produce (Cereals) Act, 1933.
With respect to Investment liberalisation – Market access, National treatment:
In FI: Only nationals of a Member State of the EEA resident in the reindeer herding area may own reindeer and practice reindeer husbandry. Exclusive rights may be granted.
In FR: Prior authorisation is required in order to become a member or act as a director of an agricultural cooperative (ISIC Rev. 3.1 011, 012, 013, 014, 015).
In SE: Only Sami people may own and practice reindeer husbandry.
Measures:
FI: Poronhoitolaki (Reindeer Husbandry Act) (848/1990), Chapter 1, s. 4, Protocol 3 to the Accession Treaty of Finland.
FR: Code rural et de la pêche maritime.
SE: Reindeer Husbandry Act (1971:437), section 1.
(b)   Fishing and aquaculture (ISIC Rev. 3.1 050, 0501, 0502, CPC 882)
With respect to Investment liberalisation – Market access, National treatment and Cross-border services: Market access:
In FR: A French vessel flying the French flag may be issued a fishing authorisation or may be allowed to fish on the basis of national quotas only when a real economic link on the territory of France is established and the vessel is directed and controlled from a permanent establishment located on the territory of France (ISIC Rev. 3.1 050, CPC 882).
Measures:
FR: Code rural et de la pêche maritime.
(c)   Manufacturing - Publishing, printing and reproduction of recorded media (ISIC Rev. 3.1 221, 222, 323, 324, CPC 88442)
With respect to Investment liberalisation – Market access, National treatment and Cross-border services: Market access, National treatment, Local presence:
In LV: Only legal persons incorporated in Latvia, and natural persons of Latvia have the right to found and publish mass media. Branches are not allowed (CPC 88442).
Measures:
LV: Law on the Press and Other Mass Media, s. 8.
With respect to Investment liberalisation – National treatment and Cross-border trade in services – Local presence:
In DE (applies also to the regional level of government): Each publicly distributed or printed newspaper, journal, or periodical must clearly indicate a "responsible editor" (the full name and address of a natural person). The responsible editor may be required to be a permanent resident of Germany, the Union or an EEA Member State. Exceptions may be allowed by the Federal Minister of the Interior (ISIC Rev. 3.1 223, 224).
Measures:
DE:
Regional level:
Gesetz über die Presse Baden-Württemberg (LPG BW);
Bayerisches Pressegesetz (BayPrG);
Berliner Pressegesetz (BlnPrG);
Brandenburgisches Landespressegesetz (BbgPG);
Gesetz über die Presse Bremen (BrPrG);
Hamburgisches Pressegesetz;
Hessisches Pressegesetz (HPresseG);
Landespressegesetz für das Land Mecklenburg-Vorpommern (LPrG M-V);
Niedersächsisches Pressegesetz (NPresseG);
Pressegesetz für das Land Nordrhein-Westfalen (Landespressegesetz NRW);
Landesmediengesetz (LMG) Rheinland-Pfalz;
Saarländisches Mediengesetz (SMG);
Sächsisches Gesetz über die Presse (SächsPresseG);
Pressegesetz für das Land Sachsen-Anhalt (Landespressegesetz);
Gesetz über die Presse Schleswig-Holstein (PressG SH);
Thüringer Pressegesetz (TPG).
With respect to Investment liberalisation – Market Access, National Treatment:
In IT: In so far as the United Kingdom allow Italian investors to own more than 49 per cent of the capital and voting rights in a publishing company of the United Kingdom, then Italy will allow investors of the United Kingdom to own more than 49 per cent of the capital and voting rights in an Italian publishing company under the same conditions (ISIC Rev. 3.1 221, 222).
Measures:
IT: Law 416/1981, Article 1 (and subsequent amendments).
With respect to Investment liberalisation – Senior management and boards of directors:
In PL: Nationality is required for the editor-in-chief of newspapers and journals (ISIC Rev. 3.1 221, 222).
Measures:
PL: Act of 26 January 1984 on Press law, Journal of Laws, No. 5, item 24, with subsequent amendments.
With respect to Investment liberalisation – National treatment and Cross-border trade in services –National treatment, Local presence:
In SE: Natural persons who are owners of periodicals that are printed and published in Sweden must reside in Sweden or be nationals of a Member State of the EEA. Owners of such periodicals who are legal persons must be established in the EEA. Periodicals that are printed and published in Sweden and technical recordings must have a responsible editor, who must be domiciled in Sweden (ISIC Rev. 3.1 22, CPC 88442).
Measures:
SE: Freedom of the press act (1949:105);
Fundamental law on Freedom of Expression (1991:1469); and
Act on ordinances for the Freedom of the Press Act and the Fundamental law on Freedom of Expression (1991:1559).
Schedule of the United Kingdom
Reservation No. 1 – All sectors
Reservation No. 2 – Professional services (all professions except health-related)
Reservation No. 3 – Professional services (veterinary services)
Reservation No. 4 – Research and development services
Reservation No. 5 – Business services
Reservation No. 6 – Communication services
Reservation No. 7 – Transport services and services auxiliary to transport services
Reservation No. 8 – Energy related activities
Reservation No. 1 – All sectors
Sector
All sectors
Type of reservation:
Market access
National treatment
Most favoured nation treatment
Senior management and boards of directors
Performance requirements
Chapter:
Investment liberalisation
Level of government:
Central and Regional (unless otherwise specified)
Description:
With respect to Investment liberalisation – Performance requirements
The United Kingdom may enforce a commitment or undertaking given in accordance with the provisions governing post-offer undertakings in the City Code on Takeovers and Mergers, or pursuant to Deeds of Undertaking in relation to takeovers or mergers, where the commitment or undertaking is not imposed or required as a condition of approval of the takeover or merger.
Measures:
The City Code on Takeovers and Mergers
Companies Act 2006
Law of Property (Miscellaneous Provisions) Act 1989 as regards enforcement of Deeds of Undertaking in relation to takeovers or mergers
With respect to Investment liberalisation – Market access, National treatment and Senior management and boards of directors
This reservation applies only to health, social or education services:
The UK, when selling or disposing of its equity interests in, or the assets of, an existing state enterprise or an existing governmental entity providing health, social or education services (CPC 93, 92), may prohibit or impose limitations on the ownership of such interests or assets, and on the ability of owners of such interests and assets to control any resulting enterprise, by investors of the Union or their enterprises. With respect to such a sale or other disposition, the UK may adopt or maintain any measure relating to the nationality of senior management or members of the boards of directors, as well as any measure limiting the number of suppliers.
For the purposes of this reservation:
(i)
any measure maintained or adopted after entry into force of this Agreement that, at the time of the sale or other disposition, prohibits or imposes limitations on the ownership of equity interests or assets or imposes nationality requirements or imposes limitations on the numbers of suppliers as described in this reservation shall be deemed to be an existing measure; and
(ii)
"state enterprise" means an enterprise owned or controlled through ownership interests by the UK and includes an enterprise established after entry into force of this Agreement solely for the purposes of selling or disposing of equity interests in, or the assets of, an existing state enterprise or governmental entity.
Measures:
As set out in the Description element as indicated above.
Reservation No. 2 – Professional services (all professions except health-related)
Sector – sub-sector:
Professional services – legal services; auditing services
Industry classification:
Part of CPC 861, CPC 862
Type of reservation:
Market access
National treatment
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Level of government:
Central and Regional (unless otherwise specified)
Description:
(a)   Legal services (part of CPC 861)
In order to provide certain legal services, it may be necessary to obtain authorisation or a licence from a competent authority, or to comply with registration requirements. To the extent that the requirements for obtaining authorisation or a licence, or registration, are non-discriminatory and conform with commitments imposed by Article 194 of this Agreement, they are not listed. These may, for example, include a requirement to having obtained specified qualifications, having completed a recognised period of training, or requiring upon membership an office or a post address within the competent authority's jurisdiction.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, Local presence, National treatment:
Residency (commercial presence) may be required by the relevant professional or regulatory body for the provision of some UK domestic legal services. Non-discriminatory legal form requirements apply.
Residency may be required by the relevant professional or regulatory body for the provision of certain UK domestic legal services in relation to immigration.
Measures:
For England and Wales, the Solicitors Act 1974, the Administration of Justice Act 1985 and the Legal Services Act 2007. For Scotland, the Solicitors (Scotland) Act 1980 and the Legal Services (Scotland) Act 2010. For Northern Ireland, the Solicitors (Northern Ireland) Order 1976. For all jurisdictions, the Immigration and Asylum Act 1999. In addition, the measures applicable in each jurisdiction include any requirements set by professional and regulatory bodies.
(b)   Auditing services (CPC 86211, 86212 other than accounting and bookkeeping services)
With respect to Investment liberalisation – National treatment and cross-border trade in Services – National treatment:
The competent authorities of the UK may recognise the equivalence of the qualifications of an auditor who is a national of the Union or of any third country in order to approve them to act as a statutory auditor in the UK subject to reciprocity (CPC 8621).
Measures:
The Companies Act 2006
Reservation No. 3 – Professional services (veterinary services)
Sector – sub-sector:
Professional services – veterinary services
Industry classification:
CPC 932
Type of reservation:
Market access
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Level of government:
Central and Regional (unless otherwise specified)
Description:
Physical presence is required to perform veterinary surgery. The practice of veterinary surgery is reserved to qualified veterinary surgeons who are registered with the Royal College of Veterinary Surgeons (RCVS).
Measures:
Veterinary Surgeons Act 1966
Reservation No. 4 – Research and development services
Sector – sub-sector:
Research and development (R&D) services
Industry classification:
CPC 851, 853
Type of reservation:
Market access
National treatment
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Level of government:
Central and Regional (unless otherwise specified)
Description:
For publicly funded research and development (R&D) services benefitting from funding provided by the UK, exclusive rights or authorisations may only be granted to nationals of the UK and to legal persons of the UK having their registered office, central administration or principal place of business in the UK (CPC 851, 853).
This reservation is without prejudice to Part Five of this Agreement and to the exclusion of procurement by a Party or subsidies or grants provided by the Parties in Article 123(6) and (7) of this Agreement.
Measures:
All currently existing and all future research or innovation programmes.
Reservation No. 5 – Business services
Sector – sub-sector:
Business services – rental or leasing services without operators and other business services
Industry classification:
Part of CPC 831
Type of reservation:
Market access
National treatment
Most-favoured-nation treatment
Chapter:
Investment liberalisation and Cross-border trade in services
Level of government:
Central and Regional (unless otherwise specified)
Description:
For rental or leasing of aircraft without crew (dry lease) aircraft used by an air carrier of the UK are subject to applicable aircraft registration requirements. A dry lease agreement to which a UK carrier is a party shall be subject to requirements in the national law on aviation safety, such as prior approval and other conditions applicable to the use of third countries' registered aircraft. To be registered, aircraft may be required to be owned either by natural persons meeting specific nationality criteria or by enterprises meeting specific criteria regarding ownership of capital and control (CPC 83104).
With respect to computer reservation system (CRS) services, where the UK air carriers are not accorded, by CRS services suppliers operating outside the UK, equivalent (meaning non-discriminatory) treatment to that provided in the UK, or where UK CRS services suppliers are not accorded, by non-UK air carriers, equivalent treatment to that provided in the UK, measures may be taken to accord equivalent discriminatory treatment, respectively, to the non-UK air carriers by the CRS services suppliers operating in the UK, or to the non-UK CRS services suppliers by UK air carriers.
Measures:
Regulation (EC) No 1008/2008 of the European Parliament and of the Council of 24 September 2008 on common rules for the operation of air services in the Community (Recast) as retained in UK law by the European Union (Withdrawal) Act 2018 and as amended by the Operation of Air Services (Amendment etc.) (EU Exit) Regulations (S.I. 2018/1392).
Regulation (EC) No 80/2009 of the European Parliament and of the Council of 14 January 2009 on a Code of Conduct for computerised reservation systems and repealing Council Regulation (EEC) No 2299/89, as retained in UK law by the European Union (Withdrawal) Act 2018 and as amended by the Computer Reservation Systems (Amendment) (EU Exit) Regulations 2018 (S.I. 2018/1080).
Reservation No. 6 – Communication services
Sector – sub-sector:
Communication services - postal and courier services
Industry classification:
Part of CPC 71235, part of 73210, part of 751
Type of reservation:
Market access
Chapter:
Investment liberalisation and Cross-border trade in services
Level of government:
Central and Regional (unless otherwise specified)
Description:
The organisation of the siting of letter boxes on the public highway, the issuing of postage stamps and the provision of the registered mail service used in the course of judicial or administrative procedures may be restricted in accordance with national legislation. For greater certainty, postal operators may be subject to particular universal service obligations or a financial contribution to a compensation fund.
Measures:
Postal Services Act 2000 and Postal Services Act 2011
Reservation No. 7 – Transport services and services auxiliary to transport services
Sector – sub-sector:
Transport services - auxiliary services for water transport, auxiliary services to rail transport, services auxiliary to road transport, services auxiliary to air transport services
Industry classification:
CPC 711, 712, 721, 741, 742, 743, 744, 745, 746, 748, 749
Type of reservation:
Market access
National treatment
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Level of government:
Central and Regional (unless otherwise specified)
Description:
(a)   Services auxiliary to air transport services (CPC 746)
With respect to Investment liberalisation - Market access and Cross-border trade in services - Market access:
The level of openness of groundhandling services depends on the size of airport. The number of suppliers in each airport may be limited. For "big airports", this limit may not be less than two suppliers.
Measures:
The Airports (Groundhandling) Regulations 1997 (S.I. 1997/2389)
(b)   Supporting services for all modes of transport
With respect to Investment liberalisation - National treatment and Cross-border trade in services - Market access, Local presence, National treatment:
Customs services, including customs clearance services and services relating to use of temporary storage facilities or customs warehouses, may only be provided by persons established in the UK. For the avoidance of doubt, this includes UK residents, persons with a permanent place of business in the UK or a registered office in the UK.
Measures:
Taxation (Cross-Border Trade Act) 2018; the Customs and Excise Management Act 1979; the Customs (Export) (EU Exit) Regulations 2019; the Customs (Import Duty) (EU Exit) Regulations 2018; the Customs (Special Procedures and Outward Processing) (EU Exit) Regulations 2018; the Customs and Excise (Miscellaneous Provisions and Amendments) (EU Exit) Regulations 2019/1215.
(c)   Auxiliary services for water transport
With respect to Investment liberalisation – Market access, and Cross-border trade in Services – Market access:
For port services, the managing body of a port, or the competent authority, may limit the number of providers of port services for a given port service.
Measures:
Regulation (EU) 2017/352 of 15 February 2017 establishing a framework for the provision of port services and common rules on the financial transparency of ports, Article 6 as retained in UK law by the European Union (Withdrawal) Act 2018 and as amended by the Pilotage and Port Services (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/671)
Port Services Regulations 2019
Reservation No. 8 – Energy related activities
Sector – sub-sector:
Energy related activities - mining and quarrying
Industry classification:
ISIC Rev. 3.1 11, 8675, 883
Type of reservation:
Market access
Chapter:
Investment liberalisation and Cross-border trade in services
Level of government:
Central and Regional (unless otherwise specified)
Description:
A licence is necessary to undertake exploration and production activities on the UK Continental Shelf (UKCS), and to provide services which require direct access to or exploitation of natural resources.
This reservation applies to production licences issued with respect to the UK Continental Shelf. To be a Licensee, a company must have a place of business within the UK. That means either:
(i)
a staffed presence in the UK;
(ii)
registration of a UK company at Companies House; or
(iii)
registration of a UK branch of a foreign company at Companies House.
This requirement exists for any company applying for a new licence and for any company seeking to join an existing licence by assignment. It applies to all licences and to all enterprises, whether operator or not. To be a party to a licence that covers a producing field, a company must: (a) be registered at Companies House as a UK company; or (b) carry on its business through a fixed place of business in the UK as defined in section 148 of the Finance Act 2003 (which normally requires a staffed presence) (ISIC Rev. 3.1 11, CPC 883, 8675).
Measures:
Petroleum Act 1998
(
1
)
  For the purposes of this reservation:
(a)
"host-jurisdiction law" means the law of the specific Member State and Union law; "home-jurisdiction law" means the law of the United Kingdom;
(b)
"international law" means public international law with the exception of European Union law, and includes law established by international treaties and conventions, as well as international customary law;
(c)
"legal advisory services" includes provision of advice to and consultation with clients in matters, including transactions, relationships and disputes, involving the application or interpretation of law; participation with or on behalf of clients in negotiations and other dealings with third parties in such matters; and preparation of documents governed in whole or in part by law, and the verification of documents of any kind for purposes of and in accordance with the requirements of law;
(d)
"legal representational services" includes preparation of documents intended to be submitted to administrative agencies, the courts or other duly constituted official tribunals; and appearance before administrative agencies, the courts or other duly constituted official tribunals;
(e)
"legal arbitration, conciliation and mediation services" means the preparation of documents to be submitted to, the preparation for and appearance before, an arbitrator, conciliator or mediator in any dispute involving the application and interpretation of law. It does not include arbitration, conciliation and mediation services in disputes not involving the application and interpretation of law, which fall under services incidental to management consulting. It also does not include acting as an arbitrator, conciliator or mediator. As a sub-category, international legal arbitration, conciliation or mediation services refers to the same services when the dispute involves parties from two or more countries.
(
2
)
  Regulation (EU) 2017/1001 of the European Parliament and of the Council of 14 June 2017 on the European Union trade mark (
OJ EU L 154, 16.6.2017, p. 1
).
(
3
)
  Council Regulation (EC) No 6/2002 of 12 December 2001 on Community designs (
OJ EU L 3, 5.1.2002, p. 1
).
(
4
)
  Directive 2013/34/EU of the European Parliament and of the Council of 26 June 2013 on the annual financial statements, consolidated financial statements and related reports of certain types of undertakings, amending Directive 2006/43/EC of the European Parliament and of the Council and repealing Council Directives 78/660/EEC and 83/349/EEC (
OJ EU L 182, 29.6.2013, p. 19
).
(
5
)
  Directive 2006/43/EC of the European Parliament and of the Council of 17 May 2006 on statutory audits of annual accounts and consolidated accounts, amending Council Directives 78/660/EEC and 83/349/EEC and repealing Council Directive 84/253/EEC (
OJ EU L 157, 9.6.2006, p. 87
).
(
6
)
  Regulation (EC) No 1008/2008 of the European Parliament and of the Council of 24 September 2008 on common rules for the operation of air services in the Community (
OJ EU L 293 31.10.2008, p. 3
).
(
7
)
  Regulation (EC) No 80/2009 of the European Parliament and of the Council of 14 January 2009 on a Code of Conduct for computerised reservation systems and repealing Council Regulation (EEC) No 2299/89 (
OJ EU L 35, 4.2.2009, p. 47
).
(
8
)
  Directive 97/67/EC of the European Parliament and of the Council of 15 December 1997 on common rules for the development of the internal market of Community postal services and the improvement of quality of service (
OJ EU L 15 21.1.1998, p. 14
).
(
9
)
  Regulation (EU) No 909/2014 of the European Parliament and of the Council of 23 July 2014 on improving securities settlement in the European Union and on central securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation (EU) No 236/2012 (
OJ EU L 257 28.8.2014, p. 1
).
(
10
)
  Regulation (EU) 2017/352 of the European Parliament and of the Council of 15 February 2017 establishing a framework for the provision of port services and common rules on the financial transparency of ports (
OJ EU L 57 3.3.2017, p. 1
).
(
11
)
  Council Directive 96/67/EC of 15 October 1996 on access to the groundhandling market at Community airports (
OJ EU L 272, 25.10.1996, p. 36
).
(
12
)
  Regulation (EU) No 952/2013 of the European Parliament and of the Council of 9 October 2013 laying down the Union Customs Code (
OJ EU L 269, 10.10.2013, p. 1
).
ANNEX 20
FUTURE MEASURES
Headnotes
1.
The Schedules of the United Kingdom and the Union set out, under Articles 133, 139 and 195 of this Agreement, the reservations taken by the United Kingdom and the Union with respect to existing measures that do not conform with obligations imposed by:
(a)
Article 128 or 135 of this Agreement;
(b)
Article 136 of this Agreement;
(c)
Article 129 or 137 of this Agreement;
(d)
Article 130 or 138 of this Agreement;
(e)
Article 131 of this Agreement;
(f)
Article 132 of this Agreement;
(g)
Article 194 of this Agreement.
2.
The reservations of a Party are without prejudice to the rights and obligations of the Parties under GATS.
3.
Each reservation sets out the following elements:
(a)
"sector" refers to the general sector in which the reservation is taken;
(b)
"sub-sector" refers to the specific sector in which the reservation is taken;
(c)
"industry classification" refers, where applicable, to the activity covered by the reservation according to the CPC, ISIC rev 3.1, or as expressly otherwise described in a Party's reservation;
(d)
"type of reservation" specifies the obligation referred to in paragraph 1 for which a reservation is taken;
(e)
"description" sets out the scope of the sector, sub-sector or activities covered by the reservation; and
(f)
"existing measures" identifies, for transparency purposes, existing measures that apply to the sector, sub-sector or activities covered by the reservation.
4.
In the interpretation of a reservation, all elements of the reservation shall be considered. The "description" element shall prevail over all other elements.
5.
For the purposes of the Schedules of the United Kingdom and the European Union:
(a)
"ISIC Rev. 3.1" means the International Standard Industrial Classification of All Economic Activities as set out in Statistical Office of the United Nations, Statistical Papers, Series M, No.4, ISIC Rev. 3.1, 2002;
(b)
"CPC" means the Provisional Central Product Classification (Statistical Papers, Series M No. 77, Department of International Economic and Social Affairs, Statistical Office of the United Nations, New York,1991).
6.
For the purposes of the Schedules of the United Kingdom and the Union, a reservation for a requirement to have a local presence in the territory of the Union or the United Kingdom is taken against Article 136 of this Agreement, and not against Article 135 or 137 of this Agreement. Furthermore, such a requirement is not taken as a reservation against Article 129 of this Agreement.
7.
A reservation taken at the level of the Union applies to a measure of the Union, to a measure of a Member State at the central level or to a measure of a government within a Member State, unless the reservation excludes a Member State. A reservation taken by a Member State applies to a measure of a government at the central, regional or local level within that Member State. For the purposes of the reservations of Belgium, the central level of government covers the federal government and the governments of the regions and the communities as each of them holds equipollent legislative powers. For the purposes of the reservations of the Union and its Member States, a regional level of government in Finland means the Åland Islands. A reservation taken at the level of the United Kingdom applies to a measure of the central government, a regional government or a local government.
8.
The list of reservations below does not include measures relating to qualification requirements and procedures, technical standards and licensing requirements and procedures where they do not constitute a market access or a national treatment limitation within the meaning of Article 128, 129, 135, 136, 137 or 194 of this Agreement. These measures may include, in particular the need to obtain a licence, to satisfy universal service obligations, to have recognised qualifications in regulated sectors, to pass specific examinations, including language examinations, to fulfil a membership requirement of a particular profession, such as membership in a professional organisation, to have a local agent for service, or to maintain a local address, or any other non-discriminatory requirements that certain activities may not be carried out in protected zones or areas. While not listed, such measures continue to apply.
9.
For greater certainty, for the Union, the obligation to grant national treatment does not entail the requirement to extend to natural or legal persons of the United Kingdom the treatment granted in a Member State, pursuant to the Treaty on the Functioning of the European Union, or any measure adopted pursuant to that Treaty, including their implementation in the Member States, to:
(a)
natural persons or residents of another Member State; or
(b)
legal persons constituted or organised under the law of another Member State or of the Union and having their registered office, central administration or principal place of business in the Union.
10.
Treatment granted to legal persons established by investors of a Party in accordance with the law of the other Party (including, in the case of the Union, the law of a Member State) and having their registered office, central administration or principal place of business within that other Party, is without prejudice to any condition or obligation, consistent with Chapter 2 of Title II of Heading One of Part Two of this Agreement, which may have been imposed on such legal person when it was established in that other Party, and which shall continue to apply.
11.
The Schedules apply only to the territories of the United Kingdom and the European Union in accordance with Article 520(2) and Article 774 of this Agreement and are only relevant in the context of trade relations between the Union and its Member States with the United Kingdom. They do not affect the rights and obligations of the Member States under Union law.
12.
For greater certainty, non-discriminatory measures do not constitute a market access limitation within the meaning of Article 128, 135 or 194 of this Agreement for any measure:
(a)
requiring the separation of the ownership of infrastructure from the ownership of the goods or services provided through that infrastructure to ensure fair competition, for example in the fields of energy, transportation and telecommunications;
(b)
restricting the concentration of ownership to ensure fair competition;
(c)
seeking to ensure the conservation and protection of natural resources and the environment, including a limitation on the availability, number and scope of concessions granted, and the imposition of a moratorium or ban;
(d)
limiting the number of authorisations granted because of technical or physical constraints, for example telecommunications spectra and frequencies; or
(e)
requiring that a certain percentage of the shareholders, owners, partners, or directors of an enterprise be qualified or practice a certain profession such as lawyers or accountants.
13.
With respect to financial services: Unlike foreign subsidiaries, branches established directly in a Member State by a non-European Union financial institution are not, with certain limited exceptions, subject to prudential regulations harmonised at European Union level which enable such subsidiaries to benefit from enhanced facilities to set up new establishments and to provide cross-border services throughout the Union. Therefore, such branches receive an authorisation to operate in the territory of a Member State under conditions equivalent to those applied to domestic financial institutions of that Member State, and may be required to satisfy a number of specific prudential requirements such as, in the case of banking and securities, separate capitalisation and other solvency requirements and reporting and publication of accounts requirements or, in the case of insurance, specific guarantee and deposit requirements, a separate capitalisation, and the localisation in the Member State concerned of the assets representing the technical reserves and at least one third of the solvency margin.
The following abbreviations are used in the list of reservations below:
UK
United Kingdom
EU
European Union, including all its Member States
AT
Austria
BE
Belgium
BG
Bulgaria
CY
Cyprus
CZ
Czechia
DE
Germany
DK
Denmark
EE
Estonia
EL
Greece
ES
Spain
FI
Finland
FR
France
HR
Croatia
HU
Hungary
IE
Ireland
IT
Italy
LT
Lithuania
LU
Luxembourg
LV
Latvia
MT
Malta
NL
The Netherlands
PL
Poland
PT
Portugal
RO
Romania
SE
Sweden
SI
Slovenia
SK
Slovak Republic
Schedule of the Union
Reservation No. 1 - All sectors
Reservation No. 2 - Professional services – other than health related services
Reservation No. 3 - Professional services – health related and retail of pharmaceuticals
Reservation No. 4 - Business Services - Research and development services
Reservation No. 5 - Business Services - Real estate services
Reservation No. 6 - Business services - Rental or leasing services
Reservation No. 7 - Business Services - Collection agency services and Credit reporting services
Reservation No. 8 - Business Services - Placement services
Reservation No. 9 - Business Services - Security and investigation services
Reservation No. 10 - Business Services - Other business services
Reservation No. 11 - Telecommunication
Reservation No. 12 - Construction
Reservation No. 13 - Distribution services
Reservation No. 14 - Education services
Reservation No. 15 - Environmental services
Reservation No. 16 – Financial Services
Reservation No. 17 - Health services and social services
Reservation No. 18 - Tourism and travel related services
Reservation No. 19 - Recreational, cultural and sporting services
Reservation No. 20 - Transport services and auxiliary transport services
Reservation No. 21 - Agriculture, fishing and water
Reservation No. 22 - Energy related activities
Reservation No. 23 - Other services not included elsewhere
Reservation No. 1 - All sectors
Sector:
All sectors
Type of reservation:
Market access
National treatment
Most-favoured-nation treatment
Senior management and boards of directors
Performance requirements
Local presence
Obligations for legal services
Chapter/Section:
Investment liberalisation, Cross-border trade in services and Regulatory framework for legal services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a)   Establishment
With respect to Investment liberalisation – Market access:
The EU: Services considered as public utilities at a national or local level may be subject to public monopolies or to exclusive rights granted to private operators.
Public utilities exist in sectors such as related scientific and technical consulting services, research and development (R&D) services on social sciences and humanities, technical testing and analysis services, environmental services, health services, transport services and services auxiliary to all modes of transport. Exclusive rights on such services are often granted to private operators, for instance operators with concessions from public authorities, subject to specific service obligations. Given that public utilities often also exist at the sub-central level, detailed and exhaustive sector-specific scheduling is not practical. This reservation does not apply to telecommunications and to computer and related services.
With respect to Investment liberalisation – Market access, National treatment; Cross-border trade in services – Market access, National treatment and Regulatory framework for legal services – Obligations:
In FI: Restrictions on the right for natural persons, who do not enjoy regional citizenship in Åland, and for legal persons, to acquire and hold real property on the Åland Islands without obtaining permission from the competent authorities of the Åland Islands. Restrictions on the right of establishment and right to carry out economic activities by natural persons, who do not enjoy regional citizenship in Åland, or by any enterprise, without obtaining permission from the competent authorities of the Åland Islands.
Existing measures:
FI: Ahvenanmaan maanhankintalaki (Act on land acquisition in Åland) (3/1975), s. 2; and Ahvenanmaan itsehallintolaki (Act on the Autonomy of Åland) (1144/1991), s. 11.
With respect to Investment liberalisation – Market access, National treatment, Performance requirements, Senior management and boards of directors; Regulatory Framework for legal services – Obligations:
In FR: Pursuant to articles L151-1 and 151-1 et seq of the financial and monetary code, foreign investments in France in sectors listed in article R.151-3 of the financial and monetary code are subject to prior approval from the Minister for the Economy.
Existing measures:
FR: As set out in the description element as indicated above.
With respect to Investment liberalisation – National treatment, Senior management and boards of directors:
In FR: Limiting foreign participation in newly privatised companies to a variable amount, determined by the government of France on a case by case basis, of the equity offered to the public. For establishing in certain commercial, industrial or artisanal activities, a specific authorisation is needed if the managing director is not a holder of a permanent residence permit.
With respect to Investment liberalisation – Market access and Regulatory framework for legal services – Obligations:
In HU: Establishment should take a form of limited liability company, joint-stock company or representative office. Initial entry as a branch is not permitted except for financial services.
With respect to Investment liberalisation – Market access, National treatment:
In BG: Certain economic activities related to the exploitation or use of State or public property are subject to concessions granted under the provisions of the Concessions Act.
In commercial corporations in which the State or a municipality holds a share in the capital exceeding 50 per cent, any transactions for disposition of fixed assets of the corporation, to conclude any contracts for acquisition of participating interest, lease, joint activity, credit, securing of receivables, as well as incurring any obligations arising under bills of exchange, are subject to authorisation or permission by the Privatisation Agency or other state or regional bodies, whichever is the competent authority. This reservation does not apply to mining and quarrying, which are subject to a separate reservation in the Schedule of the Union in Annex 19 to this Agreement.
In IT: The Government may exercise certain special powers in enterprises operating in the areas of defence and national security, and in certain activities of strategic importance in the areas of energy, transport and communications. This applies to all juridical persons carrying out activities considered of strategic importance in the areas of defence and national security, not only to privatised companies.
If there is a threat of serious injury to the essential interests of defence and national security, the Government has following special powers to:
(a)
to impose specific conditions in the purchase of shares;
(b)
to veto the adoption of resolutions relating to special operations such as transfers, mergers, splitting up and changes of activity; or
(c)
to reject the acquisition of shares, where the buyer seeks to hold a level of participation in the capital that is likely to prejudice the interests of defence and national security.
Any resolution, act or transaction (such as transfers, mergers, splitting up, change of activity or termination) relating to strategic assets in the areas of energy, transport and communications shall be notified by the concerned company to the Prime Minister's office. In particular, acquisitions by any natural or juridical person outside the European Union that give this person control over the company shall be notified.
The Prime Minister may exercise the following special powers:
(a)
to veto any resolution, act and transaction that constitutes an exceptional threat of serious injury to the public interest in the security and operation of networks and supplies;
(b)
to impose specific conditions in order to guarantee the public interest; or
(c)
to reject an acquisition in exceptional cases of risk to the essential interests of the State.
The criteria on which to evaluate the real or exceptional threat and conditions and procedures for the exercise of the special powers are laid down in the law.
Existing measures:
IT: Law 56/2012 on special powers in companies operating in the field of defence and national security, energy, transport and communications; and
Decree of the Prime Minister DPCM 253 of 30.11.2012 defining the activities of strategic importance in the field of defence and national security.
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment, Performance requirements, Senior management and boards of directors:
In LT: Enterprises, sectors and facilities of strategic importance to national security.
Existing measures:
LT: Law on the Protection of Objects of Importance to Ensuring National Security of the Republic of Lithuania of 10 October 2002 No. IX-1132 (as last amended on 12 of January 2018 No XIII-992).
With respect to Investment liberalisation – National treatment and Senior management and boards of directors:
In SE: Discriminatory requirements for founders, senior management and boards of directors when new forms of legal association are incorporated into Swedish law.
(b)   Acquisition of real estate
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors:
In HU: The acquisition of state-owned properties.
With respect to Investment liberalisation – Market access, National treatment:
In HU: The acquisition of arable land by foreign legal persons and non-resident natural persons.
Existing measures:
HU: Act CXXII of 2013 on the circulation of agricultural and forestry land (Chapter II (Paragraph 6-36) and Chapter IV (Paragraph 38-59)); and
Act CCXII of 2013 on the transitional measures and certain provisions related to Act CXXII of 2013 on the circulation of agricultural and forestry land (Chapter IV (Paragraph 8-20)).
In LV: The acquisition of rural land by nationals of the United Kingdom or of a third country.
Existing measures:
LV: Law on land privatisation in rural areas, ss. 28, 29, 30.
In SK: Foreign companies or natural persons may not acquire agricultural and forest land outside the borders of the built-up area of a municipality and some other land (e.g. natural resources, lakes, rivers, public roads etc.).
Existing measures:
SK: Act No 44/1988 on protection and exploitation of natural resources;
Act No 229/1991 on regulation of the ownership of land and other agricultural property;
Act No 460/1992 Constitution of the Slovak Republic;
Act No 180/1995 on some measures for land ownership arrangements;
Act No 202/1995 on Foreign Exchange;
Act No 503/2003 on restitution of ownership to land;
Act No 326/2005 on Forests; and
Act No 140/2014 on the acquisition of ownership of agricultural land.
With respect to Investment liberalisation – National treatment and Cross-border trade in services – Local presence:
In BG: Foreign natural and legal persons cannot acquire land. Legal persons of Bulgaria with foreign participation cannot acquire agricultural land. Foreign legal persons and foreign natural persons with permanent residence abroad can acquire buildings and real estate property rights (right to use, right to build, right to raise a superstructure and servitudes). Foreign natural persons with permanent residence abroad, foreign legal persons in which foreign participation ensures a majority in adopting decisions or blocks the adoption of decisions, can acquire real estate property rights in specific geographic regions designated by the Council of Ministers subject to permission.
BG: Constitution of the Republic of Bulgaria, article 22; Law on Ownership and Use of Agricultural Land, article 3; and Law on Forests, article 10.
In EE: Foreign natural or legal persons that are not from the EEA or from members of the Organisation for Economic Co-operation and Development can acquire an immovable asset which contains agricultural and/or forest land only with the authorisation of the county governor and of the municipal council, and must prove as prescribed by law that the immovable asset will, according to its intended purpose, be used efficiently, sustainably and purposefully.
Existing measures:
EE: Kinnisasja omandamise kitsendamise seadus (Restrictions on Acquisition of Immovables Act) Chapters 2 and 3.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services - Market access, National treatment:
In LT: Any measure which is consistent with the commitments taken by the European Union and which are applicable in Lithuania in GATS with respect to land acquisition. The land plot acquisition procedure, terms and conditions, as well as restrictions shall be established by the Constitutional Law, the Law on Land and the Law on the Acquisition of Agricultural Land.
However, local governments (municipalities) and other national entities of Members of the Organisation for Economic Co-operation and Development and North Atlantic Treaty Organization conducting economic activities in Lithuania, which are specified by the constitutional law in compliance with the criteria of European Union and other integration which Lithuania has embarked on, are permitted to acquire into their ownership non-agricultural land plots required for the construction and operation of buildings and facilities necessary for their direct activities.
Existing measures:
LT: Constitution of the Republic of Lithuania;
The Constitutional Law of the Republic of Lithuania on the Implementation of Paragraph 3 of Article 47 of the Constitution of the Republic of Lithuania of 20 June 1996, No. I-1392 as last amended 20 March 2003, No. IX-1381;
Law on land, of 27 January 2004, No. IX-1983; and
Law on acquisition of agricultural land of 24 April 2014, No. XII-854.
(c)   Recognition
With respect to Investment liberalisation –National treatment and Cross-border trade in services – National treatment:
In EU: The Union directives on mutual recognition of diplomas and other professional qualification only apply to the citizens of the Union. The right to practise a regulated professional service in one Member State does not grant the right to practise in another Member State.
(d)   Most-favoured-nation treatment
With respect to Investment liberalisation – Most-favoured-nation treatment and Cross-border trade in services – Most-favoured-nation treatment and Regulatory framework for legal services – Obligations:
The EU: According differential treatment to a third country pursuant to any international investment treaties or other trade agreement in force or signed prior to the date of entry into force of this Agreement.
The EU: According differential treatment to a third country pursuant to any existing or future bilateral or multilateral agreement which:
(i)
creates an internal market in services and investment;
(ii)
grants the right of establishment; or
(iii)
requires the approximation of legislation in one or more economic sectors.
An internal market in services and investment means an area without internal frontiers in which the free movement of services, capital and persons is ensured.
The right of establishment means an obligation to abolish in substance all barriers to establishment among the parties to the bilateral or multilateral agreement by the entry into force of that agreement. The right of establishment shall include the right of nationals of the parties to the bilateral or multilateral agreement to set up and operate enterprises under the same conditions provided for nationals under the law of the party where such establishment takes place.
The approximation of legislation means:
(i)
the alignment of the legislation of one or more of the parties to the bilateral or multilateral agreement with the legislation of the other party or parties to that agreement; or
(ii)
the incorporation of common legislation into the law of the parties to the bilateral or multilateral agreement.
Such alignment or incorporation shall take place, and shall be deemed to have taken place, only at such time that it has been enacted in the law of the party or parties to the bilateral or multilateral agreement.
Existing measures:
EU: Agreement on the European Economic Area;
Stabilisation Agreements;
EU-Swiss Confederation bilateral agreements; and
Deep and Comprehensive Free Trade Agreements.
The EU: According differential treatment relating to the right of establishment to nationals or enterprises through existing or future bilateral agreements between the following Member States: BE, DE, DK, EL, ES, FR, IE, IT, LU, NL, PT and any of the following countries or principalities: Andorra, Monaco, San Marino and the Vatican City State.
In DK, FI, SE: Measures taken by Denmark, Sweden and Finland aimed at promoting Nordic cooperation, such as:
(a)
financial support to research and development (R&D) projects (the Nordic Industrial Fund);
(b)
funding of feasibility studies for international projects (the Nordic Fund for Project Exports); and
(c)
financial assistance to companies utilizing environmental technology (the Nordic Environment Finance Corporation). The purpose of the Nordic Environment Finance Corporation (NEFCO) is to promote investments of Nordic environmental interest, with a focus on Eastern Europe.
This reservation is without prejudice to the exclusion of procurement by a Party or subsidies in Article 123(6) and (7) of this Agreement.
In PL: Preferential conditions for establishment or the cross-border supply of services, which may include the elimination or amendment of certain restrictions embodied in the list of reservations applicable in Poland, may be extended through commerce and navigation treaties.
In PT: Waiving nationality requirements for the exercise of certain activities and professions by natural persons supplying services for countries in which Portuguese is the official language (Angola, Brazil, Cape Verde, Guinea-Bissau, Equatorial Guinea, Mozambique, São Tomé & Principe, and East Timor).
(e)   Arms, munition and war material
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment, Most-favoured-nation treatment, Local presence:
In EU: Production or distribution of, or trade in, arms, munitions and war material. War material is limited to any product which is solely intended and made for military use in connection with the conduct of war or defence activities.
Reservation No. 2 - Professional services - other than health related services
Sector:
Professional services - legal services: services of notaries and by bailiffs; accounting and bookkeeping services; auditing services, taxation advisory services; architecture and urban planning services, engineering services, and integrated engineering services
Industry classification:
Part of CPC 861, part of 87902, 862, 863, 8671, 8672, 8673, 8674, part of 879
Type of reservation:
Market access
National treatment
Most-favoured-nation treatment
Senior management and boards of directors
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a)   Legal services
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment:
The EU, with the exception of SE: The supply of legal advisory and legal authorisation, documentation, and certification services provided by legal professionals entrusted with public functions, such as notaries, "
                     
huissiers de justice
" or other "
                     
officiers publics et ministériels
", and with respect to services provided by bailiffs who are appointed by an official act of government (part of CPC 861, part of 87902).
With respect to Investment liberalisation – Most-favoured-nation treatment and Cross-border trade in services – Most-favoured-nation treatment:
In BG: Full national treatment on the establishment and operation of companies, as well as on the supply of services, may be extended only to companies established in, and citizens of, the countries with whom preferential arrangements have been or will be concluded (part of CPC 861).
In LT: Attorneys from foreign countries can participate as advocates in court only in accordance with international agreements (part of CPC 861), including specific provisions regarding representation before courts.
(b)   Accounting and bookkeeping services (CPC 8621 other than auditing services, 86213, 86219, 86220)
With respect to Cross-border trade in services – Market access:
In HU: Cross-border activities for accounting and bookkeeping.
Existing measures:
HU: Act C of 2000; and Act LXXV of 2007.
(c)   Auditing services (CPC – 86211, 86212 other than accounting and bookkeeping services)
With respect to Cross-border trade in services - National treatment:
In BG: An independent financial audit shall be implemented by registered auditors who are members of the Institute of the Certified Public Accountants. Subject to reciprocity, the Institute of the Certified Public Accountants shall register an audit entity of the United Kingdom or of a third country upon the latter furnishing proof that:
(a)
three-fourths of the members of the management bodies and the registered auditors carrying out audit on behalf of the entity meet requirements equivalent to those for Bulgarian auditors and have passed successfully the examinations for it;
(b)
the audit entity carries out independent financial audit in accordance with the requirements for independence and objectivity; and
(c)
the audit entity publishes on its website an annual transparency report or performs other equivalent requirements for disclosure in case it audits public-interest entities.
Existing Measures:
BG: Independent Financial Audit Act.
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors:
In CZ: Only a legal person in which at least 60 per cent of capital interests or voting rights are reserved to nationals of the Czech Republic or of the Member States of the European Union is authorised to carry out audits in the Czech Republic.
Existing Measures:
CZ: Law of 14 April 2009 no. 93/2009 Coll., on Auditors.
With respect to Cross-border trade in services – Market access:
In HU: Cross-border supply of auditing services.
Existing Measures:
HU: Act C of 2000; and Act LXXV of 2007.
In PT: Cross-border supply of auditing services.
(d)   Architecture and urban planning services (CPC 8674)
With respect to Cross-border trade in services – Market access, National treatment:
In HR: The cross-border supply of urban planning.
Reservation No. 3 - Professional services – health related and retail of pharmaceuticals
Sector:
Health related professional services and retail sales of pharmaceutical, medical and orthopaedic goods, other services provided by pharmacists
Industry classification:
CPC 63211, 85201, 9312, 9319, 93121
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Performance requirements
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a)   Medical and dental services; services provided by midwives, nurses, physiotherapists, psychologists and paramedical personnel (CPC 63211, 85201, 9312, 9319, CPC 932)
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access and National treatment:
In FI: The supply of all health-related professional services, whether publicly or privately funded, including medical and dental services, services provided by midwives, physiotherapists and paramedical personnel and services provided by psychologists, excluding services provided by nurses (CPC 9312, 93191).
Existing measures:
FI: Laki yksityisestä terveydenhuollosta (Act on Private Health Care) (152/1990).
In BG: The supply of all health-related professional services, whether publicly or privately funded, including medical and dental services, services provided by nurses, midwives, physiotherapists and paramedical personnel and services provided by psychologists (CPC 9312, part of 9319).
Existing Measures:
BG: Law for Medical Establishment, Professional Organisation of Medical Nurses, Midwives and Associated Medical Specialists Guild Act.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access and National treatment:
In CZ, MT: The supply of all health-related professional services, whether publicly or privately funded, including the services provided by professionals such as medical doctors, dentists, midwives, nurses, physiotherapists, paramedics, psychologists, as well as other related services (CPC 9312, part of 9319).
Existing Measures:
CZ: Act No 296/2008 Coll., on Safeguarding the Quality and Safety of Human Tissues and
Cells Intended for Use in Man ("Act on Human Tissues and Cells");
Act No 378/2007 Coll., on Pharmaceuticals and on Amendments to Some Related Acts (Act on Pharmaceuticals);
Act No. 268/2014 Coll. on medical devices and amending Act No 634/2004 Coll. on administrative fees, as subsequently amended;
Act No. 285/2002 Coll., on the Donating, Taking and Transplanting of Tissues and Organs and on Amendment to Certain Acts (Transplantation Act).
Act No. 372/2011 Coll., on health services and on conditions of their provision
Act No. 373/2011 Coll., on specific health services).
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
The EU, with the exception of NL and SE: The supply of all health-related professional services, whether publicly or privately funded, including the services provided by professionals such as medical doctors, dentists, midwives, nurses, physiotherapists, paramedics, and psychologists, requires residency. These services may only be provided by natural persons physically present in the territory of the European Union (CPC 9312, part of 93191).
In BE: The cross-border supply whether publicly or privately funded of all health-related professional services, including medical, dental and midwives services and services provided by nurses, physiotherapists, psychologists and paramedical personnel. (part of CPC 85201, 9312, part of 93191).
In PT: (Also with respect to Most-favoured nation treatment) Concerning the professions of physiotherapists, paramedical personnel and podiatrists, foreign professionals may be allowed to practice based on reciprocity.
(b)   Veterinary services (CPC 932)
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services –National treatment, Local presence:
In BG: A veterinary medical establishment may be established by a natural or a legal person.
The practice of veterinary medicine is only allowed for nationals of the EEA and for permanent residents (physical presence is required for permanent residents).
With respect to Cross-border trade in services – Market access, National treatment:
In BE, LV: Cross-border supply of veterinary services.
(c)   Retail sales of pharmaceutical, medical and orthopaedic goods, other services provided by pharmacists (CPC 63211)
With respect to Investment liberalisation – Market access and Cross-border trade in services – Local presence:
The EU, with the exception of EL, IE, LU, LT and NL: For restricting the number of suppliers entitled to provide a particular service in a specific local zone or area on a non-discriminatory basis. An economic needs test may therefore be applied, taking into account such factors as the number of and impact on existing establishments, transport infrastructure, population density or geographic spread.
The EU, with the exception of BE, BG, EE, ES, IE and IT: Mail order is only possible from Member States of the EEA, thus establishment in any of those countries is required for the retail of pharmaceuticals and specific medical goods to the general public in the Union.
In CZ: Retail sales are only possible from Member States.
In BE: The retail sales of pharmaceuticals and specific medical goods are only possible from a pharmacy established in Belgium.
In BG, EE, ES, IT and LT: Cross-border retail sales of pharmaceuticals.
In IE and LT: Cross-border retail of pharmaceuticals requiring a prescription.
In PL: Intermediaries in the trade of medicinal products must be registered and have a place of residence or registered office in the territory of the Republic of Poland.
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment:
In FI: Retail sales of pharmaceutical products and of medical and orthopaedic goods.
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment:
In SE: Retail sales of pharmaceutical goods and the supply of pharmaceutical goods to the general public.
Existing measures:
AT: Arzneimittelgesetz (Medication Act), BGBl. Nr. 185/1983 as amended, §§ 57, 59, 59a; and
Medizinproduktegesetz (Medical Products Law), BGBl. Nr. 657/1996 as amended, § 99.
BE: Arrêté royal du 21 janvier 2009 portant instructions pour les pharmaciens; and Arrêté royal du 10 novembre 1967 relatif à l'exercice des professions des soins de santé.
CZ: Act No. 378/2007 Coll., on Pharmaceuticals, as amended; and Act No. 372/2011 Coll., on Health services, as amended.
FI: Lääkelaki (Medicine Act) (395/1987).
PL: Pharmaceutical Law, art. 73a (Journal of Laws of 2020, item 944, 1493).
SE: Law on trade with pharmaceuticals (2009:336);
Regulation on trade with pharmaceuticals (2009:659); and
The Swedish Medical Products Agency has adopted further regulations, the details can be found at (LVFS 2009:9).
Reservation No. 4 - Business Services - Research and development services
Sector:
Research and development services
Industry classification:
CPC 851, 852, 853
Type of reservation:
Market access
National treatment
Chapter:
Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
In RO: Cross-border supply of research and development services.
Existing measures:
RO: Governmental Ordinance no. 6 / 2011;
Order of Minister of Education and Research no. 3548 / 2006; and Governmental Decision no. 134 / 2011.
Reservation No. 5 - Business Services - Real estate services
Sector:
Real estate services
Industry classification:
CPC 821, 822
Type of reservation:
Market access
National treatment
Chapter:
Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
In CZ and HU: Cross-border supply of real estate services.
Reservation No. 6 - Business services - Rental or leasing services
Sector:
Rental or leasing services without operators
Industry classification:
CPC 832
Type of reservation:
Market access
National treatment
Chapter:
Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
In BE and FR: Cross-border supply of leasing or rental services without operator concerning personal and household goods.
Reservation No. 7 - Business Services - Collection agency services and Credit reporting services
Sector:
Collection agency services, credit reporting services
Industry classification:
CPC 87901, 87902
Type of reservation:
Market access
National treatment
Local presence
Chapter:
Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
The EU, with the exception of ES, LV and SE, with regard to the supply of collection agency services and credit reporting services.
Reservation No. 8 - Business Services - Placement services
Sector – sub-sector:
Business Services – placement services
Industry classification:
CPC 87201, 87202, 87203, 87204, 87205, 87206, 87209
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment, Local presence:
In the EU, with the exception of HU and SE: Supply services of domestic help personnel, other commercial or industrial workers, nursing and other personnel (CPC 87204, 87205, 87206, 87209).
In BG, CY, CZ, DE, EE, FI, MT, LT, LV, PL, PT, RO, SI and SK: Executive search services (CPC 87201).
In AT, BG, CY, CZ, EE, FI, LT, LV MT, PL, PT, RO, SI and SK: The establishment of placement services of office support personnel and other workers (CPC 87202).
In AT, BG, CY, CZ, DE, EE, FI, MT, LT, LV, PL, PT, RO, SI and SK: Supply services of office support personnel (CPC 87203).
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
In the EU with the exception of BE, HU and SE: The cross-border supply of placement services of office support personnel and other workers (CPC 87202).
In IE: The cross-border supply of executive search services (CPC 87201).
In FR, IE, IT and NL: The cross-border supply of services of office personnel (CPC 87203).
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access
In DE : To restrict the number of suppliers of placement services.
In ES: To restrict the number of suppliers of executive search services and placement services (CPC 87201, 87202).
In FR: These services can be subject to a state monopoly (CPC 87202).
In IT: To restrict the number of suppliers of supply services of office personnel (CPC 87203).
With respect to Investment liberalisation –Market access, National treatment:
In DE: The Federal Ministry of Labour and Social Affairs may issue a regulation concerning the placement and recruitment of non-European Union and non-EEA personnel for specified professions (CPC 87201, 87202, 87203, 87204, 87205, 87206, 87209).
Existing measures:
AT: §§97 and 135 of the Austrian Trade Act (Gewerbeordnung), Federal Law Gazette Nr. 194/1994 as amended; and
Temporary Employment Act (Arbeitskräfteüberlassungsgesetz/AÜG), Federal Law Gazette Nr. 196/1988 as amended.
BG: Employment Promotion Act, articles 26, 27, 27a and 28.
CY: Private Employment Agency Law N. 126(I)/2012 as amended.
CZ: Act on Employment (435/2004).
DE: Gesetz zur Regelung der Arbeitnehmerüberlassung (AÜG);
Sozialgesetzbuch Drittes Buch (SGB III; Social Code, Book Three) - Employment Promotion;
Verordnung über die Beschäftigung von Ausländerinnen und Ausländern (BeschV; Ordinance on the Employment of Foreigners).
DK: §§ 8a – 8f in law decree no. 73 of 17th of January 2014 and specified in decree no. 228 of 7th of March 2013 (employment of seafarers); and Employment Permits Act 2006. S1(2) and (3).
EL: Law 4052/2012 (Official Government Gazette 41 Α) as amended to some of its provision by the law Ν.4093/2012 (Official Government Gazette 222 Α).
ES: Real Decreto-ley 8/2014, de 4 de julio, de aprobación de medidas urgentes para el crecimiento, la competitividad y la eficiencia, artículo 117 (tramitado como Ley 18/2014, de 15 de octubre).
FI: Laki julkisesta työvoima-ja yrityspalvelusta (Act on Public Employment and Enterprise Service) (916/2012).
HR: Labour Market Act (OG 118/18, 32/20)
Labour Act (OG 93/14, 127/17, 98/19)
Aliens Act (OG 130/11m 74/13, 67/17, 46/18, 53/20)
IE: Employment Permits Act 2006. S1(2) and (3).
IT: Legislative Decree 276/2003 articles 4, 5.
LT: Lithuanian Labour Code of the Republic of Lithuania approved by Law No XII-2603 of 14 September 2016 of the Republic of Lithuania,
The Law on the Legal Status of Aliens of the Republic of Lithuania of 29 April 2004 No. IX-2206 as last amended 03-12-2019 No. XIII-2582.
LU: Loi du 18 janvier 2012 portant création de l'Agence pour le développement de l'emploi (Law of 18 January 2012 concerning the creation of an agency for employment development – ADEM).
MT: Employment and Training Services Act, (Cap 343) (Articles 23 to 25); and Employment Agencies Regulations (S.L. 343.24).
PL: Article 18 of the Act of 20 April 2004 on the promotion of employment and labour market institutions (Dz. U. of 2015, Item. 149, as amended).
PT: Decree-Law No 260/2009 of 25 September, as amended by Law No. 5/2014 of 12 February (access and provision of services by placement agencies).
RO: Law no. 156/2000 on the protection of Romanian citizens working abroad, republished, and Government Decision no. 384/2001 for approving the methodological norms for applying the Law no. 156/2000, with subsequent amendments;
Ordinance of the Government no. 277/2002, as modified by Government Ordinance No. 790/2004 and Government Ordinance No. 1122/2010; and
Law no.53/2003 - Labour Code, republished, with subsequent amendments and supplement and the Government Decision no 1256/2011 on the operating conditions and authorization procedure for temporary work agency.
SI: Labour market regulation act (Official Gazette of RS, No. 80/2010, 21/2013, 63/2013, 55/2017); and Employment, Self-employment and Work of Aliens Act – ZZSDT (Official Gazette of RS, No. 47/2015), ZZSDT-UPB2 (Official Gazette of RS, No. 1 /2018).
SK: Act No 5/2004 on Employment Services; and Act No 455/1991on Trade Licensing.
Reservation No. 9 - Business Services - Security and investigation services
Sector– sub-sector:
Business services – security and investigation services
Industry classification:
CPC 87301, 87302, 87303, 87304, 87305, 87309
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Performance requirements
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a)   Security services (CPC 87302, 87303, 87304, 87305, 87309)
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment:
In BG, CY, CZ, EE, ES, LT, LV, MT, PL, RO, SI and SK: The supply of security services.
In DK, HR and HU: The supply of the following subsectors: guard services (87305) in HR and HU, security consultation services (87302) in HR, airport guard services (part of 87305) in DK and armoured car services (87304) in HU.
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services –National treatment, Local presence:
In BE: Nationality of a Member State is required for boards of directors of enterprises legal persons supplying guard and security services (87305) as well as consultancy and training relating to security services (87302). The senior management of companies providing guard and security consultancy services required to be resident nationals of a Member State.
In FI: Licences to supply security services may be granted only to natural persons resident in the EEA or legal persons established in the EEA.
In ES: The cross border supply of security services. Nationality requirements exist for private security personnel.
With respect to Cross-border trade in services – Market access, National treatment:
In BE, FI, FR and PT: The supply of security services by a foreign provider on a cross-border basis is not allowed. Nationality requirements exist for specialised personnel in PT and for managing directors and directors in FR.
Existing measures:
BE: Loi réglementant la sécurité privée et particulière, 2 Octobre 2017.
BG: Private Security Business Act.
CZ: Trade Licensing Act.
DK: Regulation on aviation security.
FI: Laki yksityisistä turvallisuuspalveluista 282/2002 (Private Security Services Act).
LT: Law on security of Persons and Assets 8 July 2004 No. IX-2327.
LV: Security Guard Activities Law (Sections 6, 7, 14).
PL: Act of 22 August 1997 on the protection of persons and property (Journal of Laws of 2016, item 1432 as amended).
PT: Law 34/2013 alterada p/ Lei 46/2019, 16 maio; and Ordinance 273/2013 alterada p/ Portaria 106/2015, 13 abril.
SI: Zakon o zasebnem varovanju (Law on private security).
(b)   Investigation services (CPC 87301)
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment, Local presence:
The EU, with the exception of AT and SE: The supply of investigation services.
With respect to Investment liberalisation - Market access and Cross-border trade in services – Market access:
In LT and PT: Investigation services are a monopoly reserved to the State.
Reservation No. 10 - Business Services - Other business services
Sector– sub-sector:
Business services – other business services (translation and interpretation services, duplicating services, services incidental to energy distribution and services incidental to manufacturing)
Industry classification:
CPC 87905, 87904, 884, 887
Type of reservation:
Market access
National treatment
Most-favoured-nation treatment
Senior management and boards of directors
Performance requirements
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a)   Translation and interpretation services (CPC 87905)
With respect to Cross-border trade in services – Market access, National treatment:
In HR: Cross-border supply of translation and interpretation of official documents.
(b)   Duplicating services (CPC 87904)
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
In HU: Cross-border supply of duplicating services.
(c)   Services incidental to energy distribution and services incidental to manufacturing (Part of CPC 884, 887 other than advisory and consulting services)
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment, Local presence:
In HU: Services incidental to energy distribution, and cross-border supply of services incidental to manufacturing, with the exception of advisory and consulting services relating to these sectors.
(d)   Maintenance and repair of vessels, rail transport equipment and aircraft and parts thereof (part of CPC 86764, CPC 86769, CPC 8868)
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
In EU, with the exception of DE, EE and HU: The cross-border supply of maintenance and repair services of rail transport equipment.
In EU, with the exception of CZ, EE, HU, LU and SK: Cross-border supply of maintenance and repair services of inland waterway transport vessels.
In EU, with the exception of EE, HU and LV: The cross-border supply of maintenance and repair services of maritime vessels.
In EU, with the exception of AT, EE, HU, LV, and PL: The cross-border supply of maintenance and repair services of aircraft and parts thereof (part of CPC 86764, CPC 86769, CPC 8868).
In EU: The cross-border supply of services of statutory surveys and certification of ships.
Existing measures:
EU: Regulation (EC) No 391/2009 of the European Parliament and the Council 
(
1
)
.
(e)   Other business services related to aviation
With respect to Investment liberalisation – Most-favoured-nation treatment and Cross-border trade in services – Most-favoured-nation treatment:
The EU: According differential treatment to a third country pursuant to existing or future bilateral agreements relating to the following services:
(a)
the selling and marketing of air transport services;
(b)
computer reservation system (CRS) services;
(c)
maintenance and repair of aircrafts and parts,
(d)
rental or leasing of aircraft without crew.
With respect to Investment liberalisation - Market access, National treatment, Performance requirements, Senior management and boards of director, and Cross-border trade in services – Market access, National treatment, Local presence:
In DE, FR: Aerial fire-fighting, flight training, spraying, surveying, mapping, photography, and other airborne agricultural, industrial and inspection services.
In FI, SE: Aerial fire-fighting.
Reservation No. 11 - Telecommunication
Sector:
Satellite broadcast transmission services
Industry classification:
Type of reservation:
Market access
National treatment
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
In BE: Satellite broadcast transmission services.
Reservation No. 12 - Construction
Sector:
Construction services
Industry classification:
CPC 51
Type of reservation:
Market access
National treatment
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
In LT: The right to prepare design documentation for construction works of exceptional significance is only given to a design enterprise registered in Lithuania or a foreign design enterprise which has been approved by an institution authorised by the Government for those activities. The right to perform technical activities in the main areas of construction may be granted to a non-Lithuanian person who has been approved by an institution authorised by the Government of Lithuania.
Reservation No. 13 - Distribution services
Sector:
Distribution services
Industry classification:
CPC 62117, 62251, 8929, part of 62112, 62226, part of 631
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Performance requirements
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a)   Distribution of pharmaceuticals
With respect to Cross-border trade in services – Market access, National treatment:
In BG: Cross-border wholesale distribution of pharmaceuticals (CPC 62251).
With respect to Investment liberalisation - Market access, National treatment, Performance requirements, Senior management and boards of director, and Cross-border trade in services – Market access, National treatment:
In FI: Distribution of pharmaceutical products (CPC 62117, 62251, 8929).
Existing measures:
BG: Law on Medicinal Products in Human Medicine; Law on Medical Devices.
FI: Lääkelaki (Medicine Act) (395/1987).
(b)   Distribution of alcoholic beverages
In FI: Distribution of alcoholic beverages (part of CPC 62112, 62226, 63107, 8929).
Existing measures:
FI: Alkoholilaki (Alcohol Act) (1102/2017).
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access:
In SE: Imposing a monopoly on retail sales of liquor, wine and beer (except non-alcoholic beer). Currently Systembolaget AB has such governmental monopoly on retail sales of liquor, wine and beer (except non-alcoholic beer). Alcoholic beverages are beverages with an alcohol content over 2.25 per cent per volume. For beer, the limit is an alcohol content over 3.5 per cent per volume (part of CPC 631).
Existing measures:
SE: The Alcohol Act (2010:1622).
(c)   Other distribution (part of CPC 621, CPC 62228, CPC 62251, CPC 62271, part of CPC 62272, CPC 62276, CPC 63108, part of CPC 6329)
With respect to Cross-border trade in services – Market access, National treatment:
In BG: Wholesale distribution of chemical products, precious metals and stones, medical substances and products and objects for medical use; tobacco and tobacco products and alcoholic beverages.
Bulgaria reserves the right to adopt or maintain any measure with respect to the services provided by commodity brokers.
Existing measures:
In BG: Law on Medicinal Products in Human Medicine;
Law on Medical Devices;
Law of Veterinary Activity;
Law for Prohibition of Chemical Weapons and for Control over Toxic Chemical Substances and Their Precursors;
Law for Tobacco and Tobacco Products. Law on excise duties and tax warehouses and Law on wine and spirits.
Reservation No. 14 - Education services
Sector:
Education services
Industry classification:
CPC 92
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Performance requirements
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
With respect to Investment liberalisation - Market access, National treatment, Performance requirements, Senior management and boards of director, and Cross-border trade in services – Market access, National treatment, Local presence:
The EU: Educational services which receive public funding or State support in any form. Where the supply of privately funded education services by a foreign provider is permitted, participation of private operators in the education system may be subject to concession allocated on a non-discriminatory basis.
The EU, with the exception of CZ, NL, SE and SK: With respect to the supply of privately funded other education services, which means other than those classified as being primary, secondary, higher and adult education services (CPC 929).
In CY, FI, MT and RO: The supply of privately funded primary, secondary, and adult education services (CPC 921, 922, 924).
In AT, BG, CY, FI, MT and RO: The supply of privately funded higher education services (CPC 923).
In CZ and SK: The majority of the members of the board of directors of an establishment providing privately funded education services must be nationals of that country (CPC 921, 922, 923 for SK other than 92310, 924).
In SI: Privately funded elementary schools may be founded by Slovenian natural or legal persons only. The service supplier must establish a registered office or a branch. The majority of the members of the board of directors of an establishment providing privately funded secondary or higher education services must be Slovenian nationals (CPC 922, 923).
In SE: Educational services suppliers that are approved by public authorities to provide education. This reservation applies to privately funded educational services suppliers with some form of State support, inter alia educational service suppliers recognised by the State, educational services suppliers under State supervision or education which entitles to study support (CPC 92).
In SK: EEA residency is required for suppliers of all privately funded education services other than post-secondary technical and vocational education services. An economic needs test may apply and the number of schools being established may be limited by local authorities (CPC 921, 922, 923 other than 92310, 924).
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
In BG, IT and SI: To restrict the cross-border supply of privately funded primary education services (CPC 921).
In BG and IT: To restrict the cross-border supply of privately funded secondary education services (CPC 922).
In AT: To restrict the cross-border supply of privately funded adult education services by means of radio or television broadcasting (CPC 924).
Existing measures:
BG: Public Education Act, article 12;
Law for the Higher Education, paragraph 4 of the additional provisions; and Vocational Education and Training Act, article 22.
FI: Perusopetuslaki (Basic Education Act) (628/1998);
Lukiolaki (General Upper Secondary Schools Act) (629/1998);
Laki ammatillisesta koulutuksesta (Vocational Training and Education Act) (630/1998);
Laki ammatillisesta aikuiskoulutuksesta (Vocational Adult Education Act) (631/1998);
Ammattikorkeakoululaki (Polytechnics Act) (351/2003); and Yliopistolaki (Universities Act) (558/2009).
IT: Royal Decree 1592/1933 (Law on secondary education);
Law 243/1991 (Occasional public contribution for private universities);
Resolution 20/2003 of CNVSU (Comitato nazionale per la valutazione del sistema universitario); and
Decree of the President of the Republic (DPR) 25/1998.
SK: Act 245/2008 on education;
Act 131/2002 on Universities; and
Act 596/2003 on State Administration in Education and School Self- Administration.
Reservation No. 15 - Environmental services
Sector– sub-sector:
Environmental services – waste and soil management
Industry classification:
CPC 9401, 9402, 9403, 94060
Type of reservation:
Market access
Chapter:
Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
In DE: The supply of waste management services other than advisory services, and with respect to services relating to the protection of soil and the management of contaminated soils, other than advisory services.
Reservation No. 16 - Financial services
Sector:
Financial services
Industry classification:
Not applicable
Type of reservation:
Market access
National treatment
Most-favoured-nation treatment
Senior management and boards of directors
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a)   All Financial Services
With respect to Investment liberalisation – Market access
The EU: the right to require a financial service supplier, other than a branch, when establishing in a Member State to adopt a specific legal form, on a non-discriminatory basis.
With respect to Cross-border trade in services – Market access, National treatment, Local presence
The EU: the right to adopt or maintain any measure with respect to the cross-border supply of all financial services other than:
In EU (except for BE, CY, EE, LT, LV, MT, PL, RO, SI):
(i)
direct insurance services (including co-insurance) and direct insurance intermediation for the insurance of risks relating to:
a.
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
b.
goods in international transit;
(ii)
reinsurance and retrocession;
(iii)
services auxiliary to insurance;
(iv)
the provision and transfer of financial information, and financial data processing and related software by suppliers of other financial services; and
(v)
advisory and other auxiliary financial services relating to banking and other financial services as described in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point.
In BE:
(i)
direct insurance services (including co-insurance) and direct insurance intermediation for the insurance of risks relating to:
a.
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
b.
goods in international transit;
(ii)
reinsurance and retrocession;
(iii)
services auxiliary to insurance;
(iv)
the provision and transfer of financial information, and financial data processing and related software by suppliers of other financial services;
In CY:
(i)
direct insurance services (including co-insurance) for the insurance of risks relating to:
a.
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
b.
goods in international transit;
(ii)
Insurance intermediation;
(iii)
Reinsurance and retrocession;
(iv)
Services auxiliary to insurance;
(v)
the trading for own account or for the account of customers, whether on an exchange or an over-the-counter market or otherwise of transferrable securities;
(vi)
the provision and transfer of financial information, and financial data processing and related software by suppliers of other financial services; and
(vii)
advisory and other auxiliary financial services, relating to banking and other financial services as described in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point.
In EE:
(i)
direct insurance (including co-insurance);
(ii)
reinsurance and retrocession;
(iii)
insurance intermediation;
(iv)
services auxiliary to insurance;
(v)
acceptance of deposits;
(vi)
lending of all types;
(vii)
financial leasing;
(viii)
all payment and money transmission services; guarantees and commitments;
(ix)
trading for own account or for account of customers, whether on an exchange, in an over-the-counter market;
(x)
participation in issues of all kinds of securities, including underwriting and placement as agent (whether publicly or privately) and provision of services related to such issues;
(xi)
money broking;
(xii)
asset management, such as cash or portfolio management, all forms of collective investment management, custodial, depository and trust services;
(xiii)
settlement and clearing services for financial assets, including securities, derivative products, and other negotiable instruments;
(xiv)
provision and transfer of financial information, and financial data processing and related software; and
(xv)
advisory and other auxiliary financial services relating to banking and other financial services as described in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point.
In LT:
(i)
direct insurance services (including co-insurance) for the insurance of risks relating to:
a.
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
b.
goods in international transit;
(ii)
reinsurance and retrocession;
(iii)
services auxiliary to insurance;
(iv)
acceptance of deposits;
(v)
lending of all types;
(vi)
financial leasing;
(vii)
all payment and money transmission services; guarantees and commitments;
(viii)
trading for own account or for account of customers, whether on an exchange, in an over-the-counter market;
(ix)
participation in issues of all kinds of securities, including underwriting and placement as agent (whether publicly or privately) and provision of services related to such issues;
(x)
money broking;
(xi)
asset management, such as cash or portfolio management, all forms of collective investment management, custodial, depository and trust services;
(xii)
settlement and clearing services for financial assets, including securities, derivative products, and other negotiable instruments;
(xiii)
provision and transfer of financial information, and financial data processing and related software; and
(xiv)
advisory and other auxiliary financial services relating to banking and other financial services as described in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point.
In LV:
(i)
direct insurance services (including co-insurance) for the insurance of risks relating to:
a.
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
b.
goods in international transit;
(ii)
reinsurance and retrocession;
(iii)
services auxiliary to insurance;
(iv)
participation in issues of all kinds of securities, including underwriting and placement as agent (whether publicly or privately) and provision of services related to such issues;
(v)
the provision and transfer of financial information, and financial data processing and related software by suppliers of other financial services; and
(vi)
advisory and other auxiliary financial services relating to banking and other financial services as described in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point.
In MT:
(i)
direct insurance services (including co-insurance) for the insurance of risks relating to:
a.
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
b.
goods in international transit;
(ii)
reinsurance and retrocession;
(iii)
services auxiliary to insurance;
(iv)
the acceptance of deposits;
(v)
lending of all types;
(vi)
the provision and transfer of financial information, and financial data processing and related software by suppliers of other financial services; and
(vii)
advisory and other auxiliary financial services relating to banking and other financial services as described in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point.
In PL:
(i)
direct insurance services (including co-insurance) for the insurance of risks relating to goods in international trade;
(ii)
reinsurance and retrocession of risks relating to goods in international trade;
(iii)
direct insurance services (including co-insurance and retrocession) and direct insurance intermediation for the insurance of risks relating to:
a.
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
b.
goods in international transit;
(iv)
the provision and transfer of financial information, and financial data processing and related software by suppliers of other financial services; and
(v)
advisory and other auxiliary financial services relating to banking and other financial services as described in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point.
In RO:
(i)
direct insurance services (including co-insurance) and direct insurance intermediation for the insurance of risks relating to:
a.
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
b.
goods in international transit;
(ii)
reinsurance and retrocession;
(iii)
services auxiliary to insurance;
(iv)
acceptance of deposits;
(v)
lending of all types;
(vi)
guarantees and commitments;
(vii)
money broking;
(viii)
the provision and transfer of financial information, and financial data processing and related software; and
(ix)
advisory and other auxiliary financial services relating to banking and other financial services as described in in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point.
In SI:
(i)
direct insurance services (including co-insurance) and direct insurance intermediation for the insurance of risks relating to:
a.
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
b.
goods in international transit;
(ii)
reinsurance and retrocession;
(iii)
services auxiliary to insurance;
(iv)
lending of all types;
(v)
the acceptance of guarantees and commitments from foreign credit institutions by domestic legal entities and sole proprietors;
(vi)
the provision and transfer of financial information, and financial data processing and related software by suppliers of other financial services; and
(ix)
advisory and other auxiliary financial services relating to banking and other financial services as described in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point.
(b)   Insurance and insurance-related services
With respect to Cross-border trade in services – Market access, National treatment:
In BG: Transport insurance, covering goods, insurance of vehicles as such and liability insurance regarding risks located in the Bulgaria may not be underwritten by foreign insurance companies directly.
In DE: If a foreign insurance company has established a branch in Germany, it may conclude insurance contracts in Germany relating to international transport only through the branch established in Germany.
Existing measures:
DE: Luftverkehrsgesetz (LuftVG); and
Luftverkehrszulassungsordnung (LuftVZO).
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
In ES: Residence is required, or alternatively to have two years of experience, for the actuarial profession.
With respect to Cross-border trade in services – Local presence:
In FI: The supply of insurance broker services is subject to a permanent place of business in the EU.
Only insurers having their head office in the European Union or having their branch in Finland may offer direct insurance services, including co-insurance.
Existing measures:
FI: Laki ulkomaisista vakuutusyhtiöistä (Act on Foreign Insurance Companies) (398/1995);
Vakuutusyhtiölaki (Insurance Companies Act) (521/2008);
Laki vakuutusten tarjoamisesta (Act on Insurance Distribution) (234/2018).
In FR: Insurance of risks relating to ground transport may be underwritten only by insurance firms established in the European Union.
Existing measures:
FR: Code des assurances.
In HU: Only legal persons of the EU and branches registered in Hungary may supply direct insurance services.
Existing measures:
HU: Act LX of 2003.
In IT: Transport insurance of goods, insurance of vehicles and liability insurance regarding risks located in Italy may be underwritten only by insurance companies established in the European Union, except for international transport involving imports into Italy.
Cross-border supply of actuarial services.
Existing measures:
IT: Article 29 of the code of private insurance (Legislative decree no. 209 of 7 September 2005), Law 194/1942 on the actuarial profession.
In PT: Air and maritime transport insurance, covering goods, aircraft, hull and liability can be underwritten only by enterprises legal persons of the European Union. Only natural persons of, or enterprises established in, the European Union may act as intermediaries for such insurance business in Portugal.
Existing measure:
PT: Article 3 of Law 147/2015, Article 8 of Law 7/2019.
With respect to Investment liberalisation – Market access, National treatment
In SK: Foreign nationals may establish an insurance company in the form of a joint stock company or may conduct insurance business through their branches having a registered office in the Slovak Republic. The authorisation in both cases is subject to the evaluation of the supervisory authority.
Existing measures:
SK: Act 39/2015 on Insurance.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access
In FI: At least one half of the members of the board of directors and the supervisory board, and the managing director of an insurance company providing statutory pension insurance shall have their place of residence in the EEA, unless the competent authorities have granted an exemption. Foreign insurers cannot obtain a licence in Finland as a branch to carry out statutory pension insurance. At least one auditor shall have his permanent residence in the EEA.
For other insurance companies, residency in the EEA is required for at least one member of the board of directors, the supervisory board and the managing director. At least one auditor shall have his permanent residence in the EEA. The general agent of an insurance company of the United Kingdom must have his place of residence in Finland, unless the company has its head office in the European Union.
Existing measures:
FI: Laki ulkomaisista vakuutusyhtiöistä (Act on Foreign Insurance Companies) (398/1995); Vakuutusyhtiölaki (Insurance Companies Act) (521/2008);
Laki vakuutusedustuksesta (Act on Insurance Mediation) (570/2005);
Laki vakuutusten tarjoamisesta (Act on Insurance Distribution) (234/2018) and
Laki työeläkevakuutusyhtiöistä (Act on Companies providing statutory pension insurance) (354/1997).
(c)   Banking and other Financial Services
With respect to Investment liberalisation – Market access and Cross-border trade in services – Local presence:
The EU: Only legal persons having their registered office in the Union can act as depositories of the assets of investment funds. The establishment of a specialised management company, having its head office and registered office in the same Member State, is required to perform the activities of management of common funds, including unit trusts, and where allowed under national law, investment companies.
Existing measures:
EU: Directive 2009/65/EC of the European Parliament and of the Council 
(
2
)
; and
Directive 2011/61/EU of the European Parliament and of the Council 
(
3
)
.
In EE: For acceptance of deposits, requirement of authorisation by the Estonian Financial Supervision Authority and registration under Estonian law as a joint-stock company, a subsidiary or a branch.
Existing measures:
EE: Krediidiasutuste seadus (Credit Institutions Act) § 206 and §21.
In SK: Investment services can only be provided by management companies which have the legal form of a joint-stock company with equity capital according to the law.
Existing measures:
SK: Act 566/2001 on Securities and Investment Services; and Act 483/2001 on Banks.
With respect to Investment liberalisation –National treatment, Senior management and board of directors
In FI: At least one of the founders, the members of the board of directors, the supervisory board, the managing director of banking services providers and the person entitled to sign the name of the credit institution shall have their permanent residence in the EEA. At least one auditor shall have his permanent residence in the EEA.
Existing measures:
FI: Laki liikepankeista ja muista osakeyhtiömuotoisista luottolaitoksista (Act on Commercial
Banks and Other Credit Institutions in the Form of a Limited Company) (1501/2001);
Säästöpankkilaki (1502/2001) (Savings Bank Act);
Laki osuuspankeista ja muista osuuskuntamuotoisista luottolaitoksista (1504/2001) (Act on Cooperative Banks and Other Credit Institutions in the Form of a Cooperative Bank);
Laki hypoteekkiyhdistyksistä (936/1978) (Act on Mortgage Societies);
Maksulaitoslaki (297/2010) (Act on Payment Institutions);
Laki ulkomaisen maksulaitoksen toiminnasta Suomessa (298/2010) (Act on the Operation of Foreign Payment Institution in Finland); and
Laki luottolaitostoiminnasta (Act on Credit Institutions) (121/2007).
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services - Local presence:
In IT: Services of "consulenti finanziari" (financial consultant). In providing the activity of door-to-door selling, intermediaries must utilise authorised financial salesmen resident within the territory of a Member State.
Existing measures:
IT: Articles 91-111 of Consob Regulation on Intermediaries (no. 16190 of 29 October 2007).
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Local presence:
In LT: Only banks having their registered office or branch in Lithuania and authorised to provide investment services in the EEA may act as the depositories of the assets of pension funds. At least one head of a bank's administration must speak the Lithuanian language.
Existing measures:
LT: Law on Banks of the Republic of Lithuania of 30 March 2004 No IX-2085, as amended by the Law No XIII-729 of 16 November 2017;
Law on Collective Investment Undertakings of the Republic of Lithuania of 4 July 2003 No IX-1709, as amended by the Law No XIII-1872 of 20 December 2018;
Law on Supplementary Voluntary Pension Accumulation of the Republic of Lithuania of 3 June 1999 No VIII-1212 (as revised in Law No XII-70 of 20 December 2012);
Law on Payments of the Republic of Lithuania of 5 June 2003 No. IX-1596, last amendment 17 of October 2019 Nr. XIII-2488
Law on Payment Institutions of the Republic of Lithuania of 10 December 2009 No. XI-549 (new version of the Law: No XIII-1093 of 17 April 2018)
With respect to Cross-border trade in services – Market access:
In FI: For payment services, residency or domicile in Finland may be required.
Reservation No. 17 - Health and social services
Sector:
Health and social services
Industry classification:
CPC 93, 931, other than 9312, part of 93191, 9311, 93192, 93193, 93199
Type of reservation:
Market access
National treatment
Most-favoured-nation treatment
Senior management and boards of directors
Performance requirements
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a)   Health services – hospital, ambulance, residential health services (CPC 93, 931, other than 9312, part of 93191, 9311, 93192, 93193, 93199)
With respect to Investment liberalisation - Market access, National treatment, Performance requirements, Senior management and boards of directors:
The EU: For the supply of all health services which receive public funding or State support in any form.
The EU: For all privately funded health services, other than privately funded hospital, ambulance, and residential health facilities services other than hospital services. The participation of private operators in the privately funded health network may be subject to concession on a non-discriminatory basis. An economic needs test may apply. Main criteria: number of and impact on existing establishments, transport infrastructure, population density, geographic spread, and creation of new employment.
This reservation does not relate to the supply of all health-related professional services, including the services supplied by professionals such as medical doctors, dentists, midwives, nurses, physiotherapists, paramedics, and psychologists, which are covered by other reservations (CPC 931 other than 9312, part of 93191).
In AT, PL and SI: The supply of privately funded ambulance services (CPC 93192).
In BE: the establishment of privately funded ambulance and residential health facilities services other than hospital services (CPC 93192, 93193).
In BG, CY, CZ, FI, MT and SK: The supply of privately-funded hospital, ambulance, and residential health services other than hospital services (CPC 9311, 93192, 93193).
In FI: Supply of other human health services (CPC 93199).
Existing measures:
CZ: Act No. 372/2011 Sb. on Health Care Services and Conditions of Their Provision.
FI: Laki yksityisestä terveydenhuollosta (Act on Private Health Care) (152/1990).
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment, Senior management and boards of directors, Performance requirements:
In DE: The supply of the Social Security System of Germany, where services may be provided by different companies or entities involving competitive elements which are thus not "Services carried out exclusively in the exercise of governmental authority". To accord better treatment in the context of a bilateral trade agreement with regard to the supply of health and social services (CPC 93).
With respect to Investment liberalisation – Market access, National treatment:
In DE: The ownership of hospitals run by the German Forces.
To nationalise other key privately funded hospitals (CPC 93110).
In FR: To the supply of privately funded laboratory analysis and testing services.
With respect to Cross-border trade in services – Market access, National treatment:
In FR: The supply of privately funded laboratory analysis and testing services (part of CPC 9311).
Existing measures:
FR: Code de la Santé Publique
(b)   Health and social services, including pension insurance
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
The EU, with the exception of HU: The cross-border supply of health services, social services and activities or services forming part of a public retirement plan or statutory system of social security. This reservation does not relate to the supply of all health-related professional services, including the services provided by professionals such as medical doctors, dentists, midwives, nurses, physiotherapists, paramedics, and psychologists, which are covered by other reservations (CPC 931 other than 9312, part of 93191).
In HU: The cross-border supply of all hospital, ambulance, and residential health services other than hospital services, which receive public funding (CPC 9311, 93192, 93193).
(c)   Social services, including pension insurance
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements:
The EU: The supply of all social services which receive public funding or State support in any form and activities or services forming part of a public retirement plan or statutory system of social security. The participation of private operators in the privately funded social network may be subject to concession on a non-discriminatory basis. An economic needs test may apply. Main criteria: number of and impact on existing establishments, transport infrastructure, population density, geographic spread, and creation of new employment.
In BE, CY, DE, DK, EL, ES, FR, IE, IT and PT: The supply of privately funded social services other than services relating to convalescent and rest houses and old people's homes.
In CZ, FI, HU, MT, PL, RO, SK, and SI: The supply of privately funded social services.
In DE: The Social Security System of Germany, where services are provided by different companies or entities involving competitive elements and might therefore not fall under the definition of the "Services carried out exclusively in the exercise of governmental authority".
Existing measures:
FI: Laki yksityisistä sosiaalipalveluista (Private Social Services Act) (922/2011).
IE: Health Act 2004 (S. 39); and
Health Act 1970 (as amended –S.61A).
IT: Law 833/1978 Institution of the public health system;
Legislative Decree 502/1992 Organisation and discipline of the health field; and Law 328/2000 Reform of social services.
Reservation No. 18 - Tourism and travel related services
Sector:
Tourist guides services, health and social services
Industry classification:
CPC 7472
Type of reservation:
National treatment
Most-favoured-nation treatment
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
With respect to Investment liberalisation –National treatment and Cross-border trade in services – National treatment:
In FR: To require nationality of a Member State for the supply of tourist guide services.
With respect to Investment liberalisation – Most-favoured-nation treatment and Cross-border trade in services – Most-favoured-nation treatment:
In LT: In so far as the United Kingdom allows nationals of Lithuania to provide tourist guide services, Lithuania will allow nationals of the United Kingdom to provide tourist guide services under the same conditions.
Reservation No. 19 - Recreational, cultural and sporting services
Sector:
Recreational, cultural and sporting services
Industry classification:
CPC 962, 963, 9619, 964
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Performance requirements
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a)   Libraries, archives, museums and other cultural services (CPC963)
With respect to Investment liberalisation - Market access, National treatment, Performance requirements, Senior management and boards of director, and Cross-border trade in services – Market access, National treatment, Local presence:
The EU, with the exception of AT and, for investment liberalisation, in LT: The supply of library, archive, museum and other cultural services.
In AT and LT: A licence or concession may be required for establishment.
(b)   Entertainment services, theatre, live bands and circus services (CPC 9619, 964 other than 96492)
With respect to Cross-border trade in services – Market access, National treatment:
The EU, with the exception of AT and SE: The cross-border supply of entertainment services, including theatre, live bands, circus and discotheque services.
With respect to Investment liberalisation - Market access, National treatment, Performance requirements, Senior management and boards of director, and Cross-border trade in services – Market access, National treatment, Local presence:
In CY, CZ, FI, MT, PL, RO, SI and SK: With respect to the supply of entertainment services, including theatre, live bands, circus and discotheque services.
In BG: The supply of the following entertainment services: circus, amusement park and similar attraction services, ballroom, discotheque and dance instructor services, and other entertainment services.
In EE: The supply of other entertainment services except for cinema theatre services.
In LT and LV: The supply of all entertainment services other than cinema theatre operation services.
In CY, CZ, LV, PL, RO and SK: The cross-border supply of sporting and other recreational services.
(c)   News and press agencies (CPC 962)
With respect to Investment liberalisation – Market access, National treatment:
In FR: Foreign participation in existing companies publishing publications in the French language may not exceed 20 per cent of the capital or of voting rights in the company. The establishment of press agencies of the United Kingdom is subject to conditions set out in domestic regulation. The establishment of press agencies by foreign investors is subject to reciprocity.
Existing measures:
FR: Ordonnance n° 45-2646 du 2 novembre 1945 portant règlementation provisoire des agences de presse; and Loi n° 86-897 du 1 août 1986 portant réforme du régime juridique de la presse.
With respect to Cross-border trade in services – Market access:
In HU: For supply of news and press agencies services.
(d)   Gambling and betting services (CPC 96492)
With respect to Investment liberalisation - Market access, National treatment, Performance requirements, Senior management and boards of director, and Cross-border trade in services – Market access, National treatment, Local presence:
The EU: The supply of gambling activities, which involve wagering a stake with pecuniary value in games of chance, including in particular lotteries, scratch cards, gambling services offered in casinos, gambling arcades or licensed premises, betting services, bingo services and gambling services operated by and for the benefit of charities or non-profit-making organisations.
Reservation No. 20 - Transport services and auxiliary transport services
Sector:
Transport services
Type of reservation:
Market access
National treatment
Most-favoured-nation treatment
Senior management and boards of directors
Performance requirements
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a)   Maritime transport – any other commercial activity undertaken from a ship
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment:
The EU: The nationality of the crew on a seagoing or non-seagoing vessel.
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment, Senior management and boards of directors:
The EU, except LV and MT: Only EU natural or legal persons may register a vessel and operate a fleet under the national flag of the state of establishment (applies to all commercial marine activity undertaken from a seagoing ship, including fishing, aquaculture, and services incidental to fishing; international passenger and freight transportation (CPC 721); and services auxiliary to maritime transport).
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access:
In MT: Exclusive rights exist for the maritime link to mainland Europe through Italy with Malta (CPC 7213, 7214, part of 742, 745, part of 749).
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
In SK: Foreign investors must have their principal office in the Slovak Republic in order to apply for a licence enabling them to provide a service (CPC 722).
(b)   Auxiliary services to maritime transport
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment, Local presence:
The EU: The supply of pilotage and berthing services. For greater certainty, regardless of the criteria which may apply to the registration of ships in a Member State of the European Union, the European Union reserves the right to require that only ships registered on the national registers of Member States of the European Union may provide pilotage and berthing services (CPC 7452).
The EU, with the exception of LT and LV: Only vessels carrying the flag of a Member State of the European Union may provide pushing and towing services (CPC 7214).
With respect to Investment liberalisation – Market access and Cross-border trade in services –National treatment, Local presence:
In LT: Only juridical persons of Lithuania or juridical persons of a Member State of the
European Union with branches in Lithuania that have a Certificate issued by the Lithuanian Maritime Safety Administration may provide pilotage and berthing, pushing and towing services (CPC 7214, 7452).
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access, National treatment, Local presence:
In BE: Cargo handling services can only be operated by accredited workers, eligible to work in port areas designated by royal decree (CPC 741).
Existing measures:
BE: Loi du 8 juin 1972 organisant le travail portuaire;
Arrêté royal du 12 janvier 1973 instituant une Commission paritaire des ports et fixant sa dénomination et sa compétence;
Arrêté royal du 4 septembre 1985 portant agrément d'une organisation d'employeur (Anvers);
Arrêté royal du 29 janvier 1986 portant agrément d'une organisation d'employeur (Gand);
Arrêté royal du 10 juillet 1986 portant agrément d'une organisation d'employeur (Zeebrugge); Arrêté royal du 1er mars 1989 portant agrément d'une organisation d'employeur (Ostende); and
Arrêté royal du 5 juillet 2004 relatif à la reconnaissance des ouvriers portuaires dans les zones portuaires tombant dans le champ d'application de la loi du 8 juin 1972 organisant le travail portuaire, tel que modifié.
(c)   Auxiliary services to inland waterways transport
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment, Local presence, Most favoured-nation treatment:
The EU: Services auxiliary to inland waterways transportation.
(d)   Rail transport and auxiliary services to rail transport
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment, Local presence:
In EU: Railway passenger transportation (CPC 7111).
With respect to Investment liberalisation – Market access, and Cross-border trade in services – Market access, Local Presence:
In EU: Railway freight transportation (CPC 7112).
In LT: Maintenance and repair services of rail transport equipment are subject to a state monopoly (CPC 86764, 86769, part of 8868).
In SE (with respect only to Market access): Maintenance and repair services of rail transport equipment are subject to an economic needs test when an investor intends to establish its own terminal infrastructure facilities. Main criteria: space and capacity constraints (CPC 86764, 86769, part of 8868).
Existing measures:
EU: Directive 2012/34/EU of the European Parliament and of the Council 
(
4
)
.
SE: Planning and Building Act (2010:900).
(e)   Road transport (passenger transportation, freight transportation, international truck transport services) and services auxiliary to road transport
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
The EU: For road transport services covered by Heading Three of Part Two of this Agreement and Annex 31 to this Agreement.
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors:
The EU: For road transport services covered by Heading Three of Part Two of this Agreement and Annex 31 to this Agreement:
To limit the supply of cabotage within a Member State by foreign investors established in another Member State (CPC 712).
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment, Local presence:
The EU: For road transport services not covered by Heading Three of Part Two of this Agreement and Annex 31 to this Agreement:
(i)
to require establishment and to limit the cross-border supply of road transport services (CPC 712).
(ii)
to limit the supply of cabotage within a Member State by foreign investors established in another Member State (CPC 712).
(iii)
an economic needs test may apply to taxi services in the Union setting a limit on the number of service suppliers. Main criteria: local demand as provided in applicable laws (CPC 71221).
With respect to Investment liberalisation – Market access:
In BE: A maximum number of licences can be fixed by law (CPC 71221).
In IT: An economic needs test is applied to limousine services. Main criteria: number of and impact on existing establishments, population density, geographical spread, impact on traffic conditions and creation of new employment.
An economic needs test is applied to intercity bussing services. Main criteria: number of and impact on existing establishments, population density, geographical spread, impact on traffic conditions and creation of new employment.
An economic needs test is applied to the supply of freight transportation services. Main criteria: local demand (CPC 712).
In BG, DE: For passenger and freight transportation, exclusive rights or authorisations may only be granted to natural persons of the Union and to legal persons of the Union having their headquarters in the Union. (CPC 712).
In MT: For public bus service: The entire network is subject to a concession which includes a Public Service Obligation agreement to cater for certain social sectors (such as students and the elderly) (CPC 712).
With respect to Investment liberalisation – Market access, National treatment,
In FI: Authorisation is required to provide road transport services, which is not extended to foreign registered vehicles (CPC 712).
With respect to Investment liberalisation – Market access, National treatment:
In FR: The supply of intercity bussing services (CPC 712).
With respect to Investment liberalisation – Market access:
In ES: For passenger transportation, an economic needs test applies to services provided under CPC 7122. Main criteria: local demand. An economic needs test applies for intercity bussing services. Main criteria: number of and impact on existing establishments, population density, geographical spread, impact on traffic conditions and creation of new employment.
In SE: Maintenance and repair services of road transport equipment are subject to an economic needs test when a supplier intends to establish its own terminal infrastructure facilities. Main criteria: space and capacity constraints (CPC 6112, 6122, 86764, 86769, part of 8867).
In SK: For freight transportation, an economic needs test is applied. Main criteria: local demand (CPC 712).
With respect to Cross-border trade in services – Market access:
In BG: To require establishment for supporting services to road transport (CPC 744).
Existing measures:
EU: Regulation (EC) No 1071/2009 of the European Parliament and of the Council 
(
5
)
; Regulation (EC) No 1072/2009 of the European Parliament and of the Council 
(
6
)
; and Regulation (EC) No 1073/2009 of the European Parliament and of the Council 
(
7
)
.
FI: Laki kaupallisista tavarankuljetuksista tiellä (Act on Commercial Road Transport) 693/2006; Laki liikenteen palveluista (Act on Transport Services) 320/2017;
Ajoneuvolaki (Vehicles Act) 1090/2002.
IT: Legislative decree 285/1992 (Road Code and subsequent amendments) article 85;
Legislative Decree 395/2000 article 8 (road transport of passengers);
Law 21/1992 (Framework law on non-scheduled public road transport of passengers);
Law 218/2003 article 1 (transport of passenger through rented buses with driver); and Law 151/1981 (framework law on public local transport).
SE: Planning and Building Act (2010:900).
(f)   Space transport and rental of space craft
With respect to Investment liberalisation – Market access, National treatment, Performance requirements, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment, Local presence:
The EU: The supply of space transport services and the supply of rental of space craft services (CPC 733, part of 734).
(g)   Most-favoured-nation exemptions
With respect to Investment liberalisation – Most-favoured-nation treatment, and Cross-border trade in services – Most-favoured-nation treatment:
—
Transport (cabotage) other than maritime transport
In FI: According differential treatment to a country pursuant to existing or future bilateral agreements exempting vessels registered under the foreign flag of a specified other country or foreign registered vehicles from the general prohibition from providing cabotage transport (including combined transport, road and rail) in Finland on the basis of reciprocity (part of CPC 711, part of 712, part of 722).
—
Supporting services for maritime transport
In BG: In so far as the United Kingdom allows service suppliers from Bulgaria to supply cargo-handling services and storage and warehouse services in sea and river harbours, including services relating to containers and goods in containers, Bulgaria will allow service suppliers from the United Kingdom to supply cargo-handling services and storage and warehouse services in sea and river harbours, including services relating to containers and goods in containers under the same conditions (part of CPC 741, part of 742).
—
Rental or leasing of vessels
In DE: Chartering-in of foreign ships by consumers resident in Germany may be subject to a condition of reciprocity (CPC 7213, 7223, 83103).
—
Road and rail transport
The EU: To accord differential treatment to a country pursuant to existing or future bilateral agreements relating to international road haulage (including combined transport – road or rail) and passenger transport, concluded between the Union or the Member States and a third country (CPC 7111, 7112, 7121, 7122, 7123). That treatment may:
(a)
reserve or limit the supply of the relevant transport services between the contracting Parties or across the territory of the contracting Parties to vehicles registered in each contracting Party 
(
8
)
; or
(b)
provide for tax exemptions for such vehicles.
—
Road transport
In BG: Measures taken under existing or future agreements, which reserve or restrict the supply of these kinds of transportation services and specify the terms and conditions of this supply, including transit permits or preferential road taxes, in the territory of Bulgaria or across the borders of Bulgaria (CPC 7121, 7122, 7123).
In CZ: Measures that are taken under existing or future agreements, and which reserve or limit the supply of transport services and specify operating conditions, including transit permits or preferential road taxes of a transport services into, in, across and out of the Czech Republic to the contracting parties concerned (CPC 7121, 7122, 7123).
In ES: Authorisation for the establishment of a commercial presence in Spain may be refused to service suppliers whose country of origin does not accord effective market access to service suppliers of Spain (CPC 7123).
Existing measures:
Ley 16/1987, de 30 de julio, de Ordenación de los Transportes Terrestres.
In HR: Measures applied under existing or future agreements on international road transport and which reserve or limit the supply of transport services and specify operating conditions, including transit permits or preferential road taxes of transport services into, in, across and out of Croatia to the parties concerned (CPC 7121, 7122, 7123).
In LT: Measures that are taken under bilateral agreements and which set the provisions for transport services and specify operating conditions, including bilateral transit and other transport permits for transport services into, through and out of the territory of Lithuania to the contracting parties concerned, and road taxes and levies (CPC 7121, 7122, 7123).
In SK: Measures that are taken under existing or future agreements, and which reserve or limit the supply of transport services and specify operating conditions, including transit permits or preferential road taxes of a transport services into, in, across and out of the Slovak Republic to the contracting parties concerned (CPC 7121, 7122, 7123).
—
Rail transport
In BG, CZ and SK: For existing or future agreements, and which regulate traffic rights and operating conditions, and the supply of transport services in the territory of Bulgaria, the Czech Republic and Slovakia and between the countries concerned. (CPC 7111, 7112).
—
Air transport - Services auxiliary to air transport
The EU: According differential treatment to a third country pursuant to existing or future bilateral agreements relating to ground-handling services.
—
Road and rail transport
In EE: when according differential treatment to a country pursuant to existing or future bilateral agreements on international road transport (including combined transport-road or rail), reserving or limiting the supply of a transport services into, in, across and out of Estonia to the contracting Parties to vehicles registered in each contracting Party, and providing for tax exemption for such vehicles (part of CPC 711, part of 712, part of 721).
—
All passenger and freight transport services other than maritime and air transport
In PL: In so far as the United Kingdom allows the supply of transport services into and across the territory of the United Kingdom by passenger and freight transport suppliers of Poland, Poland will allow the supply of transport services by passenger and freight transport suppliers of the United Kingdom into and across the territory of Poland under the same conditions.
Reservation No. 21 - Agriculture, fishing and water
Sector:
Agriculture, hunting, forestry; fishing, aquaculture, services incidental to fishing; collection, purification and distribution of water
Industry classification:
ISIC Rev. 3.1 011, ISIC Rev. 3.1 012, ISIC Rev. 3.1 013, ISIC Rev. 3.1 014, ISIC Rev. 3.1 015, CPC 8811, 8812, 8813 other than advisory and consultancy services; ISIC Rev. 3.1 0501, 0502, CPC 882
Type of reservation:
Market access
National treatment
Most-favoured-nation treatment
Senior management and boards of directors
Performance requirements
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a)   Agriculture, hunting and forestry
With respect to Investment liberalisation – Market access, National treatment:
In HR: Agricultural and hunting activities.
In HU: Agricultural activities (ISIC Rev. 3.1 011, 3.1 012, 3.1 013, 3.1 014, 3.1 015, CPC 8811, 8812, 8813 other than advisory and consultancy services).
Existing measures:
HR: Agricultural Land Act (OG 20/18, 115/18, 98/19)
(b)   Fishing, aquaculture and services incidental to fishing (ISIC Rev. 3.1 0501, 0502, CPC 882)
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements, Most-favoured-nation treatment and Cross-border trade in services – Market access, National treatment, Most-favoured-nation treatment, Local presence:
The EU:
1.
In particular within the framework of the Common Fisheries Policy, and of fishing agreements with a third country, access to and use of the biological resources and fishing grounds situated in maritime waters coming under the sovereignty or the jurisdiction of Member States, or entitlements for fishing under a Member State fishing licence, including:
(a)
regulating the landing of catches by vessels flying the flag of the United Kingdom or a third country with respect to the quotas allocated to them or, only with respect to vessels flying the flag of a Member State, requiring that a proportion of the total catch is landed in Union ports;
(b)
determining a minimum size for a company in order to preserve both artisanal and coastal fishing vessels;
(c)
according differential treatment pursuant to existing or future bilateral agreements relating to fisheries; and
(d)
requiring the crew of a vessel flying the flag of a Member State to be nationals of Member States.
2.
A fishing vessel’s entitlement to fly the flag of a Member State only if:
(a)
it is wholly owned by:
(i)
companies incorporated in the Union; or
(ii)
Member State nationals;
(b)
its day-to-day operations are directed and controlled from within the Union; and
(c)
any charterer, manager or operator of the vessel is a company incorporated in the Union or a national of a Member State.
3.
A commercial fishing licence granting the right to fish in the territorial waters of a Member State may only be granted to vessels flying the flag of a Member State.
4.
The establishment of marine or inland aquaculture facilities.
5.
Point (a), (b), (c) (other than with respect to most-favoured nation treatment) and (d) of paragraph 1; point (a)(i), point (b) and (c) of paragraph 2 and paragraph 3 only apply to measures which are applicable to vessels or to enterprises irrespective of the nationality of their beneficial owners.
With respect to Investment liberalisation – Market access:
In FR: Nationals of non-European Union countries cannot participate in French maritime State property for fish, shellfish or algae farming.
With respect to Investment liberalisation – Market access, National treatment, Most-favoured nation treatment and Cross-border trade in services – Market access, National treatment:
In BG: The taking of marine and river-living resources, performed by vessels in the internal marine waters, and the territorial sea of Bulgaria, shall be performed by vessels flying the flag of Bulgaria. A foreign ship may not engage in commercial fishing in the exclusive economic zone save on the basis of an agreement between Bulgaria and the flag state. While passing through the exclusive economic zone, foreign fishing ships may not maintain their fishing gear in operational mode.
(c)   Collection, purification and distribution of water
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment, Local presence:
The EU: For activities, including services relating to the collection, purification and distribution of water to household, industrial, commercial or other users, including the supply of drinking water, and water management.
Reservation No. 22 - Energy related activities
Sector:
Production of energy and related services
Industry classification:
ISIC Rev. 3.1 10, 1110, 12, 120, 1200, 13, 14, 232, 233, 2330, 40, 401, 4010, 402, 4020, part of 4030, CPC 613, 62271, 63297, 7131, 71310, 742, 7422, part of 88, 887.
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Performance requirements
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a)   Energy services – general (ISIC Rev. 3.1 10, 1110, 13, 14, 232, 40, 401, 402, part of 403, 41; CPC 613, 62271, 63297, 7131, 742, 7422, 887 (other than advisory and consulting services))
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment, Local presence:
The EU: Where a Member State permits foreign ownership of a gas or electricity transmission system, or an oil and gas pipeline transport system, with respect to enterprises of the United Kingdom controlled by natural or legal persons of a third country which accounts for more than 5 per cent of the Union's oil, natural gas or electricity imports, in order to guarantee the security of the energy supply of the Union as a whole, or of an individual Member State. This reservation does not apply to advisory and consultancy services provided as services incidental to energy distribution.
This reservation does not apply to HR, HU and LT (for LT, only CPC 7131) with regard to the pipeline transport of fuels, nor to LV with regard to services incidental to energy distribution, nor to SI with regard to services incidental to the distribution of gas (ISIC Rev. 3.1 401, 402, CPC 7131, 887 other than advisory and consultancy services).
In CY: For the manufacture of refined petroleum products in so far as the investor is controlled by a natural or juridical person of a third country which accounts for more than 5 per cent of the Union's oil or natural gas imports, as well as to the manufacture of gas, distribution of gaseous fuels through mains on own account, the production, transmission and distribution of electricity, the pipeline transportation of fuels, services incidental to electricity and natural gas distribution other than advisory and consulting services, wholesale services of electricity, retailing services of motor fuel, electricity and non-bottled gas. Nationality and residency conditions applies for electricity related services. (ISIC Rev. 3.1 232, 4010, 4020, CPC 613, 62271, 63297, 7131, and 887 other than advisory and consulting services).
In FI: The transmission and distribution networks and systems of energy and of steam and hot water.
In FI: The quantitative restrictions in the form of monopolies or exclusive rights for the importation of natural gas, and for the production and distribution of steam and hot water. Currently, natural monopolies and exclusive rights exist (ISIC Rev. 3.1 40, CPC 7131, 887 other than advisory and consultancy services).
In FR: The electricity and gas transmission systems and oil and gas pipeline transport (CPC 7131).
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment, Local presence:
In BE: The energy distribution services, and services incidental to energy distribution (CPC 887 other than consultancy services).
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services –National treatment, Local presence:
In BE: For energy transmission services, regarding the types of legal entities and to the treatment of public or private operators to whom BE has conferred exclusive rights. Establishment is required within the Union (ISIC Rev. 3.1 4010, CPC 71310).
In BG: For services incidental to energy distribution (part of CPC 88).
In PT: For the production, transmission and distribution of electricity, the manufacturing of gas, the pipeline transportation of fuels, wholesale services of electricity, retailing services of electricity and non-bottled gas, and services incidental to electricity and natural gas distribution. Concessions for electricity and gas sectors are assigned only to limited companies with their headquarters and effective management in PT (ISIC Rev. 3.1 232, 4010, 4020, CPC 7131, 7422, 887 other than advisory and consulting services).
In SK: An authorisation is required for the production, transmission and distribution of electricity, manufacture of gas and distribution of gaseous fuels, production and distribution of steam and hot water, pipeline transportation of fuels, wholesale and retail of electricity, steam and hot water, and services incidental to energy distribution, including services in the area of energy efficiency, energy savings and energy audit. An economic needs test is applied and the application may be denied only if the market is saturated. For all those activities, an authorisation may only be granted to a natural person with permanent residency in the EEA or a legal person of the EEA.
With respect to Investment liberalisation – Market access, National treatment:
In BE: With the exception of the mining of metal ores and other mining and quarrying, enterprises controlled by natural or legal persons of a third country which accounts for more than 5 per cent of the European Union's oil or natural gas or electricity imports may be prohibited from obtaining control of the activity. Incorporation is required (no branching) (ISIC Rev. 3.1 10, 1110, 13, 14, 232, part of 4010, part of 4020, part of 4030).
Existing measures:
EU: Directive (EU) 2019/944 of the European Parliament and of the Council 
(
9
)
; and
Directive 2009/73/EC of the European Parliament and of the Council 
(
10
)
.
BG: Energy Act.
CY: The Regulation of the Electricity Market Laws of 2003 Law 122(I)/2003 as amended;
The Regulation of the Gas Market Laws of 2004, Law 183(I)/2004 as amended;
The Petroleum (Pipelines) Law, Chapter 273;
The Petroleum Law Chapter 272 as amended; and
The Petroleum and Fuel Specifications Laws of 2003, Law 148(I)/2003 as amended.
FI: Maakaasumarkkinalaki (Natural Gas Market Act) (508/2000); and Sähkömarkkinalaki (Electricity Market Act) (386/1995). Maakaasumarkkinalaki (Natural Gas Market Act) (587/2017)
FR: Code de l'énergie.
PT: Decree-Law 230/2012 and Decree-Law 231/2012, 26 October - Natural Gas; Decree-Law 215-A/2012, and Decree-Law 215-B/2012, 8 October – Electricity; and Decree-Law 31/2006, 15 February – Crude oil/Petroleum products.
SK: Act 51/1988 on Mining, Explosives and State Mining Administration;
Act 569/2007 on Geological Works;
Act 251/2012 on Energy; and Act 657/2004 on Thermal Energy.
(b)   Electricity (ISIC Rev. 3.1 40, 401; CPC 62271, 887 (other than advisory and consulting services))
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment:
In FI: The importation of electricity. With respect to cross-border trade, the wholesale and retail of electricity.
In FR: Only companies where 100 per cent of the capital is held by the French State, by another public sector organisation or by Electricité de France (EDF), may own and operate electricity transmission or distribution systems.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
In BG: For the production of electricity and the production of heat.
In PT: The activities of electricity transmission and distribution are carried out through exclusive concessions of public service.
With respect to Investment liberalisation – Market access, National treatment:
In BE: An individual authorisation for the production of electricity of a capacity of 25 MW or above requires establishment in the Union, or in another State which has a regime similar to that enforced by Directive 96/92/EC of the European Parliament and of the Council 
(
11
)
 in place, and where the company has an effective and continuous link with the economy.
The production of electricity within the offshore territory of BE is subject to concession and a joint venture obligation with a legal person of the Union, or with a legal person of a country having a regime similar to that of Directive 2003/54/EC of the European Parliament and of the Council 
(
12
)
, particularly with regard to conditions relating to the authorisation and selection.
Additionally, the legal person should have its central administration or its head office in a Member State of the European Union or a country meeting the above criteria, where it has an effective and continuous link with the economy.
The construction of electrical power lines which link offshore production to the transmission network of Elia requires authorisation and the company must meet the previously specified conditions, except for the joint venture requirement.
With respect to Cross-border trade in services – National treatment:
In BE: An authorisation is necessary for the supply of electricity by an intermediary having customers established in BE who are connected to the national grid system or to a direct line whose nominal voltage is higher than 70,000 volts. That authorisation may only be granted to a natural or legal person of the EEA.
With respect to Investment liberalisation – Market access:
In FR: For the production of electricity.
Existing measures:
BE: Arrêté Royal du 11 octobre 2000 fixant les critères et la procédure d'octroi des autorisations individuelles préalables à la construction de lignes directes;
Arrêté Royal du 20 décembre 2000 relatif aux conditions et à la procédure d'octroi des concessions domaniales pour la construction et l'exploitation d'installations de production d'électricité à partir de l'eau, des courants ou des vents, dans les espaces marins sur lesquels la Belgique peut exercer sa juridiction conformément au droit international de la mer; and Arrêté Royal du 12 mars 2002 relatif aux modalités de pose de câbles d'énergie électrique qui pénètrent dans la mer territoriale ou dans le territoire national ou qui sont installés ou utilisés dans le cadre de l'exploration du plateau continental, de l'exploitation des ressources minérales et autres ressources non vivantes ou de l'exploitation d'îles artificielles, d'installations ou d'ouvrages relevant de la juridiction belge.
Arrêté royal relatif aux autorisations de fourniture d'électricité par des intermédiaires et aux règles de conduite applicables à ceux-ci.
Arrêté royal du 12 juin 2001 relatif aux conditions générales de fourniture de gaz naturel et aux conditions d'octroi des autorisations de fourniture de gaz naturel.
FI: Maakaasumarkkinalaki (Natural Gas Market Act) (508/2000); and Sähkömarkkinalak (Electricity Market Act) 588/2013; Maakaasumarkkinalaki (Natural Gas Market Act) (587/2017)
FR: Code de l'énergie.
PT: Decree-Law 215-A/2012; and
Decree-Law 215-B/2012, 8 October – Electricity.
(c)   Fuels, gas, crude oil or petroleum products (ISIC Rev. 3.1 232, 40, 402; CPC 613, 62271, 63297, 7131, 71310, 742, 7422, part of 88, 887 (other than advisory and consulting services))
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment:
In FI: To prevent control or ownership of a liquefied natural gas (LNG) terminal (including those parts of the LNG terminal used for storage or re-gasification of LNG) by foreign natural or legal persons for energy security reasons.
In FR: Only companies where 100 per cent of the capital is held by the French State, by another public sector organisation or by ENGIE, may own and operate gas transmission or distribution systems for reasons of national energy security.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
In BE: For bulk storage services of gas, regarding the types of legal entities and the treatment of public or private operators to whom Belgium has conferred exclusive rights. Establishment is required within the Union for bulk storage services of gas (part of CPC 742).
In BG: For pipeline transportation, storage and warehousing of petroleum and natural gas, including transit transmission (CPC 71310, part of CPC 742).
In PT: For the cross-border supply of storage and warehousing services of fuels transported through pipelines (natural gas). Also, concessions relating to the transmission, distribution and underground storage of natural gas and the reception, storage and regasification terminal of LNG are awarded through contracts concession, following public calls for tenders (CPC 7131, CPC 7422).
With respect to Cross-border trade in services – Market access, National treatment:
In BE: The pipeline transport of natural gas and other fuels is subject to an authorisation requirement. An authorisation may only be granted to a natural or juridical person established in a Member State (in accordance with Article 3 of the AR of 14 May 2002).
Where the authorisation is requested by a company:
(a)
the company must be established in accordance with Belgian law, or the law of another Member State, or the law of a third country, which has undertaken commitments to maintain a regulatory framework similar to the common requirements specified in Directive 98/30/EC of the European Parliament and the Council 
(
13
)
; and
(b)
the company must hold its administrative seat, its principal establishment or its head office within a Member State, or a third country, which has undertaken commitments to maintain a regulatory framework similar to the common requirements specified in Directive 98/30/EC, provided that the activity of this establishment or head office represents an effective and continuous link with the economy of the country concerned (CPC 7131).
In BE: In general the supply of natural gas to customers (customers being both distribution companies and consumers whose overall combined consumption of gas arising from all points of supply attains a minimum level of one million cubic metres per year) established in Belgium is subject to an individual authorisation provided by the minister, except where the supplier is a distribution company using its own distribution network. Such an authorisation may only be granted to natural or legal persons of the European Union.
In CY: For the cross-border supply of storage and warehousing services of fuels transported through pipelines, and the retail sales of fuel oil and bottled gas other than by mail order (CPC 613, CPC 62271, CPC 63297, CPC 7131, CPC 742).
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access:
In HU: The supply of pipeline transport services requires establishment. Services may be provided through a Contract of Concession granted by the state or the local authority. The supply of this service is regulated by the Hungarian Concession Law (CPC 7131).
With respect to Cross-border trade in services – Market access:
In LT: For pipeline transportation of fuels and services auxiliary to pipeline transport of goods other than fuel.
Existing measures:
BE: Arrêté Royal du 14 mai 2002 relatif à l'autorisation de transport de produits gazeux et autres par canalisations; and
Loi du 12 avril 1965 relative au transport de produits gazeux et autres par canalisations (article 8.2).
BG: Energy Act.
CY: The Regulation of the Electricity Market Law of 2003, Law 122(I)/2003 as amended;
The Regulating of the Gas Market Laws of 2004, Law 183(I)/2004 as amended;
The Petroleum (Pipelines) Law, Chapter 273;
The Petroleum Law Chapter 272 as amended; and
The Petroleum and Fuel Specifications Laws of 2003, Law 148(I)/2003 as amended.
FI: Maakaasumarkkinalaki (Natural Gas Market Act) (508/2000); and Maakaasumarkkinalaki (Natural Gas Market Act) (587/2017).
FR: Code de l'énergie.
HU: Act XVI of 1991 about Concessions.
LT: Law on Natural Gas of the Republic of Lithuania of 10 October 2000 No VIII-1973.
PT: Decree-Law 230/2012 and Decree-Law 231/2012, 26 October - Natural Gas; Decree-Law 215-A/2012, and Decree-Law 215-B/2012, 8 October – Electricity; and Decree-Law 31/2006, 15 February – Crude oil/Petroleum products.
(d)   Nuclear (ISIC Rev. 3.1 12, 3.1 23, 120, 1200, 233, 2330, 40, part of 4010, CPC 887))
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment:
In DE: For the production, processing or transportation of nuclear material and generation or distribution of nuclear-based energy.
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, National treatment:
In AT and FI: for the production, processing distribution or transportation of nuclear material and generation or distribution of nuclear-based energy.
In BE: For the production, processing or transportation of nuclear material and generation or distribution of nuclear-based energy.
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements:
In HU and SE: For the processing of nuclear fuel and nuclear-based electricity generation.
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors:
In BG: For the processing of fissionable and fusionable materials or the materials from which they are derived, as well as to the trade therewith, to the maintenance and repair of equipment and systems in nuclear energy production facilities, to the transportation of those materials and the refuse and waste matter of their processing, to the use of ionising radiation, and on all other services relating to the use of nuclear energy for peaceful purposes (including engineering and consulting services and services relating to software etc.).
With respect to Investment liberalisation – Market access, National treatment:
In FR: These activities must respect the obligations of an Euratom Agreement.
Existing measures:
AT: Bundesverfassungsgesetz für ein atomfreies Österreich (Constitutional Act for a Non-nuclear Austria) BGBl. I Nr. 149/1999.
BG: Safe Use of Nuclear Energy Act.
FI: Ydinenergialaki (Nuclear Energy Act) (990/1987).
HU: Act CXVI of 1996 on Nuclear Energy; and
Government Decree Nr. 72/2000 on Nuclear Energy.
SE: The Swedish Environmental Code (1998:808); and Law on Nuclear Technology Activities (1984:3).
Reservation No. 23 - Other services not included elsewhere
Sector:
Other services not included elsewhere
Industry classification:
CPC 9703, part of CPC 612, part of CPC 621, part of CPC 625, part of 85990
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Performance requirements
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The EU reserves the right to adopt or maintain any measure with respect to the following:
(a)   Funeral, cremation services and undertaking services (CPC 9703)
With respect to Investment liberalisation – Market access, National treatment:
In FI: Cremation services and operation/maintenance of cemeteries and graveyards can only be performed by the state, municipalities, parishes, religious communities or non-profit foundations or societies.
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, National treatment, Local presence:
In DE: Only legal persons established under public law may operate a cemetery. The creation and operation of cemeteries and services related to funerals.
In PT: Commercial presence is required to provide funeral and undertaking services. EEA nationality is required in order to become a technical manager for entities providing funeral and undertaking services.
In SE: Church of Sweden or local authority monopoly on cremation and funeral services.
In CY, SI: Funeral, cremation and undertaking services.
Existing measures:
FI: Hautaustoimilaki (Act on Burial Service) (457/2003).
PT: Decree-Law 10/2015, of 16 January alterado p/ Lei 15/2018, 27 março.
SE: Begravningslag (1990:1144) (Act of Burials); Begravningsförordningen (1990:1147) (Ordinance of Burials).
(b)   Other business-related services
With respect to Cross-border trade in services – Market access:
In FI: Require establishment in Finland or elsewhere in the EEA in order to provide electronic identification services.
Existing measures:
FI: Laki vahvasta sähköisestä tunnistamisesta ja sähköisistä luottamuspalveluista 617/2009 (Act on Strong Electronic Identification and Electronic Trust Services 617/2009).
(c)   New services
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, National treatment, Local presence:
The EU: For the provision of new services other than those classified in the United Nations Provisional Central Product Classification (CPC), 1991.
Schedule of the United Kingdom
Reservation No. 1 – All sectors
Reservation No. 2 – Professional services (all professions except health related)
Reservation No. 3 – Professional services (health related and retail of pharmaceuticals)
Reservation No. 4 – Business services (collection agency services and credit reporting services)
Reservation No. 5 – Business services (placement services)
Reservation No. 6 – Business services (investigation services)
Reservation No. 7 – Business services (other business services)
Reservation No. 8 – Education services
Reservation No. 9 – Financial services
Reservation No. 10 – Health and social services
Reservation No. 11 – Recreational, cultural and sporting services
Reservation No. 12 – Transport services and auxiliary transport services
Reservation No. 13 – Fishing and water
Reservation No. 14 – Energy related activities
Reservation No. 15 – Other services not included elsewhere
Reservation No. 1 – All sectors
Sector:
All sectors
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Performance requirements
Local presence
Obligations for Legal Services
Chapter/ Section:
Investment liberalisation, Cross-border trade in services and Regulatory framework for legal services
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
(a)   Commercial presence
With respect to Investment liberalisation – Market access:
Services considered as public utilities at a national or local level may be subject to public monopolies or to exclusive rights granted to private operators.
Public utilities exist in sectors such as related scientific and technical consulting services, research and development (R&D) services on social sciences and humanities, technical testing and analysis services, environmental services, health services, transport services and services auxiliary to all modes of transport. Exclusive rights on such services are often granted to private operators, for instance operators with concessions from public authorities, subject to specific service obligations. Given that public utilities often also exist at the sub-central level, detailed and exhaustive sector-specific scheduling is not practical. This reservation does not apply to telecommunications and to computer and related services.
(b)   Most-favoured-nation treatment
With respect to Investment liberalisation – Most favoured nation treatment and Cross-Border Trade in Services – Most favoured nation treatment and Regulatory Framework for Legal Services – Obligations:
According differential treatment pursuant to any international investment treaties or other trade agreement in force or signed prior to entry into force of this Agreement.
According differential treatment to a country pursuant to any existing or future bilateral or multilateral agreement which:
(i)
creates an internal market in services and investment;
(ii)
grants the right of establishment; or
(iii)
requires the approximation of legislation in one or more economic sectors.
An internal market on services and establishment means an area without internal frontiers in which the free movement of services, capital and persons is ensured.
The right of establishment means an obligation to abolish in substance all barriers to establishment among the parties to the regional economic integration agreement by the entry into force of that agreement. The right of establishment shall include the right of nationals of the parties to the regional economic integration agreement to set up and operate enterprises under the same conditions provided for nationals under the law of the country where such establishment takes place.
The approximation of legislation means:
(i)
the alignment of the legislation of one or more of the parties to the regional economic integration agreement with the legislation of the other party or parties to that agreement; or
(ii)
the incorporation of common legislation into the law of the parties to the regional economic integration agreement.
Such alignment or incorporation shall take place, and shall be deemed to have taken place, only at such time that it has been enacted in the law of the party or parties to the regional economic integration agreement.
According differential treatment relating to the right of establishment to nationals or enterprises through existing or future bilateral agreements between the UK and any of the following countries or principalities: Andorra, Monaco, San Marino and the Vatican City State.
(c)   Arms, ammunitions and war material
With respect to Investment liberalisation – Market access, National treatment, Most favoured nation treatment, Senior management and boards of directors, Performance requirements and Cross-Border Trade in Services – Market access, Local presence, National treatment, Most favoured nation treatment:
Production or distribution of, or trade in, arms, munitions and war material. War material is limited to any product which is solely intended and made for military use in connection with the conduct of war or defence activities.
Reservation No. 2 – Professional services (all professions except health related)
Sector– sub-sector:
Professional services - legal services, auditing services
Industry classification:
Part of CPC 861, part of 87902, part of 862
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Local presence
Obligations for Legal Services
Chapter/ Section:
Investment liberalisation, Cross-border trade in services and Regulatory framework for legal services
Description:
(a)   Legal services
With respect to Investment liberalisation – Market access, Senior management and boards of directors, National treatment, Cross-border trade in services – Market access, Local presence, National treatment and Regulatory framework – for legal services – Obligations:
The UK reserves the right to adopt or maintain any measure with respect to the supply of legal advisory and legal authorisation, documentation, and certification services provided by legal professionals entrusted with public functions, such as notaries, and with respect to services provided by bailiffs (part of CPC 861, part of 87902).
(b)   Auditing services (CPC 86211, 86212 other than accounting and bookkeeping services)
With respect to Cross-border trade in services – Market access, Local presence, National treatment:
The UK reserves the right to adopt or maintain any measure with respect to the cross-border supply of auditing services.
Existing measures:
Companies Act 2006
Reservation No. 3 - Professional services (health related and retail of pharmaceuticals)
Sector:
Health related professional services and retail sales of pharmaceutical, medical and orthopaedic goods, other services provided by pharmacists
Industry classification:
CPC 63211, 85201, 9312, 9319, 93121
Type of reservation:
Market access
National treatment
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
(a)   Medical and dental services; services provided by midwives, nurses, physiotherapists, psychologists and paramedical personnel (CPC 63211, 85201, 9312, 9319)
With respect to Investment liberalisation – Market access:
Establishment for doctors under the National Health Service is subject to medical manpower planning (CPC 93121, 93122).
With respect to Cross-border trade in services – Market access, Local presence, National treatment:
The supply of all health-related professional services, including the services provided by professionals such as medical doctors, dentists, midwives, nurses, physiotherapists, paramedics, and psychologists, requires residency. These services may only be provided by natural persons physically present in the territory of the UK (CPC 9312, part of 93191).
The cross-border supply of medical, dental and midwives services and services provided by nurses, physiotherapists, psychologists and paramedical personnel (part of CPC 85201, 9312, part of 93191).
For service suppliers not physically present in the territory of the UK (part of CPC 85201, 9312, part of 93191).
(b)   Retail sales of pharmaceutical, medical and orthopaedic goods, other services provided by pharmacists (CPC 63211)
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access, Local presence:
Mail order is only possible from the UK, thus establishment in the UK is required for the retail of pharmaceuticals and specific medical goods to the general public in the UK.
With respect to Cross-border trade in services – Market access, Local presence, National treatment:
The cross-border retail sales of pharmaceuticals and of medical and orthopaedic goods, and other services supplied by pharmacists.
Reservation No. 4 – Business services (collection agency services and credit reporting services)
Sector– sub-sector:
Business services - collection agency services, credit reporting services
Industry classification:
CPC 87901, 87902
Type of reservation:
Market access
National treatment
Local presence
Chapter:
Cross-border trade in services
Description:
The UK reserves the right to adopt or maintain any measure with respect to the supply of collection agency services and credit reporting services.
Reservation No. 5 – Business services (placement services)
Sector– sub-sector:
Business Services – placement services
Industry classification:
CPC 87202, 87204, 87205, 87206, 87209
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
The supply of placement services of domestic help personnel, other commercial or industrial workers, nursing and other personnel (CPC 87204, 87205, 87206, 87209).
To require establishment and to prohibit the cross-border supply of placement services of office support personnel and other workers.
Reservation No. 6 – Business services (investigation services)
Sector – sub-sector:
Business Services – investigation services
Industry classification:
CPC 87301
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Performance requirements
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The UK reserves the right to adopt or maintain any measure with respect to the supply of investigation services (CPC 87301).
Reservation No. 7 – Business services (other business services)
Sector– sub-sector:
Business services – other business services
Industry classification:
CPC 86764, 86769, 8868, part of 8790
Type of reservation:
Market access
National treatment
Most favoured nation treatment
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
(a)   Maintenance and repair of vessels, rail transport equipment and aircraft and parts thereof (part of CPC 86764, CPC 86769, CPC 8868)
With respect to Cross-border trade in services – Market access, Local presence, National treatment:
To require establishment or physical presence in its territory and prohibiting the cross-border supply of maintenance and repair services of rail transport equipment from outside its territory.
To require establishment or physical presence in its territory and prohibiting the cross-border supply of maintenance and repair services of internal waterways transport vessels from outside its territory.
To require establishment or physical presence in its territory and prohibiting the cross-border supply of maintenance and repair services of maritime vessels from outside its territory.
To require establishment or physical presence in its territory and prohibiting the cross-border supply of maintenance and repair services of aircraft and parts thereof from outside its territory (part of CPC 86764, CPC 86769, CPC 8868).
Only recognised organisations authorised by the UK may carry out statutory surveys and certification of ships on behalf of the UK. Establishment may be required.
Existing measures:
Regulation (EC) 391/2009 of the European Parliament and the Council of 23 April 2009 on common rules and standards for ship inspection and survey organisations as retained in UK law by the European Union (Withdrawal) Act 2018, and as amended by the Merchant Shipping (Recognised Organisations) (Amendment) (EU Exit) Regulations 2019.
(b)   Other business services related to aviation
With respect to Investment liberalisation - Most favoured nation treatment and Cross-border trade in Services – Most favoured nation treatment:
According differential treatment to a third country pursuant to existing or future bilateral agreements relating to the following services:
(i)
aircraft repair and maintenance services;
(ii)
rental or leasing of aircraft without crew;
(iii)
computer reservation system (CRS) services;
(iv)
the following services provided using a manned aircraft, subject to compliance with the Parties' respective laws and regulations governing the admission of aircrafts to, departure from and operation within, their territory: aerial fire-fighting, flight training, spraying, surveying, mapping, photography, and other airborne agricultural, industrial and inspection services; and
(v)
the selling and marketing of air transport services.
Reservation No. 8 – Education services
Sector:
Education services
Industry classification:
CPC 92
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Performance requirements
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
All educational services which receive public funding or State support in any form, and are therefore not considered to be privately funded. Where the supply of privately funded education services by a foreign provider is permitted, participation of private operators in the education system may be subject to the granting of a concession allocated on a non-discriminatory basis.
The supply of privately funded other education services, which means other than those classified as being primary, secondary, higher and adult education services (CPC 929).
Reservation No. 9 – Financial services
Sector:
Financial services
Industry classification:
Type of reservation:
Market access
National treatment
Most-favoured-nation treatment
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
(a)   All financial services
With respect to Investment liberalisation – Market access:
To require a financial service supplier, other than a branch, when establishing in the UK to adopt a specific legal form, on a non-discriminatory basis.
With respect to Investment liberalisation – Most favoured nation treatment and Cross-border trade in services – Most favoured nation treatment:
According differential treatment to an investor or a financial services supplier of a third country pursuant to any bilateral or multilateral international investment treaty or other trade agreement.
(b)   Insurance and insurance-related services
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
For the supply of insurance and insurance-related services except for:
(i)
direct insurance services (including co-insurance) and direct insurance intermediation for the insurance of risks relating to:
—
maritime transport and commercial aviation and space launching and freight (including satellites), with such insurance to cover any or all of the following: the goods being transported, the vehicle transporting the goods, and any liability deriving therefrom; and
—
goods in international transit;
(ii)
Reinsurance and retrocession; and
(iii)
Services auxiliary to insurance.
(c)   Banking and other financial services
With respect to Investment liberalisation – Market access and Cross-border trade in services – Local presence:
Only firms having their registered office in the UK can act as depositories of the assets of investment funds. The establishment of a specialised management company, having its head office and registered office in the UK, is required to perform the activities of management of common funds, including unit trusts, and where allowed under national law, investment companies.
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
For the supply of banking and other financial services, except for:
(i)
the provision and transfer of financial information, and financial data processing and related software by suppliers of other financial services; and
(ii)
advisory and other auxiliary financial services relating to banking and other financial services as described in point (L) of the definition of banking and other financial services (excluding insurance) in Article 183(a)(ii) of this Agreement, but not intermediation as described in that point;
Reservation No. 10 – Health and social services
Sector:
Health and social services
Industry classification:
CPC 931 other than 9312, part of 93191
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Performance requirements
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
(a)   Health services – hospital, ambulance, residential health services (CPC 931 other than 9312, part of 93191)
With respect to Investment liberalisation - Market access, National treatment, Performance requirements, Senior management and boards of directors:
For the supply of all health services which receive public funding or State support in any form, and are therefore not considered to be privately funded.
All privately funded health services other than hospital services. The participation of private operators in the privately funded health network may be subject to concession on a non-discriminatory basis. An economic needs test may apply. Main criteria: number of and impact on existing establishments, transport infrastructure, population density, geographic spread, and creation of new employment.
This reservation does not relate to the supply of all health-related professional services, including the services supplied by professionals such as medical doctors, dentists, midwives, nurses, physiotherapists, paramedics, and psychologists, which are covered by other reservations (CPC 931 other than 9312, part of 93191).
(b)   Health and social services, including pension insurance
With respect to Cross-border trade in services – Market access, Local presence, National treatment:
Requiring establishment or physical presence in its territory of suppliers and restricting the cross-border supply of health services from outside its territory, the cross-border supply of social services from outside its territory, as well as activities or services forming part of a public retirement plan or statutory system of social security. This reservation does not relate to the supply of all health-related professional services, including the services provided by professionals such as medical doctors, dentists, midwives, nurses, physiotherapists, paramedics, and psychologists, which are covered by other reservations (CPC 931 other than 9312, part of 93191).
(c)   Social services, including pension insurance
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements:
The supply of all social services which receive public funding or State support in any form, and are therefore not considered to be privately funded, and activities or services forming part of a public retirement plan or statutory system of social security. The participation of private operators in the privately funded social network may be subject to concession on a non-discriminatory basis. An economic needs test may apply. Main criteria: number of and impact on existing establishments, transport infrastructure, population density, geographic spread, and creation of new employment.
The supply of privately funded social services other than services relating to convalescent and rest houses and old people's homes.
Reservation No. 11 – Recreational, cultural and sporting services
Sector:
Recreational, cultural and sporting services
Industry classification:
CPC 963, 9619, 964
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Performance requirements
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
(a)   Libraries, archives, museums and other cultural services (CPC 963)
The supply of library, archive, museum and other cultural services.
(b)   Entertainment services, theatre, live bands and circus services (CPC 9619, 964 other than 96492)
The cross-border supply of entertainment services, including theatre, live bands, circus and discotheque services.
(c)   Gambling and betting services (CPC 96492)
The supply of gambling activities, which involve wagering a stake with pecuniary value in games of chance, including in particular lotteries, scratch cards, gambling services offered in casinos, gambling arcades or licensed premises, betting services, bingo services and gambling services operated by and for the benefit of charities or non-profit-making organisations.
Reservation No. 12 – Transport services and auxiliary transport services
Sector:
Transport services
Type of reservation:
Market access
National treatment
Most favoured nation treatment
Senior management and boards of directors
Performance requirements
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
(a)   Maritime transport – any other commercial activity undertaken from a ship
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, Local presence, National treatment:
The nationality of the crew on a seagoing or non-seagoing vessel.
With respect to Investment liberalisation – Market access, National treatment, Most favoured nation treatment, Senior management and boards of directors:
For the purpose of registering a vessel and operating a fleet under the flag of the UK (all commercial marine activity undertaken from a seagoing ship, including fishing, aquaculture, and services incidental to fishing; international passenger and freight transportation (CPC 721); and services auxiliary to maritime transport). This reservation does not apply to legal persons incorporated in the UK and having an effective and continuous link to its economy.
(b)   Auxiliary services to maritime transport
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, Local presence, National treatment:
The supply of pilotage and berthing services. For greater certainty, regardless of the criteria which may apply to the registration of ships in the UK, the UK reserves the right to require that only ships registered on the national registers of the UK may provide pilotage and berthing services (CPC 7452).
Only vessels carrying the flag of the UK may provide pushing and towing services (CPC 7214).
(c)   Auxiliary services to inland waterways transport
With respect to Investment liberalisation – Market access, National treatment, Most favoured nation treatment, Senior management and boards of directors, Performance requirements and Cross-border trade in services – Market access, Local presence, National treatment, Most favoured nation treatment:
Services auxiliary to inland waterways transportation.
(d)   Rail transport and auxiliary services to rail transport
With respect to Investment liberalisation – Market access, National treatment and Cross-Border Trade in Services – Market access, Local presence, National treatment:
Railway passenger transportation (CPC 7111).
With respect to Investment liberalisation – Market access and Cross-border trade in services – Market access, Local presence:
Railway freight transportation (CPC 7112).
(e)   Road transport (passenger transportation, freight transportation, international truck transport services) and services auxiliary to road transport
With respect to Cross-border trade in services – Market access, National treatment, Local presence:
For road transport services covered by Heading Three of Part Two of this Agreement and Annex 31 to this Agreement.
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors and Cross-border trade in services – Market access, Local presence, National treatment:
For road transport services not covered by Heading Three of Part Two of this Agreement and Annex 31 to this Agreement:
(i)
to require establishment and to limit the cross-border supply of road transport services (CPC 712);
(ii)
an economic needs test may apply to taxi services in the UK setting a limit on the number of service suppliers. Main criteria: Local demand as provided in applicable laws (CPC 71221).
Existing measures:
Regulation (EC) No 1071/2009 of the European Parliament and of the Council of 21 October 2009 establishing common rules concerning the conditions to be complied with to pursue the occupation of road transport operator and repealing Council Directive 96/26/EC as retained in UK law by the European Union (Withdrawal) Act 2018 and as amended by the Licensing of Operators and International Road Haulage (Amendment etc.) (EU Exit) Regulations 2019;
Regulation (EC) No 1072/2009 of the European Parliament and of the Council of 21 October 2009 on common rules for access to the international road haulage market as retained in UK law by the European Union (Withdrawal) Act 2018 and as amended by the Licensing of Operators and International Road Haulage (Amendment etc.) (EU Exit) Regulations 2019; and
Regulation (EC) No 1073/2009 of the European Parliament and of the Council of 21 October 2009 on common rules for access to the international market for coach and bus services, and amending Regulation (EC) No 561/2006 as retained in UK law by the European Union (Withdrawal) Act 2018 and as amended by the Common Rules for Access to the International Market for Coach and Bus Services (Amendment etc.) (EU Exit) Regulations 2019.
(f)   Space transport and rental of space craft
With respect to Investment Liberalisation – Market access, National treatment, Performance requirements, Senior management and boards of directors and Cross-border trade in services – Market access, Local presence, National treatment:
Transportation services via space and the rental of space craft (CPC 733, part of 734).
(g)   Most-favoured-nation exemptions
With respect to Investment liberalisation – Most favoured nation treatment, and Cross-border trade in services – Most favoured nation treatment:
(i)
Road and rail transport
To accord differential treatment to a country pursuant to existing or future bilateral agreements relating to international road haulage (including combined transport – road or rail) and passenger transport, concluded between the UK and a third country (CPC 7111, 7112, 7121, 7122, 7123). That treatment may:
—
reserve or limit the supply of the relevant transport services between the contracting parties or across the territory of the contracting parties to vehicles registered in each contracting party; or
—
provide for tax exemptions for such vehicles.
(ii)
Air transport - Services auxiliary to air transport
According differential treatment to a third country pursuant to existing or future bilateral agreements relating to ground-handling services.
Reservation No. 13 – Fishing and water
Sector:
Fishing, aquaculture, services incidental to fishing; collection, purification and distribution of water
Industry classification:
ISIC Rev. 3.1 0501, 0502, CPC 882, ISIC Rev. 3.1 41
Type of reservation:
Market access
National treatment
Most-favoured-nation treatment
Senior management and boards of directors
Performance requirements
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The UK reserves the right to adopt or maintain any measure with respect to the following:
(a)   Fishing, aquaculture and services incidental to fishing (ISIC Rev. 3.1 0501, 0502, CPC 882)
With respect to Investment liberalisation – Market access, National treatment, Senior management and boards of directors, Performance requirements, Most favoured nation treatment and Cross-border trade in services – Market access, National treatment, Local presence, Most favoured nation treatment:
1.
In particular within the framework of United Kingdom fisheries policy, and of fishing agreements with a third country, access to and use of biological resources and fishing grounds situated in the maritime waters coming under the sovereignty or jurisdiction of the United Kingdom, or entitlements for fishing under a United Kingdom fishing licence, including:
(a)
regulating the landing of catches by vessels flying the flag of a Member State or a third country with respect to the quotas allocated to them or, only with respect to vessels flying the flag of the United Kingdom, requiring that a proportion of the total catch is landed in United Kingdom ports;
(b)
determining a minimum size for a company in order to preserve both artisanal and coastal fishing vessels;
(c)
according differential treatment pursuant to existing or future international agreements relating to fisheries; and
(d)
requiring the crew of a vessel flying the flag of the United Kingdom to be United Kingdom nationals.
2.
A fishing vessel’s entitlement to fly the flag of the United Kingdom only if:
(a)
it is wholly owned by:
(i)
companies incorporated in the United Kingdom; or
(ii)
United Kingdom nationals;
(b)
its day-to-day operations are directed and controlled from within the United Kingdom; and
(c)
any charterer, manager or operator of the vessel is a company incorporated in the United Kingdom or a United Kingdom national.
3.
A commercial fishing licence granting the right to fish in the territorial waters of the United Kingdom may only be granted to vessels flying the flag of the United Kingdom.
4.
The establishment of marine or inland aquaculture facilities.
5.
Point (a), (b), (c) (other than with respect to most-favoured nation treatment) and (d) of paragraph 1, point (a)(i), point (b) and (c) of paragraph 2 and paragraph 3 only apply to measures which are applicable to vessels or to enterprises irrespective of the nationality of their beneficial owners.
(b)   Collection, purification and distribution of water
With respect to Investment liberalisation – Market access, National treatment and Cross-border trade in services – Market access, Local presence, National treatment:
For activities, including services relating to the collection, purification and distribution of water to household, industrial, commercial or other users, including the supply of drinking water, and water management.
Reservation No. 14 – Energy related activities
Sector:
Production of energy and related services
Industry classification:
ISIC Rev. 3.1 401, 402, CPC 7131, CPC 887 (other than advisory and consulting services).
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Performance requirements
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The UK reserves the right to adopt or maintain any measure, where the UK permits foreign ownership of a gas or electricity transmission system, or an oil and gas pipeline transport system, with respect to enterprises of the Union controlled by natural persons or enterprises of a third country which accounts for more than 5 per cent of the UK's oil, natural gas or electricity imports, in order to guarantee the security of the energy supply of the UK. This reservation does not apply to advisory and consultancy services provided as services incidental to energy distribution.
Reservation No. 15 – Other services not included elsewhere
Sector:
Other services not included elsewhere
Type of reservation:
Market access
National treatment
Senior management and boards of directors
Performance requirements
Local presence
Chapter:
Investment liberalisation and Cross-border trade in services
Description:
The UK reserves the right to adopt or maintain any measure with respect to the provision of new services other than those classified in the United Nations Provisional Central Product Classification (CPC), 1991.
(
1
)
  Regulation (EC) No 391/2009 of the European Parliament and the Council of 23 April 2009 on common rules and standards for ship inspection and survey organisations (
OJ EU L 131 28.5.2009, p. 11
).
(
2
)
  Directive 2009/65/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS) (
OJ EU L 302, 17.11.2009, p. 32
).
(
3
)
  Directive 2011/61/EU of the European Parliament and of the Council of 8 June 2011 on Alternative Investment Fund Managers and amending Directives 2003/41/EC and 2009/65/EC and Regulations (EC) No 1060/2009 and (EU) No 1095/2010 (
OJ EU L 174, 1.7.2011, p. 1
).
(
4
)
  Directive 2012/34/EU of the European Parliament and of the Council of 21 November 2012 establishing a single European railway area (
OJ EU L 343 14.12.2012, p. 32
).
(
5
)
  Regulation (EC) No 1071/2009 of the European Parliament and of the Council of 21 October 2009 establishing common rules concerning the conditions to be complied with to pursue the occupation of road transport operator and repealing Council Directive 96/26/EC (
OJ EU L 300, 14.11.2009, p. 51
).
(
6
)
  Regulation (EC) No 1072/2009 of the European Parliament and of the Council of 21 October 2009 on common rules for access to the international road haulage market (
OJ EU L 300, 14.11.2009, p. 72
).
(
7
)
  Regulation (EC) No 1073/2009 of the European Parliament and of the Council of 21 October 2009 on common rules for access to the international market for coach and bus services, and amending Regulation (EC) No 561/2006 (
OJ EU L 300 14.11.2009, p. 88
).
(
8
)
  With regard to Austria the part of the most-favoured-nation treatment exemption regarding traffic rights covers all countries with whom bilateral agreements on road transport or other arrangements relating to road transport exist or may be considered in future.
(
9
)
  Directive (EU) 2019/944 of the European Parliament and of the Council of 5 June 2019 on common rules for the internal market for electricity and amending Directive 2012/27/EU (
OJ EU L 158, 14.6.2019, p. 125
).
(
10
)
  Directive 2009/73/EC of the European Parliament and of the Council of 13 July 2009 concerning common rules for the internal market in natural gas and repealing Directive 2003/55/EC (
OJ EU L 211, 14.8.2009, p. 94
).
(
11
)
  Directive 96/92/EC of the European Parliament and of the Council of 19 December 1996 concerning common rules for the internal market in electricity (
OJ EU L 27, 30.1.1997, p. 20
).
(
12
)
  Directive 2003/54/EC of the European Parliament and of the Council of 26 June 2003 concerning common rules for the internal market in electricity and repealing Directive 96/92/EC (
OJ EU L 176, 15.7.2003, p. 37
).
(
13
)
  Directive 98/30/EC of the European Parliament and the Council of 22 June 1998 concerning common rules for the internal market in natural gas (
OJ EU L 204, 21.7.1998, p. 1
).
ANNEX 21
BUSINESS VISITORS FOR ESTABLISHMENT PURPOSES, INTRA-CORPORATE TRANSFEREES AND SHORT-TERM BUSINESS VISITORS
1.
A measure listed in this Annex may be maintained, continued, promptly renewed, or amended, provided that the amendment does not decrease the conformity of the measure with Articles 141 and 142 of this Agreement, as it existed immediately before the amendment.
2.
Articles 141 and 142 of this Agreement do not apply to any existing non-conforming measure listed in this Annex, to the extent of the non-conformity.
3.
The schedules in paragraphs 6, 7 and 8 apply only to the territories of the United Kingdom and the Union in accordance with Article 520(2) and Article 774 of this Agreement and are only relevant in the context of trade relations between the Union and its Member States with the United Kingdom. They do not affect the rights and obligations of the Member States under Union law.
4.
For greater certainty, for the Union, the obligation to grant national treatment does not entail the requirement to extend to natural or legal persons of the United Kingdom the treatment granted in a Member State, in application of the Treaty on the Functioning of the European Union, or of any measure adopted pursuant to that Treaty, including their implementation in the Member States, to:
(i)
natural persons or residents of another Member State; or
(ii)
legal persons constituted or organised under the law of another Member State or of the Union and having their registered office, central administration or principal place of business in the Union.
5.
The following abbreviations are used in the paragraphs below:
AT
Austria
BE
Belgium
BG
Bulgaria
CY
Cyprus
CZ
Czechia
DE
Germany
DK
Denmark
EE
Estonia
EL
Greece
ES
Spain
EU
European Union, including all its Member States
FI
Finland
FR
France
HR
Croatia
HU
Hungary
IE
Ireland
IT
Italy
LT
Lithuania
LU
Luxembourg
LV
Latvia
MT
Malta
NL
The Netherlands
PL
Poland
PT
Portugal
RO
Romania
SE
Sweden
SI
Slovenia
SK
Slovak Republic
6.
The Union's non-conforming measures are:
Business visitors for establishment purposes
All sectors
AT, CZ: Business visitor for establishment purposes needs to work for an enterprise other than a non-profit organisation, otherwise: Unbound.
SK: Business visitor for establishment purposes needs to work for an enterprise other than a non-profit organisation, otherwise: Unbound. Work permit required, including economic needs test.
CY: Permissible length of stay: up to 90 days in any twelve month period. Business visitor for establishment purposes needs to work for an enterprise other than a non-profit organisation, otherwise: Unbound.
Intra-corporate transferees
All sectors
EU: Until 31 December 2022 any charge, fee or tax imposed by a Party (other than fees associated with the processing of a visa, work permit, or residency permit application or renewal) on the grounds of being allowed to perform an activity or to hire a person who can perform such activity in the territory of a Party, unless it is a requirement consistent with Article 140(3) of this Agreement, or a health fee under national legislation in connection with an application for a permit to enter, stay, work, or reside in the territory of a Party.
AT, CZ, SK: Intra-corporate transferees need to be employed by an enterprise other than a non-profit organisation, otherwise: Unbound.
FI: Senior personnel needs to be employed by an enterprise other than a non-profit organisation.
HU: Natural persons who have been a partner in an enterprise do not qualify to be transferred as intra-corporate transferees.
Short-term business visitors
All activities referred to in paragraph 8:
CY, DK, HR: Work permit, including economic needs test, required in case the short-term business visitor supplies a service.
LV: Work permit required for operations/activities to be performed on the basis of a contract.
MT: Work permit required. No economic needs tests performed.
SI: A single residency and work permit is required for the supply of services exceeding 14 days at a time and for certain activities (research and design; training seminars; purchasing; commercial transactions; translation and interpretation). An economic needs test is not required.
SK: In case of supplying a service in the territory of Slovakia, a work permit, including economic needs test, is required beyond seven days in a month or 30 days in calendar year.
Research and design
AT: Work permit, including economic needs test, required, except for research activities of scientific and statistical researchers.
Marketing research
AT: Work permit required, including economic needs test. Economic needs test is waived for research and analysis activities for up to seven days in a month or 30 days in a calendar year. University degree required.
CY: Work permit required, including economic needs test.
Trade fairs and exhibitions
AT, CY: Work permit, including economic needs test, required for activities beyond seven days in a month or 30 days in a calendar year.
After-sales or after-lease service
AT: Work permit required, including economic needs test. Economic needs test is waived for natural persons training workers to supply services and possessing specialisedge knowledge.
CY, CZ : Work permit is required beyond seven days in a month or 30 days in calendar year.
ES: Installers, repair and maintainers should be employed as such by the legal person supplying the good or service or by an enterprise which is a member of the same group as the originating legal person for at least three months immediately preceding the date of submission of an application for entry and they should possess at least 3 years of relevant professional experience, where applicable, obtained after the age of majority.
FI: Depending on the activity, a residence permit may be required.
SE: Work permit required, except for (i) natural persons who participate in training, testing, preparation or completion of deliveries, or similar activities within the framework of a business transaction, or (ii) fitters or technical instructors in connection with urgent installation or repair of machinery for up to two months, in the context of an emergency. No economic needs test required.
Commercial transactions
AT, CY: Work permit, including economic needs test, required for activities beyond seven days in a month or 30 days in a calendar year.
FI: The natural person needs to be supplying services as an employee of a legal person of the other Party.
Tourism personnel
CY, ES, PL: Unbound.
FI: The natural person needs to be supplying services as an employee of a legal person of the other Party.
SE: Work permit required, except for drivers and staff of tourist buses. No economic needs test required.
Translation and interpretation
AT: Work permit required, including economic needs test.
CY, PL: Unbound.
7.
The United Kingdom's non-conforming measures are:
Business visitors for establishment purposes
All sectors
Business visitor for establishment purposes needs to work for an enterprise other than a non-profit organisation, otherwise: Unbound.
Intra-corporate transferees
All sectors
Intra-corporate transferees need to be employed by an enterprise other than a non-profit organisation, otherwise: Unbound.
Until 31 December 2022 any charge, fee or tax imposed by a Party (other than fees associated with the processing of a visa, work permit, or residency permit application or renewal) on the grounds of being allowed to perform an activity or to hire a person who can perform such activity in the territory of a Party, unless it is a requirement consistent with Article 140(3) of this Agreement, or a health fee under national legislation in connection with an application for a permit to enter, stay, work, or reside in the territory of a Party.
Short-term business visitors
All activities referred to in paragraph 8:
None
8.
The activities Short-term business visitors are permitted to engage in are:
(a)
meetings and consultations: natural persons attending meetings or conferences, or engaged in consultations with business associates;
(b)
research and design: technical, scientific and statistical researchers conducting independent research or research for a legal person of the Party of which the Short-term business visitor is a natural person;
(c)
marketing research: market researchers and analysts conducting research or analysis for a legal person of the Party of which the Short-term business visitor is a natural person;
(d)
training seminars: personnel of an enterprise who enter the territory being visited by the Short-term business visitor to receive training in techniques and work practices which are utilised by companies or organisations in the territory being visited by the Short-term business visitor, provided that the training received is confined to observation, familiarisation and classroom instruction only;
(e)
trade fairs and exhibitions: personnel attending a trade fair for the purpose of promoting their company or its products or services;
(f)
sales: representatives of a supplier of services or goods taking orders or negotiating the sale of services or goods or entering into agreements to sell services or goods for that supplier, but not delivering goods or supplying services themselves. Short-term business visitors shall not engage in making direct sales to the general public;
(g)
purchasing: buyers purchasing goods or services for an enterprise, or management and supervisory personnel, engaging in a commercial transaction carried out in the territory of the Party of which the Short-term business visitor is a natural person;
(h)
after-sales or after-lease service: installers, repair and maintenance personnel and supervisors, possessing specialised knowledge essential to a seller's contractual obligation, supplying services or training workers to supply services pursuant to a warranty or other service contract incidental to the sale or lease of commercial or industrial equipment or machinery, including computer software, purchased or leased from a legal person of the Party of which the Short-term business visitor is a natural person throughout the duration of the warranty or service contract;
(i)
commercial transactions: management and supervisory personnel and financial services personnel (including insurers, bankers and investment brokers) engaging in a commercial transaction for a legal person of the Party of which the Short-term business visitor is a natural person;
(j)
tourism personnel: tour and travel agents, tour guides or tour operators attending or participating in conventions or accompanying a tour that has begun in the territory of the Party of which the Short-term business visitor is a natural person; and
(k)
translation and interpretation: translators or interpreters supplying services as employees of a legal person of the Party of which the Short-term business visitor is a natural person.
ANNEX 22
CONTRACTUAL SERVICE SUPPLIERS AND INDEPENDENT PROFESSIONALS
1.
Each Party shall allow the supply of services in its territory by contractual service suppliers or independent professionals of the other Party through the presence of natural persons, in accordance with Article 143 of this Agreement, for the sectors listed in this Annex and subject to the relevant limitations.
2.
The list below is composed of the following elements:
(a)
the first column indicating the sector or sub-sector for which the category of contractual service suppliers and independent professionals is liberalised; and
(b)
the second column describing the applicable limitations.
3.
In addition to the list of reservations in this Annex, each Party may adopt or maintain a measure relating to qualification requirements, qualification procedures, technical standards, licensing requirements or licensing procedures that does not constitute a limitation within the meaning of Article 143 of this Agreement. These measures, which include requirements to obtain a licence, obtain recognition of qualifications in regulated sectors or to pass specific examinations, such as language examinations, even if not listed in this Annex, apply in any case to contractual service suppliers or independent professionals of the Parties.
4.
The Parties do not undertake any commitment for contractual service suppliers and independent professionals in economic activities which are not listed.
5.
In identifying individual sectors and sub-sectors: CPC means the Central Products Classification as set out in Statistical Office of the United Nations, Statistical Papers, Series M, N° 77, CPC prov., 1991.
6.
In the sectors where economic needs tests are applied, their main criteria will be the assessment of:
(a)
for the United Kingdom, the relevant market situation in the United Kingdom; and
(b)
for the Union, the relevant market situation in the Member State or the region where the service is to be provided, including with respect to the number of, and the impact on, services suppliers who are already supplying a service when the assessment is made.
7.
The schedules in paragraphs 10 to 13 apply only to the territories of the United Kingdom and the Union in accordance with Article 520(2) and Article 774 of this Agreement and are only relevant in the context of trade relations between the Union and its Member States with the United Kingdom. They do not affect the rights and obligations of the Member States under Union law.
8.
For greater certainty, for the Union, the obligation to grant national treatment does not entail the requirement to extend to natural or legal persons of the United Kingdom the treatment granted in a Member State, in application of the Treaty on the Functioning of the European Union, or of any measure adopted pursuant to that Treaty, including their implementation in the Member States, to:
(i)
natural persons or residents of another Member State; or
(ii)
legal persons constituted or organised under the law of another Member State or of the Union and having their registered office, central administration or principal place of business in the Union.
9.
The following abbreviations are used in the lists below:
AT
Austria
BE
Belgium
BG
Bulgaria
CY
Cyprus
CZ
Czechia
DE
Germany
DK
Denmark
EE
Estonia
EL
Greece
ES
Spain
EU
European Union, including all its Member States
FI
Finland
FR
France
HR
Croatia
HU
Hungary
IE
Ireland
IT
Italy
LT
Lithuania
LU
Luxembourg
LV
Latvia
MT
Malta
NL
The Netherlands
PL
Poland
PT
Portugal
RO
Romania
SE
Sweden
SI
Slovenia
SK
Slovak Republic
CSS
Contractual Service Suppliers
IP
Independent Professionals
Contractual Service Suppliers
10.
Subject to the list of reservations in paragraphs 12 and 13, the Parties take commitments in accordance with Article 143 of this Agreement with respect to the mode 4 category of Contractual Service Suppliers in the following sectors or sub-sectors:
(a)
Legal advisory services in respect of public international law and home jurisdiction law;
(b)
Accounting and bookkeeping services;
(c)
Taxation advisory services;
(d)
Architectural services and urban planning and landscape architectural services;
(e)
Engineering services and integrated engineering services;
(f)
Medical and dental services;
(g)
Veterinary services;
(h)
Midwives services;
(i)
Services provided by nurses, physiotherapists and paramedical personnel;
(j)
Computer and related services;
(k)
Research and development services;
(l)
Advertising services;
(m)
Market research and opinion polling;
(n)
Management consulting services;
(o)
Services related to management consulting;
(p)
Technical testing and analysis services;
(q)
Related scientific and technical consulting services;
(r)
Mining;
(s)
Maintenance and repair of vessels;
(t)
Maintenance and repair of rail transport equipment;
(u)
Maintenance and repair of motor vehicles, motorcycles, snowmobiles and road transport equipment;
(v)
Maintenance and repair of aircrafts and parts thereof;
(w)
Maintenance and repair of metal products, of (non office) machinery, of (non transport and non office) equipment and of personal and household goods;
(x)
Translation and interpretation services;
(y)
Telecommunication services;
(z)
Postal and courier services;
(aa)
Construction and related engineering services;
(bb)
Site investigation work;
(cc)
Higher education services;
(dd)
Services relating to agriculture, hunting and forestry;
(ee)
Environmental services;
(ff)
Insurance and insurance related services advisory and consulting services;
(gg)
Other financial services advisory and consulting services;
(hh)
Transport advisory and consulting services;
(ii)
Travel agencies and tour operators' services;
(jj)
Tourist guides services;
(kk)
Manufacturing advisory and consulting services.
Independent Professionals
11.
Subject to the list of reservations in paragraphs 12 and 13, the Parties take commitments in accordance with Article 143 of this Agreement with respect to the mode 4 category of Independent Professionals in the following sectors or sub-sectors:
(a)
Legal advisory services in respect of public international law and home jurisdiction law;
(b)
Architectural services and urban planning and landscape architectural services;
(c)
Engineering services and integrated engineering services;
(d)
Computer and related services;
(e)
Research and development services;
(f)
Market research and opinion polling;
(g)
Management consulting services;
(h)
Services related to management consulting;
(i)
Mining;
(j)
Translation and interpretation services;
(k)
Telecommunication services;
(l)
Postal and courier services
(m)
Higher education services;
(n)
Insurance related services advisory and consulting services;
(o)
Other financial services advisory and consulting services;
(p)
Transport advisory and consulting services;
(q)
Manufacturing advisory and consulting services.
12.
The Union's reservations are:
Sector or sub-sector
Description of reservations
All sectors
CSS and IP:
In AT: Maximum stay shall be for a cumulative period of not more than six months in any 12 month period or for the duration of the contract, whichever is less.
In CZ: Maximum stay shall be for a period of not more than 12 consecutive months or for the duration of the contract, whichever is less.
Legal advisory services in respect of public international law and home jurisdiction law
(part of CPC 861)
CSS:
In AT, BE, CY, DE, EE, EL, ES, FR, HR, IE, IT, LU, NL, PL, PT, SE: None.
In BG, CZ, DK, FI, HU, LT, LV, MT, RO, SI, SK: Economic needs test.
IP:
In AT, CY, DE, EE, FR, HR, IE, LU, LV, NL, PL, PT, SE: None.
In BE, BG, CZ, DK, EL, ES, FI, HU, IT, LT, MT, RO, SI, SK: Economic needs tests.
Accounting and bookkeeping services
(CPC 86212 other than "auditing services", 86213, 86219 and 86220)
CSS:
In AT, BE, DE, EE, ES, HR, IE, IT, LU, NL, PL, PT, SI, SE: None.
In BG, CZ, CY, DK, EL, FI, FR, HU, LT, LV, MT, RO, SK: Economic needs test.
IP:
EU: Unbound.
Taxation advisory services
(CPC 863)
 (
1
)
CSS:
In AT, BE, DE, EE, ES, FR, HR, IE, IT, LU, NL, PL, SI, SE: None.
In BG, CZ, CY, DK, EL, FI, HU, LT, LV, MT, RO, SK: Economic needs test.
In PT: Unbound.
IP:
EU: Unbound.
Architectural services
and
Urban planning and landscape architectural services
(CPC 8671 and 8674)
CSS:
In BE, CY, EE, ES, EL, FR, HR, IE, IT, LU, MT, NL, PL, PT, SI, SE: None.
In FI: None, except: The natural person must demonstrate that he or she possesses special knowledge relevant to the service being supplied.
In BG, CZ, DE, HU, LT, LV, RO, SK: Economic needs test.
In DK: Economic needs test, except for CSS stays of up to three months.
In AT: Planning services only, where: Economic needs test.
IP:
In CY, DE, EE, EL, FR, HR, IE, LU, LV, MT, NL, PL, PT, SI, SE: None.
In FI: None, except: The natural person must demonstrate that he or she possesses special knowledge relevant to the service being supplied.
In BE, BG, CZ, DK, ES, HU, IT, LT, RO, SK: Economic needs test.
In AT: Planning services only, where: Economic needs test.
Engineering services
and
Integrated engineering services
(CPC 8672 and 8673)
CSS:
In BE, CY, EE, ES, EL, FR, HR, IE, IT, LU, MT, NL, PL, PT, SI, SE: None.
In FI: None, except: The natural person must demonstrate that he or she possesses special knowledge relevant to the service being supplied.
In BG, CZ, DE, HU, LT, LV, RO, SK: Economic needs test.
In DK: Economic needs test, except for CSS stays of up to three months.
In AT: Planning services only, where: Economic needs test.
IP:
In CY, DE, EE, EL, FR, HR, IE, LU, LV, MT, NL, PL, PT, SI, SE: None.
In FI: None, except: The natural person must demonstrate that he or she possesses special knowledge relevant to the service being supplied.
In BE, BG, CZ, DK, ES, HU, IT, LT, RO, SK: Economic needs test.
In AT: Planning services only, where: Economic needs test.
Medical (including psychologists) and dental services
(CPC 9312 and part of 85201)
CSS:
In SE: None.
In CY, CZ, DE, DK, EE, ES, IE, IT, LU, MT, NL, PL, PT, RO, SI: Economic needs test.
In FR: Economic needs test, except for psychologists, where: Unbound.
In AT: Unbound, except for psychologists and dental services, where: Economic needs test.
In BE, BG, EL, FI, HR, HU, LT, LV, SK: Unbound.
IP:
EU: Unbound.
Veterinary services
(CPC 932)
CSS:
In SE: None.
In CY, CZ, DE, DK, EE, EL, ES, FI, FR, IE, IT, LT, LU, MT, NL, PL, PT, RO, SI: Economic needs test.
In AT, BE, BG, HR, HU, LV, SK: Unbound.
IP:
EU: Unbound.
Midwives services
(part of CPC 93191)
CSS:
In IE, SE: None.
In AT, CY, CZ, DE, DK, EE, EL, ES, FR, IT, LT, LV, LU, MT, NL, PL, PT, RO, SI: Economic needs test.
In BE, BG, FI, HR, HU, SK: Unbound.
IP:
EU: Unbound.
Services provided by nurses, physiotherapists and paramedical personnel
(part of CPC 93191)
CSS:
In IE, SE: None.
In AT, CY, CZ, DE, DK, EE, EL, ES, FR, IT, LT, LV, LU, MT, NL, PL, PT, RO, SI: Economic needs test.
In BE, BG, FI, HR, HU, SK: Unbound.
IP:
EU: Unbound.
Computer and related services
(CPC 84)
CSS:
In BE, DE, EE, EL, ES, FR, HR, IE, IT, LU, LV, MT, NL, PL, PT, SI, SE: None.
In FI: None, except: The natural person must demonstrate that he or she possesses special knowledge relevant to the service being supplied.
In AT, BG, CZ, CY, HU, LT, RO, SK: Economic needs test.
In DK: Economic needs test except for CSS stays of up to three months.
IP:
In DE, EE, EL, FR, IE, LU, LV, MT, NL, PL, PT, SI, SE: None.
In FI: None, except: The natural person must demonstrate that he or she possesses special knowledge relevant to the service being supplied.
In AT, BE, BG, CZ, CY, DK, ES, HU, IT, LT, RO, SK: Economic needs test.
In HR: Unbound.
Research and development Services
(CPC 851, 852 excluding psychologists services
 (
2
)
, and 853)
CSS:
EU except in NL, SE: A hosting agreement with an approved research organisation is required
 (
3
)
.
EU except in CZ, DK, SK: None
In CZ, DK, SK: Economic needs test.
IP:
EU except in NL, SE: A hosting agreement with an approved research organisation is required
 (
4
)
.
EU except in BE, CZ, DK, IT, SK: None
In BE, CZ, DK, IT, SK: Economic needs test.
Advertising services
(CPC 871)
CSS:
In BE, DE, EE, ES, FR, HR, IE, IT, LU, NL, PL, PT, SI, SE: None.
In AT, BG, CZ, CY, DK, EL, FI, HU, LT, LV, MT, RO, SK: Economic needs test.
IP:
EU: Unbound, except NL. In NL: None.
Market research and opinion polling services
(CPC 864)
CSS:
In BE, DE, EE, ES, FR, IE, IT, LU, NL, PL, SE: None.
In AT, BG, CZ, CY, DK, EL, FI, HR, LV, MT, RO, SI, SK: Economic needs test.
In PT: None, except for public opinion polling services (CPC 86402), where: Unbound.
In HU, LT: Economic needs test, except for public opinion polling services (CPC 86402), where: Unbound.
IP:
In DE, EE, FR, IE, LU, NL, PL, SE: None.
In AT, BE, BG, CZ, CY, DK, EL, ES, FI, HR, IT, LV, MT, RO, SI, SK: Economic needs test.
In PT: None, except for public opinion polling services (CPC 86402), where: Unbound.
In HU, LT: Economic needs test, except for public opinion polling services (CPC 86402), where: Unbound.
Management consulting services
(CPC 865)
CSS:
In BE, DE, EE, EL, ES, FI, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BG, CZ, CY, HU, LT, RO, SK: Economic needs test.
In DK: Economic needs test, except for CSS stays of up to three months.
IP:
In CY, DE, EE, EL, FI, FR, IE, LV, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BE, BG, CZ, DK, ES, HR, HU, IT, LT, RO, SK: Economic needs test.
Services related to management consulting
(CPC 866)
CSS:
In BE, DE, EE, EL, ES, FI, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BG, CZ, CY, LT, RO, SK: Economic needs test.
In DK: Economic needs test, except for CSS stays of up to three months.
In HU: Economic needs test, except for arbitration and conciliation services (CPC 86602), where: Unbound.
IP:
In CY, DE, EE, EL, FI, FR, IE, LV, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BE, BG, CZ, DK, ES, HR, IT, LT, RO, SK: Economic needs test
In HU: Economic needs test, except for arbitration and conciliation services (CPC 86602), where: Unbound.
Technical testing and analysis services
(CPC 8676)
CSS:
In BE, DE, EE, EL, ES, FR, HR, IE, IT, LU, NL, PL, SI, SE: None.
In AT, BG, CZ, CY, FI, HU, LT, LV, MT, PT, RO, SK: Economic needs test.
In DK: Economic needs test, except for CSS stays of up to three months.
IP:
EU: Unbound, except NL. In NL: None.
Related scientific and technical consulting services
(CPC 8675)
CSS:
In BE, EE, EL, ES, HR, IE, IT, LU, NL, PL, SI, SE: None.
In AT, CZ,CY, DE, DK, FI, HU, LT, LV, MT, PT, RO, SK: Economic needs test.
In DE: None, except for publicly appointed surveyors, where: Unbound.
In FR: None, except for "surveying" operations relating to the establishment of property rights and to land law, where: Unbound.
In BG: Unbound.
IP:
EU: Unbound, except NL. In NL: None.
Mining (CPC 883, advisory and consulting services only)
CSS:
In BE, DE, EE, EL, ES, FI, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BG, CZ,CY, HU, LT, RO, SK: Economic needs test.
In DK: Economic needs test, except for CSS stays of up to three months.
IP:
In DE, EE, EL, FI, FR, HR, IE, LV, LU, MT, NL, PT, SI, SE: None.
In AT, BE, BG, CZ, CY, DK, ES, HU, IT, LT, PL, RO, SK: Economic needs test.
Maintenance and repair of vessels
(part of CPC 8868)
CSS:
In BE, EE, EL, ES, FR, HR, IT, LV, LU, NL, PL, PT, SI, SE: None
In AT, BG, CZ, CY, DE, DK, FI, HU, IE, LT, MT, RO, SK: Economic needs test.
IP:
EU: Unbound, except NL. In NL: None.
Maintenance and repair of rail transport equipment
(part of CPC 8868)
CSS:
In BE, EE, EL, ES, FR, HR, IT, LV, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BG, CZ, CY, DE, DK, FI, HU, IE, LT, RO, SK: Economic needs test.
IP:
EU: Unbound, except NL. In NL: None.
Maintenance and repair of motor vehicles, motorcycles, snowmobiles and road transport equipment
(CPC 6112, 6122, part of 8867 and part of 8868)
CSS:
In BE, EE, EL, ES, FR, HR, IT, LV, LU, NL, PL, PT, SI, SE: None.
In AT, BG, CZ, CY, DE, DK, FI, HU, IE, LT, MT, RO, SK: Economic needs test.
IP:
EU: Unbound, except NL. In NL: None.
Maintenance and repair of aircraft and parts thereof
(part of CPC 8868)
CSS:
In BE, EE, EL, ES, FR, HR, IT, LV, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BG, CZ, CY, DE, DK, FI, HU, IE, LT, RO, SK: Economic needs test.
IP:
EU: Unbound, except NL. In NL: None.
Maintenance and repair of metal products, of (non office) machinery, of (non transport and non office) equipment and of personal and household goods
 (
5
)
(CPC 633, 7545, 8861, 8862, 8864, 8865 and 8866)
CSS:
In BE, EE, EL, ES, FR, HR, IT, LV, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BG, CZ, CY, DE, DK, HU, IE, LT, RO, SK: Economic needs test.
In FI: Unbound, except in the context of an after-sales or after-lease contract; for maintenance and repair of personal and household goods (CPC 633): Economic needs test.
IP:
EU: Unbound, except NL. In NL: None.
Translation and interpretation services
(CPC 87905, excluding official or certified activities)
CSS:
In BE, CY, DE, EE, EL, ES, FR, HR, IT, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BG, CZ, DK, FI, HU, IE, LT, LV, RO, SK: Economic needs test.
IP:
In CY, DE, EE, FR, LU, LV, MT, NL, PL, PT, SI, SE: None.
In AT, BE, BG, CZ, DK, EL, ES, FI, HU, IE, IT, LT, RO, SK: Economic needs test.
In HR: Unbound.
Telecommunication services (CPC 7544, advisory and consulting services only)
CSS:
In BE, DE, EE, EL, ES, FI, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BG, CZ, CY, HU, LT, RO, SK: Economic needs test.
In DK: Economic needs test, except for CSS stays of up to three months.
IP:
In DE, EE, EL, FI, FR, HR, IE, LV, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BE, BG, CZ, CY, DK, ES, HU, IT, LT, RO, SK: Economic needs test.
Postal and courier services (CPC 751, advisory and consulting services only)
CSS:
In BE, DE, EE, EL, ES, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BG, CZ, CY, FI, HU, LT, RO, SK: Economic needs test.
In DK: Economic needs test, except for CSS stays of up to three months.
IP:
In DE, EE, EL, FR, HR, IE, LV, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BE, BG, CZ, CY, DK, ES, FI, HU, IT, LT, RO, SK: Economic needs test.
Construction and related engineering services
(CPC 511, 512, 513, 514, 515, 516, 517 and 518. BG: CPC 512, 5131, 5132, 5135, 514, 5161, 5162, 51641, 51643, 51644, 5165 and 517)
CSS:
EU: Unbound except in BE, CZ, DK, ES, NL and SE.
In BE, DK, ES, NL, SE: None.
In CZ: Economic needs test.
IP:
EU: Unbound, except NL. In NL: None.
Site investigation work
(CPC 5111)
CSS:
In BE, DE, EE, EL, ES, FR, HR, IE, IT, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BG, CZ,CY, FI, HU, LT, LV, RO, SK: Economic needs test.
In DK: Economic needs test, except for CSS stays of up to three months.
IP:
EU: Unbound.
Higher education services
(CPC 923)
CSS:
EU except in LU, SE: Unbound.
In LU: Unbound, except for university professors, where: None.
In SE: None, except for publicly funded and privately funded educational services suppliers with some form of State support, where: Unbound.
IP:
EU except in SE: Unbound.
In SE: None, except for publicly funded and privately funded educational services suppliers with some form of State support, where: Unbound.
Agriculture, hunting and forestry (CPC 881, advisory and consulting services only)
CSS:
EU except in BE, DE, DK, ES, FI, HR and SE: Unbound
In BE, DE, ES, HR, SE: None
In DK: Economic needs test.
In FI: Unbound, except for advisory and consulting services relating to forestry, where: None.
IP:
EU: Unbound.
Environmental services
(CPC 9401, 9402, 9403, 9404, part of 94060, 9405, part of 9406 and 9409)
CSS:
In BE, EE, ES, FI, FR, HR, IE, IT, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BG, CZ, CY, DE, DK, EL, HU, LT, LV, RO, SK: Economic needs test.
IP:
EU: Unbound.
Insurance and insurance related services (advisory and consulting services only)
CSS:
In BE, DE, EE, EL, ES, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BG, CZ,CY, FI, LT, RO, SK: Economic needs test.
In DK: Economic needs test except for CSS stays of up to three months.
In HU: Unbound.
IP:
In DE, EE, EL, FR, HR, IE, LV, LU, MT, NL, PT, SI, SE: None.
In AT, BE, BG, CZ, CY, DK, ES, FI, IT, LT, PL, RO, SK: Economic needs test.
In HU: Unbound.
Other financial services (advisory and consulting services only)
CSS:
In BE, DE, ES, EE, EL, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BG, CZ, CY, FI, LT, RO, SK: Economic needs test.
In DK: Economic needs test, except for CSS that stays of up to three months.
In HU: Unbound.
IP:
In DE, EE, EL, FR, HR, IE, LV, LU, MT, NL, PT, SI, SE: None.
In AT, BE, BG, CZ, CY, DK, ES, FI, IT, LT, PL, RO, SK: Economic needs test.
In HU: Unbound.
Transport (CPC 71, 72, 73, and 74, advisory and consulting services only)
CSS:
In DE, EE, EL, ES, FI, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BG, CZ, CY, HU, LT, RO, SK: Economic needs test.
In DK: Economic needs test, except for CSS stays of up to three months.
In BE: Unbound.
IP:
In CY, DE, EE, EL, FI, FR, HR, IE, LV, LU, MT, NL, PT, SI, SE: None.
In AT, BG, CZ, DK, ES, HU, IT, LT, RO, SK: Economic needs test.
In PL: Economic needs test, except for air transport, where: None.
In BE: Unbound.
Travel agencies and tour operators services (including tour managers
 (
6
)
)
(CPC 7471)
CSS:
In AT, CY, CZ, DE, EE, ES, FR, HR, IT, LU, NL, PL, SI, SE: None.
In BG, EL, FI, HU, LT, LV, MT, PT, RO, SK: Economic needs test.
In DK: Economic needs test, except for CSS stays of up to three months.
In BE, IE: Unbound, except for tour managers, where: None.
IP:
EU: Unbound.
Tourist guides services
(CPC 7472)
CSS:
In NL, PT, SE: None.
In AT, BE, BG, CY, CZ, DE, DK, EE, FI, FR, EL, HU, IE, IT, LV, LU, MT, RO, SK, SI: Economic needs test.
In ES, HR, LT, PL: Unbound.
IP:
EU: Unbound.
Manufacturing (CPC 884, and 885, advisory and consulting services only)
CSS:
In BE, DE, EE, EL, ES, FI, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: None.
In AT, BG, CZ, CY, HU, LT, RO, SK: Economic needs test.
In DK: Economic needs test, except for CSS stays of up to three months.
IP:
In DE, EE, EL, FI, FR, HR, IE, LV, LU, MT, NL, PT, SI, SE: None.
In AT, BE, BG, CZ, CY, DK, ES, HU, IT, LT, PL, RO, SK: Economic needs test.
13.
The United Kingdom's reservations are:
Sector or sub-sector
Description of reservations
All sectors
None
Legal advisory services in respect of public international law and home jurisdiction law
(part of CPC 861)
CSS:
None.
IP:
None.
Accounting and bookkeeping services
(CPC 86212 other than "auditing services", 86213, 86219 and 86220)
CSS:
None.
IP:
Unbound.
Taxation advisory services
(CPC 863)
 (
7
)
CSS:
None.
IP:
Unbound.
Architectural services
and
Urban planning and landscape architectural services
(CPC 8671 and 8674)
CSS:
None.
IP:
None.
Engineering services
and
Integrated engineering services
(CPC 8672 and 8673)
CSS:
None.
IP:
None.
Medical (including psychologists) and dental services
(CPC 9312 and part of 85201)
CSS:
Unbound.
IP:
Unbound.
Veterinary services
(CPC 932)
CSS:
Unbound.
IP:
Unbound.
Midwives services
(part of CPC 93191)
CSS:
Unbound.
IP:
Unbound.
Services provided by nurses, physiotherapists and paramedical personnel
(part of CPC 93191)
CSS:
Unbound.
IP:
Unbound.
Computer and related services
(CPC 84)
CSS:
UK: None.
IP:
None.
Research and development Services
(CPC 851, 852 excluding psychologists services
 (
8
)
, and 853)
CSS:
None
IP:
None
Advertising services
(CPC 871)
CSS:
None.
IP:
Unbound.
Market research and opinion polling services
(CPC 864)
CSS:
None.
IP:
None.
Management consulting services
(CPC 865)
CSS:
None.
IP:
None.
Services related to management consulting
(CPC 866)
CSS:
None.
IP:
None.
Technical testing and analysis services
(CPC 8676)
CSS:
None.
IP:
Unbound.
Related scientific and technical consulting services
(CPC 8675)
CSS:
None.
IP:
Unbound.
Mining (CPC 883, advisory and consulting services only)
CSS:
None.
IP:
None.
Maintenance and repair of vessels
(part of CPC 8868)
CSS:
None
IP:
Unbound.
Maintenance and repair of rail transport equipment
(part of CPC 8868)
CSS:
None.
IP:
Unbound.
Maintenance and repair of motor vehicles, motorcycles, snowmobiles and road transport equipment
(CPC 6112, 6122, part of 8867 and part of 8868)
CSS:
None.
IP:
Unbound.
Maintenance and repair of aircraft and parts thereof
(part of CPC 8868)
CSS:
None.
IP:
Unbound.
Maintenance and repair of metal products, of (non office) machinery, of (non transport and non office) equipment and of personal and household goods
 (
9
)
(CPC 633, 7545, 8861, 8862, 8864, 8865 and 8866)
CSS:
None.
IP:
Unbound.
Translation and interpretation services
(CPC 87905, excluding official or certified activities)
CSS:
None.
IP:
None.
Telecommunication services (CPC 7544, advisory and consulting services only)
CSS:
None.
IP:
None.
Postal and courier services (CPC 751, advisory and consulting services only)
CSS:
None.
IP:
None.
Construction and related engineering services
(CPC 511, 512, 513, 514, 515, 516, 517 and 518. BG: CPC 512, 5131, 5132, 5135, 514, 5161, 5162, 51641, 51643, 51644, 5165 and 517)
CSS:
Unbound.
IP:
Unbound.
Site investigation work
(CPC 5111)
CSS:
None.
IP:
Unbound.
Higher education services
(CPC 923)
CSS:
Unbound.
IP:
Unbound.
Agriculture, hunting and forestry (CPC 881, advisory and consulting services only)
CSS:
Unbound
IP:
Unbound.
Environmental services
(CPC 9401, 9402, 9403, 9404, part of 94060, 9405, part of 9406 and 9409)
CSS:
None.
IP:
Unbound.
Insurance and insurance related services (advisory and consulting services only)
CSS:
None.
IP:
None.
Other financial services (advisory and consulting services only)
CSS:
None.
IP:
None.
Transport (CPC 71, 72, 73, and 74, advisory and consulting services only)
CSS:
None.
IP:
None.
Travel agencies and tour operators services (including tour managers
 (
10
)
)
(CPC 7471)
CSS:
None.
IP:
Unbound.
Tourist guides services
(CPC 7472)
CSS:
None.
IP:
Unbound.
Manufacturing (CPC 884, and 885, advisory and consulting services only)
CSS:
None.
IP:
None.
(
1
)
  Does not include legal advisory and legal representational services on tax matters, which are under legal advisory services in respect of public international law and home jurisdiction law.
(
2
)
  Part of CPC 85201, which is under medical and dental services.
(
3
)
  For all Member States except DK, the approval of the research organisation and the hosting agreement must meet the conditions set pursuant to EU Directive 2005/71/EC of 12 October 2005.
(
4
)
  For all Member States except DK, the approval of the research organisation and the hosting agreement must meet the conditions set pursuant to EU Directive 2005/71/EC of 12 October 2005.
(
5
)
  Maintenance and repair services of office machinery and equipment including computers (CPC 845) are under computer services.
(
6
)
  Services suppliers whose function is to accompany a tour group of a minimum of 10 natural persons, without acting as guides in specific locations.
(
7
)
  Does not include legal advisory and legal representational services on tax matters, which are under legal advisory services in respect of public international law and home jurisdiction law.
(
8
)
  Part of CPC 85201, which is under medical and dental services.
(
9
)
  Maintenance and repair services of office machinery and equipment including computers (CPC 845) are under computer services.
(
10
)
  Services suppliers whose function is to accompany a tour group of a minimum of 10 natural persons, without acting as guides in specific locations.
ANNEX 23
MOVEMENT OF NATURAL PERSONS
Article 1
Entry and temporary stay-related procedural commitments
The Parties shall endeavour to ensure that the processing of applications for entry and temporary stay pursuant to their respective commitments in the Agreement follows good administrative practice:
(a)
Each Party shall ensure that fees charged by competent authorities for the processing of applications for entry and temporary stay do not unduly impair or delay trade in services under this Agreement;
(b)
subject to the discretion of the competent authorities of each Party, documents required from an applicant for applications for the grant of entry and temporary stay of short-term visitors for business purposes should be commensurate with the purpose for which they are collected;
(c)
complete applications for the grant of entry and temporary stay shall be processed by the competent authorities of each Party as expeditiously as possible;
(d)
the competent authorities of each Party shall endeavour to provide, without undue delay, information in response to any reasonable request from an applicant concerning the status of an application;
(e)
if the competent authorities of a Party require additional information from an applicant in order to process the application, they shall endeavour to notify, without undue delay, the applicant;
(f)
the competent authorities of each Party shall notify the applicant of the outcome of the application promptly after a decision has been taken;
(g)
if an application is approved, the competent authorities of each Party shall notify the applicant of the period of stay and other relevant terms and conditions;
(h)
if an application is denied, the competent authorities of a Party shall, upon request or upon their own initiative make available to the applicant information on any available review and appeal procedures; and
(i)
each Party shall endeavour to accept and process applications in electronic format.
Article 2
Additional procedural commitments applying to intra-corporate transferees and their partner, children and family members 
(
1
)
1.   The competent authorities of each Party shall adopt a decision on an application for an intra-corporate transferee entry or temporary stay or a renewal thereof and notify the decision to the applicant in writing, in accordance with the notification procedures under national law, as soon as possible but not later than 90 days after the date on which the complete application was submitted.
2.   Where the information or documentation supplied in support of the application is incomplete, the competent authorities concerned shall endeavour to notify the applicant within a reasonable period of the additional information that is required and set a reasonable deadline for providing it. The period referred to in paragraph 1 shall be suspended until the competent authorities have received the additional information required.
3.   The Union shall extend to family members of natural persons of the United Kingdom, who are intra-corporate transferees to the Union, the right of entry and temporary stay granted to family members of an intra-corporate transferee under Article 19 of Directive 2014/66/EU of the European Parliament and of the Council 
(
2
)
.
4.   The United Kingdom shall allow the entry and temporary stay of partners and dependent children of intra-corporate transferees, as allowed under the United Kingdom's Immigration Rules.
5.   The United Kingdom shall allow the partners and dependent children of intra-corporate transferees referred to in paragraph 4 to work for the duration of their visa, in an employed or self-employed capacity, and shall not require them to obtain a work permit.
(
1
)
  Paragraphs 1, 2 and 3 do not apply to the Member States that are not subject to the application of Directive 2014/66/EU of the European Parliament and of the Council of 15 May 2014 on the conditions of entry and residence of third-country nationals in the framework of an intra- corporate transfer (
OJ EU L 157, 27.5.2014, p. 1
) (the "ICT Directive").
(
2
)
  Directive 2014/66/EU of the European Parliament and of the Council of 15 May 2014 on the conditions of entry and residence of third- country nationals in the framework of an intra-corporate transfer (
OJ EU L 157, 27.5.2014, p. 1
).
ANNEX 24
GUIDELINES FOR ARRANGEMENTS ON THE RECOGNITION OF PROFESSIONAL QUALIFICATIONS
SECTION A
GENERAL PROVISIONS
Introduction
1.
This Annex contains guidelines for arrangements on the conditions for the recognition of professional qualifications ("arrangements"), as foreseen by Article 158 of this Agreement.
2.
Pursuant to Article 158 of this Agreement, these guidelines shall be taken into account in the development of joint recommendations by professional bodies or authorities of the Parties ("joint recommendations").
3.
The guidelines are non-binding, non-exhaustive and do not modify or affect the rights and obligations of the Parties under this Agreement. They set out the typical content of arrangements, and provide general indications as to the economic value of an arrangement and the compatibility of the respective professional qualifications regimes.
4.
Not all elements of these guidelines may be relevant in all cases and professional bodies and authorities are free to include in their joint recommendations any other element that they consider pertinent for the arrangements of the profession and the professional activities concerned, consistent with this Agreement.
5.
The guidelines should be taken into account by the Partnership Council when deciding whether to develop and adopt arrangements. They are without prejudice to its review of the consistency of joint recommendations with Title II of Heading One of Part Two of this Agreement and its discretion to take into account the elements it deems relevant, including those contained in joint recommendations.
SECTION B
FORM AND CONTENT OF AN ARRANGEMENT
6.
This section sets out the typical content of an arrangement, some of which is not within the remit of the professional bodies or authorities preparing joint recommendations. These aspects constitute, nonetheless, useful information to be taken into account in the preparation of joint recommendations, so that they are better adapted to the possible scope of an arrangement.
7.
Matters addressed specifically in this Agreement which apply to arrangements (such as the geographical scope of an arrangement, its interaction with scheduled non-conforming measures, the system of dispute resolution, appeal mechanisms, monitoring and review mechanisms of the arrangement) should not be addressed by joint recommendations.
8.
An arrangement may specify different mechanisms for the recognition of professional qualifications within a Party. It may also be limited, but not necessarily so, to setting the scope of the arrangement, the procedural provisions, the effects of recognition and additional requirements, and the administrative arrangements.
9.
An arrangement which is adopted by the Partnership Council should reflect the degree of discretion that is intended to be preserved for competent authorities deciding on recognition.
Scope of an Arrangement
10.
The arrangement should set out:
(a)
the specific regulated profession(s), relevant professional title(s) and the activity or group of activities covered by the scope of practice of the regulated profession in both Parties ("scope of practice"); and
(b)
whether it covers the recognition of professional qualifications for the purpose of access to professional activities on a fixed-term or an indefinite basis.
Conditions for recognition
11.
The arrangement may specify in particular:
(a)
the professional qualifications necessary for recognition under the arrangement (for example, evidence of formal qualification, professional experience, or other attestation of competence);
(b)
the degree of discretion preserved by recognition authorities when assessing requests for recognition of these qualifications; and
(c)
the procedures to deal with variations and gaps between professional qualifications and means to bridge the differences, including the possibility for imposing any compensatory measures or any other relevant conditions and limitations.
Procedural provisions
12.
The arrangement may set out:
(a)
the documents required and the form in which they should be presented (for example, by electronic or other means, whether they should be supported by translations or certifications of authenticity, etc.);
(b)
the steps and procedures in the recognition process, including those relating to possible compensatory measures, corresponding obligations and timelines; and
(c)
the availability of information relevant to all aspects of the recognition processes and requirements.
Effects of recognition and additional requirements
13.
The arrangement may set out provisions on the effects of recognition (if relevant, also in respect of different modes of supply).
14.
The arrangement may describe any additional requirements for the effective exercise of the regulated profession in the host Party. Such requirements may include:
(a)
registration requirements with local authorities;
(b)
appropriate language skills;
(c)
proof of good character;
(d)
compliance with the requirements of the host Party for use of trade or firm names;
(e)
compliance with the rules of ethics, independence and professional conduct requirements of the host Party;
(f)
need to obtain professional indemnity insurance;
(g)
rules on disciplinary action, financial responsibility and professional liability; and
(h)
requirements for continuous professional development.
Administration of the arrangement
15.
The arrangement should set out the terms under which it can be reviewed or revoked, and the effects of any revision or revocation. Consideration may also be given to the inclusion of provisions concerning the effects of any recognition previously accorded.
SECTION C
ECONOMIC VALUE OF AN ENVISAGED ARRANGEMENT
16.
Pursuant to Article 158(2) of this Agreement, joint recommendations shall be supported by an evidence-based assessment of the economic value of an envisaged arrangement. This may consist of an evaluation of the economic benefits that an arrangement is expected to bring to the economies of both Parties. Such an assessment may assist the Partnership Council when developing and adopting an arrangement.
17.
Aspects such as the existing level of market openness, industry needs, market trends and developments, client expectations and requirements and business opportunities would constitute useful elements.
18.
The evaluation is not required to be a full and detailed economic analysis, but should provide an explanation of the interest of the profession in, and the expected benefits for the Parties ensuing from, the adoption of an arrangement.
SECTION D
COMPATIBILITY OF RESPECTIVE PROFESSIONAL QUALIFICATION REGIMES
19.
Pursuant to Article 158(2) of this Agreement, joint recommendations shall be supported by an evidence-based assessment of the compatibility of the respective professional qualification regimes. This assessment may assist the Partnership Council when developing and adopting an arrangement.
20.
The following process aims at guiding professional bodies and authorities when assessing the compatibility of the respective professional qualifications and activities with a view to simplifying and facilitating the recognition of professional qualifications.
Step One: Assessment of the scope of practice and the professional qualifications required to practise the regulated profession in each Party.
21.
The assessment of the scope of practice and of the professional qualifications required to practise a regulated profession in each of the Parties should be based on all relevant information.
22.
The following elements should be identified:
(a)
activities or groups of activities covered by the scope of practice of the regulated profession in each Party; and
(b)
the professional qualifications required in each Party to practise the regulated profession, which may include any of the following elements:
(i)
the minimum education required, for example, entry requirements, level of education, length of study and contents of study;
(ii)
the minimum professional experience required, for example, location, length and conditions of practical training or supervised professional practice prior to registration, licensing or equivalent;
(iii)
examinations passed, especially examinations of professional competency; and
(iv)
the acquisition of a licence, or equivalent, certifying, inter alia, the fulfilment of the necessary professional qualification requirements for the pursuit of the profession.
Step Two: Evaluation of the divergence between the scope of practice of, or the professional qualifications required to practise, the regulated profession in each Party.
23.
The evaluation of the divergence in the scope of practice of, or in the professional qualifications required to practise, the regulated profession, in each Party, should in particular identify divergence that is substantial.
24.
Substantial divergence in the scope of practice may exist if all of the following conditions are met:
(a)
one or more activities covered by a regulated profession in the host Party are not covered by the corresponding profession in the Party of origin;
(b)
such activities are subject to specific training in the host Party;
(c)
the training for such activities in the host Party covers matters substantially diverging from those covered by the applicant's qualification.
25.
Substantial divergence in the professional qualifications required to practise a regulated profession may exist if there are divergences in the Parties' requirements with regard to the level, duration or content of the training that is required for the pursuit of activities covered by the regulated profession.
Step Three: Recognition mechanisms
26.
There may be different mechanisms for the recognition of professional qualifications, depending on the circumstances. There may be different mechanisms within a Party.
27.
If there is no substantial divergence in the scope of practice and in the professional qualifications required to practise a regulated profession, an arrangement may provide for a simpler, more streamlined recognition process than would be the case where substantial divergence exists.
28.
If there is substantial divergence, the arrangement may provide for compensatory measures which are sufficient to remedy such divergence.
29.
Where compensatory measures are used to reduce substantial divergence, they should be proportionate to the divergence that they seek to address. Any practical professional experience or formally validated training could be taken into account to assess the extent of the compensatory measures needed.
30.
Whether or not the divergence is substantial, the arrangement may take account of the degree of discretion that is intended to be preserved for competent authorities deciding on recognition requests.
31.
Compensatory measures may take different forms, including:
(a)
a period of supervised practice of a regulated profession in the host Party, possibly accompanied by further training, under the responsibility of a qualified person and subject to a regulated assessment;
(b)
a test made or recognised by the relevant authorities of the host Party to assess the applicant's ability to practice a regulated profession in that Party; or
(c)
a temporary limitation of the scope of practice; or a combination of those.
32.
The arrangement could envisage that a choice be given to applicants between different compensatory measures where this could limit the administrative burden for applicants and such measures are equivalent.
ANNEX 25
PUBLIC PROCUREMENT
SECTION A
RELEVANT PROVISIONS OF THE GPA
Articles I to III, IV.1.a, IV.2 to IV.7, VI to XV, XVI.1 to XVI.3, XVII and XVIII.
SECTION B:
MARKET ACCESS COMMITMENTS
For the purposes of this Section, "CPC" means the Provisional Central Product Classification (Statistical Papers, Series M No. 77, Department of International Economic and Social Affairs, Statistical Office of the United Nations, New York, 1991).
SUB-SECTION B1
European Union
In accordance with Article 277(2) and (3) of this Agreement, Title VI of Heading One of Part Two of this Agreement applies, in addition to the procurement covered by the annexes of the European Union to Appendix I to the GPA, to the procurement covered by this Sub-section.
The Notes in Annexes 1 to 7 of the European Union to Appendix I to the GPA also apply to the procurement covered by this Sub-section, unless otherwise provided for in this Sub-section.
Procurement covered by this Sub-section
1.   Additional procuring entities
Procurement of goods and services as set out in Annexes 4 to 6 of the European Union to Appendix I to the GPA, and in paragraph 2 of this Sub-section, by the following procuring entities of the Member States:
(a)
all contracting entities whose procurement is covered by Directive 2014/25/EU of the European Parliament and of the Council 
(
1
)
 (the "EU Utilities Directive") which are contracting authorities (e.g. those covered under Annex 1 and Annex 2 to Appendix I to the GPA) or public undertakings 
(
2
)
 and which have as one of their activities:
(i)
the provision or operation of fixed networks intended to provide a service to the public in connection with the production, transport or distribution of gas or heat or the supply of gas or heat to such networks; or
(ii)
any combination between such activity and those referred to in Annex 3 to Appendix I to the GPA;
(b)
privately-owned procuring entities that have as one of their activities any of those referred to in point (a) of this paragraph, in point 1 of Annex 3 to Appendix I to the GPA, or any combination thereof and operate on the basis of special or exclusive rights granted by a competent authority of a Member State;
with regard to procurement equal to or above the following thresholds:
—
400 000 SDR for procurement of goods and services,
—
5 000 000 SDR for procurement of construction services (CPC 51).
2.   Additional services
Procurement of the following services, in addition to the services listed under Annex 5 of the European Union to Appendix I to the GPA, for entities covered under Annexes 1 to 3 of the European Union to Appendix I to the GPA or under paragraph 1 of this Sub-section:
—
Hotel and restaurant services (CPC 641);
—
Food serving services (CPC 642);
—
Beverage serving services (CPC 643);
—
Telecommunication related services (CPC 754);
—
Real estate services on a fee or contract basis (CPC 8220);
—
Other business services (CPC 87901, 87903, 87905-87907);
—
Education services (CPC 92).
Notes:
1.
Hotel and restaurant services (CPC 641), food serving services (CPC 642), beverage serving services (CPC 643) and education services (CPC 92) contracts are included under the national treatment regime for the suppliers, including service providers, of the United Kingdom, provided that their value equals or exceeds EUR 750 000 when they are awarded by procuring entities covered under Annexes 1 and 2 of the European Union to Appendix I to the GPA and that their value equals or exceeds EUR 1 000 000 when they are awarded by procuring entities covered under Annex 3 of the European Union to Appendix I to the GPA or by procuring entities covered by paragraph 1 of this Sub-section.
2.
The supply of gas or heat to networks which provide a service to the public by a procuring entity other than a contracting authority shall not be considered as an activity within the meaning of this Sub-section where:
(a)
the production of gas or heat by the entity concerned takes place because its consumption is necessary for carrying out an activity other than that referred to in this Sub-section or in paragraphs (a) to (f) of Annex 3 of the European Union to Appendix I to the GPA; and
(b)
the supply to the public network is aimed only at the economic exploitation of such production and amounts to not more than 20 % of the entity's turnover on the basis of the average for the preceding three years, including the current year.
3.
Title VI of Heading One of Part Two of this Agreement and this Annex do not cover procurement of the following services:
(a)
Human health services (CPC 931);
(b)
Administrative healthcare services (CPC 91122); and
(c)
Supply services of nursing personnel and supply services of medical personnel (CPC 87206 and CPC 87209).
SUB-SECTION B2
United Kingdom
In accordance with Article 277 (2) and (3) of this Agreement, Title VI of Heading One of Part Two of this Agreement applies, in addition to the procurement covered by Article II of the GPA, to the procurement covered by this Sub-section.
The Notes in Annexes 1 to 7 of the United Kingdom to Appendix I to the GPA also apply to the procurement covered by this Sub-section, unless otherwise provided for in this Sub-section.
Procurement covered by this Sub-section
1.   Additional procuring entities
Procurement of goods and services as set out in Annexes 4 to 6 of the United Kingdom's Appendix I to the GPA, and in paragraph 2 of this Sub-section, by the following procuring entities of the United Kingdom:
(a)
all contracting entities whose procurement is covered by the Utilities Contracts Regulation 2016 and the Utilities Contracts (Scotland) Regulations 2016 which are contracting authorities (e.g. those covered under Annex 1 and Annex 2 to Appendix I to the GPA) or public undertakings (see Note:1) and which have as one of their activities:
(i)
the provision or operation of fixed networks intended to provide a service to the public in connection with the production, transport or distribution of gas or heat or the supply of gas or heat to such networks; or
(ii)
any combination between such activity and those referred to in Annex 3 to Appendix I to the GPA;
(b)
privately-owned procuring entities that have as one of their activities any of those referred to in point (a) of this paragraph, in point 1 of Annex 3 to Appendix I to the GPA, or any combination thereof and operate on the basis of special or exclusive rights granted by a competent authority of the United Kingdom;
with regard to procurement equal to or above the following thresholds:
—
400 000 SDR for procurement of goods and services,
—
5 000 000 SDR for procurement of construction services (CPC 51).
Notes to paragraph 1:
1.
According to the Utilities Contracts Regulations 2016, a "public undertaking" means any undertaking over which contracting authorities may exercise directly or indirectly a dominant influence by virtue of:
(a)
their ownership of that undertaking;
(b)
their financial participation in that undertaking; or
(c)
the rules which govern that undertaking.
2.
According to the Utilities Contracts (Scotland) Regulations 2016, a "public undertaking" means a person over which one or more contracting authorities are able to exercise, directly or indirectly, a dominant influence by virtue of one or more of the following:
(a)
their ownership of that person;
(b)
their financial participation in that person;
(c)
the rights accorded to them by the rules which govern that person.
3.
According to both the Utilities Contracts Regulations 2016 and the Utilities Contracts (Scotland) Regulations 2016, a dominant influence on the part of contracting authorities is presumed in any of the following cases in which those authorities, directly or indirectly:
(a)
hold the majority of the undertaking's subscribed capital;
(b)
control the majority of the votes attaching to shares issued by the undertaking;
(c)
can appoint more than half of the undertaking's administrative, management or supervisory body.
2.   Additional services
Procurement of the following services, in addition to the services listed under Annex 5 of the United Kingdom to Appendix I to the GPA, for entities covered under Annexes 1 to 3 of the United Kingdom to Appendix I to the GPA or under paragraph 1 of this Sub-section:
—
Hotel and restaurant services (CPC 641);
—
Food serving services (CPC 642);
—
Beverage serving services (CPC 643);
—
Telecommunication related services (CPC 754);
—
Real estate services on a fee or contract basis (CPC 8220);
—
Other business services (CPC 87901, 87903, 87905-87907);
—
Education services (CPC 92).
Notes:
1.
Hotel and restaurant services (CPC 641), food serving services (CPC 642), beverage serving services (CPC 643) and education services (CPC 92) contracts are included under the national treatment regime for the suppliers, including service providers, of the European Union, provided that their value equals or exceeds GBP 663 540 when they are awarded by procuring entities covered under Annexes 1 and 2 of the United Kingdom to Appendix I to the GPA and that their value equals or exceeds GBP 884 720 when they are awarded by procuring entities covered under Annex 3 of the United Kingdom to Appendix I to the GPA or by procuring entities covered by paragraph 1 of this Section.
2.
The supply of gas or heat to networks which provide a service to the public by a procuring entity other than a contracting authority shall not be considered as an activity within the meaning of this Section where:
(a)
the production of gas or heat by the entity concerned takes place because its consumption is necessary for carrying out an activity other than that referred to in this Section or in paragraphs (a) to (f) of Annex 3 of the United Kingdom to Appendix I to the GPA; and
(b)
the supply to the public network is aimed only at the economic exploitation of such production and amounts to not more than 20 % of the entity's turnover on the basis of the average for the preceding three years, including the current year.
3.
Title VI of Heading One of Part Two of this Agreement and this Annex do not cover procurement of the following services:
(a)
Human health services (CPC 931);
(b)
Administrative healthcare services (CPC 91122); and
(c)
Supply services of nursing personnel and supply services of medical personnel (CPC 87206 and CPC 87209).
(
1
)
  Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on procurement by entities operating in the water, energy, transport and postal services sectors and repealing Directive 2004/17/EC (
OJ EU L 94 28.3.2014, p. 243
).
(
2
)
  According to the EU Utilities Directive, a public undertaking is any undertaking over which the contracting authorities may exercise directly or indirectly a dominant influence by virtue of their ownership of it, their financial participation therein, or the rules which govern it. A dominant influence on the part of the contracting authorities shall be presumed when these authorities, directly or indirectly, in relation to an undertaking:
(i)
hold the majority of the undertaking's subscribed capital,
(ii)
control the majority of the votes attaching to shares issued by the undertaking, or
(iii)
can appoint more than half of the undertaking's administrative, management or supervisory body.
ANNEX 26
LISTS OF ENERGY GOODS, HYDROCARBONS AND RAW MATERIALS
LIST OF ENERGY GOODS BY HS CODE
—
Natural gas, including liquefied natural gas, liquefied petroleum gas (LPG) (HS code 27.11)
—
Electrical energy (HS code 27.16)
—
Crude oil and oil products (HS code 27.09 - 27.10, 27.13-27.15)
—
Solid fuels (HS code 27.01, HS code 27.02, HS code 27.04)
—
Fuel wood and wood charcoal (HS code 44.01 and HS code 44.02 goods used for energy)
—
Biogas (HS code 38.25)
LIST OF HYDROCARBONS BY HS CODE
—
Crude oil (HS code 27.09)
—
Natural gas (HS code 27.11)
LIST OF RAW MATERIALS BY HS CHAPTER
Chapter
Heading
25
Salt; sulphur; earths and stone; plastering materials, lime and cement
26
Ores, slag and ash, with the exception of uranium or thorium ores or concentrates (HS code 26.12)
27
Mineral fuels, mineral oils and products of their distillation; bituminous substances; mineral waxes
28
Inorganic chemicals; organic or inorganic compounds of precious metals, of rare-earth metals; of radioactive elements or of isotopes, with the exception of radioactive chemical elements and radioactive isotopes (including the fissile or fertile chemical elements and isotopes) and their compounds; mixtures and residues containing these products (HS code 28.44); and isotopes other than those of heading no. 28.44; compounds, inorganic or organic, of such isotopes, whether or not chemically defined (HS code 28.45)
29
Organic chemicals
31
Fertilisers
71
Natural or cultured pearls, precious or semi-precious stones, precious metals, metals clad with precious metal, and articles thereof, with the exception of pearls, natural or cultured, whether or not worked or graded but not strung, mounted or set; pearls, natural or cultured, temporarily strung for the convenience of transport (HS code 7101)
72
Iron and steel
74
Copper and articles thereof
75
Nickel and articles thereof
76
Aluminium and articles thereof
78
Lead and articles thereof
79
Zinc and articles thereof
80
Tin and articles thereof
81
Other base metals; cermets; articles thereof
ANNEX 27
ENERGY AND ENVIRONMENTAL SUBSIDIES
As part of the principles set out in Article 367(14) of this Agreement:
(1)
Subsidies for electricity generation adequacy, renewable energy and cogeneration shall not undermine the ability of a Party to meet its obligations under Article 304 of this Agreement, shall not unnecessarily affect the efficient use of electricity interconnectors provided for under Article 311 of this Agreement, and, without prejudice to Article 304(3) of this Agreement, shall be determined by means of a transparent, non-discriminatory and effective competitive process; and
(a)
subsidies for electricity generation adequacy shall provide incentives for capacity providers to be available in times of expected system stress and may be limited to installations not exceeding specified CO
2
 emission limits; and
(b)
subsidies for renewable energy and cogeneration shall not affect beneficiaries’ obligations or opportunities to participate in electricity markets.
(2)
Notwithstanding point 1, provided that appropriate measures are put in place to prevent overcompensation, non-competitive procedures may be used to grant subsidies for renewable energy and cogeneration if the potential supply is insufficient to ensure a competitive process, the eligible capacity is unlikely to have a material effect on trade or investment between the Parties, or subsidies are granted for demonstration projects.
(3)
If partial exemptions from energy-related taxes and levies 
(
1
)
 in favour of energy-intensive users are introduced, such exemptions shall not exceed the total amount of the tax or levy.
(4)
If compensation for electricity-intensive users is granted in the event of an increase in electricity cost resulting from climate policy instruments, it shall be restricted to sectors at significant risk of carbon leakage due to the cost increase.
(5)
Subsidies for the decarbonisation of emissions linked to own industrial activities shall achieve an overall reduction in greenhouse gas emissions. The subsidies shall reduce the emissions directly resulting from the industrial activity. Subsidies for improvements of the energy efficiency of own industrial activities shall improve energy efficiency by reducing energy consumption, either directly or per unit of production.
(
1
)
  For greater certainty, levies do not include network charges or tariffs.
ANNEX 28
NON-APPLICATION OF THIRD-PARTY ACCESS AND OWNERSHIP UNBUNDLING TO INFRASTRUCTURE
A Party may decide not to apply Articles 306 and 307 of this Agreement to new infrastructure or to a significant expansion of existing infrastructure where:
(a)
the risk attached to the investment in the infrastructure is such that the investment would not take place unless an exemption is granted;
(b)
the investment enhances competition or security of supply;
(c)
the infrastructure is owned by a natural or legal person separate, at least in terms of its legal form, from the system operators in whose systems it was or is to be built;
(d)
before granting the exemption, the Party has decided on the rules and mechanisms for management and allocation of capacity.
ANNEX 29
ALLOCATION OF ELECTRICITY INTERCONNECTOR CAPACITY AT THE DAY-AHEAD MARKET TIMEFRAME
PART 1
1.
The new procedure for the allocation of capacity on electricity interconnectors at the day-ahead market timeframe shall be based on the concept of "Multi-region loose volume coupling".
The overall objective of the new procedure shall be to maximise the benefits of trade.
As the first step in developing the new procedure, the Parties shall ensure that transmission system operators prepare outline proposals and a cost-benefit analysis.
2.
Multi-region loose volume coupling shall involve the development of a market coupling function to determine the net energy positions (implicit allocation) between:
(a)
bidding zones established in accordance with Regulation (EU) 2019/943, which are directly connected to the United Kingdom by an electricity interconnector; and
(b)
the United Kingdom.
3.
The net energy positions over electricity interconnectors shall be calculated via an implicit allocation process by applying a specific algorithm to:
(a)
commercial bids and offers for the day-ahead market timeframe from the bidding zones established in accordance with Regulation (EU) 2019/943 which are directly connected to the United Kingdom by an electricity interconnector;
(b)
commercial bids and offers for the day-ahead market timeframe from relevant day-ahead markets in the United Kingdom;
(c)
network capacity data and system capabilities determined in accordance with the procedures agreed between transmission system operators; and
(d)
data on expected commercial flows of electricity interconnections between bidding zones connected to the United Kingdom and other bidding zones in the Union, as determined by Union transmission system operators using robust methodologies.
This process shall be compatible with the specific characteristics of direct current electricity interconnectors, including losses and ramping requirements.
4.
The market coupling function shall:
(a)
produce results sufficiently in advance of the operation of the Parties' respective day-ahead markets (for the Union this is single day-ahead coupling established in accordance with Commission Regulation (EU) 2015/1222 
(
1
)
) in order that such results may be used as inputs into the processes which determine the results in those markets;
(b)
produce results which are reliable and repeatable;
(c)
be a specific process to link the distinct and separate day-ahead markets in the Union and the United Kingdom; in particular, this means that the specific algorithm shall be distinct and separate from that used in single day-ahead coupling established in accordance with Regulation (EU) 2015/1222 and, in respect of commercial bids and offers of the Union, only have access to those from bidding zones which are directly connected to the United Kingdom by an electricity interconnector.
5.
The calculated net energy positions shall be published following validation and verification. If the market coupling function is unable either to operate or to produce a result, electricity interconnector capacity shall be allocated by a fall-back process, and market participants shall be notified that the fall-back process will apply.
6.
The costs of developing and implementing the technical procedures shall be equally shared between the relevant United Kingdom transmission system operators or other entities, on the one side, and relevant Union transmission system operators or other entities, on the other side, unless the Specialised Committee on Energy decides otherwise.
PART 2
The timeline for the implementation of this Annex shall be from the entry into force of this Agreement, as follows:
(a)
within 3 months – cost benefit analysis and outline of proposals for technical procedures;
(b)
within 10 months – proposal for technical procedures;
(c)
within 15 months – entry into operation of technical procedures.
(
1
)
  Commission Regulation (EU) 2015/1222 of 24 July 2015 establishing a guideline on capacity allocation and congestion management (
OJ EU L 197, 25.7.2015, p. 24
).
ANNEX 30
AIRWORTHINESS AND ENVIRONMENT CERTIFICATION
SECTION A
GENERAL PROVISIONS
Article 1
Purpose and scope
1.   The objective of this Annex is the implementation of cooperation in the following areas, in accordance with Article 445(2) of this Agreement, describing the terms, conditions and methods for reciprocal acceptance of findings of compliance and certificates:
(a)
airworthiness certificates and monitoring of civil aeronautical products referred to in point (a) of Article 445(1) of this Agreement;
(b)
environmental certificates and testing of civil aeronautical products referred to in point (b) of Article 445(1) of this Agreement; and
(c)
design and production certificates and monitoring of design and production organisations referred to in point (c) Article 445(1) of this Agreement.
2.   Notwithstanding paragraph 1, used civil aeronautical products, other than used aircraft, are excluded from the scope of this Annex.
Article 2
Definitions
For the purposes of this Annex, the following definitions apply:
(a)
"acceptance" means the recognition of certificates, approvals, changes, repairs, documents and data of one Party by the other Party without validation activities and without issuing a corresponding certificate by that other Party;
(b)
"authorised release certificate" means a certificate issued by an approved organisation or a competent authority of the exporting Party as a form of recognition that a new civil aeronautical product, other than an aircraft, conforms to a design approved by the exporting Party and is in a condition for safe operation;
(c)
"category of civil aeronautical products" means a set of products sharing common characteristics, as grouped in the technical implementation procedures, on the basis of EASA and UK CAA Certification Specifications;
(d)
"certificating authority" means the technical agent of the exporting Party that issues a design certificate for a civil aeronautical product in its capacity as an authority carrying out the State of Design responsibilities set out in Annex 8 to the Convention on International Civil Aviation. When a design certificate is issued by an approved organisation of the exporting Party, the technical agent of the exporting Party is considered as the certificating authority;
(e)
"design certificate" means a form of recognition by the technical agent or an approved organisation of a Party that the design or change to a design of a civil aeronautical product complies with airworthiness requirements, as applicable, and environmental protection requirements, in particular concerning environmental characteristics set out in laws, regulations and administrative provisions of that Party;
(f)
"design-related operational requirements" means the operational, including environmental, requirements affecting either the design features of the civil aeronautical product or data on the design relating to the operations, or the maintenance of that product, which make it eligible for a particular kind of operation;
(g)
"export" means the process by which a civil aeronautical product is released from the regulatory system for civil aviation safety of a Party to that of the other Party;
(h)
"export certificate of airworthiness" means a certificate issued by the competent authority of the exporting Party or, for used aircraft, by the competent authority of the State of Registry from which the product is exported as a form of recognition that an aircraft conforms to the applicable airworthiness and environmental protection requirements notified by the importing Party;
(i)
"exporting Party" means the Party from whose regulatory system for civil aviation safety a civil aeronautical product is released;
(j)
"import" means the process by which an exported civil aeronautical product from the regulatory system for civil aviation safety of a Party is introduced into that of the other Party;
(k)
"importing Party" means the Party into whose regulatory system for civil aviation safety a civil aeronautical product is introduced;
(l)
"major change" means all changes in type design other than "minor change";
(m)
"minor change" means a change in type design that has no appreciable effect on the mass, balance, structural strength, reliability, operational characteristics, environmental characteristics, or other characteristics affecting the airworthiness of the civil aeronautical product;
(n)
"operational suitability data" means the required set of data to support and allow the type specific operational aspects of certain types of aircraft that are regulated under the regulatory system for civil aviation safety of the Union or of the United Kingdom. It must be designed by the type certificate applicant or holder for the aircraft and be part of the type certificate. Under the regulatory system for civil aviation safety of the Union or of the United Kingdom, an initial application for a type certificate or restricted type certificate shall include, or be subsequently supplemented by, the application for approval of operational suitability data, as applicable to the aircraft type;
(o)
"production approval" means a certificate issued by the competent authority of a Party to a manufacturer which produces civil aeronautical products, as a form of recognition that the manufacturer complies with applicable requirements set out in laws, regulations and administrative provisions of that Party for the production of the particular civil aeronautical products;
(p)
"technical implementation procedures" means the implementation procedures for this Annex developed by the technical agents of the Parties in accordance with Article 445(5) of this Agreement;
(q)
"validating authority" means the technical agent of the importing Party that accepts or validates, as specified in this Annex, a design certificate issued by the certificating authority.
SECTION B
CERTIFICATION OVERSIGHT BOARD
Article 3
Establishment and composition
1.   The Certification Oversight Board, accountable to the Specialised Committee on Aviation Safety, is hereby established under the co-chairmanship of the technical agents of the Parties, as a technical coordination body responsible for the effective implementation of this Annex. It shall be composed of representatives from the technical agent of each Party and may invite additional participants to facilitate the fulfilment of its mandate.
2.   The Certification Oversight Board shall meet at regular intervals upon the request of either technical agent, and take decisions and make recommendations by consensus. It shall develop and adopt its rules of procedure.
Article 4
Mandate
The mandate of the Certification Oversight Board shall include in particular:
(a)
developing, adopting, and revising the technical implementation procedures referred to in Article 6;
(b)
sharing information on major safety concerns and, where appropriate, developing action plans to address them;
(c)
resolving technical issues falling within the responsibilities of the competent authorities and affecting the implementation of this Annex;
(d)
where appropriate, developing effective means of cooperation, technical support and exchange of information regarding safety and environmental protection requirements, certification systems, and quality management and standardisation systems;
(e)
conducting periodic reviews on the modalities of validation or acceptance of design certificates set out in Articles 10 and 13;
(f)
proposing amendments to this Annex to the Specialised Committee on Aviation Safety;
(g)
in accordance with Article 29, defining procedures to ensure the continued confidence of each Party in the reliability of the other Party's processes for findings of compliance;
(h)
analysing and taking action regarding the implementation of the procedures referred to in point (g); and
(i)
reporting unresolved issues to the Specialised Committee on Aviation Safety and ensuring the implementation of decisions taken by the Specialised Committee on Aviation Safety regarding this Annex.
SECTION C
IMPLEMENTATION
Article 5
Competent authorities for design certification, production certification and export Certificates
1.   The competent authorities for design certification are:
(a)
for the Union: the European Union Aviation Safety Agency; and
(b)
for the United Kingdom: the Civil Aviation Authority of the United Kingdom.
2.   The competent authorities for production certification and export certificates are:
(a)
for the Union: the European Union Aviation Safety Agency and the competent authorities of the Member States. As regards an export certificate for used aircraft, it is the competent authority of the State of Registry for the aircraft from which the aircraft is exported; and
(b)
for the United Kingdom: the Civil Aviation Authority of the United Kingdom.
Article 6
Technical implementation procedures
1.   The technical implementation procedures shall be developed by the technical agents of the Parties through the Certification Oversight Board in order to provide specific procedures to facilitate the implementation of this Annex, by defining the procedures for communication activities between the competent authorities of the Parties.
2.   The technical implementation procedures shall also address the differences between the Parties' civil aviation standards, rules, practices, procedures and systems related to the implementation of this Annex, as provided for in Article 445(5) of this Agreement.
Article 7
Exchange and protection of confidential and proprietary data and information
1.   Data and information exchanged in the implementation of this Annex shall be subject to Article 453 of this Agreement.
2.   Data and information exchanged during the validation process shall be limited in nature and content to what is necessary for the purpose of compliance demonstration with applicable technical requirements, as detailed in the technical implementation procedures.
3.   Any disagreement with regard to a data and information exchange between the competent authorities shall be handled as detailed in the technical implementation procedures. Each Party shall retain the right to refer the disagreement to the Certification Oversight Board for resolution.
SECTION D
DESIGN CERTIFICATION
Article 8
General principles
1.   This Section addresses all design certificates and changes thereto, where applicable, within the scope of this Annex, in particular:
(a)
type certificates, including restricted type certificates;
(b)
supplemental type certificates;
(c)
repair design approvals; and
(d)
technical standard order authorisations.
2.   The validating authority shall either validate, having regard to the level of involvement referred to in Article 12, or accept a design certificate or a change that has been, or is in the process of being, issued or approved by the certificating authority, in accordance with the terms and conditions set out in this Annex and as detailed in the technical implementation procedures, including its modalities of acceptance and validation of certificates.
3.   For the implementation of this Annex, each Party shall ensure that, in its regulatory system for civil aviation safety, the capability of any design organisation to assume its responsibilities is sufficiently controlled through a system of certification for design organisations.
Article 9
Validation process
1.   An application for the validation of a design certificate of a civil aeronautical product shall be made to the validating authority through the certificating authority as detailed in the technical implementation procedures.
2.   The certificating authority shall ensure that the validating authority receives all the relevant data and information necessary for the validation of the design certificate, as detailed in the technical implementation procedures.
3.   Upon receiving the application for the validation of the design certificate, the validating authority shall determine the certification basis for the validation in accordance with Article 11, as well as the level of involvement of the validating authority in the validation process in accordance with Article 12.
4.   The validating authority shall, as detailed in the technical implementation procedures, base its validation to the maximum extent practicable on the technical evaluations, tests, inspections, and findings of compliance made by the certificating authority.
5.   The validating authority shall, after examining relevant data and information provided by the certificating authority, issue its design certificate for the validated civil aeronautical product ("validated design certificate") when:
(a)
it is confirmed that the certificating authority has issued its own design certificate for the civil aeronautical product;
(b)
it has been stated by the certificating authority that the civil aeronautical product complies with the certification basis referred to in Article 11;
(c)
all issues raised during the validation process conducted by the validating authority have been resolved; and
(d)
additional administrative requirements, as detailed in the technical implementation procedures, have been met by the applicant.
6.   Each Party shall ensure that in order to obtain and maintain a validated design certificate, the applicant holds and retains at the disposal of the certificating authority all relevant design information, drawings and test reports, including inspection records for the certified civil aeronautical product, in order to provide the information necessary to ensure the continued airworthiness and compliance with applicable environmental protection requirements of the civil aeronautical product.
Article 10
Modalities of the validation of design certificates
1.   Type certificates issued by the technical agent of the Union as certificating authority shall be validated by the technical agent of the United Kingdom as validating authority. The following data shall be subject to acceptance:
(a)
engine installation manual (for engine type certificate);
(b)
structural repair manual;
(c)
instruction for continued airworthiness of electrical wiring interconnection systems; and
(d)
weight balance manual.
By way of technical implementation procedures, procedural detail may be established in respect of acceptance of the relevant data. Any such procedural detail must not affect the requirement of acceptance established in the first subparagraph.
2.   Significant supplemental type certificates and approvals for significant major changes issued by the technical agent of the Union as certificating authority shall be validated by the technical agent of the United Kingdom as validating authority. A streamlined validation process limited to the technical familiarisation without the involvement of the validating authority in the showing of compliance activities by the applicant shall be used as a matter of principle, unless otherwise decided by the technical agents on a case-by-case basis.
3.   Type certificates issued by the technical agent of the United Kingdom as certificating authority shall be validated by the technical agent of the Union as validating authority.
4.   Supplemental type certificates, approvals for major changes, major repairs and technical standard order authorisations issued by the technical agent of the United Kingdom as certificating authority or by an approved organisation under laws and regulations of the United Kingdom shall be validated by the technical agent of the Union as validating authority. A streamlined validation process limited to the technical familiarisation without the involvement of the validating authority in the showing of compliance activities by the applicant may be used when decided by the technical agents on a case-by-case basis.
Article 11
Certification basis for the validation
1.   For the purpose of validating a design certificate of a civil aeronautical product, the validating authority shall refer to the following requirements set out in laws, regulations and administrative provisions of its Party in determining the certification basis:
(a)
the airworthiness requirements for a similar civil aeronautical product that were in effect on the effective application date established by the certificating authority, and complemented when applicable by additional technical conditions as detailed in the technical implementation procedures; and
(b)
the environmental protection requirements for the civil aeronautical product that were in effect on the date of the application for the validation to the validating authority.
2.   The validating authority shall specify, when applicable, any:
(a)
exemption to the applicable requirements;
(b)
deviation from the applicable requirements; or
(c)
compensating factors that provide an equivalent level of safety when applicable requirements are not complied with.
3.   In addition to the requirements set out in paragraphs 1 and 2, the validating authority shall specify any special condition to be applied if the related airworthiness codes, laws, regulations and administrative provisions do not contain adequate or appropriate safety requirements for the civil aeronautical product, because:
(a)
the civil aeronautical product has novel or unusual design features relative to the design practices on which the applicable airworthiness codes, laws, regulations and administrative provisions are based;
(b)
the intended use of the civil aeronautical product is unconventional; or
(c)
experience obtained from other, similar civil aeronautical products in service or civil aeronautical products having similar design features has shown that unsafe conditions may develop.
4.   When specifying exemptions, deviations, compensating factors or special conditions, the validating authority shall give due consideration to these applied by the certificating authority and they shall not be more demanding for the civil aeronautical products to be validated than they would be for its own similar products. The validating authority shall notify the certificating authority of any such exemptions, deviations, compensating factors or special conditions.
Article 12
Level of involvement of the validating authority
1.   The level of involvement of the validating authority of a Party during the validation process referred to in Article 9 and as detailed in the technical implementation procedures, shall be mainly determined by:
(a)
the experience and records of the competent authority of the other Party as certificating authority;
(b)
the experience already gained by that validating authority during previous validation exercises with the competent authority of the other Party;
(c)
the nature of the design to be validated;
(d)
the performance and experience of the applicant with the validating authority; and
(e)
the outcome of qualification requirements assessments referred to in Articles 28 and Article 29.
2.   The validating authority shall exercise special procedures and scrutiny, in particular regarding the certificating authority's processes and methods, during the first validation of any certificate, where the certificating authority has not previously issued a certificate in the category of civil aeronautical products concerned after 30 September 2004. The procedures and criteria to be applied shall be detailed in the technical implementation procedures.
3.   The effective implementation of the principles set out in paragraphs 1 and 2 shall be regularly measured, monitored, reviewed by the Certification Oversight Board, using metrics as detailed in the technical implementation procedures.
Article 13
Acceptance
1.   For a design certificate subject to acceptance, the validating authority shall accept the design certificate issued by the certificating authority without any validation activities. In that case, the design certificate shall be recognised by the validating authority as equivalent to a certificate issued in accordance with laws, regulations and administrative provisions of its Party and the validating authority shall not issue its corresponding certificate.
2.   Non-significant supplemental type certificates, non-significant major changes and technical standard order authorisations issued by the technical agent of the Union as certificating authority or by an approved organisation under Union law shall be accepted by the technical agent of the United Kingdom as validating authority.
3.   Minor changes and repairs approved by the technical agent of the Union as certificating authority or by an approved organisation under Union law shall be accepted by the technical agent of the United Kingdom as validating authority.
4.   Minor changes and minor repairs approved by the technical agent of the United Kingdom as certificating authority or by an approved organisation under laws and regulations of the United Kingdom shall be accepted by the technical agent of the Union as validating authority.
Article 14
Implementation provisions for Articles 10 and 13
1.   The minor change or major change classifications shall be made by the certificating authority in accordance with the definitions set out in this Annex and interpreted in accordance with the applicable rules and procedures of the certificating authority.
2.   For classifying a supplemental type certificate or major change as significant or non-significant, the certificating authority shall consider the change in the context of all previous relevant design changes and all related revisions to the applicable certification specifications incorporated in the type certificate for the civil aeronautical product. Changes that meet either of the following criteria are automatically considered as significant:
(a)
the general configuration or the principles of construction are not retained; or
(b)
the assumptions used for certification of the product to be changed do not remain valid.
Article 15
Existing design certificates
For the purposes of this Annex, the following apply:
(a)
type certificates, supplemental type certificates, approvals for changes and repairs, as well as technical standard order authorisations and changes thereto issued by the technical agent of the Union to United Kingdom applicants, or by an approved design organisation located in the United Kingdom, on the basis of Union law and valid on 31 December 2020 are deemed to have been issued by the technical agent of the United Kingdom as certificating authority or by an approved organisation under the laws and regulations of the United Kingdom and to have been accepted by the technical agent of the Union as validating authority in accordance with Article 13(1);
(b)
type certificates, supplemental type certificates, approvals for changes and repairs, as well as technical standard order authorisations and changes thereto issued by the technical agent of the Union to Union applicants, or by a design organisation located in the Union, on the basis of Union law and valid on 31 December 2020 are deemed to have been accepted by the technical agent of the United Kingdom as validating authority in accordance with Article 13(1).
Article 16
Transfer of a design certificate
In the event that a design certificate is transferred to another entity, the certificating authority responsible for the design certificate shall promptly notify the validating authority of the transfer and apply the procedure related to the transfer of design certificates as detailed in the technical implementation procedures.
Article 17
Design-related operational requirements
1.   The technical agents shall ensure that, where necessary, data and information related to design-related operational requirements shall be exchanged during the validation process.
2.   Subject to decision by the technical agents for some design-related operational requirements, the validating authority may accept the compliance statement of the certificating authority through the validation process.
Article 18
Operational documents and data related to the type
1.   Some type-specific sets of operational documents and data, including operational suitability data in the Union system and the equivalent data in the United Kingdom system, provided by the type certificate holder shall be approved or accepted by the certificating authority and, where necessary, exchanged during the validation process.
2.   Operational documents and data referred to in paragraph 1 may be either accepted or validated by the validating authority as detailed in the technical implementation procedures.
Article 19
Concurrent validation
When decided by the applicant and the technical agents, a concurrent certification and validation process may be used, where appropriate and as detailed in the technical implementation procedures.
Article 20
Continuing airworthiness
1.   The competent authorities shall take action to address unsafe conditions in civil aeronautical products for which they are the certificating authority.
2.   Upon request, a competent authority of a Party shall, in respect of civil aeronautical products designed or manufactured under its regulatory system, assist the competent authority of the other Party in determining any action considered to be necessary for the continued airworthiness of the civil aeronautical products.
3.   When in-service difficulties or other potential safety issues affecting a civil aeronautical product within the scope of this Annex lead to an investigation conducted by the technical agent of a Party that is the certificating authority for the civil aeronautical product, the technical agent of the other Party shall, upon request, support that investigation, including by providing relevant information reported by relevant entities on failures, malfunctions, defects or other occurrences affecting that civil aeronautical product.
4.   The reporting obligations of the design certificate holders to the certificating authority and the information exchange mechanism established under this Annex shall be considered to fulfil the obligation of each design certificate holder to report failures, malfunctions, defects or other occurrences affecting that civil aeronautical product to the validating authority.
5.   Actions to address unsafe conditions and exchange of safety information referred to in paragraphs 1 to 4 shall be detailed in the technical implementation procedures.
6.   The technical agent of a Party shall keep the technical agent of the other Party informed of all its mandatory continuing airworthiness information in relation to civil aeronautical products designed or manufactured under its oversight system, and which are within the scope of this Annex.
7.   Any changes to the airworthiness status of a certificate issued by a Party's technical agent shall be communicated in a timely manner to the other Party's technical agent.
SECTION E
PRODUCTION CERTIFICATION
Article 21
Recognition of production certification and production oversight systems
1.   The importing Party shall recognise the production certification and production oversight system of the exporting Party, since the system is considered sufficiently equivalent to the system of the importing Party within the scope of this Annex, subject to the provisions of this Article.
2.   The recognition of the production certification and production oversight system of the United Kingdom by the Union is limited to the recognition of the production of categories of civil aeronautical products that were already subject to that system on 31 December 2020, as detailed in the technical implementation procedures.
3.   In the event that a new category of civil aeronautical products is added to the exporting Party's production certification and production oversight system, the competent authority of the exporting Party shall notify the technical agent of the importing Party. Before extending the recognition of the production certification and production oversight system to the new category of civil aeronautical products, the technical agent of the importing Party may decide to conduct an assessment to confirm that the production certification and production oversight system of the exporting Party for this category of civil aeronautical products is sufficiently equivalent to the production certification and production oversight system of the importing Party. That assessment shall be performed as detailed in the technical implementation procedures, and may include an assessment of the production approval holder under the oversight of the competent authority of the exporting Party. The process for the extension of the recognition of the production certification and production oversight system of the exporting Party to the new category of civil aeronautical products by the importing Party shall be detailed in the technical implementation procedures.
4.   The recognition of the production certification and production oversight system of the exporting Party by the importing Party shall be subject to the level of safety provided by the production certification and production oversight system of the exporting Party remaining sufficiently equivalent to that provided by the system of the importing Party. The equivalence of the production certification and production oversight system shall be continuously monitored through the procedures set out in Article 29.
5.   Paragraphs 1 to 3 also apply to the production of a civil aeronautical product for which the State of Design responsibilities are exercised by a country other than the exporting Party of the civil aeronautical product, provided that the competent authority of the exporting Party has established and implemented the necessary procedures with the relevant authority of the State of Design to control the interface between the design certificate holder and the production approval holder for that civil aeronautical product.
Article 22
Extension of production approval
1.   A production approval issued by the competent authority of the exporting Party to a manufacturer primarily located in the territory of that exporting Party and recognised under Article 21(1) may be extended to include manufacturing sites and facilities of the manufacturer located in the territory of the other Party or in the territory of a third country, irrespective of the legal status of those manufacturing sites and facilities, and irrespective of the type of civil aeronautical product manufactured in those sites and facilities. In that case, the competent authority of the exporting Party shall remain responsible for the oversight of those manufacturing sites and facilities and the competent authority of the importing Party shall not issue its own production approval to these manufacturing sites and facilities for the same civil aeronautical product.
2.   If facilities and manufacturing sites for a manufacturer primarily located in the territory of the exporting Party are located in the other Party, the competent authorities of both Parties shall cooperate with each other, in the framework of Article 32, with a view to having the importing Party participating in the oversight activities of the exporting Party in relation to these facilities.
Article 23
Interface between the production approval holder and the design certificate holder
1.   In cases where the production approval holder for a civil aeronautical product is regulated by the competent authority of a Party, and the design certificate holder for the same civil aeronautical product is regulated by the competent authority of the other Party, the competent authorities of the Parties shall establish procedures to define the responsibilities of each Party to control the interface between the production approval holder and the design certificate holder.
2.   For the purpose of export of civil aeronautical products within the framework of this Annex, when the design certificate holder and the production approval holder are not the same legal entity, the competent authorities of the Parties shall ensure that the design certificate holder establishes proper arrangements with the production approval holder to ensure satisfactory coordination between design and production and the proper support of the continued airworthiness of the civil aeronautical product.
SECTION F
EXPORT CERTIFICATES
Article 24
Forms
The exporting Party's forms are:
(a)
when the exporting Party is the United Kingdom, CAA Form 52 for new aircraft, export certificate of airworthiness for used aircraft, and CAA Form 1 for other new products; and
(b)
when the exporting Party is the Union, EASA Form 52 for new aircraft, export certificate of airworthiness for used aircraft, and EASA Form 1 for other new products.
Article 25
Issuance of an export certificate
1.   When issuing an export certificate, the competent authority or production approval holder of the exporting Party shall ensure that such civil aeronautical product:
(a)
conforms to the design automatically accepted or validated, or certified by the importing Party in accordance with this Annex and as detailed in the technical implementation procedures;
(b)
is in a condition for safe operation;
(c)
meets all additional requirements notified by the importing Party; and
(d)
as regards civil aircraft, aircraft engines and aircraft propellers, complies with the applicable mandatory continuing airworthiness information, including airworthiness directives of the importing Party, as notified by that Party.
2.   When issuing an export certificate of airworthiness for a used aircraft registered in the exporting Party, in addition to the requirements referred to in points (a) to (d) of paragraph 1, the competent authority of the exporting Party shall ensure that such aircraft has been properly maintained using approved procedures and methods of the exporting Party during its service life, as evidenced by logbooks and maintenance records.
Article 26
Acceptance of an export certificate for a new civil aeronautical product
The competent authority of the importing Party shall accept an export certificate issued by the competent authority or a production approval holder of the exporting Party for a civil aeronautical product, in accordance with the terms and conditions set out in this Annex and as detailed in the technical implementation procedures.
Article 27
Acceptance of an export certificate of airworthiness for a used aircraft
1.   The competent authority of the importing Party shall accept an export certificate of airworthiness issued by the competent authority of the exporting Party for a used aircraft in accordance with the terms and conditions set out in this Annex and the technical implementation procedures only if a holder of either a type certificate or a restricted type certificate exists for the used aircraft to support continued airworthiness of that type of aircraft.
2.   For an export certificate of airworthiness for a used aircraft manufactured under the production oversight of the exporting Party to be accepted in accordance with paragraph 1, the competent authority of the exporting Party shall assist, upon request, the competent authority of the importing Party in obtaining data and information regarding:
(a)
the configuration of the aircraft at the time of dispatch from the manufacturer; and
(b)
subsequent changes and repairs applied to the aircraft that it has approved.
3.   The importing Party may request inspection and maintenance records as detailed in the technical implementation procedures.
4.   If, in the process of assessing the airworthiness status of a used aircraft considered for export, the competent authority of the exporting Party is unable to satisfy all of the requirements set out in Article 25(2) and in paragraphs 1 and 2 of this Article, it shall:
(a)
notify the competent authority of the importing Party;
(b)
coordinate with the competent authority of the importing Party, as detailed in the technical implementation procedures, their acceptance or rejection of the exceptions to the applicable requirements; and
(c)
keep a record of any accepted exceptions when exporting.
SECTION G
QUALIFICATION OF COMPETENT AUTHORITIES
Article 28
Qualification requirements for the acceptance of findings of compliance and certificates
1.   Each Party shall maintain a structured and effective certification and oversight system for the implementation of this Annex, including:
(a)
a legal and regulatory framework, ensuring in particular regulatory powers over entities regulated under the regulatory system for civil aviation safety of the Party;
(b)
an organisational structure, including a clear description of responsibilities;
(c)
sufficient resources, including qualified staff with sufficient knowledge, experience and training;
(d)
adequate processes documented in policies and procedures;
(e)
documentation and records; and
(f)
an established inspection programme ensuring uniform level of implementation of the legal and regulatory framework among the various components of the oversight system.
Article 29
Continued qualifications of the competent authorities
1.   In order to maintain mutual confidence in each Party's regulatory system concerning the implementation of this Annex so that they ensure a sufficiently equivalent level of safety, the technical agent of each Party shall regularly assess the other Party's competent authorities' compliance with the qualification requirements referred to in Article 28. The modalities of such continued mutual assessments shall be detailed in the technical implementation procedures.
2.   The competent authority of a Party shall cooperate with the competent authority of the other Party whenever such assessments are required and ensure that regulated entities subject to its oversight provide access to the technical agents of the Parties.
3.   If the technical agent of either Party believes that the technical competence of a competent authority of the other Party is no longer adequate, or that the acceptance of findings of compliance made or certificates issued by that competent authority should be suspended as the other Party's systems concerning the implementation of this Annex no longer ensure a sufficiently equivalent level of safety to permit such acceptance, the technical agents of the Parties shall consult in order to identify remedial actions.
4.   If mutual confidence is not restored through mutually acceptable means, the technical agent of each Party may refer the matter referred to in paragraph 3 to the Certification Oversight Board.
5.   If the matter is not resolved by the Certification Oversight Board, each Party may refer the matter referred to in paragraph 3 to the Specialised Committee on Aviation Safety.
SECTION H
COMMUNICATIONS, CONSULTATIONS AND SUPPORT
Article 30
Communications
Subject to the exceptions decided by the technical agents of the Parties on a case-by-case basis, all communications between the competent authorities of the Parties, including documentation as detailed in the technical implementation procedures, shall be made in the English language.
Article 31
Technical consultations
1.   The technical agents of the Parties shall address issues concerning the implementation of this Annex through consultations.
2.   If a mutually acceptable solution is not reached through consultations held pursuant to paragraph 1, the technical agent of each Party may refer an issue as referred to in paragraph 1 to the Certification Oversight Board.
3.   If the issue is not resolved by the Certification Oversight Board, each Party may refer an issue as referred to in paragraph 1 to the Specialised Committee on Aviation Safety.
Article 32
Support for certification and continued airworthiness oversight activities
Upon request, after mutual consent, and as resources permit, the competent authority of a Party may provide technical support, data and information to the competent authority of the other Party in certification and continued airworthiness oversight activities related to design, production and environmental protection certification. The support to be provided and the process for providing such support shall be detailed in the technical implementation procedures.
ANNEX 31
TRANSPORT OF GOODS BY ROAD
PART A
REQUIREMENTS FOR ROAD HAULAGE OPERATORS IN ACCORDANCE WITH ARTICLE 463 OF THIS AGREEMENT
SECTION 1
ADMISSION TO, AND THE PURSUIT OF, THE OCCUPATION OF ROAD HAULAGE OPERATOR
Article 1
Scope
This Section governs admission to, and the pursuit of, the occupation of road haulage operator and shall apply to all road haulage operators of a Party engaged in the transport of goods within the scope of Article 462 of this Agreement.
Article 2
Definitions
For the purposes of this Section, the following definitions apply:
(a)
"authorisation to pursue the occupation of road haulage operator" means an administrative decision which authorises a natural or legal person who fulfils the conditions laid down in this Section to pursue the occupation of road haulage operator;
(b)
"competent authority" means a national, regional or local authority in a Party which, for the purpose of authorising the pursuit of the occupation of road haulage operator, verifies whether a natural or legal person fulfils the conditions laid down in this Section, and which is empowered to grant, suspend or withdraw an authorisation to pursue the occupation of road haulage operator; and
(c)
"normal residence" means the place where a person usually lives, that is for at least 185 days in each calendar year, because of personal ties which show close links between that person and the place where that person is living.
Article 3
Requirements for engagement in the occupation of road haulage operator
Natural or legal persons engaged in the occupation of road haulage operator shall:
(a)
have an effective and stable establishment in a Party as laid down in Article 5 of this Section;
(b)
be of good repute as laid down in Article 6 of this Section;
(c)
have appropriate financial standing as laid down in Article 7 of this Section; and
(d)
have the requisite professional competence as laid down in Article 8 of this Section.
Article 4
Transport manager
1.   A road haulage operator shall designate at least one natural person to be the transport manager, who effectively and continuously manages its transport activities and fulfils the requirements set out in points (b) and (d) of Article 3 and who:
(a)
has a genuine link to the road haulage operator, such as being an employee, director, owner or shareholder or administering it, or is that person; and
(b)
is resident in the Party in the territory of which the road haulage operator is established.
2.   If a natural or legal person does not fulfil the requirement of professional competence, the competent authority may authorise the natural or legal person to engage in the occupation of road haulage operator without designating a transport manager in accordance with paragraph 1, provided that:
(a)
the natural or legal person designates a natural person residing in the Party of establishment of the road haulage operator who fulfils the requirements laid down in points (b) and (d) of Article 3 and who is entitled under contract to carry out duties as transport manager on behalf of the undertaking;
(b)
the contract linking the natural or legal person with the person referred to in point (a) specifies the tasks to be performed on an effective and continuous basis by that person and indicates that person's responsibilities as transport manager. The tasks to be specified shall comprise, in particular, those relating to vehicle maintenance management, verification of transport contracts and documents, basic accounting, the assignment of loads or services to drivers and vehicles, and the verification of safety procedures;
(c)
in his or her capacity as transport manager, the person referred to in point (a) may manage the transport activities of up to four different road haulage operators carried out with a combined maximum total fleet of 50 vehicles; and
(d)
the person referred to in point (a) performs the specified tasks solely in the interests of the natural or legal person and that person's responsibilities are exercised independently of any natural or legal persons for which it carries out transport operations.
3.   A Party may decide that a transport manager designated in accordance with paragraph 1 may not in addition be designated in accordance with paragraph 2, or may only be so designated in respect of a limited number of natural or legal persons or a fleet of vehicles that is smaller than that referred to in point (c) of paragraph 2.
4.   The natural or legal person shall notify the competent authority of the transport manager or managers designated.
Article 5
Conditions relating to the requirement of establishment
In order to fulfil the requirement of effective and stable establishment in the Party of establishment, a natural or legal person shall:
(a)
have premises at which it is able to access the originals of its core business documents, whether in electronic or any other form in particular its transport contracts, documents relating to the vehicles at the disposal of the natural or legal person, accounting documents, personnel management documents, labour contracts, social security documents, documents containing data on the dispatching and posting of drivers, documents containing data relating to journeys, driving time and rest periods, and any other document to which the competent authority must have access in order to verify compliance with the conditions laid down in this Section;
(b)
be registered in the register of commercial companies of that Party or in a similar register whenever required under national law;
(c)
be subject to tax on revenues and, whenever required under national law, have assigned a VAT identification number;
(d)
once an authorisation has been granted, have at its disposal one or more vehicles which are registered or put into circulation and authorised to be used in conformity with the legislation of that Party, regardless of whether those vehicles are wholly owned or, for example, are held under a hire-purchase agreement or under a hire or leasing contract;
(e)
effectively and continuously conduct its administrative and commercial activities with the appropriate equipment and facilities at premises as referred to in point (a) situated in that Party and manage effectively and continuously its transport operations using the vehicles referred to in point (f) with the appropriate technical equipment situated in that Party; and
(f)
on an ongoing basis, have at its regular disposal a number of vehicles complying with the conditions laid down in point (d) and drivers normally based at an operational centre in that Party, proportionate to the volume of transport operations carried out by the undertaking.
Article 6
Conditions relating to the requirement of good repute
1.   Subject to paragraph 2, the Parties shall determine the conditions to be met by natural or legal persons and transport managers in order to fulfil the requirement of good repute.
In determining whether a natural or legal person has fulfilled that requirement, the Parties shall consider the conduct of the natural or legal person, its transport managers, executive directors and any other relevant person as may be determined by the Party. Any reference in this Article to convictions, penalties or infringements shall include convictions, penalties or infringements of the natural or legal person itself, its transport managers, executive directors and any other relevant person as may be determined by the Party.
The conditions referred to in this paragraph shall include at least the following:
(a)
that there be no compelling grounds for doubting the good repute of the transport manager or the road haulage operator, such as convictions or penalties for any serious infringement of national rules in force in the fields of:
(i)
commercial law;
(ii)
insolvency law;
(iii)
pay and employment conditions in the profession;
(iv)
road traffic;
(v)
professional liability;
(vi)
trafficking in human beings or drugs;
(vii)
tax law; and
(b)
that the transport manager or the road haulage operator have not in one or both Parties been convicted of a serious criminal offence or incurred a penalty for a serious infringement of the rules of Title I of Heading Three of Part Two of this Agreement or of national rules relating in particular to:
(i)
the driving time and rest periods of drivers, working time and the installation and use of recording equipment;
(ii)
the maximum weights and dimensions of commercial vehicles used in international traffic;
(iii)
the initial qualification and continuous training of drivers;
(iv)
the roadworthiness of commercial vehicles, including the compulsory technical inspection of motor vehicles;
(v)
access to the market in international road haulage;
(vi)
safety in the carriage of dangerous goods by road;
(vii)
the installation and use of speed-limiting devices in certain categories of vehicle;
(viii)
driving licences;
(ix)
admission to the occupation;
(x)
animal transport;
(xi)
the posting of workers in road transport;
(xii)
the law applicable to contractual obligations; and
(xiii)
journeys whose points of loading and unloading are situated in the other Party.
2.   For the purposes of point (b) of the third subparagraph of paragraph 1 of this Article, where the transport manager or the road haulage operator has been convicted of a serious criminal offence or has incurred a penalty for one of the most serious infringements as set out in Appendix 31-A-1-1 in one or both Parties, the competent authority in the Party of establishment shall carry out and complete in an appropriate and timely manner an administrative procedure, which shall include, if appropriate, an on-site inspection at the premises of the natural or legal person concerned.
During the administrative procedure, the competent authority shall assess whether, due to specific circumstances, the loss of good repute would constitute a disproportionate response in the individual case. In that assessment, the competent authority shall take into account the number of serious infringements of the rules as referred to in the third subparagraph of paragraph 1 of this Article, as well as the number of most serious infringements as set out in Appendix 31-A-1-1 for which the transport manager or the road haulage operator have been convicted or had penalties imposed on them. Any such finding shall be duly reasoned and justified.
Where the competent authority finds that the loss of good repute would be disproportionate, it shall decide that the natural or legal person concerned continues to be of good repute. Where the competent authority does not find that the loss of good repute would be disproportionate, the conviction or penalty shall lead to the loss of good repute.
3.   The Specialised Committee on Road Transport shall draw up a list of categories, types and degrees of seriousness of serious infringements which, in addition to those set out in Appendix 31-A-1-1, may lead to the loss of good repute.
4.   The requirement of good repute shall not be fulfilled until a rehabilitation measure or any other measure having an equivalent effect has been taken pursuant to the relevant provisions of national law of the Parties.
Article 7
Conditions relating to the requirement of financial standing
1.   In order to fulfil the requirement of financial standing, a natural or legal person shall, on a permanent basis, be able to meet its financial obligations in the course of the annual accounting year. The natural or legal person shall demonstrate, on the basis of annual accounts certified by an auditor or a duly accredited person, that, every year, it has at its disposal capital and reserves:
(a)
totalling at least EUR 9 000 / GBP 8 000 when only one motor vehicle is used, EUR 5 000 / GBP 4 500 for each additional motor vehicle or combination of vehicles used that has a permissible laden mass exceeding 3.5 tonnes and EUR 900 / GBP 800 for each additional motor vehicle or combination of vehicles that has a permissible laden mass, exceeding 2.5 tonnes but not 3.5 tonnes;
(b)
natural or legal persons engaged in the occupation of road haulage operator solely by means of motor vehicles or combinations of vehicles that have a permissible laden mass exceeding 2.5 tonnes but not 3.5 tonnes shall demonstrate, on the basis of annual accounts certified by an auditor or a duly accredited person, that, every year, they have at their disposal capital and reserves totalling at least EUR 1 800 / GBP 1 600 when only one vehicle is used and EUR 900 / GBP 800 for each additional vehicle used.
2.   By way of derogation from paragraph 1, the competent authority may agree or require that an undertaking demonstrate its financial standing by means of a certificate determined by the competent authority, such as a bank guarantee or an insurance, including a professional liability insurance from one or more banks or other financial institutions including insurance companies or another binding document providing a joint and several guarantee for the undertaking in respect of the amounts specified in point (a) of paragraph 1.
3.   By way of derogation from paragraph 1, in the absence of certified annual accounts for the year of an undertaking's registration, the competent authority shall agree that an undertaking is to demonstrate its financial standing by means of a certificate, such as a bank guarantee, a document issued by a financial institution establishing access to credit in the name of the undertaking, or another binding document as determined by the competent authority proving that the undertaking has at its disposal the amounts specified in point (a) of paragraph 1.
4.   The annual accounts referred to in paragraph 1, and the guarantee referred to in paragraph 2, which are to be verified, are those of the economic entity established in the Party in which an authorisation has been applied for and not those of any other entity established in the other Party.
Article 8
Conditions relating to the requirement of professional competence
1.   In order to satisfy the requirement of professional competence, the person or persons concerned shall possess knowledge corresponding to the level provided for in Part I of Appendix 31-A-1-2 in the subjects listed therein. That knowledge shall be demonstrated by means of a compulsory written examination which, if a Party so decides, may be supplemented by an oral examination. Those examinations shall be organised in accordance with Part II of Appendix 31-A-1-2. To this end, a Party may decide to impose training prior to the examination.
2.   The persons concerned shall sit the examination in the Party in which they have their normal residence.
3.   Only the authorities or bodies duly authorised for this purpose by a Party, in accordance with criteria defined by it, may organise and certify the written and oral examinations referred to in paragraph 1 of this Article. The Parties shall regularly verify that the conditions under which those authorities or bodies organise the examinations are in accordance with Appendix 31-A-1-2.
4.   A Party may exempt the holders of certain higher education qualifications or technical education qualifications issued in that Party, specifically designated to this end and entailing knowledge of all the subjects listed in Appendix 31-A-1-2 from the examination in the subjects covered by those qualifications. The exemption shall only apply to those Sections of Part I of Appendix 31-A-1-2 for which the qualification covers all subjects listed under the heading of each Section.
A Party may exempt from specified parts of the examinations holders of certificates of professional competence valid for national transport operations in that Party.
Article 9
Exemption from examination
For the purpose of granting a licence to a road haulage operator which only operates motor vehicles or combinations of vehicles the permissible laden mass of which does not exceed 3.5 tonnes, a Party may decide to exempt from the examinations referred to in Article 8(1) persons who provide proof that they have continuously managed, for the period of ten years before 20 August 2020, a natural or legal person of the same type.
Article 10
Procedure for the suspension and withdrawal of authorisations
1.   Where a competent authority establishes that a natural or legal person runs the risk of no longer fulfilling the requirements laid down in Article 3, it shall notify the natural or legal person thereof. Where a competent authority establishes that one or more of those requirements is no longer satisfied, it may set one of the following time limits for the natural or legal person to rectify the situation:
(a)
a time limit not exceeding 6 months, which may be extended by 3 months in the event of the death or physical incapacity of the transport manager, for the recruitment of a replacement transport manager where the transport manager no longer satisfies the requirement as to good repute or professional competence;
(b)
a time limit not exceeding 6 months where the natural or legal person has to rectify the situation by demonstrating that the natural or legal person has an effective and stable establishment; or
(c)
a time limit not exceeding 6 months where the requirement of financial standing is not satisfied, in order to demonstrate that that requirement is again satisfied on a permanent basis.
2.   The competent authority may require a natural or legal person whose authorisation has been suspended or withdrawn to ensure that its transport managers have passed the examinations referred to in Article 8(1) prior to any rehabilitation measure being taken.
3.   If the competent authority establishes that the natural or legal person no longer satisfies one or more of the requirements laid down in Article 3, it shall suspend or withdraw the authorisation to engage in the occupation of road haulage operator within the time limits referred to in paragraph 1 of this Article.
Article 11
Declaration of unfitness of the transport manager
1.   Where a transport manager loses good repute in accordance with Article 6, the competent authority shall declare that transport manager unfit to manage the transport activities of a road haulage operator.
The competent authority shall not rehabilitate the transport manager earlier than one year from the date of the loss of good repute and before the transport manager has demonstrated to have followed appropriate training for a period of at least 3 months or an exam on the subjects listed in Part I of Appendix 31-A-1-2.
2.   Where a transport manager loses good repute in accordance with Article 6, an application for rehabilitation may be introduced after no less than one year from the date of the loss of good repute.
Article 12
Examination and registration of applications
1.   The competent authorities in each Party shall record in the national electronic registers referred to in Article 13(1) the data relating to undertakings which they authorise.
2.   When assessing the good repute of an undertaking, the competent authorities shall verify, whether at the time of the application the designated transport manager or managers are declared, in one of the Parties, unfit to manage the transport activities of an undertaking pursuant to Article 11.
3.   The competent authorities shall regularly monitor whether undertakings which they have authorised to engage in the occupation of road haulage operators continue to fulfil the requirements referred to in Article 3. To that end, the competent authorities shall carry out checks, including, where appropriate, on-site inspections at the premises of the undertaking concerned, targeting those undertakings which are classed as posing an increased risk.
Article 13
National electronic registers
1.   The competent authorities shall keep a national electronic register of road transport undertakings which have been authorised to engage in the occupation of road haulage operator.
2.   The Specialised Committee on Road Transport shall establish the data contained in the national registers of road transport undertakings and the conditions of access to this data.
Article 14
Administrative cooperation between the competent authorities
1.   The competent authorities in each Party shall designate a national contact point responsible for the exchange of information with the competent authorities of the other Party with regard to the application of this Section.
2.   The competent authorities in each Party shall cooperate closely and shall swiftly provide one another with mutual assistance and with any other relevant information in order to facilitate the implementation and enforcement of this Section.
3.   The competent authorities in each Party shall carry out individual checks to verify whether an undertaking meets the conditions governing admission to the occupation of road haulage operator whenever a competent authority in the other Party so requests in duly justified cases. It shall inform the competent authority in the other Party of the results of such checks and of the measures taken if it is established that the undertaking no longer fulfils the requirements laid down in this Section.
4.   The competent authorities in each Party shall exchange information on convictions and penalties for any serious infringements referred to in Article 6(2).
5.   The Specialised Committee on Road Transport shall establish detailed rules on the modalities of the exchange of information referred to in paragraphs 3 and 4.
Appendix 31-A-1-1
MOST SERIOUS INFRINGEMENTS FOR THE PURPOSE OF ARTICLE 6(2) OF SECTION 1 OF PART A OF ANNEX 31
1.
Exceeding time limits as follows:
(a)
exceeding the maximum 6-day or fortnightly driving time limits by margins of 25 % or more;
(b)
exceeding, during a daily working period, the maximum daily driving time limit by a margin of 50 % or more.
2.
Not having a tachograph and/or speed limiter, or having in the vehicle and/or using a fraudulent device able to modify the records of the recording equipment and/or the speed limiter or falsifying record sheets or data downloaded from the tachograph and/or the driver card.
3.
Driving without a valid roadworthiness certificate and/or driving with a very serious deficiency of, inter alia, the braking system, the steering linkages, the wheels/tyres, the suspension or chassis that would create such an immediate risk to road safety that it leads to a decision to immobilise the vehicle.
4.
Transporting dangerous goods that are prohibited for transport or transporting such goods in a prohibited or non-approved means of containment or without identifying them on the vehicle as dangerous goods, thus endangering lives or the environment to such extent that it leads to a decision to immobilise the vehicle.
5.
Carrying goods without holding a valid driving licence or carrying by an undertaking not holding a valid operator's licence as referred to in Article 463 of this Agreement.
6.
Driving with a driver card that has been falsified, or with a card of which the driver is not the holder, or which has been obtained on the basis of false declarations and/or forged documents.
7.
Carrying goods exceeding the maximum permissible laden mass by 20 % or more for vehicles the permissible laden weight of which exceeds 12 tonnes, and by 25 % or more for vehicles the permissible laden weight of which does not exceed 12 tonnes.
Appendix 31-A-1-2
PART I
LIST OF SUBJECTS REFERRED TO IN ARTICLE 8 OF SECTION 1 OF PART A OF ANNEX 31
The knowledge to be taken into consideration for the official recognition of professional competence by the Parties must cover at least the subjects listed below. In relation to those subjects, applicant road haulage operators must have the levels of knowledge and practical aptitude necessary for the management of a transport undertaking.
The minimum level of knowledge, as indicated below, must correspond at least to the level of knowledge acquired during the course of compulsory education, which is supplemented either by vocational training and supplementary technical training or by secondary school or other technical training.
A.   Civil law
The applicant must, in particular:
(a)
be familiar with the main types of contract used in road transport and with the rights and obligations arising therefrom;
(b)
be capable of negotiating a legally valid transport contract, notably with regard to conditions of carriage;
(c)
be able to consider a claim by the applicant's principal regarding compensation for loss of or damage to goods during transportation or for their late delivery, and to understand how such a claim affects the applicant's contractual liability; and
(d)
be familiar with the rules and obligations arising from the CMR Convention on the Contract for the International Carriage of Goods by Road, done in Geneva on 19 May 1956.
B.   Commercial law
The applicant must, in particular:
(a)
be familiar with the conditions and formalities laid down for plying the trade, the general obligations incumbent upon transport operators (registration, record keeping, etc.) and the consequences of bankruptcy; and
(b)
have appropriate knowledge of the various forms of commercial companies and the rules governing their constitution and operation.
C.   Social law
The applicant must, in particular, be familiar with the following:
(a)
the role and function of the various social institutions which are concerned with road transport (trade unions, works councils, shop stewards, labour inspectors, etc.);
(b)
the employers' social security obligations;
(c)
the rules governing work contracts for the various categories of worker employed by road transport undertakings (form of the contracts, obligations of the parties, working conditions and working hours, paid leave, remuneration, breach of contract, etc.);
(d)
the rules applicable to driving time, rest periods and working time, and the practical measures for applying those provisions; and
(e)
the rules applicable to the initial qualification and continuous training of drivers laid down in Section 1 of Part B of this Annex.
D.   Fiscal law
The applicant must, in particular, be familiar with the rules governing:
(a)
value added tax (VAT) on transport services;
(b)
motor-vehicle tax;
(c)
the taxes on certain road haulage vehicles and tolls and infrastructure user charges; and
(d)
income tax.
E.   Business and financial management
The applicant must, in particular:
(a)
be familiar with the laws and practices regarding the use of cheques, bills of exchange, promissory notes, credit cards and other means or methods of payment;
(b)
be familiar with the various forms of credit (bank credit, documentary credit, guarantee deposits, mortgages, leasing, renting, factoring, etc.) and the charges and obligations arising therefrom;
(c)
know what a balance sheet is, how it is set out and how to interpret it;
(d)
be able to read and interpret a profit and loss account;
(e)
be able to assess the undertaking's profitability and financial position, in particular on the basis of financial ratios;
(f)
be able to prepare a budget;
(g)
be familiar with the cost elements of the undertaking (fixed costs, variable costs, working capital, depreciation, etc.), and be able to calculate costs per vehicle, per kilometre, per journey or per tonne;
(h)
be able to draw up an organisation chart relating to the undertaking's personnel as a whole and to organise work plans, etc.;
(i)
be familiar with the principles of marketing, publicity and public relations, including transport services, sales promotion and the preparation of customer files, etc.;
(j)
be familiar with the different types of insurance relating to road transport (liability, accidental injury/life insurance, non-life and luggage insurance) and the guarantees and obligations arising therefrom;
(k)
be familiar with the applications of electronic data transmission in road transport;
(l)
be able to apply the rules governing the invoicing of road haulage services and know the meaning and implications of Incoterms; and
(m)
be familiar with the different categories of transport auxiliaries, their role, their functions and, where appropriate, their status.
F.   Access to the market
The applicant must, in particular, be familiar with the following:
(a)
the occupational regulations governing road transport, industrial vehicle rental and subcontracting, and in particular the rules governing the official organisation of the occupation, admission to the occupation, authorisations for road transport operations, inspections and penalties;
(b)
the rules for setting up a road transport undertaking;
(c)
the various documents required for operating road transport services and the introduction of checking procedures to ensure that the approved documents relating to each transport operation, and in particular those relating to the vehicle, the driver, the goods and luggage are kept both in the vehicle and on the premises of the undertaking;
(d)
the rules on the organisation of the market in road haulage services, as well as the rules on freight handling and logistics; and
(e)
border formalities, the role and scope of T documents and TIR carnets, and the obligations and responsibilities arising from their use.
G.   Technical standards and technical aspects of operation
The applicant must, in particular:
(a)
be familiar with the rules concerning the weights and dimensions of vehicles in the Parties and the procedures to be followed in the case of abnormal loads which constitute an exception to these rules;
(b)
be able to choose vehicles and their components (chassis, engine, transmission system, braking system, etc.) in accordance with the needs of the undertaking;
(c)
be familiar with the formalities relating to the type approval, registration and technical inspection of these vehicles;
(d)
understand what measures must be taken to reduce noise and to combat air pollution by motor vehicle exhaust emissions;
(e)
be able to draw up periodic maintenance plans for the vehicles and their equipment;
(f)
be familiar with the different types of cargo-handling and loading devices (tailboards, containers, pallets, etc.) and be able to introduce procedures and issue instructions for loading and unloading goods (load distribution, stacking, stowing, blocking and chocking, etc.);
(g)
be familiar with the various techniques of "piggy-back" and roll-on roll-off combined transport;
(h)
be able to implement procedures to comply with the rules on the carriage of dangerous goods and waste;
(i)
be able to implement procedures to comply with the rules on the carriage of perishable foodstuffs, notably those arising from the Agreement on the International Carriage of Perishable Foodstuffs and on the Special Equipment to be used for such Carriage (ATP); and
(j)
be able to implement procedures to comply with the rules on the transport of live animals.
H.   Road safety
The applicant must, in particular:
(a)
know what qualifications are required for drivers (driving licence, medical certificates, certificates of fitness, etc.);
(b)
be able to take the necessary steps to ensure that drivers comply with the traffic rules, prohibitions and restrictions in force in the Parties (speed limits, priorities, waiting and parking restrictions, use of lights, road signs, etc.);
(c)
be able to draw up instructions for drivers to check their compliance with the safety requirements concerning the condition of the vehicles, their equipment and cargo, and concerning preventive measures to be taken;
(d)
be able to lay down procedures to be followed in the event of an accident and to implement appropriate procedures to prevent the recurrence of accidents or serious traffic offences; and
(e)
be able to implement procedures to properly secure goods and be familiar with the corresponding techniques.
PART II
ORGANISATION OF THE EXAMINATION
1.
The Parties will organise a compulsory written examination which they may supplement by an optional oral examination to establish whether applicant road haulage operators have achieved the required level of knowledge in the subjects listed in Part I and in particular their capacity to use the instruments and techniques relating to those subjects and to fulfil the corresponding executive and coordination duties.
(a)
The compulsory written examination will involve two tests, namely:
(i)
written questions consisting of either multiple choice questions (each with four possible answers), questions requiring direct answers or a combination of both systems; and
(ii)
written exercises/case studies.
The minimum duration of each test will be two hours.
(b)
Where an oral examination is organised, the Parties may stipulate that participation is subject to the successful completion of the written examination.
2.
Where the Parties also organise an oral examination, they must provide, in respect of each of the three tests, for a weighting of marks of a minimum of 25 % and a maximum of 40 % of the total number of marks to be given.
Where the Parties organise only a written examination, they must provide, in respect of each test, for a weighting of marks of a minimum of 40 % and a maximum of 60 % of the total number of marks to be given.
3.
With regard to all the tests, applicants must obtain an average of at least 60 % of the total number of marks to be given, achieving in any given test not less than 50 % of the total number of marks possible. In one test only, a Party may reduce that mark from 50 % to 40 %.
Appendix 31-A-1-3
PART A
LICENCE MODEL FOR THE UNION
EUROPEAN COMMUNITY
(a)
(Colour Pantone light blue 290, or as close as possible to this colour, format DIN A4 cellulose paper 100 g/m
2
 or more)
(First page of the licence)
(Text in (one of) the official language(s) of the Member State issuing the licence)
Distinguishing sign of the Member State(
1
) issuing the licence
Name of the competent authority or body
LICENCE No ...
or
CERTIFIED TRUE COPY No ...
for the international carriage of goods by road for hire or reward
This licence entitles(
2
) …
…
…
to engage in the international carriage of goods by road for hire or reward by any route, for journeys or parts of journeys carried out for hire or reward within the territory of the Community, as laid down in Regulation (EC) No 1072/2009 of the European Parliament and of the Council of 21 October 2009 (
OJ EU L 300, 14.11.2009, p. 72
) on common rules for access to the international road haulage market and in accordance with the general provisions of this licence.
Particular remarks: …
…
This licence is valid from ….
to .…
Issued in …,
on …
… (
3
)
______________
(1)
The distinguishing signs of the Member States are: (B) Belgium, (BG) Bulgaria, (CZ) Czech Republic, (DK) Denmark, (D) Germany, (EST) Estonia, (IRL) Ireland, (GR) Greece, (E) Spain, (F) France, (HR) Croatia, (I) Italy, (CY) Cyprus, (LV) Latvia, (LT) Lithuania, (L) Luxembourg, (H) Hungary, (MT) Malta, (NL) Netherlands, (A) Austria, (PL) Poland, (P) Portugal, (RO) Romania, (SLO) Slovenia, (SK) Slovakia, (FIN) Finland, (S) Sweden.
(2)
Name or business name and full address of the haulier.
(3)
Signature and seal of the issuing competent authority or body.
(b)
(Second page of the licence)
(Text in (one of) the official language(s) of the Member State issuing the licence)
GENERAL PROVISIONS
This licence is issued under Regulation (EC) No 1072/2009.
It entitles the holder to engage in the international carriage of goods by road for hire or reward by any route for journeys or parts of journeys carried out within the territory of the Community and, where appropriate, subject to the conditions laid down herein:
—
where the point of departure and the point of arrival are situated in two different Member States, with or without transit through one or more Member States or third countries,
—
from a Member State to a third country or vice versa, with or without transit through one or more Member States or third countries,
—
between third countries with transit through the territory of one or more Member States,
and unladen journeys in connection with such carriage.
In the case of carriage from a Member State to a third country or vice versa, this licence is valid for that part of the journey carried out within the territory of the Community. It shall be valid in the Member State of loading or unloading only after the conclusion of the necessary agreement between the Community and the third country in question in accordance with Regulation (EC) No 1072/2009.
The licence is personal to the holder and is non-transferable.
It may be withdrawn by the competent authority of the Member State which issued it, notably where the holder has:
—
not complied with all the conditions for using the licence,
—
supplied incorrect information with regard to the data needed for the issue or extension of the licence.
The original of the licence must be kept by the haulage undertaking.
A certified copy of the licence must be kept in the vehicle(
1
). In the case of a coupled combination of vehicles it must accompany the motor vehicle. It covers the coupled combination of vehicles even if the trailer or semi-trailer is not registered or authorised to use the roads in the name of the licence holder or if it is registered or authorised to use the roads in another State.
The licence must be presented at the request of any authorised inspecting officer.
Within the territory of each Member State, the holder must comply with the laws, regulations and administrative provisions in force in that State, in particular with regard to transport and traffic.
__________________
(1)
"Vehicle" means a motor vehicle registered in a Member State, or a coupled combination of vehicles the motor vehicle of which at least is registered in a Member State, used exclusively for the carriage of goods.
PART B
LICENCE MODEL FOR THE UNITED KINGDOM
UK Licence for the Community
(a)
(Colour Pantone light blue, format DIN A4 cellulose paper 100 g/m
2
 or more)
(First page of the licence)
(Text in English or Welsh)
UK
NAME OF THE UK COMPETENT AUTHORITY
(
1
)
LICENCE No:
Or
CERTIFIED TRUE COPY No:
for the international carriage of goods by road for hire or reward
This licence entitles(
2
) …
…
…
to engage in the international carriage of goods by road for hire or reward by any route, for journeys or parts of journeys carried out for hire or reward within the territory of a Member State as laid down in Regulation (EC) No 1072/2009(
3
).
Particular remarks: …
…
This licence is valid from ….
to …
Issued in …
on …
___________________________
(
1
)
Competent authority for the relevant region for which the certificate is issued.
(
2
)
Name or business name and full address of the haulier.
(
3
)
Regulation (EC) No 1072/2009 as retained in UK law by Section 3 of the European Union (Withdrawal) Act 2018 and as amended by regulations made under Section 8 of that Act.
(b)
(Second page of the licence)
(Text in English or Welsh)
GENERAL PROVISIONS
This licence is issued under Regulation (EC) No 1072/2009(
1
).
It entitles the holder to engage in the international carriage of goods by road for hire or reward by any route for journeys or parts of journeys carried out within the territory of a Member State permitted by any international agreement between the United Kingdom and the European Union or a Member State.
In the case of carriage from the United Kingdom to a third country or vice versa, this licence is valid for that part of the journey carried out within the territory of any Member State.
The licence is personal to the holder and is non-transferable.
It may be withdrawn by a traffic commissioner or the Department for Infrastructure (Northern Ireland), for example, where the holder has:
—
not complied with all the conditions for using the licence,
—
supplied incorrect information with regard to the data needed for the issue or extension of the licence.
The original of the licence must be kept by the haulage undertaking.
A certified copy of the licence must be kept in the vehicle(
2
). In the case of a coupled combination of vehicles it must accompany the motor vehicle. It covers the coupled combination of vehicles even if the trailer or semi-trailer is not registered or authorised to use the roads in the name of the licence holder or if it is registered or authorised to use the roads in another State.
The licence must be presented at the request of any authorised inspecting officer.
Within the territory of the United Kingdom or each Member State, the holder must comply with the laws, regulations and administrative provisions in force in that State, in particular with regard to transport and traffic.
_______________________
(1)
Regulation (EC) No 1072/2009 as retained in UK law by Section 3 of the European Union (Withdrawal) Act 2018 and as amended by regulations made under Section 8 of that Act.
(2)
"Vehicle" means a motor vehicle registered in the United Kingdom or a Member State, or a coupled combination of motor vehicles the motor vehicle of which at least is registered in the United Kingdom or a Member State, used exclusively for the carriage of goods.
Appendix 31-A-1-4
SECURITY FEATURES OF THE LICENCE
The licence must have at least two of the following security features:
—
a hologram;
—
special fibres in the paper which become visible under UV-light;
—
at least one microprint line (printing visible only with a magnifying glass and not reproduced by photocopying machines);
—
tactile characters, symbols or patterns;
—
double numbering: serial number of the licence, of the certified copy thereof as well as, in each case, the issue number;
—
a security design background with fine guilloche patterns and rainbow printing.
SECTION 2
POSTING OF DRIVERS
Article 1
Subject matter
This Section lays down requirements for road haulage operators established in one of the Parties which, in the framework of the transport of goods, post drivers to the territory of the other Party in accordance with Article 3 of this Section.
Nothing in this Section shall prevent a Party from applying measures to regulate the entry of natural persons into, or their temporary stay in, its territory, including measures necessary to protect the integrity of its borders and to ensure the orderly movement of natural persons across them, provided that such measures are not applied in such a manner as to nullify or impair the benefits accruing to the other Party under the terms of this Section. The sole fact of requiring a visa for natural persons of certain countries and not for those of others shall not be regarded as nullifying or impairing benefits under this Section.
Nothing in this Section shall affect the application on the Union territory of the Union rules on the posting of drivers in road transport to Union road haulage operators.
Article 2
Definitions
For the purposes of this Section, "posted driver" means a driver who, for a limited period, carries out his or her work in the territory of a Party other than the Party in which the driver normally works.
Article 3
Principles
1.   The provisions of this Section apply to the extent that the road haulage operator posts drivers to the territory of the other Party on its account and under its direction, under a contract concluded between the road haulage operator making the posting and the party for whom the transport services are intended, and those drivers operate in the territory of that Party, provided that there is an employment relationship between the road haulage operator making the posting and the driver during the period of posting.
2.   For the purposes of paragraph 1, a posting shall be considered to start when the driver enters the territory of the other Party for the loading and/or unloading of goods and to end when the driver leaves the territory of that Party.
For the purposes of paragraph 1, in the case of posting in the Union, a posting shall, be considered to start when the driver enters the territory of a Member State for the loading and/or unloading of goods in that Member State and to end when the driver leaves the territory of that Member State.
3.   Notwithstanding the paragraphs 1 and 2, a driver shall not be considered to be posted when performing transport operations, based on a transport contract, as defined in point (a) of Article 462(1) of this Agreement.
4.   A driver shall not be considered to be posted in the United Kingdom where the driver transits through the territory of the United Kingdom without loading or unloading of goods. For the Union, a driver shall not be considered to be posted in a Member State when the driver transits through the territory of that Member State without loading or unloading of goods.
Article 4
Terms and conditions of employment
1.   Each Party shall ensure, irrespective of which law applies to the employment relationship, that road haulage operators guarantee, on the basis of equality of treatment, to drivers who are posted to their territory the terms and conditions of employment covering the following matters which, in the Party or, in the case of the Union, in the Member State where the work is carried out, are laid down:
—
by law, regulation or administrative provision, and/or
—
by collective agreements or arbitration awards which have been declared universally applicable or otherwise apply in accordance with paragraph 4:
(a)
maximum work periods and minimum rest periods;
(b)
minimum paid annual leave;
(c)
remuneration, including overtime rates; this point does not apply to supplementary occupational retirement pension schemes;
(d)
health, safety and hygiene at work;
(e)
protective measures with regard to the terms and conditions of employment of pregnant women or women who have recently given birth, of children and of young people; and
(f)
equality of treatment between men and women and other provisions on non-discrimination.
2.   For the purposes of this Section, the concept of remuneration shall be determined by the national law and/or practice of the Party and, in the case of the Union, by the national law and/or practice of the Member State, to whose territory the driver is posted and means all the constituent elements of remuneration rendered mandatory by national law, regulation or administrative provision, or by collective agreements or arbitration awards which, in that Party or in that Member State, have been declared universally applicable or otherwise apply in accordance with paragraph 4.
3.   Allowances specific to the posting shall be considered to be part of remuneration, unless they are paid in reimbursement of expenditure actually incurred on account of the posting, such as expenditure on travel, board and lodging. The road haulage operator shall reimburse the posted driver for such expenditure in accordance with the law and/or practice applicable to the employment relationship.
Where the terms and conditions of employment applicable to the employment relationship do not determine which elements of the allowance specific to the posting are paid in reimbursement of expenditure actually incurred on account of the posting or which are part of remuneration, then the entire allowance shall be considered to be paid in reimbursement of expenditure.
4.   For the purpose of this Section, "collective agreements or arbitration awards which have been declared universally applicable" means collective agreements or arbitration awards which must be observed by all undertakings in the geographical area and in the profession or industry concerned.
In the absence of, or in addition to, a system for declaring collective agreements or arbitration awards to be of universal application within the meaning of the first subparagraph, each Party, or each Member State in the case of the Union, may, if they so decide, base themselves on:
—
collective agreements or arbitration awards which are generally applicable to all similar undertakings in the geographical area and in the profession or industry concerned; and/or
—
collective agreements which have been concluded by the most representative employers' and labour organisations at national level and which are applied throughout national territory.
Equality of treatment, within the meaning of paragraph 1, shall be deemed to exist where national undertakings in a similar position:
(i)
are subject, in the place in question or in the sector concerned, to the same obligations as posting undertakings as regards the matters listed in the first subparagraph of paragraph 1; and
(ii)
are required to fulfil such obligations with the same effects.
Article 5
Improved access to information
1.   Each Party or, in the case of the Union, each Member State shall publish the information on the terms and conditions of employment, in accordance with national law and/or practice, without undue delay and in a transparent manner, on a single official national website, including the constituent elements of remuneration as referred to in Article 4(2) and all the terms and conditions of employment in accordance with Article 4(1).
Each Party or, in the case of the Union, each Member State shall ensure that the information provided on the single official national website is accurate and up to date.
2.   Each Party or, in the case of the Union, each Member State shall take the appropriate measures to ensure that the information mentioned in paragraph 1 is made generally available free of charge in a clear, transparent, comprehensive and easily accessible way at a distance and by electronic means, in formats and in accordance with web accessibility standards that ensure access to persons with disabilities and to ensure that competent national bodies are in a position to carry out their tasks effectively.
3.   Where, in accordance with national law, traditions and practice, including respect for the autonomy of social partners, the terms and conditions of employment referred to in Article 4 are laid down in collective agreements in accordance with Article 4(1), each Party or, in the case of the Union, each Member State shall ensure that those terms and conditions are made available in an accessible and transparent way to service providers from the other Party and to posted drivers, and shall seek the involvement of the social partners in that respect. The relevant information should, in particular, cover the different minimum rates of pay and their constituent elements, the method used to calculate the remuneration due and, where relevant, the qualifying criteria for classification in the different wage categories.
4.   Where, contrary to paragraph 1, the information on the single official national website does not indicate which terms and conditions of employment are to be applied, that circumstance shall be taken into account in accordance with national law and/or practice in determining penalties in the event of infringements to this Section, to the extent necessary to ensure the proportionality of those penalties.
5.   Each Party or, in the case of the Union, each Member State shall indicate the bodies and authorities to which drivers and road haulage operators can turn for general information on national law and practice applicable to them concerning their rights and obligations within their territory.
Article 6
Administrative requirements, control and enforcement
1.   Each Party or, in the case of the Union, each Member State may only impose the following administrative requirements and control measures with respect to the posting of drivers:
(a)
an obligation for the operator established in the other Party to submit a posting declaration to the national competent authorities of the Party or, in the case of the Union, of the Member State to which the driver is posted at the latest at the commencement of the posting, using from 2 February 2022 a multilingual standard form of the public interface connected to the EU Internal Market Information System 
(
1
)
 for administrative cooperation (IMI); that posting declaration shall consist of the following information:
(i)
the identity of the operator, at least in the form of the number of the valid licence where this number is available;
(ii)
the contact details of a transport manager or other contact person in the Party of establishment or, in the case of the Union, in the Member State of establishment to liaise with the competent authorities of the host Party or in, the case of the Union, of the Member State in which the services are provided and to send out and receive documents or notices;
(iii)
the identity, the address of the residence and the number of the driving licence of the driver;
(iv)
the start date of the driver's contract of employment, and the law applicable to it;
(v)
the envisaged start and end date of the posting; and
(vi)
the number plates of the motor vehicles;
(b)
an obligation for the operator to ensure that the driver has at his or her disposal in paper or electronic form and an obligation for the driver to keep and make available when requested at the roadside:
(i)
a copy of the posting declaration submitted, via the IMI system from 2 February 2022;
(ii)
evidence of the transport operations taking place in the host Party, such as an electronic consignment note (e-CMR); and
(iii)
the tachograph records and in particular the country symbols of the Party or, in the case of the Union, of the Member State in which the driver was present when carrying out transport operations, in accordance with registration and record-keeping requirements under Section 2 of Part B and Section 4 of Part B;
(c)
an obligation for the operator to send, from 2 February 2022 via the public interface connected to the IMI system, after the period of posting, at the direct request of the competent authorities of the other Party or, in the case of the Union, of a Member State where the posting took place, copies of documents referred to in point (b)(ii) and (iii) of this paragraph as well as documentation relating to the remuneration of the driver in respect of the period of posting, the employment contract or an equivalent document, time-sheets relating to the driver's work, and proof of payments.
The operator shall send the documentation, from 2 February 2022 via the public interface connected to the IMI system, no later than eight weeks from the date of the request. If the operator fails to submit the requested documentation within that time period, the competent authorities of the Party or, in the case of the Union, the Member State where the posting took place may request, from 2 February 2022 via the IMI system, the assistance of the competent authorities of the Party of establishment or, in the case of the Union, the Member State of establishment. When such a request for mutual assistance is made, the competent authorities of the Party of establishment or, in the case of the Union, the Member State of establishment of the operator shall have access to the posting declaration and other relevant information submitted by the operator, from 2 February 2022 via the public interface connected to the IMI system.
The competent authorities of the Party of establishment or, in the case of the Union, of the Member State of establishment shall ensure that they provide the requested documentation to the competent authorities of the Party or, in the case of the Union, to the competent authorities of the Member State where the posting took place, from 2 February 2022 via the IMI system, within 25 working days from the day of the request for mutual assistance.
Each Party shall ensure that the information exchanged by the competent national authorities or transmitted to them shall be used only in respect of the matter or matters for which it was requested.
Mutual administrative cooperation and assistance shall be provided free of charge.
A request for information shall not preclude the competent authorities from taking measures to investigate and prevent alleged breaches of this Section.
3.   For the purpose of ascertaining whether a driver is not to be considered to be posted pursuant to Article 1, each Party may only impose as a control measure an obligation for the driver to keep and make available, where requested at the roadside check, in paper or electronic form, the evidence of the relevant transport operations, such as an electronic consignment note (e-CMR), and tachograph records, as referred to in point (b)(iii) of paragraph 2 of this Article.
4.   For the purposes of control, the operator shall keep the posting declarations referred to in point (a) of paragraph 2 up to date, from 2 February 2022 in the public interface connected to IMI.
5.   The information from the posting declarations shall be saved, from 2 February 2022, in the IMI repository for the purpose of checks for a period of 24 months.
6.   The Party or, in the case of the Union, the Member State to whose territory the driver is posted and the Party or, in the case of the Union, the Member State from which the driver is posted shall be responsible for the monitoring, control and enforcement of the obligations laid down in this Section and shall take appropriate measures in the event of failure to comply with this Section.
7.   Each Party or, in the case of the Union, the Member States shall ensure that inspections and controls of compliance under this Article are not discriminatory and/or disproportionate, whilst taking into account the relevant provisions of this Section.
8.   For the enforcement of the obligations under this Section, each Party or, in the case of the Union, the Member States shall ensure that there are effective mechanisms for posted drivers to lodge complaints against their employers directly, as well as the right to institute judicial or administrative proceedings, also in the Party in whose territory the drivers are or were posted, where such drivers consider they have sustained loss or damage as a result of a failure to apply the applicable rules, even after the relationship in which the failure is alleged to have occurred has ended.
9.   Paragraph 8 shall apply without prejudice to the jurisdiction of the courts of each Party or, in case of the Union, the Member States as laid down, in particular, in the relevant instruments of Union law and/or international conventions.
10.   Each Party or, in the case of the Union, the Member States shall lay down the rules on penalties applicable to infringements of national provisions adopted pursuant to this Section and shall take all measures necessary to ensure that they are implemented and complied with. The penalties provided for shall be effective, proportionate and dissuasive.
Each Party shall notify those provisions to the other Party by 30 June 2021. They shall notify without delay any subsequent amendments to them.
Article 7
Use of the IMI system
1.   As from 2 February 2022, information, including personal data, referred to in Article 6 shall be exchanged and processed in the IMI system, provided that the following conditions are fulfilled:
(a)
the Parties provide safeguards that data processed in the IMI system are only used for the purpose for which they were initially exchanged;
(b)
any transfer of personal data to the United Kingdom under this Article may only take place in accordance with point (c) of Article 23(1) of Regulation (EU) No 1024/2012 of the European Parliament and of the Council 
(
2
)
; and
(c)
any transfer of personal data to the Union under this Article may only take place in accordance with the data protection rules on international transfers of the United Kingdom.
2.   The competent authorities in each Party shall grant and revoke appropriate access rights to IMI users.
3.   IMI users are allowed to access personal data processed in the IMI system only on a need-to-know basis and exclusively for the purpose of implementation and enforcement of this Section.
4.   Each Party or, in the case of the Union, each Member State, may allow the competent authority to provide national social partners by other means than the IMI system with relevant information available in the IMI system to the extent necessary for the purpose of checking compliance with posting rules and in accordance with national law and practices, provided that:
(a)
the information relates to a posting to the territory of the Party or, in the case of the Union, of the Member State, concerned; and
(b)
the information is used exclusively for the purpose of enforcing the posting rules.
5.   The Specialised Committee on Road Transport shall set the technical and procedural specifications of the use of the IMI system by the United Kingdom.
6.   Each Party shall participate in the operating costs of the IMI system. The Specialised Committee on Road Transport shall determine the costs to be borne by each Party.
PART B
REQUIREMENTS FOR DRIVERS INVOLVED IN THE TRANSPORT OF GOODS IN ACCORDANCE WITH ARTICLE 465 OF THIS AGREEMENT
SECTION 1
CERTIFICATE OF PROFESSIONAL COMPETENCE
Article 1
Scope
This Section applies to the activity of driving by anyone employed or used by a road haulage operator of a Party undertaking journeys referred to in Article 462 of this Agreement and using vehicles for which a driving licence of category C1, C1+E, C or C+E, or a driving licence recognised as equivalent by the Specialised Committee on Road Transport, is required.
Article 2
Exemptions
A certificate of professional competence (CPC) is not required for drivers of vehicles:
(a)
with a maximum authorised speed not exceeding 45 km/h;
(b)
used by, or under the control of, the armed forces, civil defence, the fire service, forces responsible for maintaining public order, and emergency ambulance services, when the carriage is undertaken as a consequence of the tasks assigned to those services;
(c)
undergoing road tests for technical development, repair or maintenance purposes, or the drivers of new or rebuilt vehicles which have not yet been put into service;
(d)
used in states of emergency or assigned to rescue missions;
(e)
carrying material, equipment or machinery to be used by the drivers in the course of their work, provided that driving the vehicles is not the drivers' principal activity; or
(f)
used, or hired without a driver, by agricultural, horticultural, forestry, farming or fishery undertakings for carrying goods as part of their own entrepreneurial activity, except if driving is part of the driver's principal activity or the driving exceeds a distance set in national law from the base of the undertaking which owns, hires or leases the vehicle.
Article 3
Qualification and training
1.   The activity of driving as defined in Article 1 shall be subject to a compulsory initial qualification and to compulsory periodic training. To that end the Parties shall provide for:
(a)
a system of initial qualification corresponding to one of the following two options:
(i)
option combining both course attendance and a test
In accordance with Section 2(2.1) of Appendix 31-B-1-1, this type of initial qualification involves compulsory course attendance for a specific period. It shall conclude with a test. Upon successful completion of the test, the qualification shall be certified by a CPC as provided for in point (a) of Article 6(1);
(ii)
option involving only tests
In accordance with Section 2(2.2) of Appendix 31-B-1-1, this type of initial qualification does not involve compulsory course attendance but only theoretical and practical tests. Upon successful completion of the tests, the qualification shall be certified by a CPC as provided for in point (b) of Article 6(1).
However, a Party may authorise a driver to drive within its territory before obtaining a CPC, where the driver is undergoing a national vocational training course of at least six months, for a maximum period of three years. In the context of that vocational training course, the tests referred to in points (i) and (ii) of this point may be completed in stages;
(b)
a system of periodic training
In accordance with Section 4 of Appendix 31-B-1-1, periodic training involves compulsory course attendance. It shall be certified by a CPC as provided for in Article 8(1).
2.   A Party may also provide for a system of accelerated initial qualification so that a driver may drive in the cases referred to in points (a)(ii) and (b) of Article 5(2).
In accordance with Section 3 of Appendix 31-B-1-1, the accelerated initial qualification shall involve compulsory course attendance. It shall conclude with a test. Upon successful completion of the test, the qualification shall be certified by a CPC as provided for in Article 6(2).
3.   A Party may exempt drivers who have obtained the certificate of professional competence provided for in Article 8 of Section 1 of Part A from the tests referred to in points (a)(i) and (ii) of paragraph 1 and in paragraph 2 of this Article in the subjects covered by the test provided for in that part of this Annex and, where appropriate, from attending the part of the course corresponding thereto.
Article 4
Acquired rights
Drivers who hold a category C1, C1+E, C or C+E licence, or a licence recognised as equivalent by the Specialised Committee on Road Transport, issued no later than 10 September 2009, shall be exempted from the need to obtain an initial qualification.
Article 5
Initial qualification
1.   Access to an initial qualification shall not require the corresponding driving licence to be obtained beforehand.
2.   Drivers of a vehicle intended for the carriage of goods may drive:
(a)
from the age of 18:
(i)
a vehicle in licence categories C and C+E, provided they hold a CPC as referred to in Article 6(1); and
(ii)
a vehicle in licence categories C1 and C1+E, provided they hold a CPC as referred to in Article 6(2);
(b)
from the age of 21, a vehicle in licence categories C and C+E, provided they hold a CPC as referred to in Article 6(2).
3.   Without prejudice to the age limits specified in paragraph 2, drivers undertaking carriage of goods who hold a CPC as provided for in Article 6 for one of the categories provided for in paragraph 2 of this Article shall be exempted from obtaining such a CPC for any other of the categories of vehicles referred to in that paragraph.
4.   Drivers undertaking carriage of goods who broaden or modify their activities in order to carry passengers, or vice versa, and who hold a CPC as provided for in Article 6, shall not be required to repeat the common parts of the initial qualification, but rather only the parts specific to the new qualification.
Article 6
CPC certifying the initial qualification
1.   CPC certifying an initial qualification
(a)
CPC awarded on the basis of course attendance and a test
In accordance with point (a)(i) of Article 3(1), the Parties shall require trainee drivers to attend courses in a training centre approved by the competent authorities in accordance with Section 5 of Appendix 31-B-1-1, hereinafter referred to as "approved training centre". Those courses shall cover all the subjects referred to in Section 1 of Appendix 31-B-1-1.
That training shall conclude with successful completion of the test provided for in Section 2(2.1) of Appendix 31-B-1-1. That test shall be organised by the competent authorities in the Parties or an entity designated by them and shall serve to check whether, for the aforementioned subjects, the trainee driver has the level of knowledge required in Section 1 of Appendix 31-B-1-1. The said authorities or entities shall supervise the test and, upon successful completion, issue the drivers with a CPC certifying an initial qualification.
(b)
CPC awarded on the basis of tests
In accordance with point (a)(ii) of Article 3(1), the Parties shall require trainee drivers to pass the theoretical and practical tests referred to in Section 2(2.2) of Appendix 31-B-1-1. Those tests shall be organised by the competent authorities in the Parties or an entity designated by them and shall serve to check whether, for all the aforementioned subjects, the trainee driver has the level of knowledge required in Section 1 of Appendix 31-B-1-1. The said authorities or entities shall supervise the tests and, upon successful completion, issue the drivers with a CPC certifying an initial qualification.
2.   CPC certifying an accelerated initial qualification
In accordance with Article 3(2), the Parties shall require trainee drivers to attend courses in an approved training centre. Those courses shall cover all the subjects referred to in Section 1 of Appendix 31-B-1-1.
That training shall conclude with the test provided for in Section 3 of Appendix 31-B-1-1. That test shall be organised by the competent authorities in the Parties or an entity designated by them and shall serve to check whether, for the aforementioned subjects, the trainee driver has the level of knowledge required in Section 1 of Appendix 31-B-1-1. The said authorities or entities shall supervise the test and, upon successful completion, issue the drivers with a CPC certifying an accelerated initial qualification.
Article 7
Periodic training
Periodic training shall consist of training to enable holders of a CPC to update the knowledge which is essential for their work, with specific emphasis on road safety, health and safety at work, and the reduction of the environmental impact of driving.
That training shall be organised by an approved training centre, in accordance with Section 5 of Appendix 31-B-1-1. Training shall consist of classroom teaching, practical training and, if available, training by means of information and communication technology (ICT) tools or on top-of-the-range simulators. If a driver moves to another undertaking, the periodic training already undergone must be taken into account.
Periodic training shall be designed to expand on, and to revise, some of the subjects referred in Section 1 of Appendix 31-B-1-1. It shall cover a variety of subjects and shall always include at least one road safety related subject. The training subjects shall take into account developments in the relevant legislation and technology, and shall, as far as possible, take into account the specific training needs of the driver.
Article 8
CPC certifying periodic training
1.   When a driver has completed the periodic training referred to in Article 7, the competent authorities in the Parties or the approved training centre shall issue him or her with a CPC certifying periodic training.
2.   The following drivers shall undergo a first course of periodic training:
(a)
holders of a CPC as referred to in Article 6, within five years of the issue of that CPC; and
(b)
the drivers referred to in Article 4, within five years of 10 September 2009.
A Party may reduce or extend the periods of time referred to in point (a) or (b) by a maximum of two years.
3.   A driver who has completed a first course of periodic training as referred to in paragraph 2 of this Article shall undergo periodic training every five years, before the end of the period of validity of the CPC certifying periodic training.
4.   Holders of the CPC as referred to in Article 6 or the CPC as referred to in paragraph 1 of this Article and the drivers referred to in Article 4 who have ceased pursuit of the occupation and do not meet the requirements of paragraphs 1, 2 and 3 of this Article, shall undergo a course of periodic training before resuming pursuit of the occupation.
5.   Drivers undertaking the carriage of goods by road who have completed courses of periodic training for one of the licence categories provided for in Article 5(2) shall be exempt from the obligation to undergo further periodic training for another of the categories provided for in that paragraph.
Article 9
Enforcement
The competent authorities in a Party shall either affix directly on the driver's driving permit (licence), beside the corresponding categories of licence, a distinguishing sign attesting to the possession of a CPC and indicating the date of expiry, or introduce a special driver qualification card which should be drawn up in accordance with the model reproduced in Appendix 31-B-1-2. Any other model may be acceptable provided that it is recognised as equivalent by the Specialised Committee on Road Transport. The driver qualification card or any equivalent document as specified above issued by the competent authorities in a Party shall be recognised by the other Party for the purposes of this Section.
Drivers must be able to present, at the request of any authorised inspecting officer, a driving permit (licence) or a specific driver qualification card or equivalent document bearing the distinguishing sign confirming possession of a CPC.
Appendix 31-B-1-1
MINIMUM QUALIFICATION AND TRAINING REQUIREMENTS
To ensure that the rules governing the transport of goods by road covered by Title I of Heading Three of Part Two of this Agreement are as harmonised as possible, the minimum requirements for driver qualification and training as well as the approval of training centres are set out in Sections 1 to 5 of this Appendix. Any other content for this qualification or training may be acceptable provided that it is considered as equivalent by the Specialised Committee on Road Transport.
SECTION 1
LIST OF SUBJECTS
The knowledge to be taken into account by the Parties when establishing the driver's initial qualification and periodic training must include at least the subjects in this list. Trainee drivers must reach the level of knowledge and practical competence necessary to drive in all safety vehicles of the relevant licence category. The minimum level of knowledge may not be less than the level reached during compulsory education, supplemented by professional training.
1.   Advanced training in rational driving based on safety regulations
1.1
Objective: to know the characteristics of the transmission system in order to make the best possible use of it:
curves relating to torque, power, and specific consumption of an engine, area of optimum use of revolution counter, gearbox-ratio cover diagrams.
1.2
Objective: to know the technical characteristics and operation of the safety controls in order to control the vehicle, minimise wear and tear, and prevent disfunctioning:
limits to the use of brakes and retarder, combined use of brakes and retarder, making better use of speed and gear ratio, making use of vehicle inertia, using ways of slowing down and braking on downhill stretches, action in the event of failure, use of electronic and mechanical devices such as Electronic Stability Program (ESP), Advanced Emergency Braking Systems (AEBS), Anti-Lock Braking System (ABS), traction control systems (TCS) and in vehicle monitoring systems (IVMS) and other, approved for use, driver assistance or automation devices.
1.3
Objective: ability to optimise fuel consumption:
optimisation of fuel consumption by applying know-how as regards points 1.1 and 1.2, importance of anticipating traffic flow, appropriate distance to other vehicles and use of the vehicle's momentum, steady speed, smooth driving style and appropriate tyre pressure, and familiarity with intelligent transport systems that improve driving efficiency and assist in route planning.
1.4
Objective: ability to anticipate, assess and adapt to risks in traffic:
to be aware of and adapt to different road, traffic and weather conditions, anticipate forthcoming events; to understand how to prepare and plan a journey during abnormal weather conditions; to be familiar with the use of related safety equipment and to understand when a journey has to be postponed or cancelled due to extreme weather conditions; to adapt to the risks of traffic, including dangerous behaviour in traffic or distracted driving (through the use of electronic devices, eating, drinking, etc.); to recognise and adapt to dangerous situations and to be able to cope with stress deriving therefrom, in particular related to size and weight of the vehicles and vulnerable road users, such as pedestrians, cyclists and powered two wheelers;
to identify possible hazardous situations and properly interpret how those potentially hazardous situations may turn into situations where crashes can no longer be averted and selecting and implementing actions that increase the safety margins to such an extent that a crash can still be averted in case the potential hazards should occur.
1.5
Objective: ability to load the vehicle with due regard for safety rules and proper vehicle use:
forces affecting vehicles in motion, use of gearbox ratios according to vehicle load and road profile, use of automatic transmission systems, calculation of payload of vehicle or assembly, calculation of total volume, load distribution, consequences of overloading the axle, vehicle stability and centre of gravity, types of packaging and pallets;
main categories of goods needing securing, clamping and securing techniques, use of securing straps, checking of securing devices, use of handling equipment, placing and removal of tarpaulins.
2.   Application of regulations
2.1
Objective: to know the social environment of road transport and the rules governing it:
maximum working periods specific to the transport industry; principles, application and consequences of the rules related to the driving times and rest periods and those related to the tachograph; penalties for failure to use, improper use of and tampering with the tachograph; knowledge of the social environment of road transport: rights and duties of drivers as regards initial qualification and periodic training.
2.2
Objective: to know the regulations governing the carriage of goods:
transport operating licences, documents to be carried in the vehicle, bans on using certain roads, road-use fees, obligations under standard contracts for the carriage of goods, drafting of documents which form the transport contract, international transport permits, obligations under the CMR Convention on the Contract for the International Carriage of Goods by Road, done in Geneva on 19 May 1956, drafting of the international consignment note, crossing borders, freight forwarders, special documents accompanying goods.
3.   Health, road and environmental safety, service, logistics
3.1
Objective: to make drivers aware of the risks of the road and of accidents at work:
types of accidents at work in the transport sector, road accident statistics, involvement of lorries/coaches, human, material and financial consequences.
3.2
Objective: ability to prevent criminality and trafficking in illegal immigrants:
general information, implications for drivers, preventive measures, check list, legislation on transport operator liability.
3.3
Objective: ability to prevent physical risks:
ergonomic principles; movements and postures which pose a risk, physical fitness, handling exercises, personal protection.
3.4
Objective: awareness of the importance of physical and mental ability:
principles of healthy, balanced eating, effects of alcohol, drugs or any other substance likely to affect behaviour, symptoms, causes, effects of fatigue and stress, fundamental role of the basic work/rest cycle.
3.5
Objective: ability to assess emergency situations:
behaviour in an emergency situation: assessment of the situation, avoiding complications of an accident, summoning assistance, assisting casualties and giving first aid, reaction in the event of fire, evacuation of occupants of a lorry, reaction in the event of aggression; basic principles for the drafting of an accident report.
3.6
Objective: ability to adopt behaviour to help enhance the image of the company:
behaviour of the driver and company image: importance for the company of the standard of service provided by the driver, the roles of the driver, people with whom the driver will be dealing, vehicle maintenance, work organisation, commercial and financial effects of a dispute.
3.7
Objective: to know the economic environment of road haulage and the organisation of the market:
road transport in relation to other modes of transport (competition, shippers), different road transport activities (transport for hire or reward, own account, auxiliary transport activities), organisation of the main types of transport company and auxiliary transport activities, different transport specialisations (road tanker, controlled temperature, dangerous goods, animal transport, etc.), changes in the industry (diversification of services provided, rail-road, subcontracting, etc.).
SECTION 2
COMPULSORY INITIAL QUALIFICATION PROVIDED FOR IN POINT (a) OF ARTICLE 3(1) OF SECTION 1 OF PART B
A Party may count specific other training related to the transport of goods by road required under its legislation as part of the training under this Section and under Section 3 of this Appendix.
2.1.   Option combining both course attendance and a test
Initial qualification must include the teaching of all subjects in the list under Section 1 of this Appendix. The duration of that initial qualification must be 280 hours.
Each trainee driver must drive for at least 20 hours individually in a vehicle of the category concerned which meets at least the requirements for test vehicles.
When driving individually, the trainee driver must be accompanied by an instructor, employed by an approved training centre. Each trainee driver may drive for a maximum of eight hours of the 20 hours of individual driving on special terrain or on a top-of-the-range simulator so as to assess training in rational driving based on safety regulations, in particular with regard to vehicle handling in different road conditions and the way they change with different atmospheric conditions, the time of day or night, and the ability to optimise fuel consumption.
A Party and, in the case of the Union, a Member State may allow part of the training to be delivered by the approved training centre by means of ICT tools, such as e-learning, while ensuring that the high quality and the effectiveness of the training are maintained, and by selecting the subjects where ICT tools can most effectively be deployed. Reliable user identification and appropriate means of control shall be required in such a case.
For the drivers referred to in Article 5(4) of Section 1 of Part B the length of the initial qualification must be 70 hours, including five hours of individual driving.
At the end of that training, the competent authorities in the Parties or the entity designated by them shall give the driver a written or oral test. The test must include at least one question on each of the objectives in the list of subjects under Section 1 of this Appendix.
2.2   Option involving a test
The competent authorities in the Parties or the entity designated by them shall organise the aforementioned theoretical and practical tests to check whether the trainee driver has the level of knowledge required in Section 1 of this Appendix for the subjects and objectives listed there.
(a)
The theoretical test shall consist of at least two parts:
(i)
questions including multiple-choice questions, questions requiring a direct answer, or a combination of both; and
(ii)
case studies.
The minimum duration of the theoretical test must be four hours.
(b)
The practical test shall consist of two parts:
(i)
a driving test aimed at assessing training in rational driving based on safety regulations. The test must take place, whenever possible, on roads outside built-up areas, on fast roads and on motorways (or similar), and on all kinds of urban highways presenting the different types of difficulties that a driver is liable to encounter. It would be desirable for that test to take place in different traffic density conditions. The driving time on the road must be used optimally in order to assess the candidate in all traffic areas likely to be encountered. The minimum duration of that test must be 90 minutes;
(ii)
a practical test covering at least points 1.5, 3.2, 3.3 and 3.5 of Section 1 of this Appendix.
The minimum duration of that test must be 30 minutes.
The vehicle used for the practical test must meet at least the requirements for test vehicles.
The practical test may be supplemented by a third test taking place on special terrain or on a top-of the-range simulator so as to assess training in rational driving based on safety regulations, in particular with regard to vehicle handling in different road conditions and the way they change with different atmospheric conditions and the time of day or night.
The duration of that optional test is not fixed. Should the driver undergo such a test, its duration may be deducted from the 90 minutes of the driving test referred to under point (i), but the time deducted may not exceed 30 minutes.
For the drivers referred to in Article 5(4) of Section 1 of Part B, the theoretical test must be limited to the subjects, referred to in Section 1 of this Appendix, which are relevant to the vehicles to which the new initial qualification applies. However, such drivers must undergo the whole practical test.
SECTION 3
ACCELERATED INITIAL QUALIFICATION PROVIDED FOR IN ARTICLE 3(2) OF SECTION 1 OF PART B OF ANNEX 31
Accelerated initial qualification must include the teaching of all subjects in the list in Section 1 of this Appendix. Its duration must be 140 hours.
Each trainee driver must drive for at least 10 hours individually in a vehicle of the category concerned which meets at least the requirements for test vehicles.
When driving individually, the trainee driver must be accompanied by an instructor, employed by an approved training centre. Each trainee driver may drive for a maximum of four hours of the 10 hours of individual driving on special terrain or on a top-of-the-range simulator so as to assess training in rational driving based on safety regulations, in particular with regard to vehicle handling in different road conditions and the way those road conditions change with different atmospheric conditions, the time of day or night, and the ability to optimise fuel consumption.
The provisions of the fourth paragraph of point 2.1 of Section 2 of this Appendix shall also apply to the accelerated initial qualification.
For the drivers referred to in Article 5(4) of Section 1 of Part B, the length of the accelerated initial qualification must be 35 hours, including two-and-a-half hours of individual driving.
At the end of that training, the competent authorities in the Parties or the entity designated by them shall give the driver a written or oral test. The test must include at least one question on each of the objectives in the list of subjects under Section 1 of this Appendix.
A Party may count specific other training related to the transport of goods by road required under its legislation as part of the training under this Section.
SECTION 4
COMPULSORY PERIODIC TRAINING PROVIDED FOR IN POINT (b) OF ARTICLE 3(1) OF SECTION 1 OF PART B OF ANNEX 31
Compulsory periodic training courses must be organised by an approved training centre. Their duration must be of 35 hours every five years, given in periods of at least seven hours, which may be split over two consecutive days. Whenever e- learning is used, the approved training centre shall ensure that the proper quality of the training is maintained, including by selecting the subjects where ICT tools can most effectively be deployed. In particular, the Parties shall require reliable user identification and appropriate means of control. The maximum duration of the e-learning training shall not exceed 12 hours. At least one of the training course periods shall cover a road safety related subject. The content of the training shall take into account training needs specific to the transport operations carried out by the driver and relevant legal and technological developments and should, as far as possible, take into account specific training needs of the driver. A range of different subjects should be covered over the 35 hours, including repeat training where it is shown that the driver needs specific remedial training.
A Party and, in the case of the Union, a Member State may count specific other training related to the transport of goods by road required under its legislation as part of the training under this Section.
SECTION 5
APPROVAL OF THE INITIAL QUALIFICATION AND PERIODIC TRAINING
5.1.
The training centres taking part in the initial qualification and periodic training must be approved by the competent authorities in the Parties. Approval may be given only in response to a written application. The application must be accompanied by documents including:
5.1.1.
a suitable qualification and training programme specifying the subjects taught and setting out the proposed implementing plan and teaching methods;
5.1.2.
the instructors' qualifications and fields of activity;
5.1.3.
information about the premises where the courses are given, the teaching materials, the resources made available for the practical work, and the vehicle fleet used;
5.1.4.
the conditions regarding participation in the courses (number of participants).
5.2.
The competent authority must give approval in writing subject to the following conditions:
5.2.1.
the training must be given in accordance with the documents accompanying the application;
5.2.2.
the competent authority must be entitled to send authorised persons to assist in the training courses of the approved centres, and must be entitled to monitor such centres, with regard to the resources used and the proper running of the training courses and tests;
5.2.3.
the approval may be withdrawn or suspended if the conditions of approval are no longer complied with.
The approved centre must guarantee that the instructors have a sound knowledge of the most recent regulations and training requirements. As part of a specific selection procedure, the instructors must provide certification showing a knowledge of both the subject material and teaching methods. As regards the practical part of the training, instructors must provide certification of experience as professional drivers or similar driving experience, such as that of driving instructors for heavy vehicles.
The programme of instruction must be in accordance with the approval and must cover the subjects in the list in Section 1.
Appendix 31-B-1-2
MODEL OF A DRIVER QUALIFICATION CARD REFERRED TO IN ARTICLE 9 OF SECTION 1 OF PART B OF THIS ANNEX
SECTION 2
DRIVING TIMES, BREAKS AND REST PERIODS
Article 1
Scope
1.   This Section lays down the rules on driving time, breaks and rest periods for drivers referred to in point (b) of Article 465(1) of this Agreement undertaking journeys referred to in Article 462 of this Agreement.
2.   Where a driver undertakes a journey referred to in Article 462 of this Agreement, the rules in this Section apply to any road transport operation undertaken by that driver between the territories of the Parties and between Member States.
3.   This Section applies:
(a)
where the maximum permissible mass of the vehicle, including any trailer, or semitrailer, exceeds 3.5 tonnes; or
(b)
from 1 July 2026, where the maximum permissible mass of the vehicle, including any trailer, or semi-trailer, exceeds 2.5 tonnes.
4.   This Section does not apply to transport by:
(a)
vehicles or combinations of vehicles with a maximum permissible mass not exceeding 7.5 tonnes used for:
(i)
carrying materials, equipment or machinery for the driver's use in the course of the driver's work, or
(ii)
for delivering goods which are produced on a craft basis,
only within a 100 km radius from the base of the undertaking and on the condition that driving the vehicle does not constitute the driver's main activity and transport is not carried out for hire or reward;
(b)
vehicles with a maximum authorised speed not exceeding 40 km/h;
(c)
vehicles owned or hired without a driver by the armed services, civil defence services, fire services, and forces responsible for maintaining public order when the transport is undertaken as a consequence of the tasks assigned to those services and is under their control;
(d)
vehicles used in emergencies or rescue operations;
(e)
specialised vehicles used for medical purposes;
(f)
specialised breakdown vehicles operating within a 100 km radius of their base;
(g)
vehicles undergoing road tests for technical development, repair or maintenance purposes, and new or rebuilt vehicles which have not yet been put into service;
(h)
vehicles with a maximum permissible mass, including any trailer, or semi-trailer exceeding 2.5 tonnes but not exceeding 3.5 tonnes that are used for the transport of goods, where the transport is not effected for hire or reward, but on the own account of the company or the driver, and where driving does not constitute the main activity of the person driving the vehicle;
(i)
commercial vehicles, which have a historic status according to the legislation of the Member State in which they are being driven and which are used for the non-commercial transport of goods.
Article 2
Definitions
For the purposes of this Section, the following definitions apply:
(a)
"transport by road" means any journey made entirely or in part on roads open to the public by a vehicle, whether laden or not;
(b)
"break" means any period during which a driver may not carry out any driving or any other work and which is used exclusively for recuperation;
(c)
"other work" means all activities which are defined as working time in point (a) of Article 2(1) of Section 3 of Part B except "driving", including any work for the same or another employer, within or outside of the transport sector;
(d)
"rest" means any uninterrupted period during which a driver may freely dispose of his or her time;
(e)
"daily rest period" means the daily period during which a driver may freely dispose of his or her time and covers a "regular daily rest period" and a "reduced daily rest period":
(i)
"regular daily rest period" means any period of rest of at least 11 hours, which may be taken in two periods, the first of which must be an uninterrupted period of at least 3 hours and the second an uninterrupted period of at least nine hours; and
(ii)
"reduced daily rest period" means any period of rest of at least nine hours but less than 11 hours;
(f)
"weekly rest period" means the weekly period during which a driver may freely dispose of his or her time and covers a "regular weekly rest period" and a "reduced weekly rest period":
(i)
"regular weekly rest period" means any period of rest of at least 45 hours; and
(ii)
"reduced weekly rest period" means any period of rest of less than 45 hours, which may, subject to the conditions laid down in Article 6(6) and 6(7), be shortened to a minimum of 24 consecutive hours;
(g)
"a week" means the period of time between 00.00 on Monday and 24.00 on Sunday;
(h)
"driving time" means the duration of driving activity recorded:
(i)
automatically or semi-automatically by the tachograph as defined in points (e), (f), (g) and (h) of Article 2 of Section 4 of Part B of this Annex; or
(ii)
manually as required by Article 9(2) and Article 11 of Section 4 of Part B of this Annex;
(i)
"daily driving time" means the total accumulated driving time between the end of one daily rest period and the beginning of the following daily rest period or between a daily rest period and a weekly rest period;
(j)
"weekly driving time" means the total accumulated driving time during a week;
(k)
"maximum permissible mass" means the maximum authorised operating mass of a vehicle when fully laden;
(l)
"multi-manning" means the situation where, during each period of driving between any two consecutive daily rest periods, or between a daily rest period and a weekly rest period, there are at least two drivers in the vehicle to do the driving for the first hour of multimanning the presence of another driver or drivers is optional but for the remainder of the period it is compulsory;
(m)
"driving period" means the accumulated driving time from when a driver commences driving following a rest period or a break until the driver takes a rest period or a break; the driving period may be continuous or broken.
Article 3
Requirement for drivers’ mates
The minimum age for drivers' mates shall be 18 years. However, each Party and, in the case of the Union, a Member State may reduce the minimum age for drivers' mates to 16 years, provided that the reduction is for the purposes of vocational training and there is compliance with the limits imposed by the United Kingdom and, for the Union, the Member State's national rules on employment matters.
Article 4
Driving times
1.   The daily driving time shall not exceed nine hours.
However, the daily driving time may be extended to at most 10 hours not more than twice during the week.
2.   The weekly driving time shall not exceed 56 hours and shall not result in the maximum weekly working time of 60 hours being exceeded.
3.   The total accumulated driving time during any two consecutive weeks shall not exceed 90 hours.
4.   Daily and weekly driving times shall include all driving time on the territory of the Parties.
5.   A driver shall record as other work any time spent as described in point (c) of Article 2 of this Section as well as any time spent driving a vehicle used for commercial operations where a driver is not required to record driving time, and shall record any periods of availability, as defined in point (2) of Article 2 of Section 3 of Part B, in accordance with point (b)(iii) of Article 6(5) of Section 4 of Part B. This record shall be entered either manually on a record sheet or printout or by use of manual input facilities on recording equipment.
Article 5
Breaks
After a driving period of four and a half hours a driver shall take an uninterrupted break of not less than 45 minutes, unless the driver takes a rest period.
That break may be replaced by a break of at least 15 minutes followed by a break of at least 30 minutes each distributed over the period in such a way as to comply with the provisions of the first paragraph.
A driver engaged in multi-manning may take a break of 45 minutes in a vehicle driven by another driver provided that the driver taking the break is not involved in assisting the driver driving the vehicle.
Article 6
Rests
1.   A driver shall take daily and weekly rest periods.
2.   Within each period of 24 hours after the end of the previous daily rest period or weekly rest period a driver shall have taken a new daily rest period.
If the portion of the daily rest period which falls within that 24-hour period is at least nine hours but less than 11 hours, then the daily rest period in question shall be regarded as a reduced daily rest period.
3.   A daily rest period may be extended to make a regular weekly rest period or a reduced weekly rest period.
4.   A driver may have at most three reduced daily rest periods between any two weekly rest periods.
5.   By way of derogation from paragraph 2, within 30 hours of the end of a daily or weekly rest period, a driver engaged in multi-manning must have taken a new daily rest period of at least nine hours.
6.   In any two consecutive weeks a driver shall take at least:
(a)
two regular weekly rest periods; or
(b)
one regular weekly rest period and one reduced weekly rest period of at least 24 hours.
A weekly rest period shall start no later than at the end of six 24-hour periods from the end of the previous weekly rest period.
7.   By way of derogation from paragraph 6, a driver engaged in international transport of goods may, outside the territory of the Party of the road haulage operator or, for drivers of Union road haulage operators, outside the territory of the Member State of the road haulage operator, take two consecutive reduced weekly rest periods provided that the driver in any four consecutive weeks takes at least four weekly rest periods, of which at least two shall be regular weekly rest periods.
For the purpose of this paragraph, a driver shall be considered to be engaged in international transport where the driver starts the two consecutive reduced weekly rest periods outside the territory of the Party of the road haulage operator and drivers' place of residence or, for the Union, outside the territory of the Member State of the road haulage operator and the country of the drivers' place of residence.
Any reduction in weekly rest period shall be compensated by an equivalent period of rest taken 
en bloc
 before the end of the third week following the week in question.
Where two reduced weekly rest periods have been taken consecutively in accordance with the third subparagraph, the next weekly rest period shall be preceded by a rest period taken as compensation for those two reduced weekly rest periods.
8.   Any rest taken as compensation for a reduced weekly rest period shall be attached to another rest period of at least nine hours.
9.   The regular weekly rest periods and any weekly rest period of more than 45 hours taken in compensation for previous reduced weekly rest periods shall not be taken in a vehicle. They shall be taken in suitable gender-friendly accommodation with adequate sleeping and sanitary facilities.
Any costs for accommodation outside the vehicle shall be covered by the employer.
10.   Transport undertakings shall organise the work of drivers in such a way that the drivers are able to return to the employer's operational centre where the driver is normally based and where the driver's weekly rest period begins, in the United Kingdom and, in the case of the Union, the Member State of the employer's establishment, or to return to the drivers' place of residence, within each period of four consecutive weeks, in order to spend at least one regular weekly rest period or a weekly rest period of more than 45 hours taken in compensation for reduced weekly rest period.
However, where the driver has taken two consecutive reduced weekly rest periods in accordance with paragraph 7, the transport undertaking shall organise the work of the driver in such a way that the driver is able to return before the start of the regular weekly rest period of more than 45 hours taken in compensation.
The undertaking shall document how it fulfils that obligation and shall keep the documentation at its premises in order to present it at the request of control authorities.
11.   A weekly rest period that falls in two weeks may be counted in either week, but not in both.
12.   By way of derogation, where a driver accompanies a vehicle which is transported by ferry or train and takes a regular daily rest period or a reduced weekly rest period, that period may be interrupted not more than twice by other activities not exceeding one hour in total. During that regular daily rest or reduced weekly rest period the driver shall have access to a sleeper cabin, bunk or couchette at their disposal.
With regard to regular weekly rest periods, that derogation shall only apply to ferry or train journeys where:
(a)
the journey is scheduled for 8 hours or more; and
(b)
the driver has access to a sleeper cabin in the ferry or on the train.
13.   Any time spent travelling to a location to take charge of a vehicle falling within the scope of this Section, or to return from that location, when the vehicle is neither at the driver's home nor at the employer's operational centre where the driver is normally based, shall not be counted as a rest or break unless the driver is on a ferry or train and has access to a sleeper cabin, bunk or couchette.
14.   Any time spent by a driver driving a vehicle which falls outside the scope of this Section to or from a vehicle which falls within the scope of this Section, which is not at the driver's home or at the employer's operational centre where the driver is normally based, shall count as other work.
Article 7
Liability of road haulage operators
1.   A road haulage operator of a Party shall not give drivers it employs or who are put at its disposal any payment, even in the form of a bonus or wage supplement, related to distances travelled, the speed of delivery and/or the amount of goods carried if that payment is of such a kind as to endanger road safety and/or encourages infringement of this Section.
2.   A road haulage operator of a Party shall organise road transport operations and properly instruct crew members so that they are able to comply with the provisions of this Section.
3.   A road haulage operator of a Party shall be liable for infringements committed by drivers of the operator, even if the infringement was committed on the territory of the other Party.
Without prejudice to the right of the Parties to hold road haulage operators fully liable, the Parties may make this liability conditional on the operator's infringement of paragraphs 1 and 2. The Parties may consider any evidence that the road haulage operator cannot reasonably be held responsible for the infringement committed.
4.   Road haulage operators, consignors, freight forwarders, principal contractors, subcontractors and driver employment agencies shall ensure that contractually agreed transport time schedules respect this Section.
5.   A road haulage operator which uses vehicles that are fitted with recording equipment complying with point (f), (g) or (h) of Article 2 of Section 4 of Part B and that fall within the scope of this Section, shall:
(i)
ensure that all data are downloaded from the vehicle unit and driver card as regularly as is stipulated by the Party and that relevant data are downloaded more frequently so as to ensure that all data concerning activities undertaken by or for that road haulage operator are downloaded; and
(ii)
ensure that all data downloaded from both the vehicle unit and driver card are kept for at least 12 months following recording and, should an inspecting officer request it, such data are accessible, either directly or remotely, from the premises of the road haulage operator.
For the purposes of this paragraph 'downloaded' shall be interpreted in accordance with the definition laid down in point (h) of Article 2(2) of Section 2 of Part C.
The maximum period within which the relevant data shall be downloaded under point (i) of this paragraph shall be 90 days for data from the vehicle unit and 28 days for data from the driver card.
Article 8
Exceptions
1.   Provided that road safety is not thereby jeopardised and to enable the vehicle to reach a suitable stopping place, the driver may depart from Articles 4, 5 and 6 to the extent necessary to ensure the safety of persons, of the vehicle or its load. The driver shall indicate the reason for such departure manually on the record sheet of the recording equipment or on a printout from the recording equipment or in the duty roster, at the latest on arrival at the suitable stopping place.
2.   Provided that road safety is not thereby jeopardised, in exceptional circumstances, the driver may also depart from Article 4(1) and (2) and from Article 6(2) by exceeding the daily and weekly driving time by up to one hour in order to reach the employer's operational centre or the driver's place of residence to take a weekly rest period.
Under the same conditions, the driver may exceed the daily and weekly driving time by up to two hours, provided that an uninterrupted break of 30 minutes was taken immediately prior to the additional driving in order to reach the employer's operational centre or the driver's place of residence for taking a regular weekly rest period.
The driver shall indicate the reason for such departure manually on the record sheet of the recording equipment, or on a printout from the recording equipment or in the duty roster, at the latest on arrival at the destination or the suitable stopping place.
Any period of extension shall be compensated by an equivalent period of rest taken 
en bloc
 with any rest period, by the end of the third week following the week in question.
3.   Provided that road safety is not thereby jeopardised, each Party and, in the case of the Union, a Member State may grant exceptions from Articles 3 to 6 and make such exceptions subject to individual conditions on its own territory or, with the agreement of the other Party, on the territory of the other Party, applicable to transport by the following:
(a)
vehicles owned or hired, without a driver, by public authorities to undertake transport by road which do not compete with private road haulage operators;
(b)
vehicles used or hired, without a driver, by agricultural, horticultural, forestry, farming or fishery undertakings for carrying goods as part of their own entrepreneurial activity within a radius of up to 100 km from the base of the undertaking;
(c)
agricultural tractors and forestry tractors used for agricultural or forestry activities, within a radius of up to 100 km from the base of the undertaking which owns, hires or leases the vehicle;
(d)
vehicles or combinations of vehicles with a maximum permissible mass not exceeding 7.5 tonnes used by universal service providers to deliver items as part of the universal service. Those vehicles shall be used only within a 100 km radius from the base of the undertaking, and on condition that driving the vehicles does not constitute the driver's main activity;
(e)
vehicles operating exclusively on islands not exceeding 2 300 square kilometres in area which are not linked to the rest of the national territory by a bridge, ford or tunnel open for use by motor vehicles;
(f)
vehicles used for the transport of goods within a 100 km radius from the base of the undertaking and propelled by means of natural or liquefied gas or electricity, the maximum permissible mass of which, including the mass of a trailer or semi-trailer, does not exceed 7.5 tonnes;
(g)
vehicles used in connection with sewerage, flood protection, water, gas and electricity maintenance services, road maintenance and control, door-to-door household refuse collection and disposal, telegraph and telephone services, radio and television broadcasting, and the detection of radio or television transmitters or receivers;
(h)
specialised vehicles transporting circus and funfair equipment;
(i)
specially fitted mobile project vehicles, the primary purpose of which is use as an educational facility when stationary;
(j)
vehicles used for milk collection from farms and/or for the return to farms of milk containers or milk products intended for animal feed;
(k)
specialised vehicles transporting money and/or valuables;
(l)
vehicles used for carrying animal waste or carcasses which are not intended for human consumption;
(m)
vehicles used exclusively on roads inside hub facilities such as ports, interports and railway terminals;
(n)
vehicles used for the transport of live animals from farms to local markets and vice versa or from markets to local slaughterhouses within a radius of up to 100 km;
(o)
vehicles or combinations of vehicles carrying construction machinery for a construction undertaking, up to a radius of 100 km from the base of the undertaking, provided that driving the vehicles does not constitute the driver's main activity; and
(p)
vehicles used for the delivery of ready-mixed concrete.
4.   Provided that working conditions of drivers and road safety are not thereby jeopardised and that the limits set out in Article 3 of Section 3 of Part B are complied with, a Party, and in the case of the Union, a Member State, may grant temporary exceptions from the application of Articles 4, 5 and 6 of this Section to transport operations carried out in exceptional circumstances, in accordance with the procedure applicable in the Party.
The temporary exceptions shall be duly reasoned and notified immediately to the other Party. The Specialised Committee on Road Transport shall specify the modalities of that notification. Each Party shall immediately publish that information on a public website and shall ensure that its enforcement activities to take into account an exception granted by the other Party.
SECTION 3
WORKING TIME OF MOBILE WORKERS
Article 1
Scope
1.   This Section applies to mobile workers employed by road haulage operators of the Parties, undertaking journeys referred to in Article 462 of this Agreement.
This Section shall also apply to self-employed drivers.
2.   In so far as this Section contains more specific provisions as regards mobile workers performing road transport activities it shall take precedence over the relevant provisions of Article 387 of this Agreement.
3.   This Section shall supplement the provisions of Section 2 of Part B which take precedence over the provisions of this Section.
4.   A Party may disapply the application of this Section for mobile workers and self-employed drivers undertaking no more than two return journeys in accordance with Article 462 of this Agreement in a calendar month.
5.   Where a Party disapplies the application of this Section under paragraph 4, that Party shall notify the other Party.
Article 2
Definitions
For the purposes of this Section, the following definitions apply:
(1)
"working time" means:
(a)
in the case of mobile workers: the time from the beginning to the end of work, during which the mobile worker is at his or her workstation, at the disposal of the employer and exercising his or her functions or activities, that is to say:
—
the time devoted to all road transport activities, in particular, the following:
(i)
driving;
(ii)
loading and unloading;
(iii)
assisting passengers boarding and disembarking from the vehicle;
(iv)
cleaning and technical maintenance; and
(v)
all other work intended to ensure the safety of the vehicle and its cargo or to fulfil the legal or regulatory obligations directly linked to the specific transport operation under way, including monitoring of loading and unloading, administrative formalities with police, customs, immigration officers etc.,
—
the times during which driver cannot dispose freely of his or her time and is required to be at his or her workstation, ready to take up normal work, with certain tasks associated with being on duty, in particular during periods awaiting loading or unloading where their foreseeable duration is not known in advance, that is to say either before departure or just before the actual start of the period in question, or under the general conditions negotiated between the social partners and/or under the terms of the legislation of the Parties;
(b)
in the case of self-employed drivers, the same definition applies to the time from the beginning to the end of work, during which the self-employed driver is at his or her workstation, at the disposal of the client and exercising his or her functions or activities other than general administrative work that is not directly linked to the specific transport operation under way.
The break times referred to in Article 4, the rest times referred to in Article 5 and, without prejudice to the legislation of the Parties or agreements between the social partners providing that such periods should be compensated or limited, the periods of availability referred to in point (2) of this Article, shall be excluded from working time;
(2)
"periods of availability" means:
—
periods other than those relating to break times and rest times during which the mobile worker is not required to remain at his or her workstation, but must be available to answer any calls to start or resume driving or to carry out other work. In particular such periods of availability shall include periods during which the mobile worker is accompanying a vehicle being transported by ferryboat or by train as well as periods of waiting at frontiers and those due to traffic prohibitions.
—
Those periods and their foreseeable duration shall be known in advance by the mobile worker, that is to say either before departure or just before the actual start of the period in question, or under the general conditions negotiated between the social partners and/or under the terms of the legislation of the Parties,
—
for mobile workers driving in a team, the time spent sitting next to the driver or on the couchette while the vehicle is in motion;
(3)
"workstation" means:
—
the location of the main place of business of the road haulage operator for which the person performing mobile road transport activities carries out duties, together with its various subsidiary places of business, regardless of whether they are located in the same place as its head office or main place of business,
—
the vehicle which the person performing mobile road transport activities uses when that person carries out duties, and
—
any other place in which activities connected with transportation are carried out;
(4)
"mobile worker" means, for the purpose of this Section, any worker forming part of the travelling staff, including trainees and apprentices, who is in the service of an undertaking which operates transport services for passengers or goods by road on the territory of the other Party;
(5)
"self-employed driver" means anyone whose main occupation is to transport of goods by road for hire or reward, who is entitled to work for himself and who is not tied to an employer by an employment contract or by any other type of working hierarchical relationship, who is free to organise the relevant working activities, whose income depends directly on the profits made and who has the freedom to, individually or through a cooperation between self-employed drivers, have commercial relations with several customers.
For the purposes of this Section, those drivers who do not satisfy those criteria shall be subject to the same obligations and benefit from the same rights as those provided for mobile workers by this Section;
(6)
"person performing mobile road transport activities" means any mobile worker or self-employed driver who performs such activities;
(7)
"week" means the period between 00.00 hours on Monday and 24.00 hours on Sunday;
(8)
"night time" means a period of at least four hours, as defined by national law, between 00.00 hours and 07.00 hours; and
(9)
"night work" means any work performed during night time.
Article 3
Maximum weekly working time
1.   Each Party shall take the measures necessary to ensure that the average weekly working time may not exceed 48 hours. The maximum weekly working time may be extended to 60 hours only if, over four months, an average of 48 hours a week is not exceeded.
2.   Each Party shall take the measures necessary to ensure that working time for different employers is the sum of the working hours. The employer shall ask the mobile worker concerned in writing for an account of time worked for another employer. The mobile worker shall provide such information in writing.
Article 4
Breaks
Each Party shall take the measures necessary to ensure that, without prejudice to the provisions of Section 2 of Part B of this Annex, persons performing mobile road transport activities, in no circumstances work for more than six consecutive hours without a break. Working time shall be interrupted by a break of at least 30 minutes, if working hours total between six and nine hours, and of at least 45 minutes, if working hours total more than nine hours.
Breaks may be subdivided into periods of at least 15 minutes each.
Article 5
Rest periods
For the purposes of this Section, apprentices and trainees who are in the service of an undertaking which operates transport services for passengers or goods by road journeys on the territory of the other Party shall be covered by the same provisions on rest time as other mobile workers pursuant to Section 2 of Part B of this Annex.
Article 6
Night work
Each Party shall take the measures necessary to ensure that:
(a)
if night work is performed, the daily working time does not exceed ten hours in each 24 period, and
(b)
compensation for night work is given in accordance with national legislative measures, collective agreements, agreements between the two sides of industry and/or national practice, on condition that such compensation is not liable to endanger road safety.
Article 7
Derogations
1.   Derogations from Articles 3 and 6 may, for objective or technical reasons or reasons concerning the organisation of work, be adopted by means of collective agreements, agreements between the social partners, or if that is not possible, by laws, regulations or administrative provisions provided that there is consultation of the representatives of the employers and workers concerned and efforts are made to encourage all relevant forms of social dialogue.
2.   The option to derogate from Article 3 may not result in the establishment of a reference period exceeding six months, for calculation of the average maximum weekly working time of forty-eight hours.
3.   The Specialised Committee on Road Transport shall be informed of the derogations applied by a Party in accordance with paragraph 1.
Article 8
Information and records
Each Party shall ensure that:
(a)
mobile workers are informed of the relevant national requirements, the internal rules of the road haulage operator and agreements between the two sides of industry, in particular collective agreements and any company agreements, reached on the basis of this Section; and
(b)
the working time of persons performing mobile road transport activities is recorded. Records shall be kept for at least two years after the end of the period covered. Employers shall be responsible for recording the working time of mobile workers. Employers shall upon request provide mobile workers with copies of the records of hours worked.
Article 9
More favourable provisions
This Section shall not affect the right of each Party to apply or introduce laws, regulations or administrative provisions more favourable to the protection of the health and safety of persons performing mobile road transport activities, or their right to facilitate or permit the application of collective agreements or other agreements concluded between the two sides of industry which are more favourable to the protection of the health and safety of mobile workers. Those rules shall be applied in a non-discriminatory manner.
SECTION 4
USE OF TACHOGRAPHS BY DRIVERS
Article 1
Subject matter and principles
This Section lays down requirements for drivers falling within the scope of Section 2 of Part B regarding the use of tachographs referred to in point (b) of Article 465(1) of this Agreement.
Article 2
Definitions
1.   For the purposes of this Section, the definitions set out in Article 2 of Section 2 of Part B apply.
2.   In addition to the definitions referred to in paragraph 1, for the purposes of this Section the following definitions apply:
(a)
"tachograph" or "recording equipment" means the equipment intended for installation in road vehicles to display, record, print, store and output automatically or semi-automatically details of the movement, including the speed, of such vehicles and details of certain periods of activity of their drivers;
(b)
"record sheet" means a sheet designed to accept and retain recorded data, to be placed in an analogue tachograph, and on which the marking devices of the analogue tachograph continuously inscribe the information to be recorded;
(c)
"tachograph card" means a smart card, intended for use with the tachograph, which allows identification by the tachograph of the role of the cardholder and allows data transfer and storage;
(d)
"driver card" means a tachograph card, issued by the competent authorities in a Party to a particular driver, which identifies the driver and allows for the storage of driver activity data;
(e)
"analogue tachograph" means a tachograph complying with the specifications in Annex I to Regulation (EU) No 165/2014 of the European Parliament and of the Council 
(
3
)
, as adapted by Appendix 31-B-4-1;
(f)
"digital tachograph" means a tachograph complying with one of the following set of specifications, as adapted by Appendix 31-B-4-2:
—
Annex IB to Regulation (EEC) No 3821/85 applicable until 30 September 2011;
—
Annex IB to Regulation (EEC) No 3821/85 applicable from 1 October 2011; or
—
Annex IB to Regulation (EEC) No 3821/85 applicable from 1 October 2012;
(g)
"smart tachograph 1" means a tachograph complying with Annex IC to Commission Implementing Regulation (EU) 2016/799 
(
4
)
 applicable from 15 June 2019, as adapted by Appendix 31-B-4-3;
(h)
"smart tachograph 2" means a tachograph complying with the following requirements:
—
automatic recording of the border crossing;
—
recording of loading and unloading activities;
—
recording whether the vehicle is used for carriage of goods or passengers; and
—
with the specifications to be set out in the implementing acts referred to in the first paragraph of Article 11 of Regulation (EU) No 165/2014 of the European Parliament and of the Council 
(
5
)
, as adapted by a decision of the Specialised Committee on Road Transport;
(i)
"event" means an abnormal operation detected by the digital tachograph which may result from a fraud attempt;
(j)
"non-valid card" means a card detected as faulty, or whose initial authentication failed, or whose start of validity date is not yet reached, or whose expiry date has passed.
Article 3
Use of driver cards
1.   The driver card is personal.
2.   A driver may hold no more than one valid driver card, and is only authorised to use his or her own personalised driver card. A driver shall not use a driver card which is defective or which has expired.
Article 4
Issuing of driver cards
1.   Driver cards shall be requested to the competent authority in the Party where the driver has his or her normal residence.
2.   For the purposes of this Article, "normal residence" means the place where a person usually lives, that is for at least 185 days in each calendar year, because of personal and occupational ties, or, in the case of a person with no occupational ties, because of personal ties which show close links between that person and the place where that person is living.
However, the normal residence of a person whose occupational ties are in a place different from their personal ties and who consequently lives in turn in different places situated in the two Parties shall be regarded as being the place of their personal ties, provided that such person returns there regularly. This last condition does not need to be complied with where the person is living in a Party in order to carry out a fixed-term assignment.
3.   Drivers shall give proof of their normal residence by any appropriate means, such as their identity card or any other valid document.
Article 5
Renewal of driver cards
Where a driver wishes to renew his or her driver card, the driver shall apply to the competent authorities in the Party of his or her normal residence not later than 15 working days before the expiry date of the card.
Article 6
Use of driver cards and record sheets
1.   Drivers shall use record sheets or driver cards every day on which they drive, starting from the moment they take over the vehicle. The record sheet or driver card shall not be withdrawn before the end of the daily working period unless its withdrawal is otherwise authorised or is necessary in order to enter the symbol of the country after having crossed a border. No record sheet or driver card may be used to cover a period longer than that for which it is intended.
2.   Drivers shall adequately protect the record sheets or driver cards, and shall not use dirty or damaged record sheets or driver cards. The driver shall ensure that, taking into account the length of the period of service, the printing of data from the tachograph at the request of a control officer can be carried out correctly in the event of an inspection.
3.   When, as a result of being away from the vehicle, a driver is unable to use the tachograph fitted to the vehicle, the periods of time referred to in points (b)(ii), (b)(iii) and (b)(iv) of paragraph 5 shall:
(a)
if the vehicle is fitted with an analogue tachograph, be entered on the record sheet, either manually, by automatic recording or other means, legibly and without dirtying the record sheet; or
(b)
if the vehicle is fitted with a digital, smart 1 or smart 2 tachograph, be entered onto the driver card using the manual entry facility provided for in the tachograph.
Each Party shall not impose on drivers a requirement to present forms attesting to their activities while away from the vehicle.
4.   Where there is more than one driver on board a vehicle fitted with a digital, a smart 1 or smart 2 tachograph, each driver shall ensure that his or her driver card is inserted into the correct slot in the tachograph.
Where there is more than one driver on board a vehicle fitted with an analogue tachograph, the drivers shall amend the record sheets as necessary, so that the relevant information is recorded on the record sheet of the driver who is actually driving.
5.   Drivers shall:
(a)
ensure that the time recorded on the record sheet corresponds to the official time in the country of registration of the vehicle;
(b)
operate the switch mechanisms enabling the following periods of time to be recorded separately and distinctly:
(i)
under the
sign: driving time,
(ii)
under
the sign: "other work", which means any activity other than driving, as defined in point (a) of Article 2 of Section 3 of Part B, and also any work for the same or another employer within or outside of the transport sector,
(iii)
under
the sign: "availability", as defined in point (b) of Article 2 of Section 3 of Part B,
(iv)
under
the sign: breaks, rest, annual leave or sick leave, and
(v)
under the sign for "ferry/train": In addition to
the sign: the rest period spent on a ferry or train as required in paragraph 12 of Article 6 of Section 2 of Part B.
6.   Each driver of a vehicle fitted with an analogue tachograph shall enter the following information on his or her record sheet:
(a)
on beginning to use the record sheet — the driver's surname and first name;
(b)
the date and place where use of the record sheet begins and the date and place where such use ends;
(c)
the registration number of each vehicle to which the driver is assigned, both at the start of the first journey recorded on the record sheet and then, in the event of a change of vehicle, during use of the record sheet;
(d)
the odometer reading:
(i)
at the start of the first journey recorded on the record sheet,
(ii)
at the end of the last journey recorded on the record sheet,
(iii)
in the event of a change of vehicle during a working day, the reading on the first vehicle to which the driver was assigned and the reading on the next vehicle;
(e)
the time of any change of vehicle; and
(f)
the symbols of the countries in which the daily working period started and finished. The driver shall also enter the symbol of the country that the driver enters after crossing a border of an EU Member State and of the United Kingdom at the beginning of the driver's first stop in that Member State or the United Kingdom. That first stop shall be made at the nearest possible stopping place at or after the border. Where the crossing of the border takes place on a ferry or train, the driver shall enter the symbol of the country at the port or station of arrival.
7.   The driver shall enter in the digital tachograph the symbols of the countries in which the daily working period started and finished.
From 2 February 2022, the driver shall also enter the symbol of the country that the driver enters after crossing a border of a Member State and of the United Kingdom at the beginning of the driver's first stop in that Member State or the United Kingdom. That first stop shall be made at the nearest possible stopping place at or after the border. Where the crossing of the border takes place on a ferry or train, the driver shall enter the symbol of the country at the port or station of arrival.
A Member State or the United Kingdom may require drivers of vehicles engaged in transport operations inside their territory to add more detailed geographic specifications to the country symbol, provided that each Party notifies in advance the other Party about those detailed geographic specifications.
It shall not be necessary for drivers to enter the information referred to in the first sentence of the first subparagraph if the tachograph is automatically recording that location data.
Article 7
Correct use of tachographs
1.   Transport undertakings and drivers shall ensure the correct functioning and proper use of digital tachographs and driver cards. Transport undertakings and drivers using analogue tachographs shall ensure their correct functioning and the proper use of record sheets.
2.   It shall be forbidden to falsify, conceal, suppress or destroy data recorded on the record sheet or stored in the tachograph or on the driver card, or print-outs from the tachograph. Any manipulation of the tachograph, record sheet or driver card which could result in data and/or printed information being falsified, suppressed or destroyed shall also be prohibited. No device which could be used to that effect shall be present on the vehicle.
Article 8
Stolen, lost or defective driver cards
1.   Issuing authorities of the Parties shall keep records of issued, stolen, lost or defective driver cards for a period at least equivalent to their period of validity.
2.   If a driver card is damaged or if it malfunctions, the driver shall return it to the competent authority in the country of the driver's normal residence. Theft of the driver card shall be formally declared to the competent authorities of the State where the theft occurred.
3.   Any loss of the driver card shall be reported in a formal declaration to the competent authorities in the issuing Party and to the competent authorities in the Party of the driver's normal residence if that is different.
4.   If the driver card is damaged, malfunctions or is lost or stolen, the driver shall, within seven days, apply for its replacement to the competent authorities in the Party of the driver's normal residence.
5.   In the circumstances set out in paragraph 4, the driver may continue to drive without a driver card for a maximum period of 15 days or for a longer period if that is necessary for the vehicle to return to the premises where it is based, provided that the driver can prove the impossibility of producing or using the card during that period.
Article 9
Damaged driver cards and record sheets
1.   In the event of damage to a record sheet bearing recordings or to a driver card, drivers shall keep the damaged record sheet or driver card together with any spare record sheet used to replace it.
2.   Where a driver card is damaged, malfunctions, or is lost or stolen, the driver shall:
(a)
at the start of his or her journey, print out the details of the vehicle that the driver is driving, and enter on that printout:
(i)
details that enable the driver to be identified (name, driver card or driving licence number), including the driver's signature; and
(ii)
the periods referred to in points (b)(ii), (b)(iii) and (b)(iv) of Article 6(5);
(b)
at the end of the journey, print out the information relating to periods of time recorded by the tachograph, record any periods of other work, availability and rest taken since the printout made at the start of the journey, where not recorded by the tachograph, and mark on that document details enabling the driver to be identified (name, driver card or driving licence number), including the driver's signature.
Article 10
Records to be carried by the driver
1.   Where a driver drives a vehicle fitted with an analogue tachograph, the driver shall be able to produce, whenever an authorised control officer so requests:
(i)
the record sheets for the current day and the preceding 28 days;
(ii)
the driver card, if one is held; and
(iii)
any manual records and printouts made during the current day and the previous 28 days.
2.   Where the driver drives a vehicle fitted with a digital, a smart 1 or smart 2 tachograph, the driver shall be able to produce, whenever an authorised control officer so requests:
(i)
the driver's driver card;
(ii)
any manual records and printouts made during the current day and the previous 28 days; and
(iii)
the record sheets corresponding to the same period as that referred to in point (ii) during which the driver drove a vehicle fitted with an analogue tachograph.
From 31 December 2024, the period of 28 days referred to in points (i) and (iii) of paragraph 1 and in point (ii) of paragraph 2 shall be replaced by 56 days.
3.   An authorised control officer may check compliance with Section 2 of Part B by analysis of the record sheets, of the displayed, printed or downloaded data which have been recorded by the tachograph or by the driver card or, failing that, of any other supporting document that justifies non-compliance with a provision of that Section.
Article 11
Procedures for drivers in the event of malfunctioning equipment
While the tachograph is unserviceable or malfunctioning, the driver shall mark data enabling him to be identified (name, driver card or driving licence number), including a signature, as well as the information for the various periods of time which are no longer recorded or printed out correctly by the tachograph:
(a)
on the record sheet or sheets; or
(b)
on a temporary sheet to be attached to the record sheet or to be kept together with the driver card.
Article 12
Enforcement measures
1.   Each Party shall adopt all appropriate measures to ensure observance of the provisions of Sections 2, 3 and 4 of Part B, in particular by ensuring annually an adequate level of roadside checks and checks performed at the premises of undertakings covering a large and representative cross-section of mobile workers, drivers, undertakings and vehicles of all transport categories falling within the scope of those Sections.
The competent authorities in each Party shall organise the checks so that:
(i)
during each calendar year, a minimum of 3 % of the days worked by the drivers of vehicles falling within the scope of Section 2 of Part B applies shall be checked; and
(ii)
at least 30 % of the total number of working days checked shall be checked at the roadside and at least 50 % at the premises of undertakings.
The elements of roadside checks shall include:
(i)
daily and weekly driving periods, interruptions and daily and weekly rest periods;
(ii)
the record sheets of the preceding days, which shall be on board the vehicle, and/or the data stored for the same period on the driver card and/or in the memory of the tachograph and/or on the printouts, when required; and
(iii)
the correct functioning of the tachograph.
Those checks shall be carried out without discrimination among vehicles, undertakings and drivers whether resident or not, and regardless of the origin or destination of the journey or type of tachograph.
The elements of checks on the premises of undertakings shall include, in addition to the elements subject to roadside checks:
(i)
weekly rest periods and driving periods between those rest periods;
(ii)
fortnightly driving limits;
(iii)
compensation for reduced weekly rest periods in accordance with Article 6(6) and (7) of Section 2 of Part B; and
(iv)
use of record sheets and/or vehicle unit and driver card data and printouts and/or the organisation of drivers' working time.
2.   If the findings of a roadside check on the driver of a vehicle registered in the territory of the other Party provide grounds to believe that infringements have been committed which cannot be detected during the check due to lack of necessary data, the competent authorities in each Party shall assist each other to clarify the situation. In cases where, to that end, the competent authorities in a Party carry out a check at the premises of the undertaking, the results of that check shall be communicated to the competent authorities of the other Party.
3.   The competent authorities in the Parties shall work in cooperation with each other in the organisation of concerted roadside checks.
4.   Each Party shall introduce a risk rating system for undertakings based on the relative number and severity of any infringements, as set out in Appendix 31-A-1-1 and of any infringements included in the list drawn up by the Specialised Committee on Road Transport under Article 6(3) of Section 1 of Part A, that an individual undertaking has committed.
5.   Undertakings with a high risk rating shall be checked more closely and more often.
6.   Each Party and, in the case of the Union, each Member State, shall enable its competent authorities to impose a penalty on a road haulage operator and/or a driver for an infringement of the applicable provisions on driving time, breaks and rest periods detected on its territory and for which a penalty has not already been imposed, even where that infringement has been committed on the territory of the other Party or, in the case of the Union, the territory of a Member State or of a third country.
Appendix 31-B-4-1
ADAPTATIONS TO THE TECHNICAL SPECIFICATIONS OF THE ANALOGUE TACHOGRAPH
Annex I to Regulation (EU) No 165/2014 is adapted for the purpose of this Section as follows:
(a)
In Section III (Construction requirements for recording equipment), in paragraph 4.1 of subsection (c) (Recording instruments), for "points (ii), (iii) and (iv) of Article 34(5)(b) of this Regulation" substitute "points (ii), (iii) and (iv) of point (b) of Article 6(5) of Section 4 of Part B of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part."
(b)
In Section III (Construction requirements for recording equipment), in paragraph 4.2 of subsection (c) (Recording instruments), for "Article 34 of this Regulation" substitute "Article 6(5) of Section 4 of Part B of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part."
(c)
In Section IV (Record sheets), in the third subparagraph of paragraph 1 of subsection (a) (General points), for "Article 34 of this Regulation" substitute "Article 6(6) of Section 4 of Part B of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part.
(d)
In Section V (Installation of recording equipment), in the first subparagraph of paragraph 5, for "this Regulation" substitute "Section 4 of Part B and Section 2 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part".
(e)
In Section V (Installation of recording equipment), in the third subparagraph of paragraph 5, for "Part A of Annex II to Directive 2007/46/EC of the European Parliament and of the Council" substitute "the Consolidated Resolution on the Construction of Vehicles (R.E.3)" and for "this Regulation" substitute "Section 2 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part".
(f)
In Section VI (Checks and inspections), in the text before paragraph 1, after "Member States" insert "and the United Kingdom".
(g)
In Section VI (Checks and inspections), in the second subparagraph of paragraph 1 (Certification of new or repaired instruments), after "Member States" insert "and the United Kingdom", and for "this Regulation" substitute "Section 4 of Part B and Section 2 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part".
(h)
In Section VI (Checks and inspections), in subparagraph (b) of paragraph 3 (Periodic inspections), after "Member State" insert "and the United Kingdom".
Appendix 31-B-4-2
ADAPTATIONS TO THE TECHNICAL SPECIFICATIONS OF THE DIGITAL TACHOGRAPH
Annex IB to Regulation (EEC) No 3821/85, including the appendixes introduced by Council Regulation (EC) No 2135/98 
(
6
)
, is adapted for the purpose of this Section as follows:
1.
In the case of the United Kingdom, the references to "Member State" are replaced by "Party", except for the references in subsection IV (Construction and functional requirements for tachograph cards), paragraph 174 and subsection VII (Card issuing), paragraph 268a;
2.
For "Council Regulation (EEC) No 3820/85" and "Regulation (EC) No 561/2006" substitute "Section 2 of Part B of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part";
Section I (Definitions) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
3.
Point (u) is replaced by the following:
"(u)
'effective circumference of the wheels' means the average of the distances travelled by each of the wheels moving the vehicle (driving wheels) in the course of one complete rotation. The measurement of those distances shall be made under standard test conditions as defined under requirement 414 and is expressed in the form 'l = … mm'. Vehicle manufacturers may replace the measurement of those distances by a theoretical calculation which takes into account the distribution of the weight on the axles, vehicle unladen in normal running order, namely with coolant fluid, lubricants, fuel, tools, spare-wheel and driver. The methods for such theoretical calculation are subject to approval by the competent authority in a Party and can take place only before tachograph activation;"
4.
In point (bb), the reference to "Council Directive 92/6/EEC" is replaced by "the applicable law of each Party".
5.
Point (ii) is replaced by the following:
"'security certification' means: process to certify, by a Common Criteria certification body, that the recording equipment (or component) or the tachograph card under investigation fulfils the security requirements defined in Appendix 10 (Generic security targets);"
6.
In point (mm), the reference to "Directive 92/23/EEC" is replaced by "UNECE Regulation No 54".
7.
In point (nn), footnote 17 is replaced by the following:
"'Vehicle Identification Number' means a fixed combination of characters assigned to each vehicle by the manufacturer, which consists of two sections: the first, composed of not more than six characters (letters or figures), identifying the general characteristics of the vehicle, in particular the type and model; the second, composed of eight characters of which the first four may be letters or figures and the other four figures only, providing, in conjunction with the first section, clear identification of a particular vehicle."
8.
In point (rr), the first indent is replaced by the following:
"–
installed and used only in M1 and N1 type vehicles as defined in the Consolidated Resolution on the Construction of Vehicles (R.E.3)",
Section II (General characteristics and functions of the recording equipment) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
9.
In paragraph 004, the last subparagraph is deleted.
Section III (Construction and functional requirements for recording equipment) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
10.
In paragraph 065, the reference to "Directive 2007/46/EC" is replaced by "the Consolidated Resolution on the Construction of Vehicles (R.E.3)."
11.
In paragraph 162, the reference to "Commission Directive 95/54/EC of 31 October 1995 adapting to technical progress Council Directive 72/245/EEC" is replaced by "UNECE Regulation No 10".
Section IV (Construction and functional requirements for tachograph cards) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
12.
In paragraph 174, the reference to "UK: The United Kingdom" is replaced by "For the United Kingdom, the distinguishing sign shall be the UK."
13.
In paragraph 185, the reference to "Community territory" is replaced by "the territory of the Union and of the United Kingdom".
14.
In paragraph 188, the reference to "Commission Directive 95/54/EC of 31 October 1995" is replaced by "UNECE Regulation No 10".
15.
In paragraph 189, the last subparagraph is deleted.
Section V (Installation of recording equipment) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
16.
In paragraph 250a, the reference to "Regulation (EC) No 68/2009" is replaced by "Appendix 12 of this Annex."
Section VI (Checks, inspections and repairs) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
17.
The introductory sentence is replaced by the following:
"Requirements on the circumstances in which seals may be removed, as referred to in Article 5(5) of Section 2 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part, are defined in Chapter V(3) of this Annex"
18.
Under subsection 1 (Approval of fitters or workshops), the reference to "Article 12(1) of this Regulation" is replaced by "Articles 5(1) and 8 of Section 2 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part".
Section VII (Card issuing) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
19.
In paragraph 268a, after "Member States", wherever it occurs, insert "and the United Kingdom".
Section VIII (Type approval of recording equipment and tachograph cards) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
20.
In paragraph 271, omit "in accordance with Article 5 of this Regulation".
Appendix 1 (Data dictionary) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
21.
In point 2.111, the reference to "Directive 92/23 (EEC) 31.3.1992, OJ L 129, p. 95" is replaced by "UNECE Regulation No 54".
Appendix 9 (Type approval List of minimum required tests) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
22.
In subpoint 5.1 of Section 2 (Vehicle unit functional tests), the reference to "Directive 95/54/EC" is replaced by "UNECE Regulation No 10".
23.
In subpoint 5.1 of Section 3 (Motion sensor functional tests), the reference to "Directive 95/54/EC" is replaced by "UNECE Regulation No 10".
Appendix 12 (Adaptor for M1 and N1 category vehicles) of Annex IB to Regulation (EEC) No 3821/85 is adapted for the purpose of this Section as follows:
24.
In Section 4 (Construction and functional requirements for the adaptor) in paragraph 4.5 (performance characteristics) in ADA_023, for "Commission Directive 2006/28/EC adapting to technical progress Council Directive 72/245/EEC" substitute "UNECE Regulation No 10".
25.
In point 5.1 of the table under subsection 7.2 (Functional certificate), for "Directive 2006/28/EC" substitute "UNECE Regulation No 10".
Appendix 31-B-4-3
ADAPTATIONS TO THE TECHNICAL SPECIFICATIONS OF THE SMART TACHOGRAPH
Commission Implementing Regulation (EU) 2016/799, including its annexes and appendixes, is adapted for the purpose of this Section as follows:
1.
In the case of the United Kingdom, the references to "Member State" are replaced by "Party", except for the references in point (229) of subsection 4.1 and in point (424) of Section 7;
2.
For "Regulation (EEC) No 3820/85" and "Regulation (EC) No 561/2006" substitute "Section 2 of Part B of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part";
3.
For "Regulation (EU) No 165/2014" substitute "Section 4 of Part B and Section 2 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part, except for the references in point (402) of subsection 5.3 and in point (424) of Section 7";
4.
For "Directive (EU) 2015/719" and for "Council Directive 96/53/EC" substitute "Section 1 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part".
Section 1 (Definitions) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
5.
Point (u) is replaced by the following:
"(u)
'effective circumference of the wheels' means:
the average of the distances travelled by each of the wheels moving the vehicle (driving wheels) in the course of one complete rotation. The measurement of those distances shall be made under standard test conditions as defined under requirement 414 and is expressed in the form 'l = … mm'. Vehicle manufacturers may replace the measurement of those distances by a theoretical calculation which takes into account the distribution of the weight on the axles, vehicle unladen in normal running order, namely with coolant fluid, lubricants, fuel, tools, spare-wheel and driver. The methods for such theoretical calculation are subject to approval by the competent authority in a Party and can take place only before tachograph activation;";
6.
In point (hh), the reference to "Council Directive 92/6/EEC" is replaced by "the applicable law of each Party";
7.
In point (uu), the reference to "Directive 92/23/EEC" is replaced by "UNECE Regulation No 54";
8.
In point (vv), footnote 9 is replaced by the following:
"'Vehicle Identification Number' means a fixed combination of characters assigned to each vehicle by the manufacturer, which consists of two sections: the first, composed of not more than six characters (letters or figures), identifying the general characteristics of the vehicle, in particular the type and model; the second, composed of eight characters of which the first four may be letters or figures and the other four figures only, providing, in conjunction with the first section, clear identification of a particular vehicle.";
9.
In point (yy), the first indent is replaced by the following:
"–
installed and used only in M1 and N1 type vehicles as defined in the Consolidated Resolution on the Construction of Vehicles (R.E.3);";
10.
Point (aaa) is deleted;
11.
In point (ccc), the first paragraph is replaced by "15 June 2019".
Section 2 (General characteristics and functions of the recording equipment) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
12.
The last subparagraph of paragraph (7) of subsection 2.1 is deleted.
Section 3 (Construction and functional requirements for recording equipment) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
13.
In point (200) of subsection 3.20, the second sentence of the third subparagraph is deleted.
14.
Point (201) of subsection 3.20 is replaced by the following:
"The vehicle unit may also be able to output the following data using an appropriate dedicated serial link independent from an optional CAN bus connection (ISO 11898 Road vehicles — Interchange of digital information — Controller Area Network (CAN) for high speed communication), to allow their processing by other electronic units installed in the vehicle:
—
current UTC date and time,
—
speed of the vehicle,
—
total distance travelled by the vehicle (odometer),
—
currently selected driver and co-driver activity,
—
information if any tachograph card is currently inserted in the driver slot and in the co-driver slot and (if applicable) information about the corresponding cards identification (card number and issuing country).
Other data may also be output in addition to that minimum list.
When the ignition of the vehicle is ON, those data shall be permanently broadcast. When the ignition of the vehicle is OFF, at least any change of driver or co-driver activity and/or any insertion or withdrawal of a tachograph card shall generate a corresponding data output. In the event that data output has been withheld whilst the ignition of the vehicle is OFF, that data shall be made available once the ignition of the vehicle is ON again.
The driver consent shall be required in case personal data are transmitted."
Section 4 (Construction and functional requirements for tachograph cards) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
15.
In Point (229) of the subsection 4.1, the following subparagraph is added:
"For the United Kingdom, the distinguishing sign shall be the UK.";
16.
In point (237), for "Article 26.4 of Regulation (EU) No. 165/2014" substitute "Article 9(2) of Section 2 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part";
17.
In point (241) of subsection 4.4 of Chapter 4 of this Annex, the word "Community territory" is replaced by "the territory of the Union and of the United Kingdom";
18.
Point (246) in subsection 4.5 is deleted.
Section 5 (Installation of recording equipment) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
19.
The first paragraph of point (397) in subsection 5.2 is replaced by the following:
"(397)
For M1 and N1 vehicles only, and which are fitted with an adaptor in conformity with Appendix 16 of this Annex and where it is not possible to include all the information necessary, as described in Requirement 396, a second, additional, plaque may be used. In such cases, this additional plaque shall contain at least the last four indents described in Requirement 396.";
20.
In point (402) of subsection 5.3, for "Article 22(3) of Regulation (EU) No 165/2014" substitute "Article 5(3) of Section 2 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part.".
Section 6 (Checks, inspections and repairs) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
21.
The introductory sentence is replaced by the following:
"Requirements on the circumstances in which seals may be removed are defined in Chapter 5.3 of this Annex.";
Section 7 (Card issuing) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
22.
In point (424), after the reference to "Member States" insert "and the United Kingdom", and for the reference to "Article 31 of Regulation (EU) No 165/2014" substitute "Article 13 of Section 2 of Part C of Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part".
Appendix 1 (Data dictionary) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
23.
In point 2.163, for "Directive 92/23/EEC" substitute "UNECE Regulation No 54".
Appendix 11 (Common security mechanisms) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
24.
In point 9.1.4 (Equipment Level: Vehicle Units), in the first note below CSM_78, for "Regulation (EU) No 581/2010" substitute "Article 7(5) of Section 2 of Part B Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part".
25.
In point 9.1.5 (Equipment level: Tachograph Cards), in the note below CSM_89, for "Regulation (EU) No 581/2010" substitute "Article 7(5) of Section 2 of Part B Annex 31 to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part".
Appendix 12 (Positioning based on Global Navigation Satellite System (GNSS)) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
26.
The second subparagraph of Section 1 (Introduction) is deleted.
27.
In Section 2 (Specification of the GNSS receiver), the reference to "compatibility with the services provided by the Galileo and European Geostationary Navigation Overlay Service (EGNOS) programmes as set out in Regulation (EU) No 1285/2013 of the European Parliament and of the Council", is replaced by "compatibility with Satellite Based Augmentation Systems (SBAS)".
Appendix 16 (Adaptor for M1 and N1 category vehicles) of Annex IC to Commission Implementing Regulation (EU) 2016/799 is adapted for the purpose of this Section as follows:
28.
In point 5.1 in the table under Section (7) (Type approval of recording equipment when an adaptor is used), the reference to "Directive 2006/28/EC" is replaced by "UNECE Regulation No 10".
PART C
REQUIREMENTS FOR VEHICLES USED FOR THE TRANSPORT OF GOODS IN ACCORDANCE WITH ARTICLE 466 OF THIS AGREEMENT
SECTION 1
WEIGHTS AND DIMENSIONS
Article 1
Subject matter and principles
The maximum weights and dimensions of the vehicles that may be used for journeys referred to in Article 462 of this Agreement are those set out in Appendix 31-C-1-1.
Article 2
Definitions
For the purposes of this Section, the following definitions apply:
(a)
"motor vehicle" means any power-driven vehicle which travels on the road by its own means;
(b)
"trailer" means any vehicle intended to be coupled to a motor vehicle excluding semitrailers, and constructed and equipped for the carriage of goods;
(c)
"semi-trailer" means any vehicle intended to be coupled to a motor vehicle in such a way that part of it rests on the motor vehicle with a substantial part of its weight and of the weight of its load being borne by the motor vehicle, and constructed and equipped for the carriage of goods;
(d)
"vehicle combination" means either:
—
a road train consisting of a motor vehicle coupled to a trailer; or
—
an articulated vehicle consisting of a motor vehicle coupled to a semi-trailer;
(e)
"conditioned vehicle" means any vehicle whose fixed or movable superstructures are specially equipped for the carriage of goods at controlled temperatures and whose side walls, inclusive of insulation, are each at least 45 mm thick;
(f)
"maximum authorised dimensions" means the maximum dimensions for use of a vehicle;
(g)
"maximum authorised weight" means the maximum weight for use of a laden vehicle;
(h)
"maximum authorised axle weight" means the maximum weight for use of a laden axle or group of axles;
(i)
"tonne" means the weight executed by the mass of a tonne and shall correspond to 9.8 kilonewtons (kN);
(j)
"indivisible load" means a load that cannot, for the purpose of carriage by road, be divided into two or more loads without undue expense or risk of damage and which owing to its dimensions or mass cannot be carried by a motor vehicle, trailer, road train or articulated vehicle complying with this Section in all respects;
(k)
"alternative fuels" means fuels or power sources which serve, at least partly, as a substitute for fossil oil sources in the energy supply to transport and which have the potential to contribute to its decarbonisation and enhance the environmental performance of the transport sector, consisting of:
(i)
electricity consumed in all types of electric vehicles;
(ii)
hydrogen;
(iii)
natural gas, including biomethane, in gaseous form (Compressed Natural Gas — CNG) and liquefied form (Liquefied Natural Gas — LNG);
(iv)
Liquefied Petroleum Gas (LPG);
(v)
mechanical energy from on-board storage/on-board sources, including waste heat,
(l)
"alternatively fuelled vehicle" means a motor vehicle powered wholly or in part by an alternative fuel;
(m)
"zero-emission vehicle" means a heavy goods vehicle without an internal combustion engine, or with an internal combustion engine that emits less than 1 g CO
2
/kWh; and
(n)
"intermodal transport operation" means the transport of one or more containers or swap bodies, with a length of no more than 45 feet, where the lorry, trailer, semi-trailer (with or without tractor unit), swap body or container uses the road on the initial and/or final leg of the journey and, on the other leg, rail or inland waterway or maritime services.
Article 3
Special permits
A vehicle or vehicle combination which exceeds the maximum weights or dimensions set out in Appendix 31-C-1-1 may only be allowed to circulate on the basis of a special permit issued without discrimination by the competent authorities, or on the basis of similar non-discriminatory arrangements agreed on a case-by-case basis with those authorities, where these vehicles or vehicle combinations carry or are intended to carry indivisible loads.
Article 4
Local restrictions
This Section shall not preclude the non-discriminatory application of road traffic provisions in force in each Party which permit the weight and/or dimensions of vehicles on certain roads or civil engineering structures to be limited.
This includes the possibility to impose local restrictions on maximum authorised dimensions and/or weights of vehicles that may be used in specified areas or on specified roads, where the infrastructure is not suitable for long and heavy vehicles, such as city centres, small villages or places of special natural interest.
Article 5
Aerodynamic devices attached to the rear of vehicles or vehicle combinations
1.   Vehicles or vehicle combinations equipped with aerodynamic devices may exceed the maximum lengths provided for in point 1.1 of Appendix 31-C-1-1, to allow the addition of such devices to the rear of vehicles or vehicle combinations. Vehicles or vehicle combinations equipped with such devices shall comply with point 1.5 of Appendix 31-C-1-1, and any exceeding of the maximum lengths shall not result in an increase in the loading length of those vehicles or vehicle combinations.
2.   The aerodynamic devices referred to in paragraph 1 shall fulfil the following operational conditions:
(a)
in circumstances where the safety of other road users or of the driver is at risk, they shall be folded, retracted or removed by the driver;
(b)
when aerodynamic devices and equipment exceed 500 mm in length in the in-use position they shall be retractable or foldable;
(c)
their use on urban and inter urban road infrastructures shall take into account the special characteristics of areas where the speed limit is less than or equal to 50 km/h and where vulnerable road users are more likely to be present; and
(d)
when retracted/folded, they shall not exceed the maximum authorised length by more than 20 cm.
Article 6
Aerodynamic cabins
Vehicles or vehicle combinations may exceed the maximum lengths laid down in point 1.1 of Appendix 31-C-1-1 provided that their cabs deliver improved aerodynamic performance, energy efficiency and safety performance. Vehicles or vehicle combinations equipped with such cabs shall comply with point 1.5 of Appendix 31-C-1-1 and any exceeding of the maximum lengths shall not result in an increase in the load capacity of those vehicles.
Article 7
Intermodal transport operations
1.   The maximum lengths laid down in point 1.1 of Appendix 31-C-1-1, subject where applicable to Article 6, and the maximum distance laid down in point 1.6 of Appendix 31-C-1-1, may be exceeded by 15 cm for vehicles or vehicle combinations engaged in the transport of 45-foot containers or 45-foot swap bodies, empty or loaded, provided that the road transport of the container or swap body in question is part of an intermodal transport operation carried out according to the conditions set by each Party.
2.   For intermodal transport operations, the maximum authorised vehicle weight for articulate vehicles with five or six axles may be exceeded by two tonnes in the combination set out in point 2.2.2(a) of Appendix 31-C-1-1 and by four tonnes in the combination set out in point 2.2.2(b) of Appendix 31-C-1-1. The maximum authorised vehicle weight of these vehicles may not exceed 44 tonnes.
Article 8
Proof of compliance
1.   As proof of compliance with this Section, vehicles covered by it shall carry one of the following proofs:
(a)
a combination of the following two plates:
—
the manufacturer's statutory plate, which is a plate or label, affixed by the manufacturer on a vehicle that provides the main technical characteristics which are necessary for the identification of the vehicle and provides the competent authorities with the relevant information concerning the permissible maximum laden masses; and
—
a plate relating to dimensions as far as possible affixed next to the manufacturer's statutory plate and containing the following information:
(i)
name of the manufacturer;
(ii)
vehicle identification number;
(iii)
length of the motor vehicle, trailer or semi-trailer (L);
(iv)
width of the motor vehicle, trailer or semi-trailer (W); and
(v)
data for the measurement of the length of vehicle combinations:
—
the distance (a) between the front of the motor vehicle and the centre of the coupling device (coupling hook or fifth wheel); in the case of a fifth wheel with several coupling points, the minimum and maximum values must be given (a
min
 and a
max
);
—
the distance (b) between the centre of the coupling device of the trailer (fifth wheel ring) or of the semi-trailer (king pin) and the rear of the trailer or of the semi-trailer; in the case of a device with several coupling points, the minimum and maximum values must be given (b
min
 and b
max
);
The length of vehicle combinations is the length of the motor vehicle and trailer or semi-trailer placed in a straight line behind each other.
(b)
a single plate containing the information on the two plates referred to in point (a); or
(c)
a single document issued by the competent authorities of a Party or, in the case of the Union, the Member State where the vehicle is registered or put into circulation containing the same information as the plates referred to in point (a). It shall be kept in a place easily accessible to inspection and shall be adequately protected.
2.   If the characteristics of the vehicle no longer correspond to those indicated on the proof of compliance, the Party or, in the case of the Union, the Member State in which the vehicle is registered or put into circulation shall take the necessary steps to ensure that the proof of compliance is altered.
3.   The plates and documents referred to in paragraph 1 shall be recognised by the Parties as the proof of vehicle compliance provided for in this Section.
Article 9
Enforcement
1.   Each Party shall take specific measures to identify vehicles or vehicle combinations in circulation that are likely to have exceeded the maximum authorised weight and that shall therefore be checked by the competent authorities of the Parties in order to ensure compliance with the requirements of this Section. This can be done with the aid of automatic systems set up on the road infrastructure, or by means of on-board weighing equipment installed in vehicles. Such on-board weighing equipment shall be accurate and reliable, fully interoperable and compatible with all vehicle types.
2.   A Party shall not require on-board weighing equipment to be installed on vehicles or vehicle combinations which are registered in the other Party.
3.   Where automatic systems are used to establish infringements of this Section and to impose penalties, such automatic systems shall be certified. Where automatic systems are used only for identification purposes, they need not be certified.
4.   The Parties shall, in accordance with Article 14 of Section 1 of Part A, ensure that their competent authorities exchange information about infringements and penalties relating to this Article.
Appendix 31-C-1-1
MAXIMUM WEIGHTS AND DIMENSIONS AND RELATED CHARACTERISTICS OF VEHICLES
1.   Maximum authorised dimensions for vehicles (in metre; "m")
1.1
Maximum length:
—
motor vehicle
12.00 m
—
trailer
12.00 m
—
articulated vehicle
16.50 m
—
road train
18.75 m
1.2
Maximum width:
(a)
all vehicles except the vehicles referred to in point (b)
2.55 m
(b)
superstructures of conditioned vehicles or conditioned containers or swap bodies transported by vehicles
2.60 m
1.3
Maximum height (any vehicle) 4.00 m
1.4
Removable superstructures and standardised freight items such as containers are included in the dimensions specified in points 1.1, 1.2, 1.3, 1.6, 1.7, 1.8 and 4.4
1.5
Any motor vehicle or vehicle combination which is in motion must be able to turn within a swept circle having an outer radius of 12.50 m and an inner radius of 5.30 m
1.6
Maximum distance between the axis of the fifth-wheel king pin and the rear of a semi-trailer 12.00 m
1.7
Maximum distance measured parallel to the longitudinal axis of the road train from the foremost external point of the loading area behind the cabin to the rearmost external point of the trailer of the combination, minus the distance between the rear of the drawing vehicle and the front of the trailer 15.65 m
1.8
Maximum distance measured parallel to the longitudinal axis of the road train from the foremost external point of the loading area behind the cabin to the rearmost external point of the trailer of the combination 16.40 m
2.   Maximum authorised vehicle weight (in tonnes)
2.1
Vehicles forming part of a vehicle combination
2.1.1
Two-axle trailer
18 tonnes
2.1.2
Three-axle trailer
24 tonnes
2.2
Vehicle combinations
In the case of vehicle combinations including alternatively fuelled or zero-emission vehicles, the maximum authorised weights provided for in this Section are increased by the additional weight of the alternative fuel or zero-emission technology with a maximum of 1 tonne and 2 tonnes respectively.
2.2.1
Road trains with five or six axles
(a)
two-axle motor vehicle with three-axle trailer
40 tonnes
(b)
three-axle motor vehicle with two or three-axle trailer
40 tonnes
2.2.2
Articulated vehicles with five or six axles
(a)
two-axle motor vehicle with three-axle semi-trailer
40 tonnes
(b)
three-axle motor vehicle with two or three-axle semi-trailer
40 tonnes
2.2.3
Road trains with four axles consisting of a two-axle motor vehicle and a two-axle trailer 36 tonnes
2.2.4
Articulated vehicles with four axles consisting of a two-axle motor vehicle and a two-axle semi-trailer, if the distance between the axles of the semi-trailer:
—
is 1.3 m or greater but not more than 1.8 m
36 tonnes
—
is greater than 1.8 m
36 tonnes
(+ 2 tonnes margin when the maximum authorised weight (MAW) of the motor vehicle (18 tonnes) and the MAW of the tandem axle of the semi-trailer (20 tonnes) are respected and the driving axle is fitted with twin tyres and air suspension or equivalent suspension)
2.3
Motor vehicles
In the case of alternatively fuelled motor vehicles or zero-emission vehicles, the maximum authorised weights provided for in subsections 2.3.1 and 2.3.2 are increased by the additional weight of the alternative fuel or zero-emission technology with a maximum of 1 tonne and 2 tonnes respectively.
2.3.1
Two-axle motor vehicles 18 tonnes
2.3.2
Three-axle motor vehicles 25 tonnes (26 tonnes where the driving axle is fitted with twin tyres and air suspension or equivalent suspension, or where each driving axle is fitted with twin tyres and the maximum weight of each axle does not exceed 9.5 tonnes)
2.3.3
Four-axle motor vehicles with two steering axles 32 tonnes where the driving axle is fitted with twin tyres and air suspension or equivalent suspension, or where each driving axle is fitted with twin tyres and the maximum weight of each axle does not exceed 9.5 tonnes
3.   Maximum authorised axle weight of the vehicles (in tonnes)
3.1
Single axles
Single non-driving axle 10 tonnes
3.2
Tandem axles of trailers and semi-trailers
The sum of the axle weights per tandem axle must not exceed, if the distance (d) between the axles is:
—
less than 1 m (d < 1.0)
11 tonnes
—
between 1.0 m and less than 1.3 m (1.0 ≤ d < 1.3)
16 tonnes
—
between 1.3 m and less than 1.8 m (1.3 ≤ d < 1.8)
18 tonnes
—
1.8 m or more (1.8 ≤ d)
20 tonnes
3.3
Tri-axles of trailers and semi-trailers
The sum of the axle weights per tri-axle must not exceed, if the distance (d) between the axles is:
1.3 m or less (d ≤ 1.3)
21 tonnes
over 1.3 m and up to 1.4 m (1.3 <d ≤ 1.4)
24 tonnes
3.4
Driving axle
Driving axle of the vehicles referred to in points 2.2 and 2.3 11.5 tonnes
3.5
Tandem axles of motor vehicles
The sum of the axle weights per tandem axle must not exceed, if the distance (d) between the axles is:
—
less than 1 m (d < 1.0)
11.5 tonnes
—
1.0 m or greater but less than 1.3 m (1.0 ≤ d < 1.3)
16 tonnes
—
1.3 m or greater but less than 1.8 m (1.3 ≤ d < 1.8)
18 tonnes (19 tonnes where the driving axle is fitted with twin tyres and air suspension or equivalent suspension, or where each driving axle is fitted with twin tyres and where the maximum weight for each axle does not exceed 9.5 tonnes)
4.   Other characteristics of the vehicles
4.1
All vehicles
The weight borne by the driving axle or driving axles of a vehicle or vehicle combination must not be less than 25 % of the total laden weight of the vehicle or vehicle combination.
4.2
Road trains
The distance between the rear axle of a motor vehicle and the front axle of a trailer must not be less than 3.00 m.
4.3
Maximum authorised weight depending on the wheelbase
The maximum authorised weight in tonnes of a four-axle motor vehicle may not exceed five times the distance in metres between the axes of the foremost and rearmost axles of the vehicle.
4.4
Semi-trailers
The distance measured horizontally between the axis of the fifth-wheel king pin and any point at the front of the semi-trailer must not exceed 2.04 m.
SECTION 2
REQUIREMENTS FOR TACHOGRAPHS, DRIVERS' CARDS AND WORKSHOP CARDS
Article 1
Subject-matter and principles
This Section lays down the requirements for vehicles within the scope of Section 2 of Part B of this Annex regarding the installation, testing, and control of tachographs, as referred to in Article 466(2) of this Agreement.
Article 2
Definitions
1.   For the purposes of this Section, the definitions set out in Article 2 of Section 2 and in Article 2 of Section 4 of Part B of this Annex apply.
2.   In addition to the definitions referred to in paragraph 1, for the purposes of this Section the following definitions apply:
(a)
"vehicle unit" means the tachograph excluding the motion sensor and the cables connecting the motion sensor. The vehicle unit may be a single unit or several units distributed in the vehicle, provided that it complies with the security requirements of this Section; the vehicle unit includes, among other things, a processing unit, a data memory, a time measurement function, two smart card interface devices for driver and co-driver, a printer, a display, connectors and facilities for entering the user's inputs;
(b)
"motion sensor" means a part of the tachograph providing a signal representative of vehicle speed and/or distance travelled;
(c)
"control card" means a tachograph card issued by the authorities of a Party to a national competent control authority which identifies the control body and, optionally, the control officer, and which allows access to the data stored in the data memory or in the driver cards and, optionally, in the workshop cards for reading, printing and/or downloading;
(d)
"workshop card" means a tachograph card issued by the authorities of a Party to designated staff of a tachograph manufacturer, a fitter, a vehicle manufacturer or a workshop, approved by that Party, which identifies the cardholder and allows for the testing, calibration and activation of tachographs, and/or downloading from them;
(e)
"activation" means the phase in which the tachograph becomes fully operational and implements all functions, including security functions, through the use of a workshop card;
(f)
"calibration" means, with regard to the digital tachograph, updating or confirming vehicle parameters, including vehicle identification and vehicle characteristics, to be held in the data memory through the use of a workshop card;
(g)
"downloading" from a digital or smart tachograph means the copying, together with the digital signature, of a part, or of a complete set, of data files recorded in the data memory of the vehicle unit or in the memory of a tachograph card, provided that this process does not alter or delete any stored data;
(h)
"fault" means an abnormal operation detected by the digital tachograph which may result from an equipment malfunction or failure;
(i)
"installation" means the mounting of a tachograph in a vehicle;
(j)
"periodic inspection" means a set of operations performed to check that the tachograph works properly, that its settings correspond to the vehicle parameters, and that no manipulation devices are attached to the tachograph;
(k)
"repair" means any repair of a motion sensor or of a vehicle unit that requires the disconnection of its power supply, or its disconnection from other tachograph components, or the opening of the motion sensor or vehicle unit;
(l)
"interoperability" means the capacity of systems and the underlying business processes to exchange data and to share information;
(m)
"interface" means a facility between systems which provides the media through which they can connect and interact;
(n)
"time measurement" means a permanent digital record of the coordinated universal date and time (UTC); and
(o)
"TACHOnet messaging system" means the messaging system complying with the technical specifications laid down in Annexes I to VII of Commission Implementing Regulation (EU) 2016/68 
(
7
)
.
Article 3
Installation
1.   Tachographs as referred to in paragraph 2 shall be installed in vehicles:
(a)
where the maximum permissible mass of the vehicle, including any trailer, or semitrailer, exceeds 3.5 tonnes; or
(b)
from 1 July 2026, where the maximum permissible mass of the vehicle, including any trailer, or semi-trailer, exceeds 2.5 tonnes.
2.   The tachographs are:
(a)
for vehicles put into service for the first time before 1 May 2006, an analogue tachograph;
(b)
for vehicles put into service for the first time between 1 May 2006 and 30 September 2011, the first version of the digital tachograph;
(c)
for vehicles put into service for the first time between 1 October 2011 and 30 September 2012, the second version of the digital tachograph;
(d)
for vehicles put into service for the first time between 1 October 2012 and 14 June 2019, the third version of the digital tachograph;
(e)
for vehicles registered for the first time from 15 June 2019 and until 2 years after the entry into force of the detailed specifications referred to in Article 2(2)(g) of Section 4 of Part B, a smart tachograph 1; and
(f)
for vehicles registered for the first time more than 2 years after the entry into force of the detailed specifications referred to in Article 2(2)(h) of Section 4 of Part B, a smart tachograph 2.
3.   Each Party may exempt from the application of this Section the vehicles mentioned in Article 8(3) of Section 2 of Part B of this Annex.
4.   Each Party may exempt from the application of this Section vehicles used for transport operations which have been granted an exception in accordance with Article 8(4) of Section 2 of Part B of this Annex. Each Party shall immediately notify each other when making use of this paragraph.
5.   No later than three years from the end of the year of entry into force of the detailed technical specifications of the smart tachograph 2, vehicles mentioned in point (a) of paragraph 1 which are equipped with an analogue tachograph or a digital tachograph shall be fitted with a smart tachograph 2 when operating on the territory of a Party other than the one where they are registered.
6.   No later than four years after the entry into force of the detailed technical specifications of the smart tachograph 2, vehicles mentioned in point (a) of paragraph 1 equipped with a smart tachograph 1, shall be equipped with a smart tachograph 2 when operating on the territory of a Party other than the one where they are registered.
7.   From 1 July 2026, vehicles mentioned in point (b) of paragraph 1 shall be equipped with a smart tachograph 2 when operating on the territory of a Party other than the one where they are registered.
8.   Nothing in this Section shall affect the application on the Union territory of the Union rules on recording equipment in road transport to Union road haulage operators.
Article 4
Data protection
1.   Each Party shall ensure that the processing of personal data in the context of this Section is carried out solely for the purpose of verifying compliance with this Section.
2.   Each Party shall, in particular, ensure that personal data are protected against uses other than the one strictly referred to in paragraph 1 in relation to:
(a)
the use of a global navigation satellite system (GNSS) for the recording of location data as referred to in the technical specification for smart tachograph 1 and smart tachograph 2;
(b)
the electronic exchange of information on driver cards as referred to in Article 13, and in particular any cross-border exchanges of such data with third Parties; and
(c)
the keeping of records by road haulage operators as referred to in Article 15.
3.   Digital tachographs shall be designed in such a way as to ensure privacy. Only data necessary for the purposes referred to in paragraph 1 shall be processed.
4.   Owners of vehicles, road haulage operators and any other entity concerned shall comply with the relevant provisions on the protection of personal data.
Article 5
Installation and repair
1.   Tachographs may be installed or repaired only by fitters, workshops or vehicle manufacturers approved by the competent authorities in a Party for that purpose in accordance with Article 7.
2.   Approved fitters, workshops or vehicle manufacturers shall seal the tachograph after having verified that it is functioning properly, and, in particular, in such a way as to ensure that no manipulation device can tamper with or alter the data recorded.
3.   The approved fitter, workshop or vehicle manufacturer shall place a special mark on the seals which it affixes and, in addition, for digital, smart 1 and smart 2 tachographs, shall enter the electronic security data for carrying out authentication checks. Each Party shall keep and publish a register of the marks and electronic security data used and the necessary information related to the electronic security data used.
4.   For the purpose of certifying that the installation of the tachograph took place in accordance with the requirements of this Section, an installation plaque shall be affixed in such a way as to be clearly visible and easily accessible.
5.   Tachograph components shall be sealed. Any connections to the tachograph which are potentially vulnerable to tampering, including the connection between the motion sensor and the gearbox, and the installation plaque where relevant, shall be sealed.
A seal shall be removed or broken only:
—
by fitters or workshops approved by the competent authorities under Article 7 for repair, maintenance or recalibration purposes of the tachograph, or by control officers properly trained and, where required authorised, for control purposes; or
—
for the purpose of vehicle repair or modification which affects the seal. In such cases, a written statement stating the date and time at which the seal was broken and giving the reasons for the seal removal shall be kept on board the vehicle.
The removed or broken seals shall be replaced by an approved fitter or a workshop without undue delay and at the latest within seven days of their removal or breaking. When the seals have been removed or broken for control purposes, they may be replaced by a control officer equipped with sealing equipment and a unique special mark without undue delay.
When a control officer removes a seal, the control card shall be inserted in the tachograph from the moment of the removal of the seal until the inspection is finished, including in the case of the placement of a new seal. The control officer shall issue a written statement containing at least the following information:
—
vehicle identification number;
—
name of the officer;
—
control authority and country;
—
number of the control card;
—
number of the removed seal;
—
date and time of seal removal; and
—
number of the new seal, where the control officer has placed a new seal.
Before replacing the seals, a check and calibration of the tachograph shall be performed by an approved workshop, except where a seal has been removed or broken for control purposes and replaced by a control officer.
Article 6
Inspections of tachographs
1.   Tachographs shall be subject to regular inspection by approved workshops. Regular inspections shall be carried out at least every two years.
2.   The inspections referred to in paragraph 1 shall check at least the following:
—
the tachograph is correctly fitted and appropriate for the vehicle;
—
the tachograph is working properly;
—
the tachograph carries the type-approval mark;
—
the installation plaque is affixed;
—
all seals are intact and effective;
—
there are no manipulation devices attached to the tachograph or traces of the use of such devices; and
—
the tyre size and the actual circumference of the tyres.
3.   Workshops shall draw up an inspection report in cases where irregularities in the functioning of the tachograph had to be remedied, whether as a result of a periodic inspection or of an inspection carried out at the specific request of the national competent authority. They shall keep a list of all inspection reports drawn up.
4.   Inspection reports shall be retained for a minimum period of two years from the time the report was made. Each Party shall decide whether inspection reports are to be retained or sent to the competent authority during that period. In cases where the inspection reports are kept by the workshop, upon request from the competent authority, the workshop shall make available the reports of inspections and calibrations carried out during that period.
Article 7
Approval of fitters, workshops and vehicle manufacturers
1.   Each Party or, in the case of the Union, each Member State shall approve, regularly control and certify the fitters, workshops and vehicle manufacturers which may carry out installations, checks, inspections and repairs of tachographs.
2.   Each Party or, in the case of the Union, each Member State shall ensure that fitters, workshops and vehicle manufacturers are competent and reliable. For that purpose, they shall establish and publish a set of clear national procedures and shall ensure that the following minimum criteria are met:
(a)
the staff are properly trained;
(b)
the equipment necessary to carry out the relevant tests and tasks is available; and
(c)
the fitters, workshops and vehicle manufacturers are of good repute.
3.   Audits of approved fitters or workshops shall be carried out as follows:
(a)
approved fitters or workshops shall be subject, at least every two years, to an audit of the procedures they apply when handling tachographs. The audit shall focus in particular on the security measures taken and the handling of workshop cards. Parties or, in the case of the Union, Member States may carry out these audits without conducting a site visit; and
(b)
unannounced technical audits of approved fitters or workshops shall also take place in order to check the calibrations, inspections and installations carried out. Those audits shall cover at least 10 % of the approved fitters and workshops annually.
4.   Each Party and their competent authorities shall take appropriate measures to prevent conflicts of interests between fitters or workshops and road haulage operators. In particular, where there is a serious risk of a conflict of interests, additional specific measures shall be taken to ensure that the fitter or workshop complies with this Section.
5.   The competent authorities of each Party shall withdraw approvals, either temporarily or permanently, from fitters, workshops and vehicle manufacturers which fail to meet their obligations under this Section.
Article 8
Workshop cards
1.   The period of validity of workshop cards shall not exceed one year. When renewing the workshop card, the competent authority shall ensure that the criteria listed in Article 7(2) are met by the fitter, workshop or vehicle manufacturer.
2.   The competent authority shall renew a workshop card within 15 working days after receipt of a valid renewal request and all the necessary documentation. If a workshop card is damaged, malfunctions, or is lost or stolen, the competent authority shall supply a replacement card within five working days of receiving a detailed request to that effect. Competent authorities shall maintain a register of lost, stolen or defective cards.
3.   If a Party or, in the case of the Union, a Member State withdraws the approval of a fitter, workshop or vehicle manufacturer as provided for in Article 7, it shall also withdraw the workshop cards issued thereto.
4.   Each Party shall take all necessary measures to prevent the workshop cards distributed to approved fitters, workshops and vehicle manufacturers from being falsified.
Article 9
Issuing of driver cards
1.   Driver cards shall be issued, at the request of the driver, by the competent authority in a Party where the driver has his normal residence. Where the competent authorities in a Party issuing the driver card have doubts as to the validity of a statement as to normal residence, or for the purpose of certain specific controls, they may request any additional information or evidence from the driver.
For the purposes of this Article, "normal residence" means the place where a person usually lives, that is for at least 185 days in each calendar year, because of personal and occupational ties, or, in the case of a person with no occupational ties, because of personal ties which show close links between that person and the place where he is living.
However, the normal residence of a person whose occupational ties are in a place different from their personal ties and who consequently lives in turn in different places situated in the two Parties shall be regarded as being the place of their personal ties, provided that such person returns there regularly. This last condition need not be complied with where the person is living in a Party in order to carry out a fixed-term assignment.
2.   In duly justified and exceptional cases, each Party or, in the case of the Union, a Member State may issue a temporary and non-renewable driver card valid for a maximum period of 185 days to a driver who does not have his normal residence in a Party, provided that such driver is in a labour law relationship with an undertaking established in the issuing Party and, in so far, presents a driver attestation when required.
3.   The competent authorities of the issuing Party shall take appropriate measures to ensure that an applicant does not already hold a valid driver card and shall personalise the driver card, ensuring that its data are visible and secure.
4.   The driver card shall not be valid for more than five years.
5.   A valid driver card shall not be withdrawn or suspended unless the competent authorities of a Party find that the card has been falsified, or the driver is using a card of which he is not the holder, or the card held has been obtained on the basis of false declarations and/or forged documents. If such suspension or withdrawal measures are taken by a Party or, in the case of the Union, a Member State other than the issuing Party or, in the case of the Union, other than the issuing Member State, the former shall return the card to the authorities of the Party or, in the case of the Union, the authorities of the Member State which issued it, as soon as possible, indicating the reasons for the withdrawal or suspension. If the return of the card is expected to take longer than two weeks, the suspending or withdrawing Party or, in the case of the Union, the suspending or withdrawing Member State shall inform the issuing Party or, in the case of the Union, the issuing Member State within those two weeks of the reasons for suspension or withdrawal.
6.   The competent authority of the issuing Party may require a driver to replace the driver card by a new one if this is necessary to comply with the relevant technical specifications.
7.   Each Party shall take all necessary measures to prevent driver cards from being falsified.
8.   This Article shall not prevent a Party or, in the case of the Union, a Member State from issuing a driver card to a driver who has his normal residence in a part of that Party's territory, to which this Annex does not apply, provided that the relevant provisions of this Section are applied in such cases.
Article 10
Renewal of driver cards
1.   Where, in the case of renewals, the Party of the driver's normal residence is different from that which issued his current card, and where the authorities of the former Party are requested to renew the driver card, they shall inform the authorities which issued the earlier card of the reasons for its renewal.
2.   In the event of a request for the renewal of a card which is imminently about to expire, the competent authority shall supply a new card before the expiry date, provided that the request was sent within the time-limits laid down in Article 5 of Section 4 of Part B.
Article 11
Stolen, lost or defective driver cards
1.   Issuing authorities shall keep records of issued, stolen, lost or defective driver cards for a period at least equivalent to their period of validity.
2.   If the driver card is damaged, malfunctions or is lost or stolen, the competent authorities in the Party of his normal residence shall supply a replacement card within eight working days after their receipt of a detailed request to that effect.
Article 12
Mutual acceptance of driver cards
1.   Each Party shall accept the driver cards issued by the other Party.
2.   Where the holder of a valid driver card issued by a Party has established his normal residence in the other Party and has asked for his card to be exchanged for an equivalent driver card, it shall be the responsibility of the Party or, in the case of the Union, the Member State which carries out the exchange to verify whether the card produced is still valid.
3.   Parties or, in the case of the Union, Member States carrying out an exchange shall return the old card to the authorities of the issuing Party or, in the case of the Union, the issuing Member State and indicate the reasons for so doing.
4.   Where a Party or, in the case of the Union, a Member State replaces or exchanges a driver card, the replacement or exchange, and any subsequent replacement or exchange, shall be registered in that Party or, in the case of the Union, in that Member State.
Article 13
Electronic exchange of information on driver cards
1.   In order to ensure that an applicant does not already hold a valid driver card, Parties or, in the case of the Union, Member States shall maintain national electronic registers containing the following information on driver cards for a period at least equivalent to the period of validity of those cards:
—
surname and first name of the driver;
—
birth date and, if available, place of birth of the driver;
—
valid driving licence number and country of issue of the driving licence (if applicable);
—
status of the driver card; and
—
driver card number.
2.   The electronic registers of the Parties or, in the case of the Union, the Member States shall be interconnected and accessible throughout the territory of the Parties, using the TACHOnet messaging system or a compatible system. In the case of the use of a compatible system, the exchange of electronic data with the other Party shall be possible through the TACHOnet messaging system.
3.   When issuing, replacing and, where necessary, renewing a driver card, Parties or, in the case of the Union, Member States shall verify through electronic data exchange that the driver does not already hold another valid driver card. The data exchanged shall be limited to the data necessary for the purpose of this verification.
4.   Control officers may have access to the electronic register in order to check the status of a driver card.
Article 14
Settings of tachographs
1.   Digital tachographs shall not be set in such a way that they automatically switch to a specific category of activity when the vehicle's engine or ignition is switched off, unless the driver remains able to choose manually the appropriate category of activity.
2.   Vehicles shall not be fitted with more than one tachograph, except for the purposes of field tests.
3.   Each Party shall forbid the production, distribution, advertising and/or selling of devices constructed and/or intended for the manipulation of tachographs.
Article 15
Responsibility of road haulage operators
1.   Road haulage operators shall be responsible for ensuring that their drivers are properly trained and instructed as regards the correct functioning of tachographs, whether digital, smart or analogue, shall make regular checks to ensure that their drivers make correct use thereof, and shall not give to their drivers any direct or indirect incentives that could encourage the misuse of tachographs.
Road haulage operators shall issue a sufficient number of record sheets to drivers of vehicles fitted with analogue tachographs, taking into account the fact that record sheets are personal in character, the length of the period of service and the possible need to replace record sheets which are damaged or have been taken by an authorised control officer. Road haulage operators shall issue to drivers only record sheets of an approved model suitable for use in the equipment installed in the vehicle.
The road haulage operator shall ensure that, taking into account the length of the period of service, the printing of data from the tachograph at the request of a control officer can be carried out correctly in the event of an inspection.
2.   Road haulage operators shall keep record sheets and printouts, whenever printouts have been made to comply with Article 9 of Section 4 of Part B of this Annex, in chronological order and in a legible form, for at least a year after their use, and shall give copies to the drivers concerned who request them. Road haulage operators shall also give copies of data downloaded from driver cards to the drivers concerned who request them, together with printed paper versions of those copies. Record sheets, printouts and downloaded data shall be produced or handed over at the request of any authorised control officer.
3.   Road haulage operators shall be liable for infringements of this Section and of Section 4 of Part B of this Annex committed by their drivers or by drivers at their disposal. However, each Party may make such liability conditional on the road haulage operator's infringement of the first subparagraph of paragraph 1 of this Article and Article 7(1) and (2) of Section 2 of Part B of this Annex.
Article 16
Procedures for road haulage operators in the event of malfunctioning equipment
1.   In the event of the breakdown or faulty operation of a tachograph, the road haulage operator shall have it repaired by an approved fitter or workshop, as soon as circumstances permit.
2.   If the vehicle is unable to return to the road haulage operator's premises within a period of one week calculated from the day of the breakdown or of the discovery of defective operation, the repair shall be carried out en route.
3.   Each Party or, in the case of the Union, the Member States shall give the competent authorities power to prohibit the use of the vehicle in cases where the breakdown or faulty operation has not been remedied as provided in paragraphs 1 and 2 in so far as this is in accordance with the national legislation in the Party concerned.
Article 17
Procedure for the issuing of tachograph cards
The European Commission shall provide to the competent authorities of the United Kingdom the cryptographic material for the issuing of tachograph cards for drivers, workshops and control authorities, in accordance with the European Root Certification Authority (ERCA) certificate policy and the certificate policy of the United Kingdom.
(
1
)
  Established by Regulation (EU) No 1024/2012 of the European Parliament and of the Council of 25 October 2012 on administrative cooperation through the Internal Market Information System and repealing Commission Decision 2008/49/EC ("the IMI Regulation") (
OJ EU L 316, 14.11.2012, p. 1
).
(
2
)
  Regulation (EU) No 1024/2012 of the European Parliament and of the Council of 25 October 2012 on administrative cooperation through the Internal Market Information System and repealing Commission Decision 2008/49/EC ("the IMI Regulation") (
OJ EU L 316, 14.11.2012, p. 1
).
(
3
)
  Regulation (EU) No 165/2014 of the European Parliament and of the Council of 4 February 2014 on tachographs in road transport, repealing Council Regulation (EEC) No 3821/85 on recording equipment in road transport and amending Regulation (EC) No 561/2006 of the European Parliament and of the Council on the harmonisation of certain social legislation relating to road transport (
OJ EU L 60, 28.2.2014, p. 1
).
(
4
)
  Commission Implementing Regulation (EU) 2016/799 of 18 March 2016 implementing Regulation (EU) No 165/2014 of the European Parliament and of the Council laying down the requirements for the construction, testing, installation, operation and repair of tachographs and their components (
OJ EU L 139, 26.5.2016, p. 1
).
(
5
)
  Regulation (EU) No 165/2014 of the European Parliament and of the Council of 4 February 2014 on tachographs in road transport, repealing Council Regulation (EEC) No 3821/85 on recording equipment in road transport and amending Regulation (EC) No 561/2006 of the European Parliament and of the Council on the harmonisation of certain social legislation relating to road transport (
OJ EU L 60, 28.2.2014, p. 1
).
(
6
)
  Council Regulation (EC) No 2135/98 of 24 September 1998 amending Regulation (EEC) No 3821/85 on recording equipment in road transport and Directive 88/599/EEC concerning the application of Regulations (EEC) No 3820/84 and (EEC) No 3821/85 (
OJ EC L 274, 9.10.1998, p. 1
).
(
7
)
  Commission Implementing Regulation (EU) 2016/68 of 21 January 2016 on common procedures and specifications necessary for the interconnection of electronic registers of driver cards (
OJ EU L 15, 22.1.2016, p. 51
).
ANNEX 32
MODEL OF AUTHORISATION FOR AN INTERNATIONAL REGULAR AND SPECIAL REGULAR SERVICE
(First page of authorisation)
(Orange paper – DIN A4)
(To be worded in the official language(s) or one of the official languages of the Party where the request is made)
Authorisation
In accordance with Title II of Heading Three of Part Two of the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part,
ISSUING STATE: …
Authorising authority: …
Issuing State distinguishing sign: … 
(
1
)
AUTHORISATION No.: … for a regular service ☐ (
2
) for a special regular service ☐ 
(
2
)
by coach and bus between the Parties to the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part,
To: …
…
Last name, first name or trade name of the operator or of the managing operator in the case of a group of undertakings or in the case of a partnership:
Address:
…
…
Telephone and fax or e-mail:
…
…
(Second page of authorisation)
Name, address, telephone and fax or e-mails of the operator, or, in the case of groups of operators or partnerships, the names of all operators of the group or of the partnership; in addition, names of any subcontractors, to be identified as such:
(1)
…
(2)
…
(3)
…
(4)
…
(5)
…
List attached, if appropriate
Validity of the authorisation: From: … To: …
Place and date of issue: …
Signature and stamp of the issuing authority or agency: …
1.
Route: …
…
(a)
Place of departure of service: …
…
(b)
Place of destination of service: …
…
Principal itinerary, with passenger pick-up and set-down points underlined: …
…
2.
Timetable: …
(attached to this authorisation)
3.
Special regular service:
(a)
Category of passengers: …
…
4.
Other conditions or special points …
…
…
Stamp of authority issuing the authorisation
Important notice:
(1)
This authorisation is valid for the entire journey.
(2)
The authorisation or a true copy certified by the issuing authorising authority shall be kept on the vehicle for the duration of the journey and shall be presented to enforcement officials on request.
(3)
The departure or destination shall take place in the territory of the Party where the operator is established and the coaches and buses registered.
(Third page of authorisation)
GENERAL CONSIDERATIONS
(1)
The road passenger transport operator shall begin the transport service within the period indicated in the decision of the authorising authority granting the authorisation.
(2)
Except in the event of 
force majeure
, the operator of an international regular or special regular service shall take all measures to guarantee a transport service that complies with the conditions as stipulated in the authorisation.
(3)
The operator shall make the information about the route, the stopping points, the timetable, the fares and the conditions of transport publicly available.
(4)
Without prejudice to documents pertaining to the vehicle and driver (such as the vehicle registration certificate and driving licence), the following documents shall serve as control documents required under Article 477 of the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part and shall be kept in the vehicle and presented at the request of any authorised inspecting officer:
—
the authorisation or a certified true copy thereof to carry out international regular or special regular services;
—
the operator's licence or a certified true copy thereof for the international carriage of passengers by road provided for according to the United Kingdom or Union legislation;
—
when operating an international special regular service, the contract between the organiser and the transport operator or a certified true copy thereof as well as a document evidencing that the passengers constitute a specific category to the exclusion of other passengers for the purposes of a special regular service;
—
when the operator of a regular or special regular service uses additional vehicles to deal with temporary and exceptional situations, in addition to the relevant documents mentioned above, a copy of the contract between the operator of the international regular or special regular service and the undertaking providing the additional vehicles or an equivalent document.
(Fourth page of authorisation)
GENERAL CONSIDERATIONS (cont.)
(5)
Operators operating an international regular service, with the exclusion of special regular service, shall issue transport tickets confirming the rights of the passenger to be transported and serving as a control document evidencing of the conclusion of the contract of carriage between the passenger and the transport operator, either individual or collective. The tickets that can also be electronic shall indicate:
(a)
the name of the operator;
(b)
the points of departure and destination and, if applicable, the return journey;
(c)
the period of validity of the ticket and, if applicable, the date and time of departure;
(d)
the price of transport.
The transport ticket shall be presented, by the passenger, at the request of any authorised inspection officer.
(6)
Operators operating international regular or special regular passenger transport services shall allow all inspections intended to ensure that operations are being conducted correctly, in particular as regards driving and rest periods and road safety and emissions.
(
1
)
  Austria (A), Belgium (B), Bulgaria (BG), Cyprus (CY), Croatia (HR), Czech Republic (CZ), Denmark (DK), Estonia (EST), Finland (FIN), France (F), Germany (D), Greece (GR), Hungary (H), Ireland (IRL), Italy (I), Latvia (LV), Lithuania (LT), Luxembourg (L), Malta (MT), Netherlands (NL), Poland (PL), Portugal (P), Romania (RO), Slovak Republic (SK), Slovenia (SLO), Spain (E), Sweden (S), United Kingdom (UK), to be completed/
(
2
)
  Tick or complete as appropriate.
ANNEX 33
MODEL OF APPLICATION FOR AN AUTHORISATION FOR AN INTERNATIONAL REGULAR AND SPECIAL REGULAR SERVICE
(White paper – DIN A4)
(To be worded in the official language(s) or one of the official languages of the Party where the request is made)
APPLICATION FORM FOR AN AUTHORISATION OR RENEWAL OF AN AUTHORISATION TO CARRY OUT AN INTERNATIONAL REGULAR SERVICE OR AN INTERNATIONAL SPECIAL REGULAR SERVICE 
(
1
)
To start a regular service ☐
To start a special regular service ☐
To renew authorisation for a service ☐
To alter the conditions of authorisation for a service ☐
carried out by coach and bus between Parties in accordance with the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part,
…
(Authorising authority)
1.
Name and first name or trade name of the applicant operator; in the case of an application by a group of operators or by a partnership, the name of the operator entrusted by the other operators for the purposes of submitting the application:
…
…
2.
Services to be carried out(
1
)
By an operator ☐ by a group of operators ☐ by a partnership ☐ by a subcontractor ☐
3.
Names and addresses of the operator or, in the case of a group of operators or of a partnership, the names of all operators of the group or of the partnership; in addition, any subcontractors shall be identified by their names 
(
2
)
3.1
…. tel. …
3.2
…. tel. …
3.3
…. tel. …
3.4
…. tel. …
(Second page of the application for authorisation or renewal of authorisation)
4
In the case of a special regular service:
4.1
Category of passengers: 
(
3
)
 workers ☐ school pupils/students ☐ other ☐
5
Duration of authorisation requested or date on which the service ends:
…
6
Principal route of service (underline passenger pick-up and set-down points, with full addresses): 
(
4
)
…
…
…
7
Period of operation:
…
…
…
8
Frequency (daily, weekly, etc.):
…
9
Fares … Annex attached.
10
Enclose a driving schedule to permit verification of compliance with the international rules on driving times and rest time periods.
11
Number of authorisations or of certified true copies of authorisations requested: 
(
5
)
…
12
Any additional information:
…
(Place and date) (Signature of applicant)
…
The attention of the applicant is drawn to the fact that, since the authorisation or its certified true copy has to be kept on board the vehicle, the number of authorisations or certified true copies, issued by the authorising authority, which the applicant must have should correspond to the number of vehicles needed for carrying out the service requested at the same time.
Important notice
In particular the following must be attached to the application:
(a)
the timetable including the time slots for controls at relevant border crossings;
(b)
a certified true copy of the operator's (or operators') licence(s) for the international carriage of passengers by road provided for according to national or Union legislation;
(c)
a map on an appropriate scale on which are marked the route and the stopping points at which passengers are to be taken up or set down;
(d)
a driving schedule to permit verification of compliance with the international rules on driving times and rest periods;
(e)
any appropriate information concerning coach and bus terminals.
(
1
)
  Tick or complete as appropriate.
(
2
)
  Attach list if applicable.
(
3
)
  Tick or complete as appropriate.
(
4
)
  The authorising authority may request a full list of passenger pick-up and set-down points with full addresses to be attached separately to this application form.
(
5
)
  Complete as appropriate/
ANNEX 34
MODEL OF JOURNEY FORM FOR OCCASIONAL SERVICES
JOURNEY FORM No … of Book No …
(colour Pantone 358 (light green), or as close as possible to this colour, format DIN A4 uncoated paper)
OCCASIONAL SERVICES WITH CABOTAGE AND OCCASIONAL SERVICES WITH TRANSIT
(Each item, if necessary, can be supplemented on a separate sheet)
1
Registration number of the coach
…
Place, date and signature of the carrier
2
1.
…
2.
…
3.
…
Carrier and, where appropriate, subcontractor or group of carriers
3
1.
…
2.
…
3.
…
Name of driver(s)
4
Organisation of person responsible for the occasional service
1. … 2. …
3. … 4. ….
5
Type of service
☐
Occasional service with cabotage
☐
Occasional service with transit
6
Place of departure of service: … Country: …
Place of destination of service: … Country: …
7
Journey
Route/Daily stages and/or passenger pick-up or set-down points
Number of passengers
Empty (mark with an X
)
Planned km
Dates
From
To
8
Connection points, if any, with another carrier in the same group
Number of passengers set down
Final destination of the passengers set down
Carrier picking up the passengers
9
Unforeseen changes
…
…
ANNEX 35
#
Code
Common Name
ICES Areas
Shares
2021
2022
2023
2024
2025
2026 onwards
EU
UK
EU
UK
EU
UK
EU
UK
EU
UK
EU
UK
1
ALF/3X14-
Alfonsinos (3,4,5,6,7,8,9, 10,12,14)
UK, Union and international waters of 3, 4, 5, 6, 7, 8, 9, 10, 12 and 14
96.95
3.05
96.95
3.05
96.95
3.05
96.95
3.05
96.95
3.05
96.95
3.05
2
ANF/07.
Anglerfish (7)
7
78.78
21.22
78.24
21.76
77.70
22.30
77.05
22.95
76.62
23.38
76.62
23.38
3
ANF/2AC4-C
Anglerfish (North Sea)
UK and Union waters 4; UK waters of 2a
13.74
86.26
12.92
87.08
12.11
87.89
11.13
88.87
10.48
89.52
10.48
89.52
4
ANF/56-14
Anglerfish (West of Scotland)
6; UK and international waters of 5b; international waters of 12 and 14
60.99
39.01
59.62
40.38
58.25
41.75
56.60
43.40
55.50
44.50
55.50
44.50
5
ARU/1/2.
Greater Silver Smelt (1,2)
UK and international waters of 1 and 2
56.90
43.10
56.90
43.10
56.90
43.10
56.90
43.10
56.90
43.10
56.90
43.10
6
ARU/3A4-C
Greater Silver Smelt (North Sea)
UK and Union waters of 4; Union waters of 3a
98.40
1.60
98.40
1.60
98.40
1.60
98.40
1.60
98.40
1.60
98.40
1.60
7
ARU/567.
Greater Silver Smelt (Western)
6 and 7; UK and international waters of 5
94.41
5.59
94.41
5.59
94.41
5.59
94.41
5.59
94.41
5.59
94.41
5.59
8
BLI/12INT-
Blue Ling (International 12)
International waters of 12
99.14
0.86
99.14
0.86
99.14
0.86
99.14
0.86
99.14
0.86
99.14
0.86
9
BLI/24-
Blue Ling (North Sea)
UK and international waters of 2; UK and Union waters of 4
73.19
26.81
73.19
26.81
73.19
26.81
73.19
26.81
73.19
26.81
73.19
26.81
10
BLI/5B67-
Blue Ling (Western)
6 and 7; UK and international waters of 5
77.31
22.69
76.73
23.27
76.16
23.84
75.46
24.54
75.00
25.00
75.00
25.00
11
BOR/678-
Boarfish (Western)
6, 7 and 8
93.65
6.36
93.65
6.36
93.65
6.36
93.65
6.36
93.65
6.36
93.65
6.36
12
BSF/56712-
Black Scabbardfish (Western)
6 and 7; UK and international waters of 5; international waters of 12
94.31
5.69
94.31
5.69
94.31
5.69
94.31
5.69
94.31
5.69
94.31
5.69
13
COD/07A.
Cod (Irish Sea)
7a
56.05
43.95
55.84
44.16
55.63
44.37
55.37
44.63
55.20
44.80
55.20
44.80
14
COD/07D.
Cod (Eastern Channel)
7d
90.75
9.25
90.75
9.25
90.75
9.25
90.75
9.25
90.75
9.25
90.75
9.25
15
COD/5BE6A
Cod (West of Scotland)
6a; UK and international waters of 5b east of 12°00' W
30.23
69.77
27.37
72.63
24.51
75.49
21.08
78.92
18.79
81.21
18.79
81.21
16
COD/5W6-14
Cod (Rockall)
6b; UK and international waters of 5b west of 12°00' W and of 12 and 14
33.95
66.05
31.71
68.29
29.47
70.53
26.78
73.22
24.99
75.01
24.99
75.01
17
COD/7XAD34
Cod (Celtic Sea)
7b, 7c, 7e-k, 8, 9 and 10; Union waters of CECAF 34.1.1
90.70
9.30
90.47
9.53
90.23
9.77
89.95
10.05
89.76
10.24
89.76
10.24
18
DGS/15X14
Spurdog (Western)
6, 7 and 8; UK and international waters of 5; international waters of 1, 12 and 14
57.53
42.47
56.61
43.39
55.69
44.31
54.58
45.42
53.84
46.16
53.84
46.16
19
DWS/56789-
Deep-sea Sharks (Western)
6, 7, 8 and 9; UK and international waters of 5
100.00
0.00
100.00
0.00
100.00
0.00
100.00
0.00
100.00
0.00
100.00
0.00
20
HAD/07A.
Haddock (Irish Sea)
7a
47.24
52.76
46.42
53.58
45.61
54.39
44.63
55.37
43.98
56.02
43.98
56.02
21
HAD/5BC6A.
Haddock (West of Scotland)
6a; UK and international waters of 5b
19.39
80.61
19.39
80.61
19.39
80.61
19.39
80.61
19.39
80.61
19.39
80.61
22
HAD/6B1214
Haddock (Rockall)
UK, Union and international waters of 6b; international waters 12 and 14
16.76
83.24
16.32
83.68
15.88
84.12
15.35
84.65
15.00
85.00
15.00
85.00
23
HAD/7X7A34
Haddock (Celtic Sea)
7b-k, 8, 9 and 10; Union waters of CECAF 34.1.1
84.00
16.00
83.00
17.00
82.00
18.00
80.80
19.20
80.00
20.00
80.00
20.00
24
HER/07A/MM
Herring (Irish Sea)
7a north of 52°30’N
11.01
88.99
8.50
91.50
6.00
94.00
2.99
97.01
0.99
99.01
0.99
99.01
25
HER/5B6ANB
Herring (West of Scotland)
6b and 6aN; UK and international waters 5b
35.95
64.05
35.34
64.66
34.74
65.26
34.01
65.99
33.53
66.47
33.53
66.47
26
HER/7EF.
Herring (Western Channel and Bristol Channel)
7e and 7f
50.00
50.00
50.00
50.00
50.00
50.00
50.00
50.00
50.00
50.00
50.00
50.00
27
HER/7G-K.
Herring (Celtic Sea)
7a south of 52°30’N, 7g, 7h, 7j and 7k
99.88
0.12
99.88
0.12
99.88
0.12
99.88
0.12
99.88
0.12
99.88
0.12
28
HKE/2AC4-C
Hake (North Sea)
UK and Union waters 4; UK waters of 2a
60.67
39.33
57.11
42.89
53.56
46.44
49.29
50.71
46.45
53.55
46.45
53.55
29
HKE/571214
Hake (Western)
6 and 7; UK and international waters of 5b; international waters of 12 and 14
80.33
19.67
80.05
19.95
79.77
20.23
79.43
20.57
79.20
20.80
79.20
20.80
30
JAX/2A-14
Horse Mackerel (Western)
UK and Union waters of 4a; 6, 7a-c, e-k; 8a-b, d-e; UK and international waters of 2a and 5b; international waters of 12 and 14
90.61
9.39
90.61
9.39
90.61
9.39
90.61
9.39
90.61
9.39
90.61
9.39
31
JAX/4BC7D
Horse Mackerel (Southern North Sea and Eastern Channel)
UK and Union waters of 4b, 4c and 7d
71.46
28.54
68.60
31.40
65.73
34.27
62.29
37.71
60.00
40.00
60.00
40.00
32
L/W/2AC4-C
Lemon Sole and Witch (North Sea)*
UK and Union waters of 4; UK waters of 2a
35.97
64.03
35.48
64.52
34.98
65.02
34.39
65.61
34.00
66.00
34.00
66.00
33
LEZ/07.
Megrims (7)
7
81.37
18.63
80.65
19.35
79.93
20.07
79.07
20.93
78.50
21.50
78.50
21.50
34
LEZ/2AC4-C
Megrims (North Sea)
UK and Union waters 4; UK waters of 2a
3.74
96.26
3.74
96.26
3.74
96.26
3.74
96.26
3.74
96.26
3.74
96.26
35
LEZ/56-14
Megrims (West of Scotland)
6; UK and international waters of 5b; international waters of 12 and 14
60.84
39.16
59.55
40.45
58.25
41.75
56.69
43.31
55.65
44.35
55.65
44.35
36
LIN/03A-C.
Ling (3a)
Union waters of 3a
92.65
7.35
92.65
7.35
92.65
7.35
92.65
7.35
92.65
7.35
92.65
7.35
37
LIN/04-C.
Ling (North Sea)
UK and Union waters of 4
21.22
78.78
20.92
79.08
20.61
79.39
20.24
79.76
20.00
80.00
20.00
80.00
38
LIN/6X14.
Ling (Western)
6, 7, 8, 9 and 10; international waters of 12 and 14
63.67
36.33
63.25
36.75
62.83
37.17
62.33
37.67
62.00
38.00
62.00
38.00
39
NEP/*07U16
Nephrops (Porcupine Bank)
Functional Unit 16 of ICES Subarea 7
85.32
14.68
85.32
14.68
85.32
14.68
85.32
14.68
85.32
14.68
85.32
14.68
40
NEP/07.
Nephrops (7)
7
61.68
38.32
60.76
39.24
59.84
40.16
58.74
41.26
58.00
42.00
58.00
42.00
41
NEP/2AC4-C
Nephrops (North Sea)
UK and Union waters 4; UK waters of 2a
13.38
86.62
13.38
86.62
13.38
86.62
13.38
86.62
13.38
86.62
13.38
86.62
42
NOP/2A3A4.
Norway Pout (North Sea)
3a; UK and Union waters and 4; UK waters of 2a
85.00
15.00
82.50
17.50
80.00
20.00
77.00
23.00
75.00
25.00
75.00
25.00
43
PLE/07A.
Plaice (Irish Sea)
7a
48.89
51.11
48.89
51.11
48.89
51.11
48.89
51.11
48.89
51.11
48.89
51.11
44
PLE/56-14
Plaice (West of Scotland)
6; UK and international waters of 5b; international waters of 12 and 14
39.23
60.77
39.23
60.77
39.23
60.77
39.23
60.77
39.23
60.77
39.23
60.77
45
PLE/7DE.
Plaice (English Channel)*
7d and 7e
70.36
29.64
70.27
29.73
70.18
29.82
70.07
29.93
70.00
30.00
70.00
30.00
46
PLE/7FG.
Plaice (7fg)
7f and 7g
74.86
25.14
74.58
25.42
74.30
25.70
73.96
26.04
73.74
26.26
73.74
26.26
47
PLE/7HJK.
Plaice (7hjk)
7h, 7j and 7k
84.25
15.75
83.71
16.29
83.17
16.83
82.52
17.48
82.09
17.91
82.09
17.91
48
POK/56-14
Saithe (West of Scotland)
6; UK and international waters of 5b, 12 and 14
62.32
37.68
58.99
41.01
55.66
44.34
51.66
48.34
49.00
51.00
49.00
51.00
49
POK/7/3411
Saithe (Celtic Sea)
7, 8, 9 and 10; Union waters of CECAF 34.1.1
84.86
15.14
84.90
15.10
84.93
15.07
84.97
15.03
85.00
15.00
85.00
15.00
50
POL/07.
Pollack (7)
7
78.03
21.97
77.27
22.73
76.51
23.49
75.61
24.39
75.00
25.00
75.00
25.00
51
POL/56-14
Pollack (West of Scotland)
6; UK and international waters of 5b; international waters of 12 and 14
63.38
36.62
63.38
36.62
63.38
36.62
63.38
36.62
63.38
36.62
63.38
36.62
52
PRA/2AC4-C
Northern Prawn (North Sea)
UK and Union waters 4; UK waters of 2a
77.99
22.01
77.99
22.01
77.99
22.01
77.99
22.01
77.99
22.01
77.99
22.01
53
RJE/7FG.
Small-eyed Ray (7fg)
7f and 7g
56.36
43.64
53.39
46.61
50.42
49.58
46.86
53.14
44.49
55.51
44.49
55.51
54
RJU/7DE.
Undulate Ray (English Channel)
7d and 7e
69.12
30.88
68.09
31.91
67.06
32.94
65.82
34.18
65.00
35.00
65.00
35.00
55
RNG/5B67-
Roundnose Grenadier (Western)
6 and 7; UK and international waters of 5b
95.16
4.84
95.16
4.84
95.16
4.84
95.16
4.84
95.16
4.84
95.16
4.84
56
RNG/8X14-
Roundnose Grenadier (8,9,10,12,14)
8, 9 and 10; international waters of 12 and 14
99.71
0.29
99.71
0.29
99.71
0.29
99.71
0.29
99.71
0.29
99.71
0.29
57
SAN/2A3A4.
Sandeels (North Sea, All Banks)
UK and Union waters of 4; UK waters of 2a; Union waters of 3a
97.26
2.74
97.14
2.86
97.03
2.97
96.89
3.11
96.80
3.20
96.80
3.20
58
SBR/678-
Red Seabream (Western)
6, 7 and 8
90.00
10.00
90.00
10.00
90.00
10.00
90.00
10.00
90.00
10.00
90.00
10.00
59
SOL/07A.
Sole (Irish Sea)
7a
77.15
22.86
77.03
22.97
76.92
23.08
76.79
23.21
76.70
23.30
76.70
23.30
60
SOL/07D.
Sole (Eastern Channel)
7d
80.31
19.69
80.23
19.77
80.15
19.85
80.06
19.94
80.00
20.00
80.00
20.00
61
SOL/07E.
Sole (Western Channel)
7e
38.97
61.03
38.60
61.40
38.24
61.76
37.79
62.21
37.50
62.50
37.50
62.50
62
SOL/24-C.
Sole (North Sea)
UK and Union waters 4; UK waters of 2a
88.09
11.91
86.81
13.19
85.54
14.46
84.02
15.98
83.00
17.00
83.00
17.00
63
SOL/56-14
Sole (West of Scotland)
6; UK and international waters of 5b; international waters of 12 and 14
80.00
20.00
80.00
20.00
80.00
20.00
80.00
20.00
80.00
20.00
80.00
20.00
64
SOL/7FG.
Sole (7fg)
7f and 7g
69.35
30.65
68.93
31.07
68.51
31.49
68.01
31.99
67.67
32.33
67.67
32.33
65
SOL/7HJK.
Sole (7hjk)
7h, 7j and 7k
83.33
16.67
83.33
16.67
83.33
16.67
83.33
16.67
83.33
16.67
83.33
16.67
66
SPR/2AC4-C
Sprat (North Sea)
UK and Union waters 4; UK waters of 2a
96.18
3.82
96.18
3.82
96.18
3.82
96.18
3.82
96.18
3.82
96.18
3.82
67
SPR/7DE.
Sprat (English Channel)
7d and 7e
28.60
71.40
25.45
74.55
22.30
77.70
18.52
81.48
16.00
84.00
16.00
84.00
68
SRX/07D.
Skates and Rays (Eastern Channel)
7d
84.51
15.49
84.44
15.56
84.36
15.64
84.27
15.73
84.21
15.79
84.21
15.79
69
SRX/2AC4-C
Skates and Rays (North Sea)
UK and Union waters 4; UK waters of 2a
32.73
67.27
32.29
67.71
31.86
68.14
31.35
68.65
31.00
69.00
31.00
69.00
70
SRX/67AKXD
Skates and Rays (Western)
UK and Union waters of 6a, 6b, 7a-c and 7e-k
71.06
28.94
70.54
29.46
70.02
29.98
69.40
30.60
68.99
31.01
68.99
31.01
71
T/B/2AC4-C
Turbot and Brill (North Sea)*
UK and Union waters of 4; UK waters of 2a
81.82
18.18
81.37
18.63
80.91
19.09
80.36
19.64
80.00
20.00
80.00
20.00
72
USK/04-C.
Tusk (North Sea)
UK and Union waters of 4
59.46
40.54
59.46
40.54
59.46
40.54
59.46
40.54
59.46
40.54
59.46
40.54
73
USK/567EI.
Tusk (Western)
6 and 7; UK and international waters of 5
70.73
29.27
70.55
29.45
70.37
29.63
70.15
29.85
70.00
30.00
70.00
30.00
74
WHG/07A.
Whiting (Irish Sea)
7a
42.27
57.73
41.45
58.55
40.63
59.37
39.65
60.35
39.00
61.00
39.00
61.00
75
WHG/56-14
Whiting (West of Scotland)
6; UK and international waters of 5b; international waters of 12 and 14
37.53
62.47
36.67
63.33
35.81
64.19
34.78
65.22
34.09
65.91
34.09
65.91
76
WHG/7X7A-C
Whiting (Celtic Sea)*
7b, 7c, 7d, 7e, 7f, 7g, 7h, 7j and 7k
88.95
11.05
88.89
11.11
88.84
11.16
88.77
11.23
88.73
11.27
88.73
11.27
ANNEX 36
A.   UK-EU-NO trilateral stocks
#
Code
Common Name
ICES Areas
Shares
2021
2022
2023
2024
2025
2026 onwards
EU
UK
EU
UK
EU
UK
EU
UK
EU
UK
EU
UK
77
COD/2A3AX4
Cod (North Sea)
4; UK waters of 2a; that part of 3a not covered by the Skagerrak and Kattegat
47.03
52.97
46.02
53.98
45.02
54.99
43.81
56.19
43.00
57.00
43.00
57.00
78
HAD/2AC4.
Haddock (North Sea)
4; UK waters of 2a
18.45
81.55
17.80
82.20
17.14
82.86
16.35
83.65
15.83
84.17
15.83
84.17
79
HER/2A47DX
Herring (North Sea bycatch)
4 and 7d; UK waters of 2a
98.18
1.82
98.18
1.82
98.18
1.82
98.18
1.82
98.18
1.82
98.18
1.82
80
HER/4AB.
Herring (North Sea)
UK, Union and Norwegian waters of 4 north of 53° 30' N
71.33
28.67
70.42
29.58
69.50
30.50
68.41
31.59
67.68
32.32
67.68
32.32
81
HER/4CXB7D
Herring (Southern North Sea and Eastern Channel)
4c, 7d excluding Blackwater
88.76
11.24
88.48
11.52
88.21
11.79
87.87
12.13
87.65
12.35
87.65
12.35
82
PLE/2A3AX4
Plaice (North Sea)
4; UK waters of 2a; that part of 3a not covered by the Skagerrak and the Kattegat
71.54
28.46
71.54
28.46
71.54
28.46
71.54
28.46
71.54
28.46
71.54
28.46
83
POK/2C3A4
Saithe (North Sea)
3a and 4; UK waters of 2a
77.71
22.29
76.78
23.22
75.85
24.15
74.74
25.26
74.00
26.00
74.00
26.00
84
WHG/2AC4.
Whiting (North Sea)
4; UK waters of 2a
34.78
65.22
32.71
67.29
30.63
69.37
28.13
71.87
26.47
73.53
26.47
73.53
B.   Coastal States Stocks
#
Code
Common Name
ICES Areas
Shares
2021
2022
2023
2024
2025
2026 onwards
EU
UK
EU
UK
EU
UK
EU
UK
EU
UK
EU
UK
85
MAC/2A34.
Mackerel (North Sea)
3a and 4; UK waters of 2a; Union waters of 3b, 3c and Subdivisions 22-32
93.91
6.09
93.78
6.22
93.65
6.35
93.50
6.50
93.40
6.60
93.40
6.60
86
MAC/2CX14-
Mackerel (Western)
6, 7, 8a, 8b, 8d and 8e; UK and international waters of 5b; international waters of 2a, 12 and 14
35.15
64.85
34.06
65.94
32.98
67.02
31.67
68.33
30.80
69.20
30.80
69.20
87
WHB/1X14
Blue Whiting (Northern)
UK, Union and international waters of 1, 2, 3, 4, 5, 6, 7, 8a, 8b, 8d, 8e, 12 and 14
79.47
20.53
79.35
20.65
79.24
20.76
79.09
20.91
79.00
21.00
79.00
21.00
C.   ICCAT Stocks
#
Code
Common Name
Area
Shares
EU
UK
88
ALB/AN05N
Albacore (North Atlantic)
Atlantic Ocean, north of 5° N
98.48
1.52
89
BFT/AE45WM
Bluefin Tuna (Northeast Atlantic)
Atlantic Ocean, east of 45° W, and Mediterranean
99.75
0.25
90
BSH/AN05N
Blue Shark (North Atlantic)
Atlantic Ocean, north of 5° N
99.90
0.10
91
SWO/AN05N
Swordfish (North Atlantic)
Atlantic Ocean, North of 5° N
99.99
0.01
D.   NAFO Stocks
#
Code
Common Name
Area
Shares
EU
UK
92
COD/N3M.
Cod (NAFO 3M)
NAFO 3M
83.66
16.34
E.   Special Cases
#
Code
Common Name
ICES Areas
Shares
EU
UK
93
COD/1/2B.
Cod (Svalbard)
1 and 2b
75.00
25.00
F.   Stocks that are only present in one Party's waters
#
Code
Common Name
ICES Areas
Shares
EU
UK
94
GHL/2A C46
Greenland Halibut (North Sea and West of Scotland)
6; UK and Union waters of 4; UK waters of 2a; UK and international waters of 5b
27.35
72.65
95
HER/06ACL.
Herring (Clyde)
6 Clyde
0.00
100.00
96
HER/1/2-
Herring (ASH)
UK, Faroese, Norwegian and international waters of 1 and 2
70.00
30.00
97
LIN/05EI.
Ling (5)
UK and international waters of 5
81.48
18.52
98
LIN/1/2.
Ling (1,2)
UK and international waters of 1 and 2
77.78
22.22
99
NEP/5BC6.
Nephrops (West of Scotland)
6; UK and international waters of 5b
2.36
97.64
100
RED/51214D
Redfish [Deep Pelagic] (5,12,14)
UK and international waters of 5; international waters of 12 and 14
98.00
2.00
101
RED/51214S
Redfish [Shallow Pelagic] (5,12,14)
UK and international waters of 5; international waters of 12 and 14
98.00
2.00
102
SBR/10-
Red Seabream (Azores)
Union and international waters of 10
99.12
0.88
103
SRX/89-C.
Skates and Rays (8,9)
UK and Union waters of 8; Union waters of 9
99.78
0.22
104
USK/1214EI
Tusk (1,2,14)
UK and international waters of 1, 2 and 14
71.43
28.57
ANNEX 37
#
Stock Code
Common Name
ICES Areas
105
ANF/8ABDE.
Anglerfish (8)
8a, 8b, 8d and 8e
106
BLI/03A-
Blue Ling (3a)
Union waters of 3a
107
BSF/8910-
Black Scabbardfish (8,9,10)
8, 9 and 10
108
COD/03AN.
Cod (Skagerrak)
Skagerrak
109
HAD/03A.
Haddock (3a)
3a
110
HER/03A.
Herring (3a)
3a
111
HER/03A-BC
Herring (3a bycatch)
3a
112
HER/6AS7BC
Herring (West of Ireland)
6aS, 7b and 7c
113
HKE/03A.
Hake (3a)
3a
114
HKE/8ABDE.
Hake (8)
8a, 8b, 8d and 8e
115
JAX/08C.
Horse Mackerel (8c)
8c
116
LEZ/8ABDE.
Megrims (8)
8a, 8b, 8d and 8e
117
MAC/2A4A-N
Mackerel (Denmark allocation in Norwegian waters)
Norwegian waters of 2a and 4a
118
MAC/8C3411
Mackerel (Southern Component)
8c, 9 and 10; Union waters of CECAF 34.1.1
119
PLE/03AN.
Plaice (Skagerrak)
Skagerrak
120
SPR/03A.
Sprat (3a)
3a
121
SRX/03A-C.
Skates and Rays (3a)
Union waters of 3a
122
USK/03A.
Tusk (3a)
3a
123
WHB/8C3411
Blue Whiting (Southern Component)
8c, 9 and 10; Union waters of CECAF 34.1.1
ANNEX 38
PROTOCOL ON ACCESS TO WATERS
The United Kingdom and the Union
AFFIRMING the sovereign rights and obligations of independent coastal States exercised by the Parties;
EMPHASISING that the right of each Party to grant vessels of the other Party access to fish in its waters is ordinarily to be exercised in annual consultations following the determination of TACs for a given year in annual consultations;
NOTING the social and economic benefits of a further period of stability, during which fishers would be permitted until 30 June 2026 to continue to access the waters of the other Party as before the entry into force of this Agreement;
HAVE AGREED as follows:
Article 1
An adjustment period is hereby established. The adjustment period shall last from 1 January 2021 until 30 June 2026.
Article 2
1.   By way of derogation from Article 500(1), (3), (4), (5), (6) and (7) of this Agreement, during the adjustment period each Party shall grant to vessels of the other Party full access to its waters to fish:
(a)
stocks listed in Annex 35 and in tables A, B and F of Annex 36 at a level that is reasonably commensurate with the Parties’ respective shares of the fishing opportunities;
(b)
non quota stocks at a level that equates to the average tonnage fished by that Party in the waters of the other Party during the period 2012-2016;
(c)
for qualifying vessels to the zone in the waters of the Parties between six and twelve nautical miles from the baselines in ICES divisions 4c and 7d-g to the extent that each Party's qualifying vessels had access to that zone on 31 December 2020.
For the purposes point (c), "qualifying vessel" means a vessel of a Party, which fished in the zone mentioned in the previous sentence in at least four years between 2012 and 2016, or its direct replacement.
2.   The Parties shall notify the other Party of any change in the level and conditions of access to waters that will apply from 1 July 2026.
3.   Article 501 of this Agreement shall apply 
mutatis mutandis
 in relation to any change under paragraph 2 of this Article in respect of the period from 1 July 2026 to 31 December 2026.
ANNEX 39
EXCHANGES OF DNA, FINGERPRINTS AND VEHICLE REGISTRATION DATA
CHAPTER 0
GENERAL PROVISIONS
Article 1
Aim
The aim of this Annex is to lay down the necessary data protection, administrative and technical provisions for the implementation of Title II of Part Three of this Agreement.
Article 2
Technical specifications
States shall observe common technical specifications in connection with all requests and answers related to searches and comparisons of DNA profiles, dactyloscopic data and vehicle registration data. These technical specifications are laid down in Chapters 1 to 3.
Article 3
Communications network
The electronic exchange of DNA data, dactyloscopic data and vehicle registration data between States shall take place using the Trans European Services for Telematics between Administrations (TESTA II) communications network and further developments thereof.
Article 4
Availability of automated data exchange
States shall take all necessary measures to ensure that automated searching or comparison of DNA data, dactyloscopic data and vehicle registration data is possible 24 hours a day and seven days a week. In the event of a technical fault, the States' national contact points shall immediately inform each other and shall agree on temporary alternative information exchange arrangements in accordance with the legal provisions applicable. Automated data exchange shall be re-established as quickly as possible.
Article 5
Reference numbers for DNA data and dactyloscopic data
The reference numbers referred to in Articles 529 and 533 of this Agreement shall consist of a combination of the following:
(a)
a code allowing the States, in the case of a match, to retrieve personal data and other information in their databases in order to supply it to one, several or all of the States in accordance with Article 536 of this Agreement;
(b)
a code to indicate the national origin of the DNA profile or dactyloscopic data; and
(c)
with respect to DNA data, a code to indicate the type of DNA profile.
Article 6
Principles of DNA data exchange
1.   States shall use existing standards for DNA data exchange, such as the European Standard Set (ESS) or the Interpol Standard Set of Loci (ISSOL).
2.   The transmission procedure, in the case of automated searching and comparison of DNA profiles, shall take place within a decentralised structure.
3.   Appropriate measures shall be taken to ensure confidentiality and integrity of data being sent to other States, including their encryption.
4.   States shall take the necessary measures to guarantee the integrity of the DNA profiles made available or sent for comparison to the other States and to ensure that those measures comply with international standards such as ISO 17025.
5.   States shall use State codes in accordance with the ISO 3166-1 alpha-2 standard.
Article 7
Rules for requests and answers in connection with DNA data
1.   A request for an automated search or comparison, as referred to in Article 530 or 531 of this Agreement, shall include only the following information:
(a)
the State code of the requesting State;
(b)
the date, time and indication number of the request;
(c)
DNA profiles and their reference numbers;
(d)
the types of DNA profiles transmitted (unidentified DNA profiles or reference DNA profiles); and
(e)
information required for controlling the database systems and quality control for the automatic search processes.
2.   The answer (matching report) to the request referred to in paragraph 1 shall contain only the following information:
(a)
an indication as to whether there were one or more matches (HITs) or no matches (No-HITs);
(b)
the date, time and indication number of the request;
(c)
the date, time and indication number of the answer;
(d)
the State codes of the requesting and requested States;
(e)
the reference numbers of the requesting and requested States;
(f)
the type of DNA profiles transmitted (unidentified DNA profiles or reference DNA profiles);
(g)
the requested and matching DNA profiles; and
(h)
information required for controlling the database systems and quality control for the automatic search processes.
3.   Automated notification of a match shall only be provided if the automated search or comparison has resulted in a match of a minimum number of loci. That minimum is set out in Chapter 1.
4.   The States shall ensure that requests comply with declarations issued pursuant to Article 529(3) of this Agreement.
Article 8
Transmission procedure for automated searching of unidentified DNA profiles in accordance with Article 530
1.   If, in a search with an unidentified DNA profile, no match has been found in the national database or a match has been found with an unidentified DNA profile, the unidentified DNA profile may then be transmitted to all other States' databases and if, in a search with this unidentified DNA profile, matches are found with reference DNA profiles and/or unidentified DNA profiles in other States' databases, these matches shall be automatically communicated and the DNA reference data transmitted to the requesting State; if no matches can be found in other States' databases, it shall be automatically communicated to the requesting State.
2.   If, in a search with an unidentified DNA profile, a match is found in other States' databases, each State concerned may insert a note to that effect in its national database.
Article 9
Transmission procedure for automated search of reference DNA profiles in accordance with Article 530
If, in a search with a reference DNA profile, no match has been found in the national database with a reference DNA profile or a match has been found with an unidentified DNA profile, this reference DNA profile may then be transmitted to all other States' databases and if, in a search with this reference DNA profile, matches are found with reference DNA profiles and/or unidentified DNA profiles in other States' databases, these matches shall be automatically communicated and the DNA reference data transmitted to the requesting State; if no matches can be found in other States' databases, it shall be automatically communicated to the requesting State.
Article 10
Transmission procedure for automated comparison of unidentified DNA profiles in accordance with Article 531
1.   If, in a comparison with unidentified DNA profiles, matches are found in other States' databases with reference DNA profiles and/or unidentified DNA profiles, these matches shall be automatically communicated and the DNA reference data transmitted to the requesting State.
2.   If, in a comparison with unidentified DNA profiles, matches are found in other States' databases with unidentified DNA profiles or reference DNA profiles, each State concerned may insert a note to that effect in its national database.
Article 11
Principles for the exchange of dactyloscopic data
1.   The digitalisation of dactyloscopic data and their transmission to the other States shall be carried out in accordance with the uniform data format specified in Chapter 2.
2.   Each State shall ensure that the dactyloscopic data it transmits are of sufficient quality for a comparison by the automated fingerprint identification systems (AFIS).
3.   The transmission procedure for the exchange of dactyloscopic data shall take place within a decentralised structure.
4.   Appropriate measures shall be taken to ensure the confidentiality and integrity of dactyloscopic data being sent to other States, including their encryption.
5.   The States shall use State codes in accordance with the ISO 3166-1 alpha-2 standard.
Article 12
Search capacities for dactyloscopic data
1.   Each State shall ensure that its search requests do not exceed the search capacities specified by the requested State. The United Kingdom shall declare their maximum search capacities per day for dactyloscopic data of identified persons and for dactyloscopic data of persons not yet identified.
2.   The maximum numbers of candidates accepted for verification per transmission are set out in Chapter 2.
Article 13
Rules for requests and answers in connection with dactyloscopic data
1.   The requested State shall check the quality of the transmitted dactyloscopic data without delay by a fully automated procedure. Should the data be unsuitable for an automated comparison, the requested State shall inform the requesting State without delay.
2.   The requested State shall conduct searches in the order in which requests are received. Requests shall be processed within 24 hours by a fully automated procedure. The requesting State may, if its domestic law so prescribes, ask for accelerated processing of its requests and the requested State shall conduct these searches without delay. If deadlines cannot be met for reasons of 
force majeure
, the comparison shall be carried out without delay as soon as the impediments have been removed.
Article 14
Principles of automated searching of vehicle registration data
1.   For automated searching of vehicle registration data States shall use a version of the European Vehicle and Driving Licence Information System (Eucaris) software application especially designed for the purposes of Article 537 of this Agreement, and amended versions of that software.
2.   Automated searching of vehicle registration data shall take place within a decentralised structure.
3.   The information exchanged via the Eucaris system shall be transmitted in encrypted form.
4.   The data elements of the vehicle registration data to be exchanged are specified in Chapter 3.
5.   In the implementation of Article 537 of this Agreement, States may give priority to searches related to combating serious crime.
Article 15
Costs
Each State shall bear the costs arising from the administration, use and maintenance of the Eucaris software application referred to in Article 14(1).
Article 16
Purpose
1.   Processing of personal data by the receiving State shall be permitted solely for the purposes for which the data have been supplied in accordance with Title II of Part Three of this Agreement. Processing for other purposes shall be permitted solely with the prior authorisation of the State administering the file and subject only to the domestic law of the receiving State. Such authorisation may be granted provided that processing for such other purposes is permitted under the domestic law of the State administering the file.
2.   Processing of data supplied pursuant to Articles 530, 531 and 534 of this Agreement by the searching or comparing State shall be permitted solely in order to:
(a)
establish whether the compared DNA profiles or dactyloscopic data match;
(b)
prepare and submit a police or judicial request for legal assistance in compliance with domestic law if those data match;
(c)
record within the meaning of Article 19 of this Chapter.
3.   The State administering the file may process the data supplied to it in accordance with Articles 530, 531 and 534 of this Agreement solely where this is necessary for the purposes of comparison, providing automated replies to searches or recording pursuant to Article 19 of this Chapter. The supplied data shall be deleted immediately following data comparison or automated replies to searches unless further processing is necessary for the purposes referred to in points (b) and (c) of paragraph 2 of this Article.
4.   Data supplied in accordance with Article 537 of this Agreement may be used by the State administering the file solely where this is necessary for the purpose of providing automated replies to search procedures or recording pursuant to Article 19 of this Chapter. The data supplied shall be deleted immediately following automated replies to searches unless further processing is necessary for recording pursuant to Article 19 of this Chapter. The Member State may use data received in a reply solely for the procedure for which the search was made.
Article 17
Accuracy, current relevance and storage time of data
1.   The States shall ensure the accuracy and current relevance of personal data. The receiving State shall be notified without delay if it transpires ex officio, or from a notification by the data subject, that incorrect data or data which should not have been supplied have been supplied. The State(s) concerned shall be obliged to correct or delete the data. Moreover, personal data supplied shall be corrected if they are found to be incorrect. If the receiving body has reason to believe that the supplied data are incorrect or should be deleted, the supplying body shall be informed forthwith.
2.   Data, the accuracy of which the data subject contests and the accuracy or inaccuracy of which cannot be established shall, in accordance with the domestic law of the States, be marked with a flag at the request of the data subject. If a flag exists, this may be removed subject to the domestic law of the States and only with the permission of the data subject or on the basis of a decision of the competent court or independent data protection authority.
3.   Personal data supplied which should not have been supplied or received shall be deleted. Data which are lawfully supplied and received shall be deleted:
(a)
if they are not or no longer necessary for the purpose for which they were supplied; if personal data have been supplied without request, the receiving body shall immediately check if they are necessary for the purposes for which they were supplied;
(b)
following the expiry of the maximum period for keeping data laid down in the domestic law of the supplying State, where the supplying body informed the receiving body of that maximum period at the time of supplying the data.
4.   Where there is reason to believe that deletion would prejudice the interests of the data subject, the data shall be blocked instead of being deleted in compliance with domestic law. Blocked data may be supplied or used solely for the purpose which prevented their deletion.
Article 18
Technical and organisational measures to ensure data protection and data security
1.   The supplying and receiving bodies shall take steps to ensure that personal data is effectively protected against accidental or unauthorised destruction, accidental loss, unauthorised access, unauthorised or accidental alteration and unauthorised disclosure.
2.   The features of the technical specification of the automated search procedure are regulated in the implementing measures as referred to in Article 539 of this Agreement which guarantee that:
(a)
state-of-the-art technical measures are taken to ensure data protection and data security, in particular data confidentiality and integrity;
(b)
encryption and authorisation procedures recognised by the competent authorities are used when having recourse to generally accessible networks; and
(c)
the admissibility of searches in accordance with paragraphs 2, 5 and 6 of Article 19 of this Chapter can be checked.
Article 19
Logging and recording: special rules governing automated and non-automated supply
1.   Each State shall guarantee that every non-automated supply and every non-automated receipt of personal data by the body administering the file and by the searching body is logged in order to verify the admissibility of the supply. Logging shall contain the following information:
(a)
the reason for the supply;
(b)
the data supplied;
(c)
the date of the supply; and
(d)
the name or reference code of the searching body and of the body administering the file.
2.   The following shall apply to automated searches for data based on Articles 530, 534 and 537 of this Agreement and to automated comparison pursuant to Article 531 of this Agreement:
(a)
only specially authorised officers of the national contact points may carry out automated searches or comparisons; the list of officers authorised to carry out automated searches or comparisons shall be made available upon request to the supervisory authorities referred to in paragraph 6 and to the other States;
(b)
each State shall ensure that each supply and receipt of personal data by the body administering the file and the searching body is recorded, including notification of whether or not a HIT exists; recording shall include the following information:
(i)
the data supplied;
(ii)
the date and exact time of the supply; and
(iii)
the name or reference code of the searching body and of the body administering the file.
3.   The searching body shall also record the reason for the search or supply as well as an identifier for the official who carried out the search and the official who ordered the search or supply.
4.   The recording body shall immediately communicate the recorded data upon request to the competent data protection authorities of the relevant State at the latest within four weeks following receipt of the request; recorded data may be used solely for the following purposes:
(a)
monitoring data protection;
(b)
ensuring data security.
5.   The recorded data shall be protected with suitable measures against inappropriate use and other forms of improper use and shall be kept for two years. After the conservation period, the recorded data shall be deleted immediately.
6.   Responsibility for legal checks on the supply or receipt of personal data lies with the independent data protection authorities or, as appropriate, the judicial authorities of the respective States. Anyone can request those authorities to check the lawfulness of the processing of data in respect of their person in compliance with domestic law. Independently of such requests, those authorities and the bodies responsible for recording shall carry out random checks on the lawfulness of supply, based on the files involved.
7.   The results of such checks shall be kept for inspection for 18 months by the independent data protection authorities. After that period, they shall be immediately deleted. Each data protection authority may be requested by the independent data protection authority of another State to exercise its powers in accordance with domestic law. The independent data protection authorities of the States shall perform the inspection tasks necessary for mutual cooperation, in particular by exchanging relevant information.
Article 20
Data subjects' rights to damages
Where a body of one State has supplied personal data under Title II of Part Three of this Agreement, the receiving body of the other State cannot use the inaccuracy of the data supplied as grounds to evade its liability vis-à-vis the injured party under domestic law. If damages are awarded against the receiving body because of its use of inaccurate transfer data, the body which supplied the data shall refund the amount paid in damages to the receiving body in full.
Article 21
Information requested by the States
The receiving State shall inform the supplying State on request of the processing of supplied data and the result obtained.
Article 22
Declarations and designations
1.   The United Kingdom shall communicate its declarations pursuant to Article 529(3) of this Agreement, and Article 12(1) of this Chapter, as well as its designations pursuant to Articles 535(1) and 537(3) of this Agreement to the Specialised Committee on Law Enforcement and Judicial Cooperation.
2.   Factual information provided by the United Kingdom through these declarations and designations, and by Member States in accordance with Article 539(3) of this Agreement, are included in the Manual as referred to in Article 18(2) of Decision 2008/616/JHA.
3.   States may amend declarations and designations submitted in accordance with paragraph 1 at any time by means of a notification submitted to the Specialised Committee on Law Enforcement and Judicial Cooperation. The Specialised Committee on Law Enforcement and Judicial Cooperation shall forward any declarations received to the General Secretariat of the Council.
4.   The General Secretariat of the Council shall communicate any changes in the Manual referred to in paragraph 2 to the Specialised Committee on Law Enforcement and Judicial Cooperation.
Article 23
Preparation of decisions as referred to in Article 540
1.   The Council shall take a decision as referred to in Article 540 of this Agreement on the basis of an evaluation report which shall be based on a questionnaire.
2.   With respect to the automated data exchange in accordance with Title II of Part Three of this Agreement, the evaluation report shall also be based on an evaluation visit and a pilot run that shall be carried out if required when the United Kingdom has informed the Specialised Committee on Law Enforcement and Judicial Cooperation that they have implemented the obligations imposed on them under Title II of Part Three of this Agreement and submit the declarations provided for in Article 22 of this Chapter. Further details of the procedure are set out in Chapter 4 of this Annex.
Article 24
Statistics and reporting
1.   An evaluation of the administrative, technical and financial application of the data exchange pursuant to Title II of Part Three of this Agreement shall be carried out on a regular basis. The evaluation shall be carried out with respect to the data categories for which data exchange has started among the States concerned. The evaluation shall be based on reports of the respective States.
2.   Each State shall compile statistics on the results of the automated data exchange. In order to ensure comparability, the model for statistics will be compiled by the relevant Council Working Group. These statistics will be forwarded annually to the Specialised Committee on Law Enforcement and Judicial Cooperation.
3.   In addition, States will be requested on a regular basis not to exceed once per year to provide further information on the administrative, technical and financial implementation of automated data exchange as needed to analyse and improve the process.
4.   Statistics and reporting made by Member States in accordance with Decisions 2008/615/JHA and 2008/616/JHA shall apply in relation to this Article.
CHAPTER 1
EXCHANGE OF DNA-DATA
1.   DNA related forensic issues, matching rules and algorithms
1.1.   Properties of DNA-profiles
The DNA profile may contain 24 pairs of numbers representing the alleles of 24 loci which are also used in the DNA-procedures of Interpol. The names of those loci are provided in the following table:
VWA
TH01
D21S11
FGA
D8S1179
D3S1358
D18S51
Amelogenin
TPOX
CSF1P0
D13S317
D7S820
D5S818
D16S539
D2S1338
D19S433
Penta D
Penta E
FES
F13A1
F13B
SE33
CD4
GABA
The seven grey loci in the top row are both the present ESS and the ISSOL.
Inclusion Rules:
The DNA-profiles made available by the States for searching and comparison as well as the DNA-profiles sent out for searching and comparison shall contain at least six full designated 
(
1
)
 loci and may contain additional loci or blanks depending on their availability. The reference DNA profiles shall contain at least six of the seven ESS of loci. In order to raise the accuracy of matches, all available alleles shall be stored in the indexed DNA profile database and be used for searching and comparison. Each State should implement as soon as practically possible any new ESS of loci adopted by the EU.
Mixed profiles are not allowed, so that the allele values of each locus will consist of only two numbers, which may be the same in the case of homozygosity at a given locus.
Wild-cards and Micro-variants are to be dealt with using the following rules:
—
Any non-numerical value except amelogenin contained in the profile (e.g. "o", "f", "r", "na", "nr" or "un") has to be automatically converted for the export to a wild card (*) and searched against all,
—
Numerical values "0", "1" or "99" contained in the profile have to be automatically converted for the export to a wild card (*) and searched against all,
—
If three alleles are provided for one locus the first allele will be accepted and the remaining two alleles have to be automatically converted for the export to a wild card (*) and searched against all,
—
When wild card values are provided for allele 1 or 2 then both permutations of the numerical value given for the locus will be searched (e.g. 12, * could match against 12,14 or 9,12),
—
Pentanucleotide (Penta D, Penta E and CD4) micro-variants will be matched according to the following:
—
x.1 = x, x.1, x.2
—
x.2 = x.1, x.2, x.3
—
x.3 = x.2, x.3, x.4
—
x.4 = x.3, x.4, x + 1,
—
Tetranucleotide (the rest of the loci are tetranucleotides) micro-variants will be matched according to the following:
—
x.1 = x, x.1, x.2
—
x.2 = x.1, x.2, x.3
—
x.3 = x.2, x.3, x + 1.
1.2.   Matching rules
The comparison of two DNA-profiles will be performed on the basis of the loci for which a pair of allele values is available in both DNA-profiles. At least six full designated loci (exclusive of amelogenin) must match between both DNA-profiles before a HIT response is provided.
A full match (Quality 1) is defined as a match, when all allele values of the compared loci commonly contained in the requesting and requested DNA-profiles are the same. A near match is defined as a match, when the value of only one of all the compared alleles is different in the two DNA profiles (Quality 2, 3 and 4). A near match is only accepted if there are at least six full designated matched loci in the two compared DNA profiles.
The reason for a near match may be:
—
a human typing error at the point of entry of one of the DNA-profiles in the search request or the DNA-database,
—
an allele-determination or allele-calling error during the generation procedure of the DNA-profile.
1.3.   Reporting rules
Full matches, near matches and "No-HITs" will all be reported.
The matching report will be sent to the requesting national contact point and will also be made available to the requested national contact point (to enable it to estimate the nature and number of possible follow-up requests for further available personal data and other information associated with the DNA-profile corresponding to the HIT in accordance with Article 536 of this Agreement.
2.   State code number table
In accordance with Title II of Part Three of this Agreement, ISO 3166-1 alpha-2 code are used for setting up the domain names and other configuration parameters required in the Prüm DNA data exchange applications over a closed network.
ISO 3166-1 alpha-2 codes are the following two-letter State codes:
State names
Code
State names
Code
Belgium
BE
Lithuania
LT
Bulgaria
BG
Luxemburg
LU
Czech Republic
CZ
Hungary
HU
Denmark
DK
Malta
MT
Germany
DE
Netherlands
NL
Estonia
EE
Austria
AT
Ireland
IE
Poland
PL
Greece
EL
Portugal
PT
Spain
ES
Romania
RO
France
FR
Slovakia
SK
Croatia
HR
Slovenia
SI
Italy
IT
Finland
FI
Cyprus
CY
Sweden
SE
Latvia
LV
United Kingdom
UK
3.   Functional analysis
3.1.   Availability of the system
Requests pursuant to Article 530 of this Agreement should reach the targeted database in the chronological order that each request was sent; responses should be dispatched to reach the requesting State within 15 minutes of the arrival of requests.
3.2.   Second step
When a State receives a report of a match, its national contact point is responsible for comparing the values of the profile submitted as a question and the values of the profile(s) received as an answer to validate and check the evidential value of the profile. National contact points can contact each other directly for validation purposes.
Legal assistance procedures start after validation of an existing match between two profiles, on the basis of a "full match" or a "near match" obtained during the automated consultation phase.
4.   DNA interface control document
4.1.   Introduction
4.1.1.   Objectives
This Chapter defines the requirements for the exchange of DNA profile information between the DNA database systems of all States. The header fields are defined specifically for the Prüm DNA exchange; the data part is based on the DNA profile data part in the XML schema defined for the Interpol DNA exchange gateway.
Data are exchanged by Simple Mail Transfer Protocol (SMTP) and other state-of-the-art technologies, using a central relay mail server provided by the network provider. The XML file is transported as mail body.
4.1.2.   Scope
This ICD defines the content of the message (or "mail") only. All network-specific and mail-specific topics are defined uniformly in order to allow a common technical base for the DNA data exchange.
This includes:
—
the format of the subject field in the message to enable/allow for an automated processing of the messages,
—
whether content encryption is necessary and if yes which methods should be chosen,
—
the maximum length of messages.
4.1.3.   XML structure and principles
The XML message is structured into:
—
the header part, which contains information about the transmission, and
—
the data part, which contains profile specific information, as well as the profile itself.
The same XML schema shall be used for request and response.
For the purpose of complete checks of unidentified DNA profiles, as provided for in Article 531 of this Agreement, it shall be possible to send a batch of profiles in one message. A maximum number of profiles within one message must be defined. The number depends on the maximum allowed mail size and shall be defined after selection of the mail server.
XML example:
<?version="1.0" standalone="yes"?>
<PRUEMDNAx xmlns:msxsl="urn:schemas-microsoft-com:xslt"
xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance">
<header>
(…)
</header>
<datas>
(…)
</datas>
[<datas> datas structure repeated, if multiple profiles sent by (…) a single SMTP message, only allowed for Article 531 of this Agreement cases
</datas>]
</PRUEMDNA>
4.2.   XML structure definition
The following definitions are for documentation purposes and better readability; the real binding information is provided by an XML schema file (PRUEM DNA.xsd).
4.2.1.   Schema PRUEMDNAx
It contains the following fields:
Fields
Type
Description
header
PRUEM_header
Occurs: 1
datas
PRUEM_datas
Occurs: 1 … 500
4.2.2.   Content of header structure
4.2.2.1.
PRUEM header
This is a structure describing the XML file header. It contains the following fields:
Fields
Type
Description
direction
PRUEM_header_dir
Direction of message flow
ref
String
Reference of the XML file
generator
String
Generator of XML file
schema_version
String
Version number of schema to use
requesting
PRUEM_header_info
Requesting State info
requested
PRUEM_header_info
Requested State info
4.2.2.2.
PRUEM_header dir
Type of data contained in message, value can be:
Value
Description
R
Request
A
Answer
4.2.2.3.
PRUEM header info
Structure to describe State as well as message date/time. It contains the following fields:
Fields
Type
Description
source_isocode
String
ISO 3166-2 code of the requesting State
destination_isocode
String
ISO 3166-2 code of the requested State
request_id
String
unique Identifier for a request
date
Date
Date of creation of message
time
Time
Time of creation of message
4.2.3.   Content of PRUEM Profile data
4.2.3.1.
PRUEM_datas
This is a structure describing the XML profile data part. It contains the following fields:
Fields
Type
Description
reqtype
PRUEM request type
Type of request (Article 530 or 531)
date
Date
Date profile stored
type
PRUEM_datas_type
Type of profile
result
PRUEM_datas_result
Result of request
agency
String
Name of corresponding unit responsible for the profile
profile_ident
String
Unique State profile ID
message
String
Error Message, if result = E
profile
IPSG_DNA_profile
If direction = A (Answer) AND result ≠ H (HIT) empty
match_id
String
In case of a HIT PROFILE_ID of the requesting profile
quality
PRUEM_hitquality_type
Quality of HIT
hitcount
Integer
Count of matched Alleles
rescount
Integer
Count of matched profiles. If direction = R (Request), then empty. If quality!=0 (the original requested profile), then empty.
4.2.3.2.
PRUEM_request_type
Type of data contained in message, value can be:
Value
Description
3
Requests pursuant to Article 530
4
Requests pursuant to Article 531
4.2.3.3.
PRUEM_hitquality_type
Value
Description
0
Referring original requesting profile:
Case "No-HIT": original requesting profile sent back only;
Case "HIT": original requesting profile and matched profiles sent back.
1
Equal in all available alleles without wildcards
2
Equal in all available alleles with wildcards
3
HIT with Deviation (Microvariant)
4
HIT with mismatch
4.2.3.4.
PRUEM_data_type
Type of data contained in message, value can be:
Value
Description
P
Person profile
S
Stain
4.2.3.5.
PRUEM_data_result
Type of data contained in message, value can be:
Value
Description
U
Undefined, If direction = R (request)
H
HIT
N
No-HIT
E
Error
4.2.3.6.
IPSG_DNA_profile
Structure describing a DNA profile. It contains the following fields:
Fields
Type
Description
ess_issol
IPSG_DNA_ISSOL
Group of loci corresponding to the ISSOL (standard group of Loci of Interpol)
additional_loci
IPSG_DNA_additional_loci
Other loci
marker
String
Method used to generate of DNA
profile_id
String
Unique identifier for DNA profile
4.2.3.7.
IPSG_DNA_ISSOL
Structure containing the loci of ISSOL (Standard Group of Interpol loci). It contains the following fields:
Fields
Type
Description
vwa
IPSG_DNA_locus
Locus vwa
th01
IPSG_DNA_locus
Locus th01
d21s11
IPSG_DNA_locus
Locus d21s11
fga
IPSG_DNA_locus
Locus fga
d8s1179
IPSG_DNA_locus
Locus d8s1179
d3s1358
IPSG_DNA_locus
Locus d3s1358
d18s51
IPSG_DNA_locus
Locus d18s51
amelogenin
IPSG_DNA_locus
Locus amelogin
4.2.3.8.
IPSG_DNA_additional_loci
Structure containing the other loci. It contains the following fields:
Fields
Type
Description
tpox
IPSG_DNA_locus
Locus tpox
csf1po
IPSG_DNA_locus
Locus csf1po
d13s317
IPSG_DNA_locus
Locus d13s317
d7s820
IPSG_DNA_locus
Locus d7s820
d5s818
IPSG_DNA_locus
Locus d5s818
d16s539
IPSG_DNA_locus
Locus d16s539
d2s1338
IPSG_DNA_locus
Locus d2s1338
d19s433
IPSG_DNA_locus
Locus d19s433
penta_d
IPSG_DNA_locus
Locus penta_d
penta_e
IPSG_DNA_locus
Locus penta_e
fes
IPSG_DNA_locus
Locus fes
f13a1
IPSG_DNA_locus
Locus f13a1
f13b
IPSG_DNA_locus
Locus f13b
se33
IPSG_DNA_locus
Locus se33
cd4
IPSG_DNA_locus
Locus cd4
gaba
IPSG_DNA_locus
Locus gaba
4.2.3.9.
IPSG_DNA_locus
Structure describing a locus. It contains the following fields:
Fields
Type
Description
low_allele
String
Lowest value of an allele
high_allele
String
Highest value of an allele
5.   Application, security and communication architecture
5.1.   Overview
In implementing applications for the DNA data exchange within the framework of Title II of Part Three of this Agreement, a common communication network shall be used, which will be logically closed among the States. In order to exploit this common communication infrastructure of sending requests and receiving replies in a more effective way, an asynchronous mechanism to convey DNA and dactyloscopic data requests in a wrapped SMTP e-mail message is adopted. In fulfilment of security concerns, the mechanism s/MIME as extension to the SMTP functionality will be used to establish a true end-to-end secure tunnel over the network.
The operational Trans European Services for Telematics between Administrations (TESTA) is used as the communication network for data exchange among the States. TESTA is under the responsibility of the European Commission. Taking into account that national DNA databases and the current national access points of TESTA may be located on different sites in the States, access to TESTA may be set up either by:
1.
using the existing national access point or establishing a new national TESTA access point; or
2.
setting up a secure local link from the site where the DNA database is located and managed by the competent national agency to the existing national TESTA access point.
The protocols and standards deployed in the implementation of Title II of Part Three of this Agreement applications comply with the open standards and meet the requirements imposed by national security policy makers of the States.
5.2.   Upper Level Architecture
In the scope of Title II of Part Three of this Agreement, each State will make its DNA data available to be exchanged with and/or searched by other States in conformity with the standardised common data format. The architecture is based upon an any-to-any communication model. There exists neither a central computer server nor a centralised database to hold DNA profiles.
Figure 1 Topology of DNA Data Exchange
In addition to the fulfilment of domestic legal constraints at States' sites, each State may decide what kind of hardware and software should be deployed for the configuration at its site to comply with the requirements set out in Title II of Part Three of this Agreement.
5.3.   Security Standards and Data Protection
Three levels of security concerns have been considered and implemented.
5.3.1.   Data Level
DNA profile data provided by each State shall have to be prepared in compliance with a common data protection standard, so that requesting States will receive an answer mainly to indicate HIT or No-HIT along with an identification number in case of a HIT, which does not contain any personal information. The further investigation after the notification of a HIT will be conducted at bilateral level pursuant to the existing domestic legal and organisational regulations of the respective States' sites.
5.3.2.   Communication Level
Messages containing DNA profile information (requesting and replying) will be encrypted by means of a state-of-the-art mechanism in conformity with open standards, such as s/MIME, before they are forwarded to the sites of other States.
5.3.3.   Transmission Level
All encrypted messages containing DNA profile information will be forwarded onto other States' sites through a virtual private tunnelling system administered by a trusted network provider at the international level and the secure links to this tunnelling system under national responsibility. This virtual private tunnelling system does not have a connection point with the open Internet.
5.4.   Protocols and Standards to be used for encryption mechanism: s/MIME and related packages
The open standard s/MIME as extension to de facto e-mail standard SMTP will be deployed to encrypt messages containing DNA profile information. The protocol s/MIME (V3) allows signed receipts, security labels, and secure mailing lists and is layered on Cryptographic Message Syntax (CMS), an Internet Engineering Task Force (IETF) specification for cryptographic protected messages. It can be used to digitally sign, digest, authenticate or encrypt any form of digital data.
The underlying certificate used by the s/MIME mechanism has to be in compliance with X.509 standard. In order to ensure common standards and procedures with other Prüm applications, the processing rules for s/MIME encryption operations or to be applied under various Commercial Product of the Shelves (COTS) environments, are as follows:
—
the sequence of the operations is: first encryption and then signing,
—
the encryption algorithm AES (Advanced Encryption Standard) with 256 bit key length and RSA with 1024 bit key length shall be applied for symmetric and asymmetric encryption respectively,
—
the hash algorithm SHA-1 shall be applied.
s/MIME functionality is built into the vast majority of modern e-mail software packages including Outlook, Mozilla Mail as well as Netscape Communicator 4.x and inter-operates among all major e-mail software packages.
Because of s/MIME's easy integration into national IT infrastructure at all States' sites, it is selected as a viable mechanism to implement the communication security level. For achieving the goal "Proof of Concept" in a more efficient way and reducing costs the open standard JavaMail API is however chosen for prototyping DNA data exchange. JavaMail API provides simple encryption and decryption of e-mails using s/MIME and/or OpenPGP. The intent is to provide a single, easy-to-use API for e-mail clients that want to send and receive encrypted e-mail in either of the two most popular e-mail encryption formats. Therefore any state-of-the-art implementations to JavaMail API will suffice for the requirements set by Title II of Part Three of this Agreement, such as the product of Bouncy Castle JCE (Java Cryptographic Extension), which will be used to implement s/MIME for prototyping DNA data exchange among all States.
5.5.   Application Architecture
Each State will provide the other States with a set of standardised DNA profile data which are in conformity with the current common ICD. This can be done either by providing a logical view over individual national database or by establishing a physical exported database (indexed database).
The four main components: E-mail server/s/MIME, Application Server, Data Structure Area for fetching/feeding data and registering incoming/outgoing messages, and Match Engine implement the whole application logic in a product-independent way.
In order to provide all States with an easy integration of the components into their respective national sites, the specified common functionality has been implemented by means of open source components, which could be selected by each State depending on its national IT policy and regulations. Because of the independent features to be implemented to get access to indexed databases containing DNA profiles covered by Title II of Part Three of this Agreement, each State can freely select its hardware and software platform, including database and operating systems.
A prototype for the DNA Data Exchange has been developed and successfully tested over the existing common network. The version 1.0 has been deployed in the productive environment and is used for daily operations. States may use the jointly developed product but may also develop their own products. The common product components will be maintained, customised and further developed according to changing IT, forensic and/or functional police requirements.
Figure 2 Overview Application Topology
5.6.   Protocols and Standards to be used for application architecture:
5.6.1.   XML
The DNA data exchange will fully exploit XML-schema as attachment to SMTP e-mail messages. The eXtensible Markup Language (XML) is a W3C-recommended general-purpose markup language for creating special-purpose markup languages, capable of describing many different kinds of data. The description of the DNA profile suitable for exchange among all States has been done by means of XML and XML schema in the ICD document.
5.6.2.   ODBC
Open DataBase Connectivity provides a standard software API method for accessing database management systems and making it independent of programming languages, database and operating systems. ODBC has, however, certain drawbacks. Administering a large number of client machines can involve a diversity of drivers and DLLs. This complexity can increase system administration overhead.
5.6.3.   JDBC
Java DataBase Connectivity (JDBC) is an API for the Java programming language that defines how a client may access a database. In contrast to ODBC, JDBC does not require to use a certain set of local DLLs at the Desktop.
The business logic of processing DNA profile requests and replies at each States' site is described in the following diagram. Both requesting and replying flows interact with a neutral data area comprising different data pools with a common data structure.
Figure 3 Overview Application Workflow at each State's site
5.7.   Communication Environment
5.7.1.   Common Communication Network: TESTA and its follow-up infrastructure
The application DNA data exchange will exploit the e-mail, an asynchronous mechanism, to send requests and to receive replies among the States. As all States have at least one national access point to the TESTA network, the DNA data exchange will be deployed over the TESTA network. TESTA provides a number of added-value services through its e-mail relay. In addition to hosting TESTA specific e-mail boxes, the infrastructure can implement mail distribution lists and routing policies. This allows TESTA to be used as a clearing house for messages addressed to administrations connected to the EU wide Domains. Virus check mechanisms may also be put in place.
The TESTA e-mail relay is built on a high availability hardware platform located at the central TESTA application facilities and protected by firewall. The TESTA Domain Name Systems (DNS) will resolve resource locators to IP addresses and hide addressing issues from the user and from applications.
5.7.2.   Security Concern
The concept of a Virtual Private Network (VPN) has been implemented within the framework of TESTA. Tag Switching Technology used to build this VPN will evolve to support Multi-Protocol Label Switching (MPLS) standard developed by the IETF.
MPLS is an IETF standard technology that speeds up network traffic flow by avoiding packet analysis by intermediate routers (hops). This is done on the basis of so-called labels that are attached to packet by the edge routers of the backbone, on the basis of information stored in the forwarding information base (FIB). Labels are also used to implement VPNs.
MPLS combines the benefits of layer 3 routing with the advantages of layer 2 switching. Because IP addresses are not evaluated during transition through the backbone, MPLS does not impose any IP addressing limitations.
Furthermore, e-mail messages over the TESTA will be protected by s/MIME driven encryption mechanism. Without knowing the key and possessing the right certificate, nobody can decrypt messages over the network.
5.7.3.   Protocols and Standards to be used over the communication network
5.7.3.1.
SMTP
SMTP is the de facto standard for e-mail transmission across the Internet. SMTP is a relatively simple, text-based protocol, where one or more recipients of a message are specified and then the message text is transferred. SMTP uses TCP port 25 upon the specification by the IETF. To determine the SMTP server for a given domain name, the MX (Mail eXchange) DNS (Domain Name Systems) record is used.
Since this protocol started as purely ASCII text-based it did not deal well with binary files. Standards such as MIME were developed to encode binary files for transfer through SMTP. Today, most SMTP servers support the 8BITMIME and s/MIME extension, permitting binary files to be transmitted almost as easily as plain text. The processing rules for s/MIME operations are described in the section s/MIME (see Section 5.4).
SMTP is a "push" protocol that does not allow one to "pull" messages from a remote server on demand. To do this a mail client shall use POP3 or IMAP. Within the framework of implementing DNA data exchange it is decided to use the protocol POP3.
5.7.3.2.
POP
Local e-mail clients use the Post Office Protocol version 3 (POP3), an application-layer Internet standard protocol, to retrieve e-mail from a remote server over a TCP/IP connection. By using the SMTP Submit profile of the SMTP protocol, e-mail clients send messages across the Internet or over a corporate network. MIME serves as the standard for attachments and non-ASCII text in e-mail. Although neither POP3 nor SMTP requires MIME-formatted e-mail, essentially Internet e-mail comes MIME-formatted, so POP clients must also understand and use MIME. The whole communication environment of Title II of Part Three of this Agreement will therefore include the components of POP.
5.7.4.   Network Address Assignment
Operative environment
A dedicated block half B class subnet has currently been allocated by the European IP registration authority (RIPE) to TESTA. The assignment of IP addresses to States is based upon a geographical schema in Europe. The data exchange among States within the framework of Title II of Part Three of this Agreement is operated over a European wide logically closed IP network.
Testing Environment
In order to provide a smooth running environment for the daily operation among all connected States, it is necessary to establish a testing environment over the closed network for new States which prepare to join the operations. A sheet of parameters including IP addresses, network settings, e-mail domains as well as application user accounts has been specified and should be set up at the corresponding State's site. Moreover, a set of pseudo DNA profiles has been constructed for test purposes.
5.7.5.   Configuration Parameters
A secure e-mail system is set up using the eu-admin.net domain. That domain with the associated addresses will not be accessible from a location not on the TESTA EU wide domain, because the names are only known on the TESTA central DNS server, which is shielded from the Internet.
The mapping of these TESTA site addresses (host names) to their IP addresses is done by the TESTA DNS service. For each Local Domain, a Mail entry will be added to this TESTA central DNS server, relaying all e-mail messages sent to TESTA Local Domains to the TESTA central Mail Relay. That TESTA central Mail Relay will then forward them to the specific Local Domain e-mail server using the Local Domain e-mail addresses. By relaying the e-mail in this way, critical information contained in e-mails will only pass the Europe-wide closed network infrastructure and not the insecure Internet.
It is necessary to establish sub-domains (bold italics) at the sites of all States upon the following syntax:
"application-type.State-code.pruem.testa.eu", where:
"State-code" takes the value of one of the two letter-code State codes (i.e. AT, BE, etc.);
"application-type" takes one of the values: DNA, FP and CAR.
By applying the above syntax, the sub domains for the States are shown in the following table:
States' sub domains syntax
State
Sub Domains
Comments
BE
dna.be.pruem.testa.eu
fp.be.pruem.testa.eu
car.be.pruem.testa.eu
test.dna.be.pruem.testa.eu
test.fp.be.pruem.testa.eu
test.car.be.pruem.testa.eu
BG
dna.bg.pruem.testa.eu
fp.bg.pruem.testa.eu
car.bg.pruem.testa.eu
test.dna.bg.pruem.testa.eu
test.fp.bg.pruem.testa.eu
test.car.bg.pruem.testa.eu
CZ
dna.cz.pruem.testa.eu
fp.cz.pruem.testa.eu
car.cz.pruem.testa.eu
test.dna.cz.pruem.testa.eu
test.fp.cz.pruem.testa.eu
test.car.cz.pruem.testa.eu
DK
dna.dk.pruem.testa.eu
fp.dk.pruem.testa.eu
car.dk.pruem.testa.eu
test.dna.dk.pruem.testa.eu
test.fp.dk.pruem.testa.eu
test.car.dk.pruem.testa.eu
DE
dna.de.pruem.testa.eu
fp.de.pruem.testa.eu
car.de.pruem.testa.eu
test.dna.de.pruem.testa.eu
test.fp.de.pruem.testa.eu
test.car.de.pruem.testa.eu
EE
dna.ee.pruem.testa.eu
fp.ee.pruem.testa.eu
car.ee.pruem.testa.eu
test.dna.ee.pruem.testa.eu
test.fp.ee.pruem.testa.eu
test.car.ee.pruem.testa.eu
IE
dna.ie.pruem.testa.eu
fp.ie.pruem.testa.eu
car.ie.pruem.testa.eu
test.dna.ie.pruem.testa.eu
test.fp.ie.pruem.testa.eu
test.car.ie.pruem.testa.eu
EL
dna.el.pruem.testa.eu
fp.el.pruem.testa.eu
car.el.pruem.testa.eu
test.dna.el.pruem.testa.eu
test.fp.el.pruem.testa.eu
test.car.el.pruem.testa.eu
ES
dna.es.pruem.testa.eu
fp.es.pruem.testa.eu
car.es.pruem.testa.eu
test.dna.es.pruem.testa.eu
test.fp.es.pruem.testa.eu
test.car.es.pruem.testa.eu
FR
dna.fr.pruem.testa.eu
fp.fr.pruem.testa.eu
car.fr.pruem.testa.eu
test.dna.fr.pruem.testa.eu
test.fp.fr.pruem.testa.eu
test.car.fr.pruem.testa.eu
HR
dna.hr.pruem.testa.eu
fp.hr.pruem.testa.eu
car.hr.pruem.testa.eu
test.dna.hr.pruem.testa.eu
test.fp.hr.pruem.testa.eu
test.car.hr.pruem.testa.eu
IT
dna.it.pruem.testa.eu
fp.it.pruem.testa.eu
car.it.pruem.testa.eu
test.dna.it.pruem.testa.eu
test.fp.it.pruem.testa.eu
test.car.it.pruem.testa.eu
CY
dna.cy.pruem.testa.eu
fp.cy.pruem.testa.eu
car.cy.pruem.testa.eu
test.dna.cy.pruem.testa.eu
test.fp.cy.pruem.testa.eu
test.car.cy.pruem.testa.eu
LV
dna.lv.pruem.testa.eu
fp.lv.pruem.testa.eu
car.lv.pruem.testa.eu
test.dna.lv.pruem.testa.eu
test.fp.lv.pruem.testa.eu
test.car.lv.pruem.testa.eu
LT
dna.lt.pruem.testa.eu
fp.lt.pruem.testa.eu
car.lt.pruem.testa.eu
test.dna.lt.pruem.testa.eu
test.fp.lt.pruem.testa.eu
test.car.lt.pruem.testa.eu
LU
dna.lu.pruem.testa.eu
fp.lu.pruem.testa.eu
car.lu.pruem.testa.eu
test.dna.lu.pruem.testa.eu
test.fp.lu.pruem.testa.eu
test.car.lu.pruem.testa.eu
HU
dna.hu.pruem.testa.eu
fp.hu.pruem.testa.eu
car.hu.pruem.testa.eu
test.dna.hu.pruem.testa.eu
test.fp.hu.pruem.testa.eu
test.car.hu.pruem.testa.eu
MT
dna.mt.pruem.testa.eu
fp.mt.pruem.testa.eu
car.mt.pruem.testa.eu
test.dna.mt.pruem.testa.eu
test.fp.mt.pruem.testa.eu
test.car.mt.pruem.testa.eu
NL
dna.nl.pruem.nl.testa.eu
fp.nl.pruem.testa.eu
car.nl.pruem.testa.eu
test.dna.nl.pruem.testa.eu
test.fp.nl.pruem.testa.eu
test.car.nl.pruem.testa.eu
AT
dna.at.pruem.testa.eu
fp.at.pruem.testa.eu
car.at.pruem.testa.eu
test.dna.at.pruem.testa.eu
test.fp.at.pruem.testa.eu
test.car.at.pruem.testa.eu
PL
dna.pl.pruem.testa.eu
fp.pl.pruem.testa.eu
car.pl.pruem.testa.eu
test.dna.pl.pruem.testa.eu
test.fp.pl.pruem.testa.eu
test.car.pl.pruem.testa.eu
PT
dna.pt.pruem.testa.eu
fp.pt.pruem.testa.eu
car.pt.pruem.testa.eu
test.dna.pt.pruem.testa.eu
test.fp.pt.pruem.testa.eu
test.car.pt.pruem.testa.eu
RO
dna.ro.pruem.testa.eu
fp.ro.pruem.testa.eu
car.ro.pruem.testa.eu
test.dna.ro.pruem.testa.eu
test.fp.ro.pruem.testa.eu
test.car.ro.pruem.testa.eu
SI
dna.si.pruem.testa.eu
fp.si.pruem.testa.eu
car.si.pruem.testa.eu
test.dna.si.pruem.testa.eu
test.fp.si.pruem.testa.eu
test.car.si.pruem.testa.eu
SK
dna.sk.pruem.testa.eu
fp.sk.pruem.testa.eu
car.sk.pruem.testa.eu
test.dna.sk.pruem.testa.eu
test.fp.sk.pruem.testa.eu
test.car.sk.pruem.testa.eu
FI
dna.fi.pruem.testa.eu
fp.fi.pruem.testa.eu
car.fi.pruem.testa.eu
test.dna.fi.pruem.testa.eu
test.fp.fi.pruem.testa.eu
test.car.fi.pruem.testa.eu
SE
dna.se.pruem.testa.eu
fp.se.pruem.testa.eu
car.se.pruem.testa.eu
test.dna.se.pruem.testa.eu
test.fp.se.pruem.testa.eu
test.car.se.pruem.testa.eu
UK
dna.uk.pruem.testa.eu
fp.uk.pruem.testa.eu
car.uk.pruem.testa.eu
test.dna.uk.pruem.testa.eu
test.fp.uk.pruem.testa.eu
test.car.uk.pruem.testa.eu
CHAPTER 2
EXCHANGE OF DACTYLOSCOPIC DATA (INTERFACE CONTROL DOCUMENT)
The purpose of the following document interface Control Document is to define the requirements for the exchange of dactyloscopic information between the Automated Fingerprint Identification Systems (AFIS) of the States. It is based on the Interpol-Implementation of ANSI/NIST-ITL 1-2000 (INT-I, Version 4.22b).
This version shall cover all basic definitions for Logical Records Type-1, Type-2, Type-4, Type-9, Type-13 and Type-15 required for image- and minutiæ-based dactyloscopic processing.
1.   File Content Overview
A dactyloscopic file consists of several logical records. There are sixteen types of record specified in the original ANSI/NIST-ITL 1-2000 standard. Appropriate ASCII separation characters are used between each record and the fields and subfields within the records.
Only 6 record types are used to exchange information between the originating and the destination agency:
Type-1
→
Transaction information
Type-2
→
Alphanumeric persons/case data
Type-4
→
High resolution greyscale dactyloscopic images
Type-9
→
Minutiæ Record
Type-13
→
Variable resolution latent image record
Type-15
→
Variable resolution palmprint image record
1.1.   Type-1 — File header
This record contains routing information and information describing the structure of the rest of the file. This record type also defines the types of transaction which fall under the following broad categories:
1.2.   Type-2 — Descriptive text
This record contains textual information of interest to the sending and receiving agencies.
1.3.   Type-4 — High resolution greyscale image
This record is used to exchange high resolution greyscale (eight bit) dactyloscopic images sampled at 500 pixels/inch. The dactyloscopic images shall be compressed using the WSQ algorithm with a ratio of not more than 15:1. Other compression algorithms or uncompressed images shall not be used.
1.4.   Type-9 — Minutiæ record
Type-9 records are used to exchange ridge characteristics or minutiæ data. Their purpose is partly to avoid unnecessary duplication of AFIS encoding processes and partly to allow the transmission of AFIS codes which contain less data than the corresponding images.
1.5.   Type-13 — Variable-Resolution Latent Image Record
This record shall be used to exchange variable-resolution latent fingerprint and latent palmprint images together with textural alphanumerical information. The scanning resolution of the images shall be 500 pixels/inch with 256 grey-levels. If the quality of the latent image is sufficient it shall be compressed using WSQ-algorithm. If necessary the resolution of the images may be expanded to more than 500 pixels/inch and more than 256 grey-levels by mutual agreement. In that case, it is strongly recommended to use JPEG 2000 (see Appendix 39-7).
1.6.   Variable-Resolution Palmprint Image Record
Type-15 tagged field image records shall be used to exchange variable-resolution palmprint images together with textural alphanumerical information. The scanning resolution of the images shall be 500 pixels/inch with 256 grey-levels. To minimise the amount of data, all palmprint images shall be compressed using WSQ-algorithm. If necessary the resolution of the images may be expanded to more than 500 pixels/inch and more than 256 grey-levels by mutual agreement. In that case, it is strongly recommended to use JPEG 2000 (see Appendix 39-7).
2.   Record format
A transaction file shall consist of one or more logical records. For each logical record contained in the file, several information fields appropriate to that record type shall be present. Each information field may contain one or more basic single-valued information items. Taken together these items are used to convey different aspects of the data contained in that field. An information field may also consist of one or more information items grouped together and repeated multiple times within a field. Such a group of information items is known as a subfield. An information field may therefore consist of one or more subfields of information items.
2.1.   Information separators
In the tagged-field logical records, mechanisms for delimiting information are implemented by use of four ASCII information separators. The delimited information may be items within a field or subfield, fields within a logical record, or multiple occurrences of subfields. These information separators are defined in the standard ANSI X3.4. These characters are used to separate and qualify information in a logical sense. Viewed in a hierarchical relationship, the File Separator "FS" character is the most inclusive followed by the Group Separator "GS", the Record Separator "RS", and finally the Unit Separator "US" characters. Table 1 lists these ASCII separators and a description of their use within this standard.
Information separators should be functionally viewed as an indication of the type data that follows. The "US" character shall separate individual information items within a field or subfield. This is a signal that the next information item is a piece of data for that field or subfield. Multiple subfields within a field separated by the "RS" character signals the start of the next group of repeated information item(s). The "GS" separator character used between information fields signals the beginning of a new field preceding the field identifying number that shall appear. Similarly, the beginning of a new logical record shall be signalled by the appearance of the "FS" character.
The four characters are only meaningful when used as separators of data items in the fields of the ASCII text records. There is no specific meaning attached to these characters occurring in binary image records and binary fields — they are just part of the exchanged data.
Normally, there should be no empty fields or information items and therefore only one separator character should appear between any two data items. The exception to this rule occurs for those instances where the data in fields or information items in a transaction are unavailable, missing, or optional, and the processing of the transaction is not dependent upon the presence of that particular data. In those instances, multiple and adjacent separator characters shall appear together rather than requiring the insertion of dummy data between separator characters.
For the definition of a field that consists of three information items, the following applies. If the information for the second information item is missing, then two adjacent "US" information separator characters would occur between the first and third information items. If the second and third information items were both missing, then three separator characters should be used — two "US" characters in addition to the terminating field or subfield separator character. In general, if one or more mandatory or optional information items are unavailable for a field or subfield, then the appropriate number of separator character should be inserted.
It is possible to have side-by-side combinations of two or more of the four available separator characters. When data are missing or unavailable for information items, subfields, or fields, there shall be one separator character less than the number of data items, subfields, or fields required.
Table 1
Separators Used
Code
Type
Description
Hexadecimal Value
Decimal Value
US
Unit Separator
Separates information items
1F
31
RS
Record Separator
Separates subfields
1E
30
GS
Group Separator
Separates fields
1D
29
FS
File Separator
Separates logical records
1C
28
2.2.   Record layout
For tagged-field logical records, each information field that is used shall be numbered in accordance with this standard. The format for each field shall consist of the logical record type number followed by a period ".", a field number followed by a colon ":", followed by the information appropriate to that field. The tagged-field number can be any one-to-nine digit number occurring between the period "." and the colon ":". It shall be interpreted as an unsigned integer field number. This implies that a field number of "2.123:" is equivalent to and shall be interpreted in the same manner as a field number of "2.000000123:".
For purposes of illustration throughout this document, a three-digit number shall be used for enumerating the fields contained in each of the tagged-field logical records described herein. Field numbers will have the form of "TT.xxx:" where the "TT" represents the one- or two-character record type followed by a period. The next three characters comprise the appropriate field number followed by a colon. Descriptive ASCII information or the image data follows the colon.
Logical Type-1 and Type-2 records contain only ASCII textual data fields. The entire length of the record (including field numbers, colons, and separator characters) shall be recorded as the first ASCII field within each of these record types. The ASCII File Separator "FS" control character (signifying the end of the logical record or transaction) shall follow the last byte of ASCII information and shall be included in the length of the record.
In contrast to the tagged-field concept, the Type-4 record contains only binary data recorded as ordered fixed-length binary fields. The entire length of the record shall be recorded in the first four-byte binary field of each record. For this binary record, neither the record number with its period, nor the field identifier number and its following colon, shall be recorded. Furthermore, as all the field lengths of this record is either fixed or specified, none of the four separator characters ("US", "RS", "GS", or "FS") shall be interpreted as anything other than binary data. For the binary record, the "FS" character shall not be used as a record separator or transaction terminating character.
3.   Type-1 Logical Record: the File Header
This record describes the structure of the file, the type of the file, and other important information. The character set used for Type-1 fields shall contain only the 7-bit ANSI code for information interchange.
3.1.   Fields for Type-1 Logical Record
3.1.1.   Field 1.001: Logical Record Length (LEN)
This field contains the total count of the number of bytes in the whole Type-1 logical record. The field begins with "1.001:", followed by the total length of the record including every character of every field and the information separators.
3.1.2.   Field 1.002: Version Number (VER)
To ensure that users know which version of the ANSI/NIST standard is being used, this four byte field specifies the version number of the standard being implemented by the software or system creating the file. The first two bytes specify the major version reference number, the second two the minor revision number. For example, the original 1986 Standard would be considered the first version and designated "0100" while the present ANSI/NIST-ITL 1-2000 standard is "0300".
3.1.3.   Field 1.003: File Content (CNT)
This field lists each of the records in the file by record type and the order in which the records appear in the logical file. It consists of one or more subfields, each of which in turn contains two information items describing a single logical record found in the current file. The subfields are entered in the same order in which the records are recorded and transmitted.
The first information item in the first subfield is "1", to refer to this Type-1 record. It is followed by a second information item which contains the number of other records contained in the file. This number is also equal to the count of the remaining subfields of field 1.003.
Each of the remaining subfields is associated with one record within the file, and the sequence of subfields corresponds to the sequence of records. Each subfield contains two items of information. The first is to identify the Type of the record. The second is the record's IDC. The "US" character shall be used to separate the two information items.
3.1.4.   Field 1.004: Type of Transaction (TOT)
This field contains a three letter mnemonic designating the type of the transaction. These codes may be different from those used by other implementations of the ANSI/NIST standard.
CPS: Criminal Print-to-Print Search. This transaction is a request for a search of a record relating to a criminal offence against a prints database. The person's prints shall be included as WSQ-compressed images in the file.
In case of a No-HIT, the following logical records will be returned:
—
1 Type-1 Record,
—
1 Type-2 Record.
In case of a HIT, the following logical records will be returned:
—
1 Type-1 Record,
—
1 Type-2 Record,
—
1-14 Type-4 Record.
The CPS TOT is summarised in Table A.6.1 (Appendix 39-6).
PMS: Print-to-Latent Search. This transaction is used when a set of prints is searched against an Unidentified Latent database. The response will contain the HIT/No-HIT decision of the destination AFIS search. If multiple unidentified latents exist, multiple SRE transactions will be returned, with one latent per transaction. The person's prints shall be included as WSQ-compressed images in the file.
In case of a No-HIT, the following logical records will be returned:
—
1 Type-1 Record,
—
1 Type-2 Record.
In case of a HIT, the following logical records will be returned:
—
1 Type-1 Record,
—
1 Type-2 Record,
—
1 Type-13 Record.
The PMS TOT is summarised in Table A.6.1 (Appendix 39-6).
MPS: Latent-to-Print Search. This transaction is used when a latent is to be searched against a Prints database. The latent minutiæ information and the image (WSQ-compressed) shall be included in the file.
In case of a No-HIT, the following logical records will be returned:
—
1 Type-1 Record,
—
1 Type-2 Record.
In case of a HIT, the following logical records will be returned:
—
1 Type-1 Record,
—
1 Type-2 Record,
—
1 Type-4 or Type-15 Record.
The MPS TOT is summarised in Table A.6.4 (Appendix 39-6).
MMS: Latent-to-Latent Search. In this transaction the file contains a latent which is to be searched against an Unidentified Latent database in order to establish links between various scenes of crime. The latent minutiæ information and the image (WSQ-compressed) must be included in the file.
In case of a No-HIT, the following logical records will be returned:
—
1 Type-1 Record,
—
1 Type-2 Record.
In case of a HIT, the following logical records will be returned:
—
1 Type-1 Record,
—
1 Type-2 Record,
—
1 Type-13 Record.
The MMS TOT is summarised in Table A.6.4 (Appendix 39-6).
SRE: This transaction is returned by the destination agency in response to dactyloscopic submissions. The response will contain the HIT/No-HIT decision of the destination AFIS search. If multiple candidates exist, multiple SRE transactions will be returned, with one candidate per transaction.
The SRE TOT is summarised in Table A.6.2 (Appendix 39-6).
ERR: This transaction is returned by the destination AFIS to indicate a transaction error. It includes a message field (ERM) indicating the error detected. The following logical records will be returned:
—
1 Type-1 Record,
—
1 Type-2 Record.
The ERR TOT is summarised in Table A.6.3 (Appendix 39-6).
Table 2
Permissible Codes in Transactions
Transaction Type
Logical Record Type
1
2
4
9
13
15
CPS
M
M
M
—
—
—
SRE
M
M
C
—
(C in case of latent HITs)
C
C
MPS
M
M
—
M (1*)
M
—
MMS
M
M
—
M (1*)
M
—
PMS
M
M
M*
—
—
M*
ERR
M
M
—
—
—
—
Key:
M
=
Mandatory,
M*
=
Only one of both record-types may be included,
O
=
Optional,
C
=
Conditional on whether data is available,
—
=
Not allowed,
1*
=
Conditional depending on legacy systems.
3.1.5.   Field 1.005: Date of Transaction (DAT)
This field indicates the date on which the transaction was initiated and shall conform to the ISO standard notation of: YYYYMMDD
where YYYY is the year, MM is the month and DD is the day of the month. Leading zeros are used for single figure numbers. For example, "
                     19931004
                     " represents 4 October 1993.
3.1.6.   Field 1.006: Priority (PRY)
This optional field defines the priority, on a level of 1 to 9, of the request. "1" is the highest priority and "9" the lowest. Priority "1" transactions shall be processed immediately.
3.1.7.   Field 1.007: Destination Agency Identifier (DAI)
This field specifies the destination agency for the transaction.
It consists of two information items in the following format: CC/agency.
The first information item contains the Country Code, defined in ISO 3166, two alpha-numeric characters long. The second item, agency, is a free text identification of the agency, up to a maximum of 32 alpha-numeric characters.
3.1.8.   Field 1.008: Originating Agency Identifier (ORI)
This field specifies the file originator and has the same format as the DAI (Field 1.007).
3.1.9.   Field 1.009: Transaction Control Number (TCN)
This is a control number for reference purposes. It should be generated by the computer and have the following format: YYSSSSSSSSA
where YY is the year of the transaction, SSSSSSSS is an eight-digit serial number, and A is a check character generated by following the procedure given in Appendix 39-2.
Where a TCN is not available, the field, YYSSSSSSSS, is filled with zeros and the check character generated as above.
3.1.10.   Field 1.010: Transaction Control Response (TCR)
Where a request was sent out, to which this is the response, this optional field will contain the transaction control number of the request message. It therefore has the same format as TCN (Field 1.009).
3.1.11.   Field 1.011: Native Scanning Resolution (NSR)
This field specifies the normal scanning resolution of the system supported by the originator of the transaction. The resolution is specified as two numeric digits followed by the decimal point and then two more digits.
For all transactions pursuant to Articles 533 and 534 of this Agreement the sampling rate shall be 500 pixels/inch or 19,68 pixels/mm.
3.1.12.   Field 1.012: Nominal Transmitting Resolution (NTR)
This five-byte field specifies the nominal transmitting resolution for the images being transmitted. The resolution is expressed in pixels/mm in the same format as NSR (Field 1.011).
3.1.13.   Field 1.013: Domain name (DOM)
This mandatory field identifies the domain name for the user-defined Type-2 logical record implementation. It consists of two information items and shall be "INT-I{}{US}}4.22{}{GS}}".
3.1.14.   Field 1.014: Greenwich mean time (GMT)
This mandatory field provides a mechanism for expressing the date and time in terms of universal Greenwich Mean Time (GMT) units. If used, the GMT field contains the universal date that will be in addition to the local date contained in Field 1.005 (DAT). Use of the GMT field eliminates local time inconsistencies encountered when a transaction and its response are transmitted between two places separated by several time zones. The GMT provides a universal date and 24-hour clock time independent of time zones. It is represented as "CCYYMMDDHHMMSSZ", a 15-character string that is the concatenation of the date with the GMT and concludes with a "Z". The "CCYY" characters shall represent the year of the transaction, the "MM" characters shall be the tens and units values of the month, and the "DD" characters shall be the tens and units values of the day of the month, the "HH" characters represent the hour, the "MM" the minute, and the "SS" represents the second. The complete date shall not exceed the current date.
4.   Type-2 Logical Record: Descriptive Text
The structure of most of this record is not defined by the original ANSI/NIST standard. The record contains information of specific interest to the agencies sending or receiving the file. To ensure that communicating dactyloscopic systems are compatible, it is required that only the fields listed below are contained within the record. This document specifies which fields are mandatory and which optional, and also defines the structure of the individual fields.
4.1.   Fields for Type-2 Logical Record
4.1.1.   Field 2.001: Logical Record Length (LEN)
This mandatory field contains the length of this Type-2 record, and specifies the total number of bytes including every character of every field contained in the record and the information separators.
4.1.2.   Field 2.002: Image Designation Character (IDC)
The IDC contained in this mandatory field is an ASCII representation of the IDC as defined in the File Content field (CNT) of the Type-1 record (Field 1.003).
4.1.3.   Field 2.003: System Information (SYS)
This field is mandatory and contains four bytes which indicate which version of the INT-I this particular Type-2 record complies with.
The first two bytes specify the major version number, the second two the minor revision number. For example, this implementation is based on INT-I version 4 revision 22 and would be represented as "0422".
4.1.4.   Field 2.007: Case Number (CNO)
This is a number assigned by the local dactyloscopic bureau to a collection of latents found at a scene-of-crime. The following format is adopted: CC/number
where CC is the Interpol Country Code, two alpha-numeric characters in length, and the number complies with the appropriate local guidelines and may be up to 32 alpha-numeric characters long.
This field allows the system to identify latents associated with a particular crime.
4.1.5.   Field 2.008: Sequence Number (SQN)
This specifies each sequence of latents within a case. It can be up to four numeric characters long. A sequence is a latent or series of latents which are grouped together for the purposes of filing and/or searching. This definition implies that even single latents will still have to be assigned a sequence number.
This field together with MID (Field 2.009) may be included to identify a particular latent within a sequence.
4.1.6.   Field 2.009: Latent Identifier (MID)
This specifies the individual latent within a sequence. The value is a single letter or two letters, with "A" assigned to the first latent, "B" to the second, and so on up to a limit of "ZZ". This field is used analogue to the latent sequence number discussed in the description for SQN (Field 2.008).
4.1.7.   Field 2.010: Criminal Reference Number (CRN)
This is a unique reference number assigned by a national agency to an individual who is charged for the first time with committing an offence. Within one country no individual ever has more than one CRN, or shares it with any other individual. However, the same individual may have Criminal Reference Numbers in several countries, which will be distinguishable by means of the country code.
The following format is adopted for CRN field: CC/number
where CC is the Country Code, defined in ISO 3166, two alpha-numeric characters in length, and the number complies with the appropriate national guidelines of the issuing agency, and may be up to 32 alpha-numeric characters long.
For transactions pursuant to Articles 533 and 534 of this Agreement this field will be used for the national criminal reference number of the originating agency which is linked to the images in Type-4 or Type-15 Records.
4.1.8.   Field 2.012: Miscellaneous Identification Number (MN1)
This fields contains the CRN (Field 2.010) transmitted by a CPS or PMS transaction without the leading country code.
4.1.9.   Field 2.013: Miscellaneous Identification Number (MN2)
This fields contains the CNO (Field 2.007) transmitted by an MPS or MMS transaction without the leading country code.
4.1.10.   Field 2.014: Miscellaneous Identification Number (MN3)
This fields contains the SQN (Field 2.008) transmitted by an MPS or MMS transaction.
4.1.11.   Field 2.015: Miscellaneous Identification Number (MN4)
This fields contains the MID (Field 2.009) transmitted by an MPS or MMS transaction.
4.1.12.   Field 2.063: Additional Information (INF)
In case of an SRE transaction to a PMS request this field gives information about the finger which caused the possible HIT. The format of the field is:
NN where NN is the finger position code defined in Table 5, two digits in length.
In all other cases the field is optional. It consists of up to 32 alpha-numeric characters and may give additional information about the request.
4.1.13.   Field 2.064: Respondents List (RLS)
This field contains at least two subfields. The first subfield describes the type of search that has been carried out, using the three-letter mnemonics which specify the transaction type in TOT (Field 1.004). The second subfield contains a single character. An "I" shall be used to indicate that a HIT has been found and an "N" shall be used to indicate that no matching cases have been found (No-HIT). The third subfield contains the sequence identifier for the candidate result and the total number of candidates separated by a slash. Multiple messages will be returned if multiple candidates exist.
In case of a possible HIT the fourth subfield shall contain the score up to six digits long. If the HIT has been verified the value of this subfield is defined as "999999".
Example: "CPS{}{RS}}I{}{RS}}001/001{}{RS}}999999{}{GS}}"
If the remote AFIS does not assign scores, then a score of zero should be used at the appropriate point.
4.1.14.   Field 2.074: Status/Error Message Field (ERM)
This field contains error messages resulting from transactions, which will be sent back to the requester as part of an Error Transaction.
Table 3
Error messages
Numeric code (1-3)
Meaning (5-128)
003
ERROR: UNAUTHORISED ACCESS
101
Mandatory field missing
102
Invalid record type
103
Undefined field
104
Exceed the maximum occurrence
105
Invalid number of subfields
106
Field length too short
107
Field length too long
108
Field is not a number as expected
109
Field number value too small
110
Field number value too big
111
Invalid character
112
Invalid date
115
Invalid item value
116
Invalid type of transaction
117
Invalid record data
201
ERROR: INVALID TCN
501
ERROR: INSUFFICIENT FINGERPRINT QUALITY
502
ERROR: MISSING FINGERPRINTS
503
ERROR: FINGERPRINT SEQUENCE CHECK FAILED
999
ERROR: ANY OTHER ERROR. FOR FURTHER DETAILS CALL DESTINATION AGENCY.
Error messages in the range between 100 and 199:
These error messages are related to the validation of the ANSI/NIST records and defined as:
<error_code 1>: IDC <idc_number 1> FIELD <field_id 1> <dynamic text 1> LF
<error_code 2>: IDC <idc_number 2> FIELD <field_id 2> <dynamic text 2>…
where
—
error_code is a code uniquely related to a specific reason (see Table 3),
—
field_id is the ANSI/NIST field number of the incorrect field (e.g. 1.001, 2.001, …) in the format <record_type>.<field_id>.<sub_field_id>,
—
dynamic text is a more detailed dynamic description of the error,
—
LF is a Line Feed separating errors if more than one error is encountered,
—
for type-1 record the ICD is defined as "-1".
Example:
201: IDC - 1 FIELD 1.009 WRONG CONTROL CHARACTER {}{LF}} 115: IDC 0 FIELD 2.003 INVALID SYSTEM INFORMATION
This field is mandatory for error transactions.
4.1.15.   Field 2.320: Expected Number of Candidates (ENC)
This field contains the maximum number of candidates for verification expected by the requesting agency. The value of ENC shall not exceed the values defined in Table 11.
5.   Type-4 Logical Record: High Resolution GreyScale Image
It should be noted that Type-4 records are binary rather than ASCII in nature. Therefore each field is assigned a specific position within the record, which implies that all fields are mandatory.
The standard allows both image size and resolution to be specified within the record. It requires Type-4 Logical Records to contain dactyloscopic image data that are being transmitted at a nominal pixel density of 500 to 520 pixels per inch. The preferred rate for new designs is at a pixel density of 500 pixels per inch or 19,68 pixels per mm. 500 pixels per inch is the density specified by the INT-I, except that similar systems may communicate with each other at a non-preferred rate, within the limits of 500 to 520 pixels per inch.
5.1.   Fields for Type-4 Logical Record
5.1.1.   Field 4.001: Logical Record Length (LEN)
This four-byte field contains the length of this Type-4 record, and specifies the total number of bytes including every byte of every field contained in the record.
5.1.2.   Field 4.002: Image Designation Character (IDC)
This is the one-byte binary representation of the IDC number given in the header file.
5.1.3.   Field 4.003: Impression Type (IMP)
The impression type is a single-byte field occupying the sixth byte of the record.
Table 4
Finger Impression Type
Code
Description
0
Live-scan of plain fingerprint
1
Live-scan of rolled fingerprint
2
Non-live scan impression of plain fingerprint captured from paper
3
Non-live scan impression of rolled fingerprint captured from paper
4
Latent impression captured directly
5
Latent tracing
6
Latent photo
7
Latent lift
8
Swipe
9
Unknown
5.1.4.   Field 4.004: Finger Position (FGP)
This fixed-length field of six bytes occupies the seventh through twelfth byte positions of a Type-4 record. It contains possible finger positions beginning in the left most byte (byte seven of the record). The known or most probable finger position is taken from Table 5. Up to five additional fingers may be referenced by entering the alternate finger positions in the remaining five bytes using the same format. If fewer than five finger position references are to be used the unused bytes are filled with binary 255. To reference all finger positions code 0, for unknown, is used.
Table 5
Finger position code and maximum size
Finger position
Finger code
Width
(mm)
Length
(mm)
Unknown
0
40,0
40,0
Right thumb
1
45,0
40,0
Right index finger
2
40,0
40,0
Right middle finger
3
40,0
40,0
Right ring finger
4
40,0
40,0
Right little finger
5
33,0
40,0
Left thumb
6
45,0
40,0
Left index finger
7
40,0
40,0
Left middle finger
8
40,0
40,0
Left ring finger
9
40,0
40,0
Left little finger
10
33,0
40,0
Plain right thumb
11
30,0
55,0
Plain left thumb
12
30,0
55,0
Plain right four fingers
13
70,0
65,0
Plain left four fingers
14
70,0
65,0
For scene of crime latents only the codes 0 to 10 should be used.
5.1.5.   Field 4.005: Image Scanning Resolution (ISR)
This one-byte field occupies the 13th byte of a Type-4 record. If it contains "0" then the image has been sampled at the preferred scanning rate of 19,68 pixels/mm (500 pixels per inch). If it contains "1" then the image has been sampled at an alternative scanning rate as specified in the Type-1 record.
5.1.6.   Field 4.006: Horizontal Line Length (HLL)
This field is positioned at bytes 14 and 15 within the Type-4 record. It specifies the number of pixels contained in each scan line. The first byte will be the most significant.
5.1.7.   Field 4.007: Vertical Line Length (VLL)
This field records in bytes 16 and 17 the number of scan lines present in the image. The first byte is the most significant.
5.1.8.   Field 4.008: Greyscale Compression Algorithm (GCA)
This one-byte field specifies the greyscale compression algorithm used to encode the image data. For this implementation, a binary code 1 indicates that WSQ compression (Appendix 39-7) has been used.
5.1.9.   Field 4.009: The Image
This field contains a byte stream representing the image. Its structure will obviously depend on the compression algorithm used.
6.   Type-9 Logical Record: Minutiæ Record
Type-9 records shall contain ASCII text describing minutiæ and related information encoded from a latent. For latent search transaction, there is no limit for these Type-9 records in a file, each of which shall be for a different view or latent.
6.1.   Minutiæ extraction
6.1.1.   Minutia type identification
This standard defines three identifier numbers that are used to describe the minutia type. These are listed in Table 6. A ridge ending shall be designated Type 1. A bifurcation shall be designated Type 2. If a minutia cannot be clearly categorised as one of the above two types, it shall be designated as "other", Type 0.
Table 6
Minutia types
Type
Description
0
Other
1
Ridge ending
2
Bifurcation
6.1.2.   Minutia placement and type
For templates to be compliant with Section 5 of the ANSI INCITS 378-2004 standard, the following method, which enhances the current INCITS 378-2004 standard, shall be used for determining placement (location and angular direction) of individual minutiæ.
The position or location of a minutia representing a ridge ending shall be the point of forking of the medial skeleton of the valley area immediately in front of the ridge ending. If the three legs of the valley area were thinned down to a single-pixel-wide skeleton, the point of the intersection is the location of the minutia. Similarly, the location of the minutia for a bifurcation shall be the point of forking of the medial skeleton of the ridge. If the three legs of the ridge were each thinned down to a single-pixel-wide skeleton, the point where the three legs intersect is the location of the minutia.
After all ridge endings have been converted to bifurcations, all of the minutiæ of the dactyloscopic image are represented as bifurcations. The X and Y pixel coordinates of the intersection of the three legs of each minutia can be directly formatted. Determination of the minutia direction can be extracted from each skeleton bifurcation. The three legs of every skeleton bifurcation shall be examined and the endpoint of each leg determined. Figure 6.1.2 illustrates the three methods used for determining the end of a leg that is based on a scanning resolution of 500 ppi.
The ending is established according to the event that occurs first. The pixel count is based on a scan resolution of 500 ppi. Different scan resolutions would imply different pixel counts.
—
a distance of 0,064" (the 32nd pixel),
—
the end of skeleton leg that occurs between a distance of 0,02" and 0,064" (the 10th through the 32nd pixels); shorter legs are not used,
—
a second bifurcation is encountered within a distance of 0,064" (before the 32nd pixel).
Figure 4
The angle of the minutiæ is determined by constructing three virtual rays originating at the bifurcation point and extending to the end of each leg. The smallest of the three angles formed by the rays is bisected to indicate the minutiæ direction.
6.1.3.   Coordinate system
The coordinate system used to express the minutiæ of a fingerprint shall be a Cartesian coordinate system. Minutiæ locations shall be represented by their x and y coordinates. The origin of the coordinate system shall be the upper left corner of the original image with x increasing to the right and y increasing downward. Both x and y coordinates of a minutiæ shall be represented in pixel units from the origin. It should be noted that the location of the origin and units of measure is not in agreement with the convention used in the definitions of the Type 9 in the ANSI/NIST-ITL 1-2000.
6.1.4.   Minutiæ direction
Angles are expressed in standard mathematical format, with zero degrees to the right and angles increasing in the counter clockwise direction. Recorded angles are in the direction pointing back along the ridge for a ridge ending and toward the centre of the valley for a bifurcation. This convention is 180 degrees opposite of the angle convention described in the definitions of the Type 9 in the ANSI/NIST-ITL 1-2000.
6.2.   Fields for Type-9 Logical record INCITS-378 Format
All fields of the Type-9 records shall be recorded as ASCII text. No binary fields are permissible in this tagged-field record.
6.2.1.   Field 9.001: Logical record length (LEN)
This mandatory ASCII field shall contain the length of the logical record specifying the total number of bytes, including every character of every field contained in the record.
6.2.2.   Field 9.002: Image designation character (IDC)
This mandatory two-byte field shall be used for the identification and location of the minutiæ data. The IDC contained in this field shall match the IDC found in the file content field of the Type-1 record.
6.2.3.   Field 9.003: Impression type (IMP)
This mandatory one-byte field shall describe the manner by which the dactyloscopic image information was obtained. The ASCII value of the proper code as selected from Table 4 shall be entered in this field to signify the impression type.
6.2.4.   Field 9.004: Minutiæ format (FMT)
This field shall contain a "U" to indicate that the minutiæ are formatted in M1-378 terms. Even though information may be encoded in accordance with the M1-378 standard, all data fields of the Type-9 record shall remain as ASCII text fields.
6.2.5.   Field 9.126: CBEFF information
This field shall contain three information items. The first information item shall contain the value "27" (0x1B). This is the identification of the CBEFF Format Owner assigned by the International Biometric Industry Association (IBIA) to INCITS Technical Committee M1. The <US> character shall delimit this item from the CBEFF Format Type that is assigned a value of "513" (0x0201) to indicate that this record contains only location and angular direction data without any Extended Data Block information. The <US> character shall delimit this item from the CBEFF Product Identifier (PID) that identifies the "owner" of the encoding equipment. The vendor establishes this value. It can be obtained from the IBIA website (www.ibia.org) if it is posted.
6.2.6.   Field 9.127: Capture equipment identification
This field shall contain two information items separated by the <US> character. The first shall contain "APPF" if the equipment used originally to acquire the image was certified to comply with Appendix F (IAFIS Image Quality Specification, 29 January 1999) of CJIS-RS-0010, the Federal Bureau of Investigation's Electronic Fingerprint Transmission Specification. If the equipment did not comply, it will contain the value of "NONE". The second information item shall contain the Capture Equipment ID which is a vendor-assigned product number of the capture equipment. A value of "0" indicates that the capture equipment ID is unreported.
6.2.7.   Field 9.128: Horizontal line length (HLL)
This mandatory ASCII field shall contain the number of pixels contained on a single horizontal line of the transmitted image. The maximum horizontal size is limited to 65534 pixels.
6.2.8.   Field 9.129: Vertical line length (VLL)
This mandatory ASCII field shall contain the number of horizontal lines contained in the transmitted image. The maximum vertical size is limited to 65534 pixels.
6.2.9.   Field 9.130: Scale units (SLC)
This mandatory ASCII field shall specify the units used to describe the image sampling frequency (pixel density). A "1" in this field indicates pixels per inch, or a "2" indicates pixels per centimetre. A "0" in this field indicates no scale is given. In this case, the quotient of HPS/VPS gives the pixel aspect ratio.
6.2.10.   Field 9.131: Horizontal pixel scale (HPS)
This mandatory ASCII field shall specify the integer pixel density used in the horizontal direction providing the SLC contains a "1" or a "2". Otherwise, it indicates the horizontal component of the pixel aspect ratio.
6.2.11.   Field 9.132: Vertical pixel scale (VPS)
This mandatory ASCII field shall specify the integer pixel density used in the vertical direction providing the SLC contains a "1" or a "2". Otherwise, it indicates the vertical component of the pixel aspect ratio.
6.2.12.   Field 9.133: Finger view
This mandatory field contains the view number of the finger associated with this record's data. The view number begins with "0" and increments by one to "15".
6.2.13.   Field 9.134: Finger position (FGP)
This field shall contain the code designating the finger position that produced the information in this Type-9 record. A code between 1 and 10 taken from Table 5 or the appropriate palm code from Table 10 shall be used to indicate the finger or palm position.
6.2.14.   Field 9.135: Finger quality
The field shall contain the quality of the overall finger minutiæ data and shall be between 0 and 100. This number is an overall expression of the quality of the finger record, and represents quality of the original image, of the minutia extraction and any additional operations that may affect the minutiæ record.
6.2.15.   Field 9.136: number of minutiæ
The mandatory field shall contain a count of the number of minutiæ recorded in this logical record.
6.2.16.   Field 9.137: Finger minutiæ data
This mandatory field has six information items separated by the <US> character. It consists of several subfields, each containing the details of single minutiae. The total number of minutiae subfields must agree with the count found in field 136. The first information item is the minutiae index number, which shall be initialised to "1" and incremented by "1" for each additional minutia in the fingerprint. The second and third information items are the "x" coordinate and "y" coordinates of the minutiae in pixel units. The fourth information item is the minutiae angle recorded in units of two degrees. This value shall be nonnegative between 0 and 179. The fifth information item is the minutiae type. A value of "0" is used to represent minutiae of type "OTHER", a value of "1" for a ridge ending and a value of "2" for a ridge bifurcation. The sixth information item represents the quality of each minutiae. This value shall range from 1 as a minimum to 100 as a maximum. A value of "0" indicates that no quality value is available. Each subfield shall be separated from the next with the use of the <RS> separator character.
6.2.17.   Field 9.138: Ridge count information
This field consists of a series of subfields each containing three information items. The first information item of the first subfield shall indicate the ridge count extraction method. A "0" indicates that no assumption shall be made about the method used to extract ridge counts, nor their order in the record. A "1" indicates that for each centre minutiæ, ridge count data was extracted to the nearest neighbouring minutiæ in four quadrants, and ridge counts for each centre minutia are listed together. A "2" indicates that for each centre minutiæ, ridge count data was extracted to the nearest neighbouring minutiæ in eight octants, and ridge counts for each centre minutia are listed together. The remaining two information items of the first subfield shall both contain "0". Information items shall be separated by the <US> separator character. Subsequent subfields will contain the centre minutiæ index number as the first information item, the neighbouring minutiæ index number as the second information item, and the number of ridges crossed as the third information item. Subfields shall be separated by the <RS> separator character.
6.2.18.   Field 9.139: Core information
This field will consist of one subfield for each core present in the original image. Each subfield consists of three information items. The first two items contain the "x" and "y" coordinate positions in pixel units. The third information item contains the angle of the core recorded in units of 2 degrees. The value shall be a nonnegative value between 0 and 179. Multiple cores will be separated by the <RS> separator character.
6.2.19.   Field 9.140: Delta information
This field will consist of one subfield for each delta present in the original image. Each subfield consists of three information items. The first two items contain the "x" and "y" coordinate positions in pixel units. The third information item contains the angle of the delta recorded in units of 2 degrees. The value shall be a nonnegative value between 0 and 179. Multiple cores will be separated by the <RS> separator character.
7.   Type-13 variable-resolution latent image record
The Type-13 tagged-field logical record shall contain image data acquired from latent images. These images are intended to be transmitted to agencies that will automatically extract or provide human intervention and processing to extract the desired feature information from the images.
Information regarding the scanning resolution used, the image size, and other parameters required to process the image, are recorded as tagged-fields within the record.
Table 7
Type-13 variable-resolution latent record layout
Ident
Cond. code
Field Number
Field name
Char type
Field size per occurrence
Occur count
Max byte count
min.
max.
min
max
LEN
M
13.001
LOGICAL RECORD LENGTH
N
4
8
1
1
15
IDC
M
13.002
IMAGE DESIGNATION CHARACTER
N
2
5
1
1
12
IMP
M
13.003
IMPRESSION TYPE
A
2
2
1
1
9
SRC
M
13.004
SOURCE AGENCY/ORI
AN
6
35
1
1
42
LCD
M
13.005
LATENT CAPTURE DATE
N
9
9
1
1
16
HLL
M
13.006
HORIZONTAL LINE LENGTH
N
4
5
1
1
12
VLL
M
13.007
VERTICAL LINE LENGTH
N
4
5
1
1
12
SLC
M
13.008
SCALE UNITS
N
2
2
1
1
9
HPS
M
13.009
HORIZONTAL PIXEL SCALE
N
2
5
1
1
12
VPS
M
13.010
VERTICAL PIXEL SCALE
N
2
5
1
1
12
CGA
M
13.011
COMPRESSION ALGORITHM
A
5
7
1
1
14
BPX
M
13.012
BITS PER PIXEL
N
2
3
1
1
10
FGP
M
13.013
FINGER POSITION
N
2
3
1
6
25
RSV
13.014
RESERVED FOR FUTURE DEFINITION
—
—
—
—
—
—
13.019
COM
O
13.020
COMMENT
A
2
128
0
1
135
RSV
13.021
RESERVED FOR FUTURE DEFINITION
—
—
—
—
—
—
13.199
UDF
O
13.200
USER-DEFINED FIELDS
—
—
—
—
—
—
13.998
DAT
M
13.999
IMAGE DATA
B
2
—
1
1
—
Key for character type: N = Numeric; A = Alphabetic; AN = Alphanumeric; B = Binary
7.1.   Fields for the Type-13 logical record
The following paragraphs describe the data contained in each of the fields for the Type-13 logical record.
Within a Type-13 logical record, entries shall be provided in numbered fields. It is required that the first two fields of the record are ordered, and the field containing the image data shall be the last physical field in the record. For each field of the Type-13 record, Table 7 lists the "condition code" as being mandatory "M" or optional "O", the field number, the field name, character type, field size, and occurrence limits. Based on a three digit field number, the maximum byte count size for the field is given in the last column. As more digits are used for the field number, the maximum byte count will also increase. The two entries in the "field size per occurrence" include all character separators used in the field. The "maximum byte count" includes the field number, the information, and all the character separators including the "GS" character.
7.1.1.   Field 13.001: Logical record length (LEN)
This mandatory ASCII field shall contain the total count of the number of bytes in the Type-13 logical record. Field 13.001 shall specify the length of the record including every character of every field contained in the record and the information separators.
7.1.2.   Field 13.002: Image designation character (IDC)
This mandatory ASCII field shall be used to identify the latent image data contained in the record. This IDC shall match the IDC found in the file content (CNT) field of the Type-1 record.
7.1.3.   Field 13.003: Impression type (IMP)
This mandatory one- or two-byte ASCII field shall indicate the manner by which the latent image information was obtained. The appropriate latent code choice selected from Table 4 (finger) or Table 9 (palm) shall be entered in this field.
7.1.4.   Field 13.004: Source agency/ORI (SRC)
This mandatory ASCII field shall contain the identification of the administration or organisation that originally captured the facial image contained in the record. Normally, the Originating Agency Identifier (ORI) of the agency that captured the image will be contained in this field. It consists of two information items in the following format: CC/agency.
The first information item contains the Interpol Country Code, two alpha-numeric characters long. The second item, agency, is a free text identification of the agency, up to a maximum of 32 alpha-numeric characters.
7.1.5.   Field 13.005: Latent capture date (LCD)
This mandatory ASCII field shall contain the date that the latent image contained in the record was captured. The date shall appear as eight digits in the format CCYYMMDD. The CCYY characters shall represent the year the image was captured; the MM characters shall be the tens and unit values of the month; and the DD characters shall be the tens and unit values of the day in the month. For example, 20000229 represents 29 February 2000. The complete date shall be a legitimate date.
7.1.6.   Field 13.006: Horizontal line length (HLL)
This mandatory ASCII field shall contain the number of pixels contained on a single horizontal line of the transmitted image.
7.1.7.   Field 13.007: Vertical line length (VLL)
This mandatory ASCII field shall contain the number of horizontal lines contained in the transmitted image.
7.1.8.   Field 13.008: Scale units (SLC)
This mandatory ASCII field shall specify the units used to describe the image sampling frequency (pixel density). A "1" in this field indicates pixels per inch, or a "2" indicates pixels per centimetre. A "0" in this field indicates no scale is given. In this case, the quotient of HPS/VPS gives the pixel aspect ratio.
7.1.9.   Field 13.009: Horizontal pixel scale (HPS)
This mandatory ASCII field shall specify the integer pixel density used in the horizontal direction providing the SLC contains a "1" or a "2". Otherwise, it indicates the horizontal component of the pixel aspect ratio.
7.1.10.   Field 13.010: Vertical pixel scale (VPS)
This mandatory ASCII field shall specify the integer pixel density used in the vertical direction providing the SLC contains a "1" or a "2". Otherwise, it indicates the vertical component of the pixel aspect ratio.
7.1.11.   Field 13.011: Compression algorithm (CGA)
This mandatory ASCII field shall specify the algorithm used to compress greyscale images. See Appendix 39-7 for the compression codes.
7.1.12.   Field 13.012: Bits per pixel (BPX)
This mandatory ASCII field shall contain the number of bits used to represent a pixel. This field shall contain an entry of "8" for normal greyscale values of "0" to "255". Any entry in this field greater than "8" shall represent a greyscale pixel with increased precision.
7.1.13.   Field 13.013: Finger/palm position (FGP)
This mandatory tagged-field shall contain one or more of the possible finger or palm positions that may match the latent image. The decimal code number corresponding to the known or most probable finger position shall be taken from Table 5 or the most probable palm position from Table 10 and entered as a one- or two-character ASCII subfield. Additional finger and/or palm positions may be referenced by entering the alternate position codes as subfields separated by the "RS" separator character. The code "0", for "Unknown Finger", shall be used to reference every finger position from one through ten. The code "20", for "Unknown Palm", shall be used to reference every listed palmprint position.
7.1.14.   Field 13.014-019: Reserved for future definition (RSV)
These fields are reserved for inclusion in future revisions of this standard. None of these fields are to be used at this revision level. If any of these fields are present, they are to be ignored.
7.1.15.   Field 13.020: Comment (COM)
This optional field may be used to insert comments or other ASCII text information with the latent image data.
7.1.16.   Field 13.021-199: Reserved for future definition (RSV)
These fields are reserved for inclusion in future revisions of this standard. None of these fields are to be used at this revision level. If any of these fields are present, they are to be ignored.
7.1.17.   Fields 13.200-998: User-defined fields (UDF)
These fields are user-definable fields and will be used for future requirements. Their size and content shall be defined by the user and be in accordance with the receiving agency. If present they shall contain ASCII textual information.
7.1.18.   Field 13.999: Image data (DAT)
This field shall contain all data from a captured latent image. It shall always be assigned field number 999 and shall be the last physical field in the record. For example, "13.999:" is followed by image data in a binary representation.
Each pixel of uncompressed greyscale data shall normally be quantised to eight bits (256 grey levels) contained in a single byte. If the entry in BPX Field 13.012 is greater or less than "8", the number of bytes required to contain a pixel will be different. If compression is used, the pixel data shall be compressed in accordance with the compression technique specified in the GCA field.
7.2.   End of Type-13 variable-resolution latent image record
For the sake of consistency, immediately following the last byte of data from Field 13.999 an "FS" separator shall be used to separate it from the next logical record. This separator shall be included in the length field of the Type-13 record.
8.   Type-15 variable-resolution palmprint image record
The Type-15 tagged-field logical record shall contain and be used to exchange palmprint image data together with fixed and user-defined textual information fields pertinent to the digitised image. Information regarding the scanning resolution used, the image size and other parameters or comments required to process the image are recorded as tagged-fields within the record. Palmprint images transmitted to other agencies will be processed by the recipient agencies to extract the desired feature information required for matching purposes.
The image data shall be acquired directly from a subject using a live-scan device, or from a palmprint card or other media that contains the subject's palmprints.
Any method used to acquire the palmprint images shall be capable of capturing a set of images for each hand. This set shall include the writer's palm as a single scanned image, and the entire area of the full palm extending from the wrist bracelet to the tips of the fingers as one or two scanned images. If two images are used to represent the full palm, the lower image shall extend from the wrist bracelet to the top of the interdigital area (third finger joint) and shall include the thenar, and hypothenar areas of the palm. The upper image shall extend from the bottom of the interdigital area to the upper tips of the fingers. This provides an adequate amount of overlap between the two images that are both located over the interdigital area of the palm. By matching the ridge structure and details contained in this common area, an examiner can confidently state that both images came from the same palm.
As a palmprint transaction may be used for different purposes, it may contain one or more unique image areas recorded from the palm or hand. A complete palmprint record set for one individual will normally include the writer's palm and the full palm image(s) from each hand. Since a tagged-field logical image record may contain only one binary field, a single Type-15 record will be required for each writer's palm and one or two Type-15 records for each full palm. Therefore, four to six Type-15 records will be required to represent the subject's palmprints in a normal palmprint transaction.
8.1.   Fields for the Type-15 logical record
The following paragraphs describe the data contained in each of the fields for the Type-15 logical record.
Within a Type-15 logical record, entries shall be provided in numbered fields. It is required that the first two fields of the record are ordered, and the field containing the image data shall be the last physical field in the record. For each field of the Type-15 record, Table 8 lists the "condition code" as being mandatory "M" or optional "O", the field number, the field name, character type, field size, and occurrence limits. Based on a three digit field number, the maximum byte count size for the field is given in the last column. As more digits are used for the field number, the maximum byte count will also increase. The two entries in the "field size per occurrence" include all character separators used in the field. The "maximum byte count" includes the field number, the information, and all the character separators including the "GS" character.
8.1.1.   Field 15.001: Logical record length (LEN)
This mandatory ASCII field shall contain the total count of the number of bytes in the Type-15 logical record. Field 15.001 shall specify the length of the record including every character of every field contained in the record and the information separators.
8.1.2.   Field 15.002: Image designation character (IDC)
This mandatory ASCII field shall be used to identify the palmprint image contained in the record. This IDC shall match the IDC found in the file content (CNT) field of the Type-1 record.
8.1.3.   Field 15.003: Impression type (IMP)
This mandatory one-byte ASCII field shall indicate the manner by which the palmprint image information was obtained. The appropriate code selected from Table 9 shall be entered in this field.
8.1.4.   Field 15.004: Source agency/ORI (SRC)
This mandatory ASCII field shall contain the identification of the administration or organisation that originally captured the facial image contained in the record. Normally, the Originating Agency Identifier (ORI) of the agency that captured the image will be contained in this field. It consists of two information items in the following format: CC/agency.
The first information item contains the Interpol Country Code, two alpha-numeric characters long. The second item, agency, is a free text identification of the agency, up to a maximum of 32 alpha-numeric characters.
8.1.5.   Field 15.005: Palmprint capture date (PCD)
This mandatory ASCII field shall contain the date that the palmprint image was captured. The date shall appear as eight digits in the format CCYYMMDD. The CCYY characters shall represent the year the image was captured; the MM characters shall be the tens and unit values of the month; and the DD characters shall be the tens and units values of the day in the month. For example, the entry 20000229 represents 29 February 2000. The complete date shall be a legitimate date.
8.1.6.   Field 15.006: Horizontal line length (HLL)
This mandatory ASCII field shall contain the number of pixels contained on a single horizontal line of the transmitted image.
8.1.7.   Field 15.007: Vertical line length (VLL)
This mandatory ASCII field shall contain the number of horizontal lines contained in the transmitted image.
8.1.8.   Field 15.008: Scale units (SLC)
This mandatory ASCII field shall specify the units used to describe the image sampling frequency (pixel density). A "1" in this field indicates pixels per inch, or a "2" indicates pixels per centimetre. A "0" in this field indicates no scale is given. In this case, the quotient of HPS/VPS gives the pixel aspect ratio.
8.1.9.   Field 15.009: Horizontal pixel scale (HPS)
This mandatory ASCII field shall specify the integer pixel density used in the horizontal direction providing the SLC contains a "1" or a "2". Other-wise, it indicates the horizontal component of the pixel aspect ratio.
8.1.10.   Field 15.010: Vertical pixel scale (VPS)
This mandatory ASCII field shall specify the integer pixel density used in the vertical direction providing the SLC contains a "1" or a "2". Otherwise, it indicates the vertical component of the pixel aspect ratio.
Table 8
Type-15 variable-resolution palmprint record layout
Ident
Cond. code
Field number
Field name
Char type
Field size per occurrence
Occur count
Max byte count
min.
max.
min
max
LEN
M
15.001
LOGICAL RECORD LENGTH
N
4
8
1
1
15
IDC
M
15.002
IMAGE DESIGNATION CHARACTER
N
2
5
1
1
12
IMP
M
15.003
IMPRESSION TYPE
N
2
2
1
1
9
SRC
M
15.004
SOURCE AGENCY/ORI
AN
6
35
1
1
42
PCD
M
15.005
PALMPRINT CAPTURE DATE
N
9
9
1
1
16
HLL
M
15.006
HORIZONTAL LINE LENGTH
N
4
5
1
1
12
VLL
M
15.007
VERTICAL LINE LENGTH
N
4
5
1
1
12
SLC
M
15.008
SCALE UNITS
N
2
2
1
1
9
HPS
M
15.009
HORIZONTAL PIXEL SCALE
N
2
5
1
1
12
VPS
M
15.010
VERTICAL PIXEL SCALE
N
2
5
1
1
12
CGA
M
15.011
COMPRESSION ALGORITHM
AN
5
7
1
1
14
BPX
M
15.012
BITS PER PIXEL
N
2
3
1
1
10
PLP
M
15.013
PALMPRINT POSITION
N
2
3
1
1
10
RSV
15.014
RESERVED FOR FUTURE INCLUSION
—
—
—
—
—
—
15.019
COM
O
15.020
COMMENT
AN
2
128
0
1
128
RSV
15.021
RESERVED FOR FUTURE INCLUSION
—
—
—
—
—
—
15.199
UDF
O
15.200
USER-DEFINED FIELDS
—
—
—
—
—
—
15.998
DAT
M
15.999
IMAGE DATA
B
2
—
1
1
—
Table 9
Palm Impression Type
Description
Code
Live-scan palm
10
Nonlive-scan palm
11
Latent palm impression
12
Latent palm tracing
13
Latent palm photo
14
Latent palm lift
15
8.1.11.   Field 15.011: Compression algorithm (CGA)
This mandatory ASCII field shall specify the algorithm used to compress greyscale images. An entry of "NONE" in this field indicates that the data contained in this record are uncompressed. For those images that are to be compressed, this field shall contain the preferred method for the compression of tenprint fingerprint images. Valid compression codes are defined in Appendix 39-7.
8.1.12.   Field 15.012: Bits per pixel (BPX)
This mandatory ASCII field shall contain the number of bits used to represent a pixel. This field shall contain an entry of "8" for normal greyscale values of "0" to "255". Any entry in this field greater than or less than "8" shall represent a greyscale pixel with increased or decreased precision respectively.
Table 10
Palm Codes, Areas and Sizes
Palm Position
Palm code
Image area (mm
2
)
Width (mm)
Height (mm)
Unknown Palm
20
28387
139,7
203,2
Right Full Palm
21
28387
139,7
203,2
Right Writer s Palm
22
5645
44,5
127,0
Left Full Palm
23
28387
139,7
203,2
Left Writer s Palm
24
5645
44,5
127,0
Right Lower Palm
25
19516
139,7
139,7
Right Upper Palm
26
19516
139,7
139,7
Left Lower Palm
27
19516
139,7
139,7
Left Upper Palm
28
19516
139,7
139,7
Right Other
29
28387
139,7
203,2
Left Other
30
28387
139,7
203,2
8.1.13.   Field 15.013: Palmprint position (PLP)
This mandatory tagged-field shall contain the palmprint position that matches the palmprint image. The decimal code number corresponding to the known or most probable palmprint position shall be taken from Table 10 and entered as a two-character ASCII subfield. Table 10 also lists the maximum image areas and dimensions for each of the possible palmprint positions.
8.1.14.   Field 15.014-019: Reserved for future definition (RSV)
These fields are reserved for inclusion in future revisions of this standard. None of these fields are to be used at this revision level. If any of these fields are present, they are to be ignored.
8.1.15.   Field 15.020: Comment (COM)
This optional field may be used to insert comments or other ASCII text information with the palmprint image data.
8.1.16.   Field 15.021-199: Reserved for future definition (RSV)
These fields are reserved for inclusion in future revisions of this standard. None of these fields are to be used at this revision level. If any of these fields are present, they are to be ignored.
8.1.17.   Fields 15.200-998: User-defined fields (UDF)
These fields are user-definable fields and will be used for future requirements. Their size and content shall be defined by the user and be in accordance with the receiving agency. If present, they shall contain ASCII textual information.
8.1.18.   Field 15.999: Image data (DAT)
This field shall contain all of the data from a captured palmprint image. It shall always be assigned field number 999 and shall be the last physical field in the record. For example, "15.999:" is followed by image data in a binary representation. Each pixel of uncompressed greyscale data shall normally be quantised to eight bits (256 grey levels) contained in a single byte. If the entry in BPX Field 15.012 is greater or less than 8, the number of bytes required to contain a pixel will be different. If compression is used, the pixel data shall be compressed in accordance with the compression technique specified in the CGA field.
8.2.   End of Type-15 variable-resolution palmprint image record
For the sake of consistency, immediately following the last byte of data from Field 15.999 an "FS" separator shall be used to separate it from the next logical record. This separator shall be included in the length field of the Type-15 record.
8.3.   Additional Type-15 variable-resolution palmprint image records
Additional Type-15 records may be included in the file. For each additional palmprint image, a complete Type-15 logical record together with the "FS" separator is required.
Table 11
Maximum numbers of candidates accepted for verification per transmission
Type of AFIS Search
TP/TP
LT/TP
LP/PP
TP/UL
LT/UL
PP/ULP
LP/ULP
Maximum Number of Candidates
1
10
5
5
5
5
5
Search types:
TP/TP: ten-print against ten-print
LT/TP: fingerprint latent against ten-print
LP/PP: palmprint latent against palmprint
TP/UL: ten-print against unsolved fingerprint latent
LT/UL: fingerprint latent against unsolved fingerprint latent
PP/ULP: palmprint against unsolved palmprint latent
LP/ULP: palmprint latent against unsolved palmprint latent
9.   Appendices to Chapter 2 (exchange of dactyloscopic data)
9.1.   Appendix 39-1: ASCII Separator Codes
ASCII
Position
 (
2
)
Description
LF
1/10
Separates error codes in Field 2.074
FS
1/12
Separates logical records of a file
GS
1/13
Separates fields of a logical record
RS
1/14
Separates the subfields of a record field
US
1/15
Separates individual information items of the field or subfield
9.2.   Appendix 39-2: Calculation of Alpha-Numeric Check Character
For TCN and TCR (Fields 1.09 and 1.10):
The number corresponding to the check character is generated using the following formula:
(YY * 10
8
 
+ S
SSSSSSS) Modulo 23
Where YY and SSSSSSSS are the numerical values of the last two digits of the year and the serial number respectively.
The check character is then generated from the look-up table given below.
For CRO (Field 2.010)
The number corresponding to the check character is generated using the following formula:
(YY * 10
6
 + NNNNNN) Modulo 23
Where YY and NNNNNN are the numerical values of the last two digits of the year and the serial number respectively.
The check character is then generated from the look-up table given below.
Check Character Look-up Table
1-A
9-J
17-T
2-B
10-K
18-U
3-C
11-L
19-V
4-D
12-M
20-W
5-E
13-N
21-X
6-F
14-P
22-Y
7-G
15-Q
0-Z
8-H
16-R
9.3.   Appendix 39-3: Character Codes
7-bit ANSI code for information interchange
ASCII Character Set
+
0
1
2
3
4
5
6
7
8
9
30
!
’
#
$
%
&
‘
40
(
)
*
+
,
-
.
/
0
1
50
2
3
4
5
6
7
8
9
:
;
60
<
=
>
?
@
A
B
C
D
E
70
F
G
H
I
J
K
L
M
N
O
80
P
Q
R
S
T
U
V
W
X
Y
90
Z
[
\
]
^
_
`
a
b
c
100
d
e
f
g
h
i
j
k
l
m
110
n
o
p
q
r
s
t
u
v
w
120
x
y
z
{}{
|
}}
~
9.4.   Appendix 39-4: Transaction Summary
Type 1 Record (mandatory)
Identifier
Field number
Field name
CPS/PMS
SRE
ERR
LEN
1.001
Logical Record Length
M
M
M
VER
1.002
Version Number
M
M
M
CNT
1.003
File Content
M
M
M
TOT
1.004
Type of Transaction
M
M
M
DAT
1.005
Date
M
M
M
PRY
1.006
Priority
M
M
M
DAI
1.007
Destination Agency
M
M
M
ORI
1.008
Originating Agency
M
M
M
TCN
1.009
Transaction Control Number
M
M
M
TCR
1.010
Transaction Control Reference
C
M
M
NSR
1.011
Native Scanning Resolution
M
M
M
NTR
1.012
Nominal Transmitting Resolution
M
M
M
DOM
1.013
Domain name
M
M
M
GMT
1.014
Greenwich mean time
M
M
M
Under the Condition Column:
O = Optional; M = Mandatory; C = Conditional if transaction is a response to the origin agency
Type 2 Record (mandatory)
Identifier
Field number
Field name
CPS/PMS
MPS/MMS
SRE
ERR
LEN
2.001
Logical Record Length
M
M
M
M
IDC
2.002
Image Designation Character
M
M
M
M
SYS
2.003
System Information
M
M
M
M
CNO
2.007
Case Number
—
M
C
—
SQN
2.008
Sequence Number
—
C
C
—
MID
2.009
Latent Identifier
—
C
C
—
CRN
2.010
Criminal Reference Number
M
—
C
—
MN1
2.012
Miscellaneous Identification Number
—
—
C
C
MN2
2.013
Miscellaneous Identification Number
—
—
C
C
MN3
2.014
Miscellaneous Identification Number
—
—
C
C
MN4
2.015
Miscellaneous Identification Number
—
—
C
C
INF
2.063
Additional Information
O
O
O
O
RLS
2.064
Respondents List
—
—
M
—
ERM
2.074
Status/Error Message Field
—
—
—
M
ENC
2.320
Expected Number of Candidates
M
M
—
—
Under the Condition Column:
O = Optional; M = Mandatory; C = Conditional if data is available
*
=
if the transmission of the data is in accordance with domestic law (not covered by Articles 533 and 534 of this Agreement)
9.5.   Appendix 39-5: Type-1 Record Definitions
Identifier
Condition
Field number
Field name
Character type
Example data
LEN
M
1.001
Logical Record Length
N
1.001:230{}{GS}}
VER
M
1.002
Version Number
N
1.002:0300{}{GS}}
CNT
M
1.003
File Content
N
1.003:1{}{US}}15{}{RS}}2{}{US}}00{}{RS}}4{}{US}}01{}{RS}}4{}{US}}02{}{RS}}4{}{US}}03{}{RS}}4{}{US}}04{}{RS}}4{}{US}}05{}{RS}}4{}{US}}06{}{RS}}4{}{US}}07{}{RS}}4{}{US}}08{}{RS}}4{}{US}}09{}{RS}}4{}{US}}10{}{RS}}4{}{US}}11{}{RS}}4{}{US}}12{}{RS}}4{}{US}}13{}{RS}}4{}{US}}14{}{GS}}
TOT
M
1.004
Type of Transaction
A
1.004:CPS{}{GS}}
DAT
M
1.005
Date
N
1.005:20050101{}{GS}}
PRY
M
1.006
Priority
N
1.006:4{}{GS}}
DAI
M
1.007
Destination Agency
1
*
1.007:DE/BKA{}{GS}}
ORI
M
1.008
Originating Agency
1
*
1.008:NL/NAFIS{}{GS}}
TCN
M
1.009
Transaction Control Number
AN
1.009:0200000004F{}{GS}}
TCR
C
1.010
Transaction Control Reference
AN
1.010:0200000004F{}{GS}}
NSR
M
1.011
Native Scanning Resolution
AN
1.011:19.68{}{GS}}
NTR
M
1.012
Nominal Transmitting Resolution
AN
1.012:19,68{}{GS}}
DOM
M
1.013
Domain Name
AN
1.013: INT-I{}{US}}4,22{}{GS}}
GMT
M
1.014
Greenwich Mean Time
AN
1.014:20050101125959Z
Under the Condition Column: O = Optional, M = Mandatory, C = Conditional
Under the Character Type Column: A = Alpha, N = Numeric, B = Binary
1
*
 allowed characters for agency name are ["0..9", "A..Z", "a..z", "_", ".", "
                  ", "-"]
9.6.   Appendix 39-6: Type-2 Record Definitions
Table A.6.1
CPS- and PMS-Transaction
Identifier
Condition
Field number
Field name
Character type
Example data
LEN
M
2.001
Logical Record Length
N
2.001:909{}{GS}}
IDC
M
2.002
Image Designation Character
N
2.002:00{}{GS}}
SYS
M
2.003
System Information
N
2.003:0422{}{GS}}
CRN
M
2.010
Criminal Reference Number
AN
2.010:DE/E999999999{}{GS}}
INF
O
2.063
Additional Information
1
*
2.063:Additional Information 123{}{GS}}
ENC
M
2.320
Expected Number of Candidates
N
2.320:1{}{GS}}
Table A.6.2
SRE-Transaction
Identifier
Condition
Field number
Field name
Character type
Example data
LEN
M
2.001
Logical Record Length
N
2.001:909{}{GS}}
IDC
M
2.002
Image Designation Character
N
2.002:00{}{GS}}
SYS
M
2.003
System Information
N
2.003:0422{}{GS}}
CRN
C
2.010
Criminal Reference Number
AN
2.010:NL/2222222222{}{GS}}
MN1
C
2.012
Miscellaneous Identification Number
AN
2.012:E999999999{}{GS}}
MN2
C
2.013
Miscellaneous Identification Number
AN
2.013:E999999999{}{GS}}
MN3
C
2.014
Miscellaneous Identification Number
N
2.014:0001{}{GS}}
MN4
C
2.015
Miscellaneous Identification Number
A
2.015:A{}{GS}}
INF
O
2.063
Additional Information
1
*
2.063:Additional Information 123{}{GS}}
RLS
M
2.064
Respondents List
AN
2.064:CPS{}{RS}}I{}{RS}}001/001{}{RS}}999999{}{GS}}
Table A.6.3
ERR-Transaction
Identifier
Condition
Field number
Field name
Character type
Example data
LEN
M
2.001
Logical Record Length
N
2.001:909{}{GS}}
IDC
M
2.002
Image Designation Character
N
2.002:00{}{GS}}
SYS
M
2.003
System Information
N
2.003:0422{}{GS}}
MN1
M
2.012
Miscellaneous Identification Number
AN
2.012:E999999999{}{GS}}
MN2
C
2.013
Miscellaneous Identification Number
AN
2.013:E999999999{}{GS}}
MN3
C
2.014
Miscellaneous Identification Number
N
2.014:0001{}{GS}}
MN4
C
2.015
Miscellaneous Identification Number
A
2.015:A{}{GS}}
INF
O
2.063
Additional Information
1
*
2.063:Additional Information 123{}{GS}}
ERM
M
2.074
Status/Error Message Field
AN
2.074: 201: IDC - 1 FIELD 1.009 WRONG CONTROL CHARACTER {}{LF}} 115: IDC 0 FIELD 2.003 INVALID SYSTEM INFORMATION {}{GS}}
Table A.6.4
MPS- and MMS-Transaction
Identifier
Condition
Field number
Field name
Character type
Example data
LEN
M
2.001
Logical Record Length
N
2.001:909{}{GS}}
IDC
M
2.002
Image Designation Character
N
2.002:00{}{GS}}
SYS
M
2.003
System Information
N
2.003:0422{}{GS}}
CNO
M
2.007
Case Number
AN
2.007:E999999999{}{GS}}
SQN
C
2.008
Sequence Number
N
2.008:0001{}{GS}}
MID
C
2.009
Latent Identifier
A
2.009:A{}{GS}}
INF
O
2.063
Additional Information
1
*
2.063:Additional Information 123{}{GS}}
ENC
M
2.320
Expected Number of Candidates
N
2.320:1{}{GS}}
Under the Condition Column: O = Optional, M = Mandatory, C = Conditional
Under the Character Type Column: A = Alpha, N = Numeric, B = Binary
1
*
 allowed characters are ["0..9", "A..Z", "a..z", "_", ".", "
                  ", "-", ","]
9.7.   Appendix 39-7: Greyscale Compression Codes
Compression Codes
Compression
Value
Remarks
Wavelet Scalar Quantisation Greyscale Fingerprint Image Compression Specification
IAFIS-IC-0010(V3), dated 19 December 1997
WSQ
Algorithm to be used for the compression of greyscale images in Type-4, Type-7 and Type-13 to Type-15 records. Shall not be used for resolutions > 500 dpi.
JPEG 2000
[ISO 15444/ITU T.800]
J2K
To be used for lossy and losslessly compression of greyscale images in Type-13 to Type-15 records. Strongly recommended for resolutions > 500 dpi
9.8.   Appendix 39-8: Mail specification
To improve the internal workflow the mail subject of a PRUEM transaction has to be filled with the country code (CC) of the State that send the message and the Type of Transaction (TOT Field 1.004).
Format: CC/type of transaction
Example: "DE/CPS"
The mail body can be empty.
CHAPTER 3
EXCHANGE OF VEHICLE REGISTRATION DATA
1.   Common data-set for automated search of vehicle registration data
1.1.   Definitions
The definitions of mandatory and optional data elements set out in Article 14(4) of Chapter 0 are as follows:
Mandatory (M):
The data element has to be communicated when the information is available in a State's national register. Therefore there is an obligation to exchange the information when available.
Optional (O):
The data element may be communicated when the information is available in a State's national register. Therefore there is no obligation to exchange the information even when the information is available.
An indication (Y) is given for each element in the data set where the element is specifically identified as important in relation with Article 537 of this Agreement.
1.2.   Vehicle/owner/holder search
1.2.1.   Triggers for the search
There are two different ways to search for the information as defined in the next paragraph:
—
by Chassis Number (VIN), Reference Date and Time (optional),
—
by License Plate Number, Chassis Number (VIN) (optional), Reference Date and Time (optional).
By means of these search criteria, information related to one and sometimes more vehicles will be returned. If information for only one vehicle has to be returned, all the items are returned in one response. If more than one vehicle is found, the requested State itself can determine which items will be returned; all items or only the items to refine the search (e.g. because of privacy reasons or because of performance reasons).
The items necessary to refine the search are pictured in paragraph 1.2.2.1. In paragraph 1.2.2.2 the complete information set is described.
When the search is done by Chassis Number, Reference Date and Time, the search can be done in one or all of the participating States.
When the search is done by License Number, Reference Data and Time, the search has to be done in one specific State.
Normally the actual Date and Time is used to make a search, but it is possible to conduct a search with a Reference Date and Time in the past. When a search is made with a Reference Date and Time in the past and historical information is not available in the register of the specific State because no such information is registered at all, the actual information can be returned with an indication that the information is actual information.
1.2.2.   Data set
1.2.2.1.
Items to be returned necessary for the refinement of the search
Item
M/O
 (
3
)
Remarks
Prüm Y/N
 (
4
)
Data relating to vehicles
Licence number
M
Y
Chassis number/VIN
M
Y
Country of registration
M
Y
Make
M
(D.1
 (
5
)
) e.g. Ford, Opel, Renault, etc.
Y
Commercial type of the vehicle
M
(D.3) e.g. Focus, Astra, Megane
Y
EU Category Code
M
(J) mopeds, motorbikes, cars, etc.
Y
1.2.2.2.
Complete data set
Item
M/O
 (
6
)
Remarks
Prüm Y/N
Data relating to holders of the vehicle
(C.1
 (
7
)
) The data refer to the holder of the specific registration certificate.
Registration holders' (company) name
M
(C.1.1.)
separate fields will be used for surname, infixes, titles, etc., and the name in printable format will be communicated
Y
First name
M
(C.1.2)
separate fields for first name(s) and initials will be used, and the name in printable format will be communicated
Y
Address
M
(C.1.3)
separate fields will be used for Street, House number and Annex, Zip code, Place of residence, Country of residence, etc., and the Address in printable format will be communicated
Y
Gender
M
Male, female
Y
Date of birth
M
Y
Legal entity
M
individual, association, company, firm, etc.
Y
Place of Birth
O
Y
ID Number
O
An identifier that uniquely identifies the person or the company.
N
Type of ID Number
O
The type of ID Number (e.g. passport number).
N
Start date holdership
O
Start date of the holdership of the car. This date will often be the same as printed under (I) on the registration certificate of the vehicle.
N
End date holdership
O
End data of the holdership of the car.
N
Type of holder
O
If there is no owner of the vehicle (C.2) the reference to the fact that the holder of the registration certificate:
—
is the vehicle owner,
—
is not the vehicle owner,
—
is not identified by the registration certificate as being the vehicle owner.
N
Data relating to owners of the vehicle
(C.2)
Owners' (company) name
M
(C.2.1)
Y
First name
M
(C.2.2)
Y
Address
M
(C.2.3)
Y
Gender
M
male, female
Y
Date of birth
M
Y
Legal entity
M
individual, association, company, firm, etc.
Y
Place of Birth
O
Y
ID Number
O
An identifier that uniquely identifies the person or the company.
N
Type of ID Number
O
The type of ID Number (e.g. passport number).
N
Start date ownership
O
Start date of the ownership of the car.
N
End date ownership
O
End data of the ownership of the car.
N
Data relating to vehicles
Licence number
M
Y
Chassis number/VIN
M
Y
Country of registration
M
Y
Make
M
(D.1) e.g. Ford, Opel, Renault, etc.
Y
Commercial type of the vehicle
M
(D.3) e.g. Focus, Astra, Megane.
Y
Nature of the vehicle/EU Category Code
M
(J) mopeds, motorbikes, cars, etc.
Y
Date of first registration
M
(B) Date of first registration of the vehicle somewhere in the world.
Y
Start date (actual) registration
M
(I) Date of the registration to which the specific certificate of the vehicle refers.
Y
End date registration
M
End data of the registration to which the specific certificate of the vehicle refers. It is possible this date indicates the period of validity as printed on the document if not unlimited (document abbreviation = H).
Y
Status
M
Scrapped, stolen, exported, etc.
Y
Start date status
M
Y
End date status
O
N
kW
O
(P.2)
Y
Capacity
O
(P.1)
Y
Type of licence number
O
Regular, transito, etc.
Y
Vehicle document id 1
O
The first unique document ID as printed on the vehicle document.
Y
Vehicle document id 2
 (
8
)
O
A second document ID as printed on the vehicle document.
Y
Data relating to insurances
Insurance company name
O
Y
Begin date insurance
O
Y
End date insurance
O
Y
Address
O
Y
Insurance number
O
Y
ID number
O
An identifier that uniquely identifies the company.
N
Type of ID number
O
The type of ID number (e.g. number of the Chamber of Commerce)
N
2.   Data Security
2.1.   Overview
The Eucaris software application handles secure communication to the other States and communicates to the back-end legacy systems of States using XML. States exchange messages by directly sending them to the recipient. The data centre of a State is connected to the TESTA network.
The XML-messages sent over the network are encrypted. The technique to encrypt these messages is SSL. The messages sent to the back-end are plain text XML-messages since the connection between the application and the back-end shall be in a protected environment.
A client application is provided which can be used within a State to query their own register or other States' registers. The clients will be identified by means of user-id/password or a client certificate. The connection to a user may be encrypted, but this is the responsibility of each individual State.
2.2.   Security Features related to message exchange
The security design is based on a combination of HTTPS and XML signature. This alternative uses XML-signature to sign all messages sent so the server and can authenticate the sender of the message by checking the signature. 1-sided SSL (only a server certificate) is used to protect the confidentiality and integrity of the message in transit and provides protection against deletion/replay and insertion attacks. Instead of bespoke software development to implement 2-sided SSL, XML-signature is implemented. Using XML-signature is closer to the web services roadmap than 2-sided SSL and therefore more strategic.
The XML-signature can be implemented in several ways but the chosen approach is to use XML Signature as part of the Web Services Security (WSS). WSS specifies how to use XML-signature. Since WSS builds upon the SOAP standard, it is logical to adhere to the SOAP standard as much as possible.
2.3.   Security features not related to message exchange
2.3.1.   Authentication of users
The users of the Eucaris web application authenticate themselves using a username and password. Since standard Windows authentication is used, States can enhance the level of authentication of users if needed by using client certificates.
2.3.2.   User roles
The Eucaris software application supports different user roles. Each cluster of services has its own authorisation. E.g. (exclusive) users of the "'Treaty of Eucaris' — functionality" may not use the "'Prüm' — functionality". Administrator services are separated from the regular end-user roles.
2.3.3.   Logging and tracing of message exchange
Logging of all message types is facilitated by the Eucaris software application. An administrator function allows the national administrator to determine which messages are logged: requests from end-users, incoming requests from other States, provided information from the national registers, etc.
The application can be configured to use an internal database for this logging, or an external (Oracle) database. The decision on what messages have to be logged clearly depends on logging facilities elsewhere in the legacy systems and connected client applications.
The header of each message contains information on the requesting State, the requesting organisation within that State and the user involved. Also the reason of the request is indicated.
By means of the combined logging in the requesting and responding State complete tracing of any message exchange is possible (e.g. on request of a citizen involved).
Logging is configured through the Eucaris web client (menu Administration, Logging configuration). The logging functionality is performed by the Core System. When logging is enabled, the complete message (header and body) is stored in one logging record. Per defined service, and per message type that passes along the Core System, the logging level can be set.
Logging Levels
The following logging levels are possible:
Private — Message is logged: The logging is NOT available to the extract logging service but is available on a national level only, for audits and problem solving.
None — Message is not logged at all.
Message Types
Information exchange between States consists of several messages, of which a schematic representation is given in Figure 5 below.
The possible message types (in Figure 5 shown for the Eucaris Core System of State X) are the following:
1.
Request to Core System_Request message by Client;
2.
Request to Other State_Request message by Core System of this State;
3.
Request to Core System of this State_Request message by Core System of other State;
4.
Request to Legacy Register_Request message by Core System;
5.
Request to Core System_Request message by Legacy Register;
6.
Response from Core System_Request message by Client;
7.
Response from Other State_Request message by Core System of this State;
8.
Response from Core System of this State_Request message by other State;
9.
Response from Legacy Register_Request message by Core System;
10.
Response from Core System_Request message by Legacy Register.
The following information exchanges are shown in Figure 5:
—
Information request from State X to State Y — blue arrows. This request and response consists of message types 1, 2, 7 and 6, respectively,
—
Information request from State Z to State X — red arrows. This request and response consists of message types 3, 4, 9 and 8, respectively,
—
Information request from the legacy register to its core system (this route also includes a request from a custom client behind the legacy register) — green arrows. This kind of request consists of message types 5 and 10.
Figure 5 Message types for logging
2.3.4.   Hardware Security Module
A Hardware Security Module is not used.
A Hardware Security Module (HSM) provides good protection for the key used to sign messages and to identify servers. This adds to the overall level of security but an HSM is expensive to buy/maintain and there are no requirements to decide for a FIPS 140-2 level 2 or level 3 HSM. Since a closed network is used that mitigates threats effectively, it is decided not to use an HSM initially. If an HSM is necessary e.g. to obtain accreditation, it can be added to the architecture.
3.   Technical conditions of the data exchange
3.1.   General description of the Eucaris application
3.1.1.   Overview
The Eucaris application connects all participating States in a mesh network where each State communicates directly to another State. There is no central component needed for the communication to be established. The Eucaris application handles secure communication to the other States and communicates to the back-end legacy systems of States using XML. The following picture visualises this architecture.
States exchange messages by directly sending them to the recipient. The data centre of a State is connected to the network used for the message exchange (TESTA). To access the TESTA network, States connect to TESTA via their national gate. A firewall shall be used to connect to the network and a router connects the Eucaris application to the firewall. Depending on the alternative chosen to protect the messages, a certificate is used either by the router or by the Eucaris application.
A client application is provided which can be used within a State to query its own register or other States' registers. The client application connects to Eucaris. The clients will be identified by means of user-id/password or a client certificate. The connection to a user in an external organisation (e.g. police) may be encrypted but this is the responsibility of each individual State.
3.1.2.   Scope of the system
The scope of the Eucaris system is limited to the processes involved in the exchange of information between the Registration Authorities in the States and a basic presentation of this information. Procedures and automated processes in which the information is to be used, are outside the scope of the system.
States can choose either to use the Eucaris client functionality or to set up their own customised client application. The table below describes which aspects of the Eucaris system are mandatory to use and/or prescribed and which are optional to use and/or free to determine by the States.
Eucaris aspects
M/O
 (
9
)
Remark
Network concept
M
The concept is an "any-to-any" communication.
Physical network
M
TESTA
Core application
M
The core application of Eucaris has to be used to connect to the other States. The following functionality is offered by the core:
—
Encrypting and signing of the messages;
—
Checking of the identity of the sender;
—
Authorisation of States and local users;
—
Routing of messages;
—
Queuing of asynchronous messages if the recipient service is temporally unavailable;
—
Multiple country inquiry functionality;
—
Logging of the exchange of messages;
—
Storage of incoming messages
Client application
O
In addition to the core application the Eucaris II client application can be used by a State. When applicable, the core and client application are modified under auspices of the Eucaris organisation.
Security concept
M
The concept is based on XML-signing by means of client certificates and SSL-encryption by means of service certificates.
Message specifications
M
Every State has to comply with the message specifications as set by the Eucaris organisation and this Chapter. The specifications can only be changed by the Eucaris organisation in consultation with the States.
Operation and Support
M
The acceptance of new States or a new functionality is under auspices of the Eucaris organisation. Monitoring and help desk functions are managed centrally by an appointed State.
3.2.   Functional and Non-Functional Requirements
3.2.1.   Generic functionality
In this section the main generic functions have been described in general terms.
No
Description
1.
The system allows the Registration Authorities of the States to exchange request and response messages in an interactive way.
2.
The system contains a client application, enabling end-users to send their requests and presenting the response information for manual processing
3.
The system facilitates "broadcasting", allowing a State to send a request to all other States. The incoming responses are consolidated by the core application in one response message to the client application (this functionality is called a "Multiple Country Inquiry").
4.
The system is able to deal with different types of messages. User roles, authorisation, routing, signing and logging are all defined per specific service.
5.
The system allows the States to exchange batches of messages or messages containing a large number of requests or replies. These messages are dealt with in an asynchronous way.
6.
The system queues asynchronous messages if the recipient State is temporarily unavailable and guarantees the deliverance as soon as the recipient is up again.
7.
The system stores incoming asynchronous messages until they can be processed.
8.
The system only gives access to Eucaris applications of other States, not to individual organisations within those other States, i.e. each Registration Authority acts as the single gateway between its national end-users and the corresponding Authorities in the other States.
9.
It is possible to define users of different States on one Eucaris server and to authorise them following the rights of that State.
10.
Information on the requesting State, organisation and end user are included in the messages.
11.
The system facilitates logging of the exchange of messages between the different States and between the core application and the national registration systems.
12.
The system allows a specific secretary, which is an organisation or State explicitly appointed for this task, to gather logged information on messages sent/received by all the participating States, in order to produce statistical reports.
13.
Each State indicates itself what logged information is made available for the secretary and what information is "private".
14.
The system allows the National Administrators of each State to extract statistics of use.
15.
The system enables addition of new States through simple administrative tasks.
3.2.2.   Usability
No
Description
16.
The system provides an interface for automated processing of messages by back-end systems/legacy and enables the integration of the user interface in those systems (customised user-interface).
17.
The system is easy to learn, self-explanatory and contains help-text.
18.
The system is documented to assist States in integration, operational activities and future maintenance (e.g. reference guides, functional/technical documentation, operational guide, …).
19.
The user interface is multi-lingual and offers facilities for the end-user to select a preferred language.
20.
The user interface contains facilities for a Local Administrator to translate both screen-items and coded information to the national language.
3.2.3.   Reliability
No
Description
21.
The system is designed as a robust and dependable operational system which is tolerant to operator errors and which will recover cleanly from power cuts or other disasters. It shall be possible to restart the system with no or minimal loss of data.
22.
The system shall give stable and reproducible results.
23.
The system has been designed to function reliably. It is possible to implement the system in a configuration that guarantees an availability of 98 % (by redundancy, the use of back-up servers, etc.) in each bilateral communication.
24.
It is possible to use part of the system, even during failure of some components (if State C is down, States A and B are still able to communicate). The number of single points of failure in the information chain should be minimised.
25.
The recovery time after a severe failure should be less than one day. It should be possible to minimise down-time by using remote support, e.g. by a central service desk.
3.2.4.   Performance
No
Description
26.
The system can be used 24x7. This time-window (24x7) is then also required from the States' legacy systems.
27.
The system responds rapidly to user requests irrespective of any background tasks. This is also required from the Parties legacy systems to ensure acceptable response time. An overall response time of 10 seconds maximum for a single request is acceptable.
28.
The system has been designed as a multi-user system and in such a way that background tasks can continue while the user performs foreground tasks.
29.
The system has been designed to be scaleable in order to support the potential increase of number of messages when new functionality is added or new organisations or States are added.
3.2.5.   Security
No
Description
30.
The system is suited (e.g. in its security measures) for the exchange of messages containing privacy-sensitive personal data (e.g. car owner/holders), classified as EU restricted.
31.
The system is maintained in such a way that unauthorised access to the data is prevented.
32.
The system contains a service for the management of the rights and permissions of national end-users.
33.
States are able to check the identity of the sender (at State level), by means of XML-signing.
34.
States shall explicitly authorise other States to request specific information.
35.
The system provides at application level a full security and encryption policy compatible with the level of security required in such situations. Exclusiveness and integrity of the information is guaranteed by the use of XML-signing and encryption by means of SSL-tunnelling.
36.
All exchange of messages can be traced by means of logging.
37.
Protection is provided against deletion attacks (a third party deletes a message) and replay or insertion attacks (a third party replays or inserts a message).
38.
The system makes use of certificates of a Trusted Third Party (TTP).
39.
The system is able to handle different certificates per State, depending on the type of message or service.
40.
The security measures at application level are sufficient to allow the use of non-accredited networks.
41.
The system is able to use novice security techniques such as an XML-firewall.
3.2.6.   Adaptability
No
Description
42.
The system is extensible with new messages and new functionality. The costs of adaptations are minimal. Due to the centralised development of application components.
43.
States are able to define new message types for bilateral use. Not all States are required to support all message types.
3.2.7.   Support and Maintenance
No
Description
44.
The system provides monitoring facilities for a central service-desk and/or operators concerning the network and servers in the different States.
45.
The system provides facilities for remote support by a central service-desk.
46.
The system provides facilities for problem analysis.
47.
The system can be expanded to new States.
48.
The application can easily be installed by staff with a minimum of IT-qualifications and experience. The installation procedure shall be as much as possible automated.
49.
The system provides a permanent testing and acceptance environment.
50.
The annual costs of maintenance and support has been minimised by adherence to market standards and by creating the application in such a way that as little support as possible from a central service-desk is required.
3.2.8.   Design requirements
No
Description
51.
The system is designed and documented for an operational lifetime of many years.
52.
The system has been designed in such a way that it is independent of the network provider.
53.
The system is compliant with the existing HW/SW in the States by interacting with those registration systems using open standard web service technology (XML, XSD, SOAP, WSDL, HTTP(s), Web services, WSS, X.509, etc.).
3.2.9.   Applicable standards
No
Description
54.
The system is compliant with data protection issues as stated in Regulation (EC) No 45/2001 (Articles 21, 22 and 23) and Directive 95/46/EC.
55.
The system complies with the IDA Standards.
56.
The system supports UTF8.
CHAPTER 4
EVALUATION PROCEDURE REFERRED TO IN ARTICLE 540
Article 1
Questionnaire
1.   The relevant Working Group of the Council of the European Union (the "Council Working Group") shall draw up a questionnaire concerning each of the automated data exchanges set out in Articles 527 to 539 of this Agreement.
2.   As soon as the United Kingdom considers that it fulfils the prerequisites for sharing data in the relevant data category, it shall answer the relevant questionnaire.
Article 2
Pilot run
1.   If required, and with a view to evaluating the results of the questionnaire, the United Kingdom shall carry out a pilot run together with one or more other Member States already sharing data under Decision 2008/615/JHA. The pilot run takes place shortly before or shortly after the evaluation visit.
2.   The conditions and arrangements for this pilot run shall be identified by the relevant Council Working Group and be based upon prior individual agreement with the United Kingdom. The States taking part in the pilot run shall decide on the practical details.
Article 3
Evaluation visit
1.   With a view to evaluating the results of the questionnaire, an evaluation visit shall take place.
2.   The conditions and arrangement for this visit shall be identified by the relevant Council Working Group and be based upon prior individual agreement between the United Kingdom and the evaluation team. The United Kingdom shall enable the evaluation team to check the automated exchange of data in the data category or categories to be evaluated, in particular by organising a programme for the visit, which takes into account the requests of the evaluation team.
3.   Within one month of the visit, the evaluation team shall produce a report on the evaluation visit and shall forward it to the United Kingdom for its comments. If appropriate, this report may be revised by the evaluation team on the basis of the United Kingdom's comments.
4.   The evaluation team shall consist of no more than three experts, designated by the Member States taking part in the automated data exchange in the data categories to be evaluated, who have experience regarding the concerned data category, have the appropriate national security clearance to deal with these matters and are willing to take part in at least one evaluation visit in another State. The evaluation team shall also include a representative of the Commission.
5.   The members of the evaluation team shall respect the confidential nature of the information they acquire when carrying out their task.
Article 4
Evaluations carried out under Council Decisions 2008/615/JHA and 2008/616/JHA
When carrying out the evaluation procedure as referred to in Article 540 of this Agreement and this Chapter, the Council, through the relevant Council Working Group, will take into account the results of the evaluation procedures, carried out in the context of the adoption of Council Implementing Decisions (EU) 2019/968 
(
10
)
 and (EU) 2020/1188 
(
11
)
. The relevant Council Working Group will decide on the necessity of carrying out the pilot run referred to in Article 540(1) of this Agreement, in Article 23(2) of Chapter 0 of this Annex, and in Article 2 of this Chapter.
Article 5
Report to the Council
An overall evaluation report, summarising the results of the questionnaires, the evaluation visit and, where applicable, the pilot run, shall be presented to the Council for its decision pursuant to Article 540 of this Agreement.
(
1
)
  
            "Full designated" means the handling of rare allelle values is included.
(
2
)
  This is the position as defined in the ASCII standard.
(
3
)
  M = mandatory when available in national register, O = optional.
(
4
)
  All the attributes specifically allocated by the States are indicated with Y.
(
5
)
  Harmonised document abbreviation, see Council Directive 1999/37/EC of 29 April 1999.
(
6
)
  M = mandatory when available in national register, O = optional.
(
7
)
  Harmonised document abbreviation, see Council Directive 1999/37/EC of 29 April 1999.
(
8
)
  In Luxembourg two separate vehicle registration document ID's are used.
(
9
)
  M = mandatory to use or to comply with O = optional to use or to comply with.
(
10
)
  Council Implementing Decision (EU) 2019/968 of 6 June 2019 on the launch of automated data exchange with regard to DNA data in the United Kingdom (
OJ EU L 156, 13.6.2019, p. 8
).
(
11
)
  Council Implementing Decision (EU) 2020/1188 of 6 August 2020 on the launch of automated data exchange with regard to dactyloscopic data in the United Kingdom (
OJ EU L 265, 12.8.2020, p. 1
).
ANNEX 40
PASSENGER NAME RECORD DATA
Passenger name record data elements (as far as collected by air carriers):
1.
PNR record locator;
2.
Date of reservation/issue of ticket;
3.
Date or dates of intended travel;
4.
Name or names;
5.
Address, telephone number and electronic contact information of the passenger, the persons who made the flight reservation for the passenger, persons through whom an air passenger may be contacted and persons who are to be informed in the event of an emergency;
6.
All available payment/billing information (covering information relating solely to the payment methods for, and billing of, the air ticket, to the exclusion of any other information not directly relating to the flight);
7.
Complete travel itinerary for specific PNR;
8.
Frequent flyer information (the designator of the airline or vendor that administers the program, frequent flyer traveller number, membership level, tier description and alliance code);
9.
Travel agency/travel agent;
10.
Travel status of passenger, including confirmations, check-in status, no-show or go-show information;
11.
Split/divided PNR information;
12.
Other Supplementary Information (OSI), Special Service Information (SSI) and Special Service Request (SSR) information;
13.
Ticketing field information, including ticket number, date of ticket issuance and one-way tickets, automated ticket fare quote fields;
14.
Seat information, including seat number;
15.
Code share information;
16.
All baggage information;
17.
The names of other passengers on the PNR and number of passengers on the PNR travelling together;
18.
Any advance passenger information (API) data collected (type, number, country of issuance and expiry date of any identity document, nationality, family name, given name, gender, date of birth, airline, flight number, departure date, arrival date, departure port, arrival port, departure time and arrival time);
19.
All historical changes to the PNR listed in points 1 to 18.
ANNEX 41
FORMS OF CRIME FOR WHICH EUROPOL IS COMPETENT
—
Terrorism,
—
Organised crime,
—
Drug trafficking,
—
Money-laundering activities,
—
Crime connected with nuclear and radioactive substances,
—
Immigrant smuggling,
—
Trafficking in human beings,
—
Motor vehicle crime,
—
Murder and grievous bodily injury,
—
Illicit trade in human organs and tissue,
—
Kidnapping, illegal restraint and hostage-taking,
—
Racism and xenophobia,
—
Robbery and aggravated theft,
—
Illicit trafficking in cultural goods, including antiquities and works of art,
—
Swindling and fraud,
—
Crime against the financial interests of the Union,
—
Insider dealing and financial market manipulation,
—
Racketeering and extortion,
—
Counterfeiting and product piracy,
—
Forgery of administrative documents and trafficking therein,
—
Forgery of money and means of payment,
—
Computer crime,
—
Corruption,
—
Illicit trafficking in arms, ammunition and explosives,
—
Illicit trafficking in endangered animal species,
—
Illicit trafficking in endangered plant species and varieties,
—
Environmental crime, including ship-source pollution,
—
Illicit trafficking in hormonal substances and other growth promoters,
—
Sexual abuse and sexual exploitation, including child abuse material and solicitation of children for sexual purposes,
—
Genocide, crimes against humanity and war crimes.
ANNEX 42
FORMS OF SERIOUS CRIME FOR WHICH EUROJUST IS COMPETENT
—
Terrorism,
—
Organised crime,
—
Drug trafficking,
—
Money-laundering activities,
—
Crime connected with nuclear and radioactive substances,
—
Immigrant smuggling,
—
Trafficking in human beings,
—
Motor vehicle crime,
—
Murder and grievous bodily injury,
—
Illicit trade in human organs and tissue,
—
Kidnapping, illegal restraint and hostage taking,
—
Racism and xenophobia,
—
Robbery and aggravated theft,
—
Illicit trafficking in cultural goods, including antiquities and works of art,
—
Swindling and fraud,
—
Crime against the financial interests of the Union,
—
Insider dealing and financial market manipulation,
—
Racketeering and extortion,
—
Counterfeiting and product piracy,
—
Forgery of administrative documents and trafficking therein,
—
Forgery of money and means of payment,
—
Computer crime,
—
Corruption,
—
Illicit trafficking in arms, ammunition and explosives,
—
Illicit trafficking in endangered animal species,
—
Illicit trafficking in endangered plant species and varieties,
—
Environmental crime, including ship source pollution,
—
Illicit trafficking in hormonal substances and other growth promoters,
—
Sexual abuse and sexual exploitation, including child abuse material and solicitation of children for sexual purposes,
—
Genocide, crimes against humanity and war crimes.
ANNEX 43
ARREST WARRANT
This warrant has been issued by a competent judicial authority. I request that the person mentioned below be arrested and surrendered for the purposes of conducting a criminal prosecution or executing a custodial sentence or detention order. 
(
1
)
(a)
Information regarding the identity of the requested person:
Name:
Forename(s):
Maiden name, where applicable:
Aliases, where applicable:
Sex:
Nationality:
Date of birth:
Place of birth:
Residence and/or known address:
Language(s) which the requested person understands (if known):
Distinctive marks/description of the requested person:
Photo and fingerprints of the requested person, if they are available and can be transmitted, or contact details of the person to be contacted in order to obtain such information or a DNA profile (where this evidence can be supplied but has not been included)
(b)
Decision on which the warrant is based:
1.
Arrest warrant or judicial decision having the same effect:
Type:
2.
Enforceable judgement:
Reference:
(c)
Indications on the length of the sentence:
1.
Maximum length of the custodial sentence or detention order which may be imposed for the offence(s):
2.
Length of the custodial sentence or detention order imposed:
Remaining sentence to be served:
(d)
Indicate if the person appeared in person at the trial resulting in the decision:
1.
☐
Yes, the person appeared in person at the trial resulting in the decision.
2.
☐
No, the person did not appear in person at the trial resulting in the decision.
3.
If you have ticked the box under point 2, please confirm the existence of one of the following, if applicable:
☐
3.1a.
the person was summoned in person on … (day/month/year) and thereby informed of the scheduled date and place of the trial which resulted in the decision and was informed that a decision may be handed down if he or she does not appear for the trial;
OR
☐
3.1b.
the person was not summoned in person but by other means actually received official information of the scheduled date and place of the trial which resulted in the decision, in such a manner that it was unequivocally established that he or she was aware of the scheduled trial, and was informed that a decision may be handed down if he or she does not appear for the trial;
OR
☐
3.2.
being aware of the scheduled trial, the person had given a mandate to a legal counsellor, who was either appointed by the person concerned or by the State, to defend him or her at the trial, and was indeed defended by that counsellor at the trial;
OR
☐
3.3.
the person was served with the decision on … (day/month/year) and was expressly informed about the right to a retrial or appeal, in which he or she has the right to participate and which allows the merits of the case, including fresh evidence, to be re-examined, and which may lead to the original decision being reversed, and
☐
the person expressly stated that he or she does not contest this decision;
OR
☐
the person did not request a retrial or appeal within the applicable timeframe;
OR
☐
3.4.
the person was not personally served with the decision, but
—
the person will be personally served with this decision without delay after the surrender; and
—
when served with the decision, the person will be expressly informed of his or her right to a retrial or appeal, in which he or she has the right to participate and which allows the merits of the case, including fresh evidence, to be re-examined, and which may lead to the original decision being reversed; and
—
the person will be informed of the timeframe within which he or she has to request a retrial or appeal, which will be …… days.
4.
If you have ticked the box under point 3.1b, 3.2 or 3.3 above, please provide information about how the relevant condition has been met:
…
(e)
Offences:
This warrant relates to in total:
offences
Description of the circumstances in which the offence(s) was (were) committed, including the time, place and degree of participation in the offence(s) by the requested person:
Nature and legal classification of the offence(s) and the applicable statutory provision/code:
I.
The following applies only in case both the issuing and the executing State have made a notification under Article 599(4) of the Agreement: if applicable, tick one or more of the following offences, as defined by the law of the issuing State, punishable in the issuing State by a custodial sentence or detention order for a maximum period of at least three years:
☐
participation in a criminal organisation,
☐
terrorism as defined in Annex 45 to the Agreement,
☐
trafficking in human beings,
☐
sexual exploitation of children and child pornography,
☐
illicit trafficking in narcotic drugs and psychotropic substances,
☐
illicit trafficking in weapons, munitions and explosives,
☐
corruption, including bribery,
☐
fraud, including that affecting the financial interests of the United Kingdom, of a Member State or of the Union,
☐
laundering of the proceeds of crime,
☐
counterfeiting of currency,
☐
computer-related crime,
☐
environmental crime, including illicit trafficking in endangered animal species and in endangered plant species and varieties,
☐
facilitation of unauthorised entry and residence,
☐
murder, grievous bodily injury,
☐
illicit trade in human organs and tissue,
☐
kidnapping, illegal restraint and hostage-taking,
☐
racism and xenophobia,
☐
organised or armed robbery,
☐
illicit trafficking in cultural goods, including antiques and works of art,
☐
swindling,
☐
racketeering and extortion,
☐
counterfeiting and piracy of products,
☐
forgery of administrative documents and trafficking therein,
☐
forgery of means of payment,
☐
illicit trafficking in hormonal substances and other growth promoters,
☐
illicit trafficking in nuclear or radioactive materials,
☐
trafficking in stolen vehicles,
☐
rape,
☐
arson,
☐
crimes within the jurisdiction of the International Criminal Court,
☐
unlawful seizure of aircraft, ships or spacecraft,
☐
sabotage.
II.
Full descriptions of offence(s) not covered by Section I above:
(f)
Other circumstances relevant to the case (optional information):
(NB: This could cover remarks on extraterritoriality, interruption of periods of time limitation and other consequences of the offence)
(g)
This warrant pertains also to the seizure and handing over of property which may be required as evidence:
This warrant pertains also to the seizure and handing over of property acquired by the requested person as a result of the offence:
Description of the property (and location) (if known):
(h)
The offence(s) on the basis of which this warrant has been issued is (are) punishable
by/has(have) led to a custodial life sentence or lifetime detention order:
the issuing State will upon request by the executing State give an assurance that it will:
☐
review the penalty or measure imposed – on request or at least after 20 years, and/or
☐
encourage the application of measures of clemency to which the person is entitled to apply for under the law or practice of the issuing State, aiming at a non-execution of such penalty or measure.
(i)
The judicial authority which issued the warrant:
Official name:
Name of its representative:
 (
2
)
Post held (title/grade):
File reference:
Address:
Tel. No.: (country code) (area/city code)
Fax No. (country code) (area/city code)
E-mail:
Contact details of the person to contact to make necessary practical arrangements for the surrender:
Where a central authority has been made responsible for the transmission and administrative reception of arrest warrants:
Name of the central authority:
Contact person, if applicable (title/grade and name):
Address:
Tel. No.: (country code) (area/city code)
Fax No. (country code) (area/city code)
E-mail:
Signature of the issuing judicial authority and/or its representative:
Name:
Post held (title/grade):
Date:
Official stamp (if available):
(
1
)
  This warrant must be written in, or translated into, one of the official languages of the executing State, when that State is known, or any other language accepted by that State.
(
2
)
  In the different language versions a reference to the "holder" of the judicial authority will be included.
ANNEX 44
EXCHANGE OF CRIMINAL RECORD INFORMATION – TECHNICAL AND PROCEDURAL SPECIFICATIONS
CHAPTER 1
GENERAL PROVISIONS
Article 1
Objective
The objective of this Annex is to lay down the necessary procedural and technical provisions for the implementation of Title IX of Part Three of this Agreement.
Article 2
Communications network
1.   The electronic exchange of information extracted from the criminal record between, on the one side, a Member State and, on the other side, the United Kingdom shall take place using a common communication infrastructure that provides for encrypted communications.
2.   The common communication infrastructure shall be the Trans European Services for Telematics between Administrations (TESTA) communications network. Any further developments thereof or any alternative secure network shall ensure that the common communication infrastructure in place continues to fulfil the security requirements adequate for the exchange of criminal record information.
Article 3
Interconnection software
1.   The States shall use a standardised interconnection software enabling the connection of their central authorities to the common communication infrastructure in order to exchange the information extracted from the criminal record with the other States electronically in accordance with the provisions of Title IX of Part Three of this Agreement and this Annex.
2.   For the Member States, the interconnection software shall be the ECRIS reference implementation software or their national ECRIS implementation software, if necessary adapted for the purposes of information exchange with the United Kingdom as set out in this Agreement.
3.   The United Kingdom shall be responsible for the development and operation of its own interconnection software. For that purpose, at the latest before the entry into force of this Agreement, the United Kingdom shall ensure that its national interconnection software functions in accordance with the protocols and technical specifications established for the ECRIS reference implementation software, and with any further technical requirements established by eu-LISA.
4.   The United Kingdom shall also ensure the implementation of any subsequent technical adaptations to its national interconnection software required by any changes to the technical specifications established for the ECRIS reference implementation software, or changes to any further technical requirements established by eu-LISA, without undue delay. To that end, the Union shall ensure that the United Kingdom is informed without undue delay of any planned changes to the technical specifications or requirements and is provided with any information necessary for the United Kingdom to comply with its obligations under this Annex.
Article 4
Information to be transmitted in notifications, requests and replies
1.   All notifications referred to in Article 646 of this Agreement shall include the following obligatory information:
(a)
information on the convicted person (full name, date of birth, place of birth (town and State), gender, nationality and – if applicable – previous name(s));
(b)
information on the nature of the conviction (date of conviction, name of the court, date on which the decision became final);
(c)
information on the offence giving rise to the conviction (date of the offence underlying the conviction and name or legal classification of the offence as well as reference to the applicable legal provisions); and
(d)
information on the contents of the conviction (notably the sentence as well as any supplementary penalties, security measures and subsequent decisions modifying the enforcement of the sentence).
2.   The following optional information shall be transmitted in notifications if that information has been entered in the criminal record (points (a) to (d)) or is available to the central authority (points (e) to (h)):
(a)
the convicted person's parents' names;
(b)
the reference number of the conviction;
(c)
the place of the offence;
(d)
disqualifications arising from the conviction;
(e)
the convicted person's identity number, or the type and number of the person's identification document;
(f)
fingerprints, which have been taken from that person;
(g)
if applicable, pseudonym and/or alias(es);
(h)
facial image.
In addition, any other information concerning convictions entered in the criminal record may be transmitted.
3.   All requests for information referred to in Article 648 of this Agreement shall be submitted in a standardised electronic format according to the model form set out in Chapter 2 of this Annex, in one of the official languages of the requested State.
4.   All replies to requests referred to in Article 649 of this Agreement shall be submitted in a standardised electronic format in accordance with the model form set out in Chapter 2 of this Annex, and accompanied by a list of convictions, as provided for by national law. The requested State shall reply either in one of its official languages or in any other language accepted by both Parties. The United Kingdom, on the one side, and the Union, on behalf of any of its Member States, on the other side, may notify to the Specialised Committee on Law Enforcement and Judicial Cooperation which language(s) it accepts in addition to the official language(s) of that State.
5.   The Specialised Committee on Law Enforcement and Judicial Cooperation shall adopt any modifications to the forms in Chapter 2 of this Annex referred to in paragraphs 3 and 4 as may be necessary.
Article 5
Format of transmission of information
1.   When transmitting information in accordance with Article 646 and Article 649 of this Agreement relating to the name or legal classification of the offence and to the applicable legal provisions, the States shall refer to the corresponding code for each of the offences referred to in the transmission, as provided for in the table of offences in Chapter 3 of this Annex. By way of exception, if the offence does not correspond to any specific sub-category, the "open category" code of the relevant or closest category of offences or, in the absence of the latter, an "other offences" code, shall be used for that particular offence.
2.   The States may also provide available information relating to the level of completion and the level of participation in the offence and, if applicable, to the existence of total or partial exemption from criminal responsibility, or to recidivism.
3.   When transmitting information in accordance with Article 646 and Article 649 of this Agreement relating to the contents of the conviction, notably the sentence as well as any supplementary penalties, security measures and subsequent decisions modifying the enforcement of the sentence, the States shall refer to the corresponding code for each of the penalties and measures referred to in the transmission, as provided for in the table of penalties and measures in Chapter 3 of this Annex. By way of exception, if the penalty or measure does not correspond to any specific sub-category, the "open category" code of the relevant or closest category of penalties and measures or, in the absence of the latter, an "other penalties and measures" code, shall be used for that particular penalty or measure.
4.   The States shall also provide, if applicable, available information relating to the nature and/or conditions of execution of the penalty or measure imposed as provided for in the table of parameters of Chapter 3 of this Annex. The parameter "non-criminal ruling" shall be indicated only in cases where information on such a ruling is provided on a voluntary basis by the State of nationality of the person concerned, when replying to a request for information on convictions.
5.   The following information shall be provided by the States to the Specialised Committee on Law Enforcement and Judicial Cooperation, with a view in particular to disseminating this information to other States:
(a)
the list of national offences in each of the categories referred to in the table of offences in Chapter 3 of this Annex. The list shall include the name or legal classification of the offence and reference to the applicable legal provisions. It may also include a short description of the constitutive elements of the offence;
(b)
the list of types of sentences, possible supplementary penalties and security measures and possible subsequent decisions modifying the enforcement of the sentence as defined in national law, in each of the categories referred to in the table of penalties and measures in Chapter 3 of this Annex. It may also include a short description of the specific penalty or measure.
6.   The lists and descriptions referred to in paragraph 5 shall be regularly updated by the States. Updated information shall be sent to the Specialised Committee on Law Enforcement and Judicial Cooperation.
7.   The Specialised Committee on Law Enforcement and Judicial Cooperation shall adopt any modifications to the tables in Chapter 3 of this Annex referred to in paragraphs 1 to 4 as may be necessary.
Article 6
Continuity of transmission
If the electronic mode of transmission of information is temporarily not available, the States shall transmit information by any means capable of producing a written record under conditions allowing the central authority of the requested State to establish the authenticity thereof, for the entire period of such unavailability.
Article 7
Statistics and reporting
1.   An evaluation of the electronic exchange of information extracted from criminal records pursuant to Title IX of Part Three of this Agreement shall be carried out on a regular basis. The evaluation shall be based on the statistics and reports of the respective States.
2.   Each State shall compile statistics on the exchange generated by the interconnection software and shall forward them every month to the Specialised Committee on Law Enforcement and Judicial Cooperation and to eu-LISA. The States shall also provide the Specialised Committee on Law Enforcement and Judicial Cooperation and eu-LISA with the statistics on the number of nationals of other States convicted on their territory and on the number of such convictions.
Article 8
Technical specifications
The States shall observe common technical specifications on the electronic exchange of information extracted from the criminal record as provided by eu-LISA in the implementation of this Agreement and shall adapt their systems as appropriate without undue delay.
CHAPTER 2
FORMS
Request for information extracted from the criminal record
(a)
Information on the requesting State:
State:
Central authority(ies):
Contact person:
Telephone (with STD code):
Fax (with STD code):
E-mail address:
Correspondence address:
File reference, if known:
(b)
Information on the identity of the person concerned by the request(
1
):
Full name (forenames and all surnames)
Previous names:
Pseudonym and/or alias, if any:
Gender: M ☐ F ☐
Nationality:
Date of birth (in figures: dd/mm/yyyy):
Place of birth (town and State):
Father's name:
Mother's name:
Residence or known address:
Person's identity number or type and number of the person's identification document:
Fingerprints:
Facial image:
Other available identification information:
(c)
Purpose of the request:
Please tick the appropriate box
(1)
☐
criminal proceedings (please identify the authority before which the proceedings are pending and, if available, the case reference number) …
…
(2)
☐
request outside the context of criminal proceedings (please identify the authority before which the proceedings are pending and, if available, the case reference number, while ticking the relevant box):
(i) ☐
from a judicial authority …
…
(ii) ☐
from a competent administrative authority …
…
(iii) ☐
from the person concerned for information on own criminal record …
…
Purpose for which the information is requested:
Requesting authority:
☐
the person concerned does not consent for this information to be divulged (if the person concerned was asked for his or her consent in accordance with the law of the requesting State).
Contact person for any further information needed:
Name:
Telephone:
E-mail address:
Other information (e.g. urgency of the request):
Reply to the request
Information relating to the person concerned
Please tick the appropriate box
The undersigned authority confirms that:
☐
there is no information on convictions in the criminal record of the person concerned
☐
there is information on convictions entered in the criminal record of the person concerned; a list of convictions is attached
☐
there is other information entered in the criminal record of the person concerned; such information is attached (optional)
☐
there is information on convictions entered in the criminal record of the person concerned but the convicting State intimated that the information about these convictions may not be retransmitted for any purposes other than that of criminal proceedings. The request for more information may be sent directly to … (please indicate the convicting State)
☐
in accordance with the national law of the requested State, requests made for any purposes other than that of criminal proceedings may not be dealt with.
Contact person for any further information needed:
Name:
Telephone:
E-mail address:
Other information (limitations of use of the data concerning requests outside the context of criminal proceedings):
Please indicate the number of pages attached to the reply form:
Done at
on
Signature and official stamp (if appropriate):
Name and position/organisation:
If appropriate, please attach a list of convictions and send the complete package to the requesting State. It is not necessary to translate the form or the list into the language of the requesting State.
_______________
(1)
To facilitate the identification of the person as much information as possible is to be provided.
CHAPTER 3
STANDARISED FORMAT OF TRANSMISSION OF INFORMATION
Common table of offences categories, with a table of parameters, referred to in Article 5(1) and (2) of Chapter 1
Code
Categories and sub-categories of offences
0100 00
open category
Crimes within the jurisdiction of the International Criminal Court
0101 00
Genocide
0102 00
Crimes against humanity
0103 00
War crimes
0200 00
open category
Participation in a criminal organisation
0201 00
Directing a criminal organisation
0202 00
Knowingly taking part in the criminal activities of a criminal organisation
0203 00
Knowingly taking part in the non-criminal activities of a criminal organisation
0300 00
open category
Terrorism
0301 00
Directing a terrorist group
0302 00
Knowingly participating in the activities of a terrorist group
0303 00
Financing of terrorism
0304 00
Public provocation to commit a terrorist offence
0305 00
Recruitment or training for terrorism
0400 00
open category
Trafficking in human beings
0401 00
Trafficking in human beings for the purposes of labour or services exploitation
0402 00
Trafficking in human beings for the purposes of the exploitation of the prostitution of others or other forms of sexual exploitation
0403 00
Trafficking in human beings for the purposes of organ or human tissue removal
0404 00
Trafficking in human beings for the purposes of slavery, practices similar to slavery or servitude
0405 00
Trafficking in human beings for the purposes of labour or services exploitation of a minor
0406 00
Trafficking in human beings for the purposes of the exploitation of the prostitution of minors or other forms of their sexual exploitation
0407 00
Trafficking in human beings for the purposes of organ or human tissue removal of a minor
0408 00
Trafficking in human beings for the purposes of slavery, practices similar to slavery or servitude of a minor
0500 00
open category
Illicit trafficking(
1
) and other offences related to weapons, firearms, their parts and components, ammunition and explosives
0501 00
Illicit manufacturing of weapons, firearms, their parts and components, ammunition and explosives
0502 00
Illicit trafficking of weapons, firearms, their parts and components ammunition and explosives at national level(
2
)
0503 00
Illicit exportation or importation of weapons, firearms, their parts and components, ammunition and explosives
0504 00
Unauthorised possession or use of weapons, firearms, their parts and components, ammunition and explosives
0600 00
open category
Environmental crime
0601 00
Destroying or damaging protected fauna and flora species
0602 00
Unlawful discharges of polluting substances or ionising radiation into air, soil or water
0603 00
Offences related to waste, including hazardous waste
0604 00
Offences related to illicit trafficking(
1
) in protected fauna and flora species or parts thereof
0605 00
Unintentional environmental offences
0700 00
open category
Offences related to drugs or precursors, and other offences against public health
0701 00
Offences related to illicit trafficking(
3
) in narcotic drugs, psychotropic substances and precursors not exclusively for own personal consumption
0702 00
Illicit consumption of drugs and their acquisition, possession, manufacture or production exclusively for own personal consumption
0703 00
Aiding or inciting others to use narcotic drugs or psychotropic substances illicitly
0704 00
Manufacture or production of narcotic drugs not exclusively for personal consumption
0800 00
open category
Crimes against the person
0801 00
Intentional killing
0802 00
Aggravated cases of intentional killing(
4
)
0803 00
Unintentional killing
0804 00
Intentional killing of a new-born by his/her mother
0805 00
Illegal abortion
0806 00
Illegal euthanasia
0807 00
Offences related to committing suicide
0808 00
Violence causing death
0809 00
Causing grievous bodily injury, disfigurement or permanent disability
0810 00
Unintentionally causing grievous bodily injury, disfigurement or permanent disability
0811 00
Causing minor bodily injury
0812 00
Unintentionally causing minor bodily injury
0813 00
Exposing to danger of loss of life or grievous bodily injury
0814 00
Torture
0815 00
Failure to offer aid or assistance
0816 00
Offences related to organ or tissue removal without authorisation or consent
0817 00
Offences related to illicit trafficking(
3
) in human organs and tissue
0818 00
Domestic violence or threat
0900 00
open category
Offences against personal liberty, dignity and other protected interests, including racism and xenophobia
0901 00
Kidnapping, kidnapping for ransom, illegal restraint
0902 00
Unlawful arrest or deprivation of liberty by public authority
0903 00
Hostage-taking
0904 00
Unlawful seizure of an aircraft or ship
0905 00
Insults, slander, defamation, contempt
0906 00
Threats
0907 00
Duress, pressure, stalking, harassment or aggression of a psychological or emotional nature
0908 00
Extortion
0909 00
Aggravated extortion
0910 00
Illegal entry into private property
0911 00
Invasion of privacy other than illegal entry into private property
0912 00
Offences against protection of personal data
0913 00
Illegal interception of data or communication
0914 00
Discrimination on grounds of gender, race, sexual orientation, religion or ethnic origin
0915 00
Public incitement to racial discrimination
0916 00
Public incitement to racial hatred
0917 00
Blackmail
1000 00
open category
Sexual offences
1001 00
Rape
1002 00
Aggravated rape(
5
) other than rape of a minor
1003 00
Sexual assault
1004 00
Procuring for prostitution or sexual act
1005 00
Indecent exposure
1006 00
Sexual harassment
1007 00
Soliciting by a prostitute
1008 00
Sexual exploitation of children
1009 00
Offences related to child pornography or indecent images of minors
1010 00
Rape of a minor
1011 00
Sexual assault of a minor
1100 00
open category
Offences against family law
1101 00
Illicit sexual relations between close family members
1102 00
Polygamy
1103 00
Evading the alimony or maintenance obligation
1104 00
Neglect or desertion of a minor or a disabled person
1105 00
Failure to comply with an order to produce a minor or removal of a minor
1200 00
open category
Offences against the State, public order, course of justice or public officials
1201 00
Espionage
1202 00
High treason
1203 00
Offences related to elections and referendum
1204 00
Attempt against life or health of the Head of State
1205 00
Insult of the State, Nation or State symbols
1206 00
Insult or resistance to a representative of public authority
1207 00
Extortion, duress, pressure towards a representative of public authority
1208 00
Assault or threat on a representative of public authority
1209 00
Public order offences, breach of the public peace
1210 00
Violence during sports events
1211 00
Theft of public or administrative documents
1212 00
Obstructing or perverting the course of justice, making false allegations in the course of criminal or judicial proceedings, perjury
1213 00
Unlawful impersonation of a person or an authority
1214 00
Escape from lawful custody
1300 00
open category
Offences against public property or public interests
1301 00
Public, social security or family benefit fraud
1302 00
Fraud affecting European benefits or allowances
1303 00
Offences related to illegal gambling
1304 00
Obstructing of public tender procedures
1305 00
Active or passive corruption of a civil servant, a person holding public office or public authority
1306 00
Embezzlement, misappropriation or other diversion of property by a public official
1307 00
Abuse of a function by a public official
1400 00
open category
Tax and customs offences
1401 00
Tax offences
1402 00
Customs offences
1500 00
open category
Economic and trade related offences
1501 00
Bankruptcy or fraudulent insolvency
1502 00
Breach of accounting regulation, embezzlement, concealment of assets or unlawful increase in a company's liabilities
1503 00
Violation of competition rules
1504 00
Laundering of proceeds from crime
1505 00
Active or passive corruption in the private sector
1506 00
Revealing a secret or breaching an obligation of secrecy
1507 00
"Insider trading"
1600 00
open category
Offences against property or causing damage to goods
1601 00
Unlawful appropriation
1602 00
Unlawful appropriation or diversion of energy
1603 00
Fraud, including swindling
1604 00
Dealing in stolen goods
1605 00
Illicit trafficking(
6
) in cultural goods, including antiques and works of art
1606 00
Intentional damage or destruction of property
1607 00
Unintentional damage or destruction of property
1608 00
Sabotage
1609 00
Offences against industrial or intellectual property
1610 00
Arson
1611 00
Arson causing death or injury to persons
1612 00
Forest arson
1700 00
open category
Theft offences
1701 00
Theft
1702 00
Theft after unlawful entry into property
1703 00
Theft, using violence or weapons, or using threat of violence or weapons against person
1704 00
Forms of aggravated theft which do not involve use of violence or weapons, or use of threat of violence or weapons, against persons.
1800 00
open category
Offences against information systems and other computer-related crime
1801 00
Illegal access to information systems
1802 00
Illegal system interference
1803 00
Illegal data interference
1804 00
Production, possession, dissemination of or trafficking in computer devices or data enabling commitment of computer-related offences
1900 00
open category
Forgery of means of payment
1901 00
Counterfeiting or forging currency
1902 00
Counterfeiting of non-cash means of payment
1903 00
Counterfeiting or forging public fiduciary documents
1904 00
Putting into circulation/using counterfeited or forged currency, non-cash means of payment or public fiduciary documents
1905 00
Possession of a device for the counterfeiting or forgery of currency or public fiduciary documents
2000 00
open category
Falsification of documents
2001 00
Falsification of a public or administrative document by a private individual
2002 00
Falsification of a document by a civil servant or a public authority
2003 00
Supply or acquisition of a forged public or administrative document; supply or acquisition of a forged document by a civil servant or a public authority
2004 00
Using forged public or administrative documents
2005 00
Possession of a device for the falsification of public or administrative documents
2006 00
Forgery of private documents by a private individual
2100 00
open category
Offences against traffic regulations
2101 00
Dangerous driving
2102 00
Driving under the influence of alcohol or narcotic drugs
2103 00
Driving without a licence or while disqualified
2104 00
Failure to stop after a road accident
2105 00
Avoiding a road check
2106 00
Offences related to road transport
2200 00
open category
Offences against labour law
2201 00
Unlawful employment
2202 00
Offences relating to remuneration, including social security contributions
2203 00
Offences relating to working conditions, health and safety at work
2204 00
Offences relating to access to or exercise of a professional activity
2205 00
Offences relating to working hours and rest time
2300 00
open category
Offences against migration law
2301 00
Unauthorised entry or residence
2302 00
Facilitation of unauthorised entry and residence
2400 00
open category
Offences against military obligations
2500 00
open category
Offences related to hormonal substances and other growth promoters
2501 00
Illicit importation, exportation or supply of hormonal substances and other grown promoters
2600 00
open category
Offences related to nuclear materials or other hazardous radioactive substances
2601 00
Illicit importation, exportation, supply or acquisition of nuclear or radioactive materials
2700 00
open category
Other offences
2701 00
Other intentional offences
2702 00
Other unintentional offences
_______________
(1)
Unless otherwise specified in this category, "trafficking" means import, export, acquisition, sale, delivery, movement or transfer.
(2)
For the purposes of this sub-category trafficking includes acquisition, sale, delivery, movement or transfer.
(3)
For the purposes of this sub-category trafficking includes import, export, acquisition, sale, delivery, movement or transfer.
(4)
For example: particularly grave circumstances.
(5)
For example rape with particular cruelty.
(6)
Trafficking includes import, export, acquisition, sale, delivery, movement or transfer.
Parameters
Level of completion:
Completed act
C
Attempt or preparation
A
Non-transmitted element
Ø
Level of participation:
Perpetrator
M
Aider and abettor or instigator/organiser, conspirator
H
Non-transmitted element
Ø
Exemption from criminal responsibility:
Insanity or diminished responsibility
S
Recidivism
R
Common table of penalties and measures categories, with a table of parameters, referred to in Article 5(3) and (4) of Chapter 1
Code
Categories and sub-categories of penalties and measures
1000
open category
Deprivation of freedom
1001
Imprisonment
1002
Life imprisonment
2000
open category
Restriction of personal freedom
2001
Prohibition from frequenting some places
2002
Restriction to travel abroad
2003
Prohibition to stay in some places
2004
Prohibition from entry to a mass event
2005
Prohibition to enter in contact with certain persons through whatever means
2006
Placement under electronic surveillance(
1
)
2007
Obligation to report at specified times to a specific authority
2008
Obligation to stay/reside in a certain place
2009
Obligation to be at the place of residence on the set time
2010
Obligation to comply with the probation measures ordered by the court, including the obligation to remain under supervision
3000
open category
Prohibition of a specific right or capacity
3001
Disqualification from function
3002
Loss/suspension of capacity to hold or to be appointed to public office
3003
Loss/suspension of the right to vote or to be elected
3004
Incapacity to contract with public administration
3005
Ineligibility to obtain public subsidies
3006
Cancellation of the driving licence(
2
)
3007
Suspension of driving licence
3008
Prohibition to drive certain vehicles
3009
Loss/suspension of the parental authority
3010
Loss/suspension of right to be an expert in court proceedings/witness under oath/juror
3011
Loss/suspension of right to be a legal guardian(
3
)
3012
Loss/suspension of right of decoration or title
3013
Prohibition to exercise professional, commercial or social activity
3014
Prohibition from working or activity with minors
3015
Obligation to close an establishment
3016
Prohibition to hold or to carry weapons
3017
Withdrawal of a hunting/fishing license
3018
Prohibition to issue cheques or to use payment/credit cards
3019
Prohibition to keep animals
3020
Prohibition to possess or use certain items other than weapons
3021
Prohibition to play certain games/sports
4000
open category
Prohibition or expulsion from territory
4001
Prohibition from national territory
4002
Expulsion from national territory
5000
open category
Personal obligation
5001
Submission to medical treatment or other forms of therapy
5002
Submission to a social-educational programme
5003
Obligation to be under the care/control of the family
5004
Educational measures
5005
Socio-judicial probation
5006
Obligation of training/working
5007
Obligation to provide judicial authorities with specific information
5008
Obligation to publish the judgment
5009
Obligation to compensate for the prejudice caused by the offence
6000
open category
Penalty on personal property
6001
Confiscation
6002
Demolition
6003
Restoration
7000
open category
Placing in an institution
7001
Placing in a psychiatric institution
7002
Placing in a detoxification institution
7003
Placing in an educational institution
8000
open category
Financial penalty
8001
Fine
8002
Day-fine(
4
)
8003
Fine for the benefit of a special recipient(
5
)
9000
open category
Working penalty
9001
Community service or work
9002
Community service or work accompanied with other restrictive measures
10000
open category
Military penalty
10001
Loss of military rank(
6
)
10002
Expulsion from professional military service
10003
Military imprisonment
11000
open category
Exemption/deferment of sentence/penalty, warning
12000
open category
Other penalties and measures
Parameters (to be specified where applicable)
ø
Penalty
m
Measure
a
Suspended penalty/measure
b
Partially suspended penalty/measure
c
Suspended penalty/measure with probation/supervision
d
Partially suspended penalty/measure with probation/supervision
e
Conversion of penalty/measure
f
Alternative penalty/measure imposed as principal penalty
g
Alternative penalty/measure imposed initially in case of non-respect of the principal penalty
h
Revocation of suspended penalty/measure
i
Subsequent formation of an overall penalty
j
Interruption of enforcement/postponement of the penalty/measure(
7
)
k
Remission of the penalty
l
Remission of the suspended penalty
n
End of penalty
o
Pardon
p
Amnesty
q
Release on parole (liberation of a person before end of the sentence under certain conditions)
r
Rehabilitation (with or without the deletion of penalty from criminal records)
s
Penalty or measure specific to minors
t
Non-criminal ruling(
8
)
_______________
(1)
Fixed or mobile placement.
(2)
Reapplication in order to obtain a new driving licence is necessary.
(3)
Legal guardian for a person who is legally incompetent or for a minor.
(4)
Fine expressed in daily units.
(5)
E.g.: for an institution, association, foundation or a victim.
(6)
Military demotion.
(7)
Does not lead to avoidance of enforcement of penalty.
(8)
This parameter will be indicated only when such information is provided in reply to the request received by the State of nationality of the person concerned.
ANNEX 45
DEFINITION OF TERRORISM
1.   Scope
For the purposes of Title IX of Part Three, point (b) of Article 599(3), Article 599(4), point (c) of Article 602(2) and point (a) of Article 670(2) of this Agreement, Annex 43 and Annex 46,"terrorism" means the offences as defined in paragraphs 3 to 14 of this Annex.
2.   Definitions of terrorist group and structured group
2.1
"Terrorist group" means a structured group of more than two persons, established for a period of time and acting in concert to commit terrorist offences.
2.2
"Structured group" means a group that is not randomly formed for the immediate commission of an offence and that does not need to have formally defined roles for its members, continuity of its membership or a developed structure.
3.   Terrorist offences
3.1
Intentional acts, as defined as offences under domestic law, which, given their nature or context may seriously damage a country or an international organisation where committed with one of the aims listed in paragraph 3.2:
(a)
attacks upon a person's life which may cause death;
(b)
attacks upon the physical integrity of a person;
(c)
kidnapping or hostage-taking;
(d)
causing extensive destruction to a government or public facility, a transport system, an infrastructure facility, including an information system, a fixed platform located on the continental shelf, a public place or private property likely to endanger human life or result in major economic loss;
(e)
seizure of aircraft, ships or other means of public or goods transport;
(f)
manufacture, possession, acquisition, transport, supply or use of explosives or weapons, including chemical, biological, radiological or nuclear weapons, as well as research into, and development of, chemical, biological, radiological or nuclear weapons;
(g)
release of dangerous substances, or causing fires, floods or explosions, the effect of which is to endanger human life;
(h)
interfering with or disrupting the supply of water, power or any other fundamental natural resource, the effect of which is to endanger human life;
(i)
seriously hindering or interrupting the functioning of an information system by inputting computer data, by transmitting, damaging, deleting, deteriorating, altering or suppressing such data, or by rendering such data inaccessible, intentionally and without right, in cases where:
(i)
a significant number of information systems have been affected through the use of a tool designed or adapted primarily for that purpose;
(ii)
the offence causes serious damage;
(iii)
the offence is committed against a critical infrastructure information system;
(j)
deleting, damaging, deteriorating, altering or suppressing computer data on an information system, or rendering such data inaccessible, intentionally and without right, in cases where the offence is committed against a critical infrastructure information system;
(k)
threatening to commit any of the acts listed in points (a) to (j).
3.2
The aims referred to in paragraph 3.1 are:
(a)
seriously intimidating a population;
(b)
unduly compelling a government or an international organisation to perform or abstain from performing any act;
(c)
seriously destabilising or destroying the fundamental political, constitutional, economic or social structures of a country or an international organisation.
4.   Offences relating to a terrorist group
The following intentional acts:
(a)
directing a terrorist group;
(b)
participating in the activities of a terrorist group, including by supplying information or material resources, or by funding its activities in any way, with knowledge of the fact that such participation will contribute to the criminal activities of the terrorist group.
5.   Public provocation to commit a terrorist offence
The distribution, or otherwise making available by any means, whether online or offline, of a message to the public, with the intent to incite the commission of one of the offences listed in points (a) to (j) of paragraph 3.1 where such conduct, directly or indirectly, such as by the glorification of terrorist acts, advocates the commission of terrorist offences, thereby causing a danger that one or more such offences may be committed when committed intentionally.
6.   Recruitment for terrorism
Soliciting another person to commit or contribute to the commission of one of the offences listed in points (a) to (j) of paragraph 3.1, or in paragraph 4 when committed intentionally.
7.   Providing training for terrorism
Providing instruction on the making or use of explosives, firearms or other weapons or noxious or hazardous substances, or on other specific methods or techniques, for the purpose of committing, or contributing to the commission of, one of the offences listed in points (a) to (j) of paragraph 3.1, knowing that the skills provided are intended to be used for this purpose when committed intentionally.
8.   Receiving training for terrorism
Receiving instruction on the making or use of explosives, firearms or other weapons or noxious or hazardous substances, or on other specific methods or techniques, for the purpose of committing, or contributing to the commission of, one of the offences listed in points (a) to (j) of paragraph 3.1 when committed intentionally.
9.   Travelling for the purpose of terrorism
9.1
Travelling to a country other than that State for the purpose of committing, or contributing to the commission of, a terrorist offence as referred to in paragraph 3, for the purpose of the participation in the activities of a terrorist group with knowledge of the fact that such participation will contribute to the criminal activities of such a group as referred to in paragraph 4, or for the purpose of providing or receiving training for terrorism as referred to in paragraphs 7 and 8 when committed intentionally.
9.2
In addition, the following conduct when committed intentionally:
(a)
travelling to that State for the purpose of committing, or contributing to the commission of, a terrorist offence as referred to in paragraph 3, for the purpose of the participation in the activities of a terrorist group with knowledge of the fact that such participation will contribute to the criminal activities of such a group as referred to in paragraph 4, or for the purpose of providing or receiving training for terrorism as referred to in paragraphs 7 and 8; or
(b)
preparatory acts undertaken by a person entering that State with the intention to commit, or contribute to the commission of, a terrorist offence as referred to in paragraph 3.1.
10.   Organising or otherwise facilitating travelling for the purpose of terrorism
Any act of organisation or facilitation that assists any person in travelling for the purpose of terrorism, as referred to in paragraph 9.1 and point (a) of paragraph 9.2, knowing that the assistance thus rendered is for that purpose when committed intentionally.
11.   Terrorist financing
11.1
Providing or collecting funds, by any means, directly or indirectly, with the intention that they be used, or in the knowledge that they are to be used, in full or in part, to commit, or to contribute to the commission of, any of the offences referred to in paragraphs 3 to 10 when committed intentionally.
11.2
Where the terrorist financing referred to in paragraph 11.1 concerns any of the offences laid down in paragraphs 3, 4 and 9, it shall not be necessary that the funds be in fact used, in full or in part, to commit, or to contribute to the commission of, any of those offences, nor shall it be required that the offender knows for which specific offence or offences the funds are to be used.
12.   Other offences related to terrorist activities
The following intentional acts:
(a)
aggravated theft with a view to committing one of the offences listed in paragraph 3;
(b)
extortion with a view to committing one of the offences listed in paragraph 3;
(c)
drawing up or using false administrative documents with a view to committing one of the offences listed points (a) to (j) of paragraph 3.1, point (b) of paragraph 4, and paragraph 9.
13.   Relationship to terrorist offences
For an offence referred to in paragraphs 4 to 12 to be considered terrorism as referred to in paragraph 1, it shall not be necessary that a terrorist act be actually committed, nor shall it be necessary, insofar as the offences referred to in paragraphs 5 to 10 and 12 are concerned, to establish a link to another specific offence laid down in this Annex.
14.   Aiding and abetting, inciting and attempting
The following acts:
(a)
aiding and abetting an offence referred to in paragraphs 3 to 8, 11 and 12;
(b)
inciting an offence referred to in paragraphs 3 to 12; and
(c)
attempting to commit an offence referred to in paragraphs 3, 6 and 7, paragraph 9.1, point (a) of paragraph 9.2, and paragraphs 11 and 12, with the exception of possession as provided for in point (f) of paragraph 3.1 and the offence referred to in point (k) of paragraph 3.1.
ANNEX 46
FREEZING AND CONFISCATION
Freezing / Provisional Measures Request Form
SECTION A
Requesting State: …
Requested State: …
SECTION B: Urgency
Grounds for urgency and/or requested date of execution:
Time limits for execution of the freezing request are set out in Article 663 of the Agreement. However, if a shorter or specific time limit is necessary, please provide the date and explain the reason for this:
SECTION C: Relevant persons
State all information, as far as known, regarding the identity of the (1) natural or (2) legal person(s) concerned in the freezing request or of the person(s) that owns/own the property that is covered by the freezing request (if more than one person is concerned, please provide the information for each person):
1.
Natural person:
Name:
First name(s):
Other relevant name(s), if applicable:
Aliases, if applicable:
Sex:
Nationality:
Identity number or social security number:
Type and number of the identity document(s) (ID card, passport), if available:
Date of birth:
Place of birth:
Residence and/or known address; if address not known, state the last known address:
Language(s) which the person understands:
Please indicate whether this person has the freezing request directed against him or her or owns the property that is covered by the freezing request:
2.
Legal person:
Name:
Form of legal person:
Shortened name, commonly used name or trading name, if applicable:
Registered seat:
Registration number:
Address of the legal person:
Name of the legal person's representative:
Please indicate whether this legal person has the freezing request directed against it or owns the property that is covered by the freezing request:
If different from the address above, please give the location where the freezing measure is to be carried out:
3.
Third parties:
(i)
Third parties whose rights in relation to the property that is covered by the freezing request are directly prejudiced by the request (identity and grounds), if applicable:
(ii)
In case third parties have had the opportunity to claim rights, attach documents demonstrating that this has been the case.
4.
Provide any other information that will assist with the execution of the freezing request:
SECTION D: Relevant Property
State all information, as far as known, regarding the assets subject of the freezing request. Please provide details of all property and individual items where applicable:
1.
If relating to an amount of money:
(i)
Grounds for believing that the person has property/income in the requested State
(ii)
Description and location of the property/source of income of that person
(iii)
Exact location of the property/source of income of that person
(iv)
Details of the bank account of that person (if known)
2.
If the freezing request concerns specific item(s) of property (or property of equivalent value to such property):
(i)
Grounds for believing that the specific item(s) of property is located in the requested State
(ii)
Description and location of the specific item(s) of property
(iii)
Other relevant information
3.
Total amount requested for freezing or execution in the requested State (in figures and words, indicate currency):
SECTION E: Grounds for request or issuing freezing order (if applicable)
Summary of the facts:
1.
Set out the reasons for the freezing request or why the order has been issued, including a summary of the underlying facts and grounds for freezing, a description of the criminal offence(s) charged, under investigation or subject to proceedings, the stage the investigation or proceedings have reached, the reasons for any risk factors and any other relevant information.
2.
Nature and legal classification of the criminal offence(s) in relation to which the freezing request relates or the order was issued and the applicable legal provision(s).
3.
The following applies only in the case(s) where both the requesting and requested State have made a notification under Article 670(2) of the Agreement: if applicable, tick one or more of the following offences, as defined by the law of the requesting State, punishable in the requesting State by a custodial sentence or detention order for a maximum period of at least three years. Where the freezing request or order concerns several criminal offences, please indicate numbers in the list of criminal offences below (corresponding to the criminal offences as described under points 1 and 2 above):
☐
participation in a criminal organisation
☐
terrorism as defined in Annex 45
☐
trafficking in human beings
☐
sexual exploitation of children and child pornography
☐
illicit trafficking in narcotic drugs and psychotropic substances
☐
illicit trafficking in weapons, munitions and explosives
☐
corruption, including bribery
☐
fraud, including that affecting the financial interests of the United Kingdom, a Member State or the Union
☐
laundering of the proceeds of crime
☐
counterfeiting currency
☐
computer-related crime
☐
environmental crime, including illicit trafficking in endangered animal species and endangered plant species and varieties
☐
facilitation of unauthorised entry and residence
☐
murder
☐
grievous bodily injury
☐
illicit trade in human organs and tissue
☐
kidnapping, illegal restraint and hostage-taking
☐
racism and xenophobia
☐
organised or armed robbery
☐
illicit trafficking in cultural goods, including antiques and works of art
☐
swindling
☐
racketeering and extortion
☐
counterfeiting and piracy of products
☐
forgery of administrative documents and trafficking therein
☐
forgery of means of payment
☐
illicit trafficking in hormonal substances and other growth promoters
☐
illicit trafficking in nuclear or radioactive materials
☐
trafficking in stolen vehicles
☐
rape
☐
arson
☐
crimes within the jurisdiction of the International Criminal Court
☐
unlawful seizure of aircraft, ships or spacecraft
☐
sabotage
4.
Any other relevant information (e.g. relation between the property and the criminal offence):
SECTION F: Confidentiality
☐
Need to maintain the information in the request confidential after execution:
☐
Need for specific formalities at the time of execution:
SECTION G: Requests to more than one State
Where a freezing request has been transmitted to more than one State, provide the following information:
1.
A freezing request has been transmitted to the following other State(s) (State and authority):
2.
Please indicate the reasons for transmitting freezing requests to multiple States:
3.
Value of assets, if known, in each requested State:
4.
Please indicate any specific needs:
SECTION H: Relation to earlier freezing requests or orders
If applicable, provide information relevant to identify previous or related freezing requests:
1.
Date of request or issue and transmission of order:
2.
Authority to which it was transmitted:
3.
Reference given by the issuing and executing authorities:
SECTION I: Confiscation
This freezing request is accompanied by a confiscation order issued in the requesting State (reference number of the confiscation order):
☐
Yes, reference number:
☐
No
The property shall remain frozen in the requested State pending the transmission and execution of the confiscation order (estimated date for submission of the confiscation order, if possible):
SECTION J: Legal remedies (if applicable)
Please indicate if a legal remedy can be sought in the requesting State against the issuing of a freezing request/order, and if so please provide further details (description of the legal remedy, including necessary steps to take and deadlines):
SECTION K: Issuing Authority
If there is a freezing order in the requesting state upon which this freezing request is based, please provide the following details:
1.
Type of issuing authority:
☐
judge, court, public prosecutor
☐
another competent authority designated by the requesting State
2.
Contact details:
Official name of the issuing authority:
Name of its representative:
Post held (title/grade):
File no:
Address:
Tel. No: (country code) (area/city code)
Fax No: (country code) (area/city code)
E-mail:
Languages in which it is possible to communicate with the issuing authority:
Signature of the issuing authority and/or its representative certifying the content of the Freezing/Provisional Measures Request Form as accurate and correct:
Name:
Post held (title/grade):
Date:
Official stamp (if available):
SECTION L: Validating Authority
Please indicate the type of authority which has validated the Freezing/Provisional Measures Request Form, if applicable:
☐
judge, court, public prosecutor
☐
another competent authority designated by the requesting State
Official name of the validating authority:
Name of its representative:
Post held (title/grade):
File no:
Address:
Tel. No: (country code) (area/city code)
Fax No: (country code) (area/city code)
E-mail:
Languages in which it is possible to communicate with the competent authority:
SECTION M: Central Authority
Please indicate the central authority responsible for the administrative transmission and receipt of freezing requests in the requesting State:
Official name of the central authority:
Name of its representative:
Post held (title/grade):
File no:
Address:
Tel. No: (country code) (area/city code)
Fax No: (country code) (area/city code)
E-mail:
Languages in which it is possible to communicate with the competent authority:
SECTION N: Further information
1.
Please indicate if the main contact point in the requesting State should be the:
☐
issuing authority
☐
competent authority
☐
central authority
2.
If different from above, please provide the contact details of the person(s) to contact for additional information regarding this freezing request:
Name/Title/Organisation:
Address:
E-mail/Contact Phone No:
SECTION O: Annexes
The original or duly authenticated copy of the freezing order must be provided with the Freezing/Provisional Measures Request Form if a freezing order has been issued in the requesting State.
Confiscation Request Form
SECTION A
Requesting State: …
Requested State: …
SECTION B: Confiscation order
Date of issue: …
Date order became final: …
Reference number: …
Total amount of order in figures and words, indicate currency
Amount requested for execution in requested State, or if specific type(s) of property, description and location of property
Please provide details of the court findings in relation to the confiscation order:
☐
property is the proceeds of an offence, or equivalent to the full or part of the value of such proceeds
☐
property constitutes instrumentalities of such an offence
☐
property is liable to extended confiscation
☐
property is subject to confiscation under any other provisions relating to powers of confiscation, including confiscation without a final conviction, under the law of the requesting State following proceedings in relation to a criminal offence
SECTION C: Affected persons
State all information, as far as known, regarding the identity of the (1) natural or (2) legal person(s) affected by the confiscation request (if more than one person is concerned, please provide the information for each person):
1.
Natural person:
Name:
First name(s):
Other relevant name(s), if applicable:
Aliases, if applicable:
Sex:
Nationality:
Identity number or social security number:
Type and number of the identity document(s) (ID card, passport), if available:
Date of birth:
Place of birth:
Residence and/or known address; if address not known, state the last known address:
Language(s) which the person understands:
Please indicate whether this person has the confiscation request directed against him or her or owns the property that is covered by the confiscation request:
2.
Legal person:
Name:
Form of legal person:
Shortened name, commonly used name or trading name, if applicable:
Registered seat:
Registration number:
Address of the legal person:
Name of the legal person's representative:
If different from the address above, please give the location where the confiscation request is to be carried out:
3.
Third parties:
(i)
Third parties whose rights in relation to the property that is covered by the confiscation request are directly prejudiced by the request (identity and grounds), if known/applicable:
(ii)
In case third parties have had the opportunity to claim rights, attach documents demonstrating that this has been the case.
4.
Provide any other information that will assist with the execution of the confiscation request:
SECTION D: Affected Property
State all information, as far as known, regarding the assets subject to the confiscation. Please provide details of all property and individual items where applicable:
1.
If relating to amount of money:
(i)
Grounds for believing that the person has property/income in the requested State:
(ii)
Description and location of the property/source of income:
2.
If the request concerns specific item(s) of property:
(i)
Grounds for believing that the specific item(s) of property is/are located in the requested State:
(ii)
Description and location of the specific item(s) of property:
3.
Value of property:
(i)
Total amount of request (approximate amount):
(ii)
Total amount requested for execution in the requested State (approximate amount):
(iii)
If specific type(s) of property, description and location of property:
SECTION E: Grounds for confiscation
Summary of the facts:
1.
Set out the reasons why a confiscation order has been issued, including a summary of the underlying facts and grounds for confiscation, a description of offences, the reasons for any risk factors and any other relevant information (such as date, place and circumstances of the offence):
2.
Nature and legal classification of the offence(s) in relation to which the confiscation order was issued and the applicable legal provision(s):
3.
The following applies only in the case where both the requesting and requested State have made a notification under Article 670(2) of the Agreement: if applicable, tick one or more of the following offences, as defined by the law of the requesting State, punishable in the requesting State by a custodial sentence or detention order for a maximum period of at least three years. Where the confiscation order concerns several criminal offences, please indicate numbers in the list of criminal offences below (corresponding to the criminal offences as described under points 1 and 2 above):
☐
participation in a criminal organisation
☐
terrorism as defined in Annex 45
☐
trafficking in human beings
☐
sexual exploitation of children and child pornography
☐
illicit trafficking in narcotic drugs and psychotropic substances
☐
illicit trafficking in weapons, munitions and explosives
☐
corruption, including bribery
☐
fraud, including that affecting the financial interests of the United Kingdom, a Member State or the Union
☐
laundering of the proceeds of crime
☐
counterfeiting currency
☐
computer-related crime
☐
environmental crime, including illicit trafficking in endangered animal species and endangered plant species and varieties
☐
facilitation of unauthorised entry and residence
☐
murder
☐
grievous bodily injury
☐
illicit trade in human organs and tissue
☐
kidnapping, illegal restraint and hostage-taking
☐
racism and xenophobia
☐
organised or armed robbery
☐
illicit trafficking in cultural goods, including antiques and works of art
☐
swindling
☐
racketeering and extortion
☐
counterfeiting and piracy of products
☐
forgery of administrative documents and trafficking therein
☐
forgery of means of payment
☐
illicit trafficking in hormonal substances and other growth promoters
☐
illicit trafficking in nuclear or radioactive materials
☐
trafficking in stolen vehicles
☐
rape
☐
arson
☐
crimes within the jurisdiction of the International Criminal Court
☐
unlawful seizure of aircraft, ships or spacecraft
☐
sabotage
4.
Any other relevant information (e.g. relation between the property and the criminal offence):
SECTION F: Confidentiality
☐
Need to maintain the information in the request or part of it confidential
Please indicate any relevant information:
SECTION G: Requests to more than one State
Where a confiscation request has been transmitted to more than one State, provide the following information:
1.
A confiscation request has been transmitted to the following other State(s) (State and authority):
2.
Reasons for transmitting confiscation request to multiple States (select appropriate reasons):
(i)
If a request concerns specific items of property:
☐
Different items of property covered by the request are believed to be located in different States
☐
The confiscation request relates to a specific item of property and requires action in more than one State
(ii)
If the confiscation request concerns an amount of money:
☐
The estimated value of the property which may be confiscated in the requesting State and in any one requested State is not likely to be sufficient to cover the full amount set out in the order
☐
Other specific needs:
3.
Value of assets, if known, in each requested State:
4.
If confiscation of the specific item(s) of property requires action in more than one State, description of the action to be taken in the requested State:
SECTION H: Conversion and transfer of property
1.
If the confiscation request concerns a specific item of property, confirm whether the requesting State allows for the confiscation in the requested State to take the form of a requirement to pay a sum of money corresponding to the value of the property:
☐
Yes
☐
No
2.
If the confiscation concerns an amount of money, state whether property, other than money obtained from the execution of the confiscation request, may be transferred to the requesting State:
☐
Yes
☐
No
SECTION I: Imprisonment in default or other measures restricting the liberty of a person
Please indicate whether the requesting State allows for the application by the requested State of imprisonment in default or other measures restricting the liberty of a person where it is not possible to execute the confiscation request, either wholly or partially:
☐
Yes
☐
No
SECTION J: Restitution or victim compensation
1.
Please indicate, where relevant:
☐
An issuing authority or another competent authority of the requesting State has issued a decision to compensate the victim with, or restitute to the victim, the following sum of money:
☐
An issuing authority or another competent authority of the requesting State has issued a decision to restitute the following property other than money to the victim:
2.
Details of the decision to restitute property to, or compensate, the victim:
Issuing authority (official name):
Date of the decision:
Reference number of the decision (if available):
Description of the property to be restituted or amount awarded in compensation:
Name of the victim:
Address of the victim:
SECTION K: Legal remedies
Please indicate if a legal remedy has already been sought against the issuing of a confiscation order, and if so please provide further details (description of the legal remedy, including necessary steps to take and deadlines):
SECTION L: Issuing Authority
Please provide details on the authority which issued the confiscation request in the requesting State:
1.
Type of the issuing authority:
☐
judge, court, public prosecutor
☐
another competent authority designated by the requesting State
2.
Contact details:
Official name of the issuing authority:
Name of its representative:
Post held (title/grade):
File no:
Address:
Tel. No: (country code) (area/city code)
Fax No: (country code) (area/city code)
E-mail:
Languages in which it is possible to communicate with the issuing authority:
Signature of the issuing authority and/or its representative certifying the content of the Confiscation Request Form as accurate and correct:
Name:
Post held (title/grade):
Date:
Official stamp (if available):
SECTION M: Validating Authority
Please indicate the type of authority which has validated the Confiscation Request Form, if applicable:
☐
judge, court, public prosecutor
☐
another competent authority designated by the issuing State
Official name of the validating authority:
Name of its representative:
Post held (title/grade):
File no:
Address:
Tel. No: (country code) (area/city code)
Fax No: (country code) (area/city code)
E-mail:
Languages in which it is possible to communicate with the competent authority:
SECTION N: Central Authority
Please indicate the central authority responsible for the administrative transmission and receipt of the Confiscation Request Form in the requesting State:
Official name of the central authority:
Name of its representative:
Post held (title/grade):
File no:
Address:
Tel. No: (country code) (area/city code)
Fax No: (country code) (area/city code)
E-mail:
Languages in which it is possible to communicate with the competent authority:
SECTION O: Further information
1.
Please indicate if the main contact point in the requesting State should be the:
☐
issuing authority
☐
competent authority
☐
central authority
2.
If different from above, please provide the contact details of the person(s) to contact for additional information regarding this Confiscation Request Form:
Name/ Title/ Organisation:
Address:
E-mail/Contact Phone No:
SECTION P: Annexes
The original or duly authenticated copy of the confiscation order must be provided with the Confiscation Request Form.
ANNEX 47
IMPLEMENTATION OF THE FINANCIAL CONDITIONS
1.
The Commission shall communicate to the United Kingdom, as soon as possible and at the latest on 16 April of the financial year, the following information for each Union programme, activity, or part thereof, in which the United Kingdom participates:
(a)
the amounts in commitment appropriations in the Union budget definitively adopted for the year in question for the budget lines covering participation of the United Kingdom in accordance with the Protocol referred to in Article 710 of this Agreement and, if relevant, the amount of external assigned revenue appropriations that do not result from financial contribution from other donors on these budget lines;
(b)
the amount of the participation fee referred to in Article 714(4) of this Agreement;
(c)
from year N + 1 of implementation of a programme included in the Protocol referred to in Article 710 of this Agreement, the implementation of commitment appropriations corresponding to budgetary year N and the level of decommitment;
(d)
for programmes to which Article 716 of this Agreement applies, for the part of the programmes where such information is necessary to calculate the automatic correction, the level of commitments entered into in favour of United Kingdom entities broken down according to the corresponding year of budgetary appropriations and the related total level of commitments.
On the basis of its Draft Budget, the Commission shall provide an estimate of information under points (a) and (b) as soon as possible, and, at the latest, by 1 September of the financial year.
2.
The Commission shall issue, at the latest on 16 April and on 16 July of each financial year, a call for funds to the United Kingdom that corresponds to the contribution of the United Kingdom under this Agreement for each of the programmes, activities, or parts thereof, in which the United Kingdom participates.
3.
The United Kingdom shall pay the amount indicated in the call for funds at the latest 60 days after the call for funds is issued. The United Kingdom may make separate payments for each programme and activity.
4.
By derogation from paragraphs 2 and 3, for the year 2021 in which the Protocol referred to in Article 710 of this Agreement is concluded, the Commission shall issue a call for funds at the latest on 16 April 2021 if the Protocol is signed on or before 31 March 2021, or at the latest on the 16th of the month following the month in which the Protocol was signed if it is signed after 31 March 2021. If that call for funds is issued after 16 July of the year in question, there shall be a single call for funds for this year. The United Kingdom shall pay the amount indicated in the call for funds at the latest 60 days after the call for funds is issued. The United Kingdom may make separate payments for each programme and activity.
5.
The call for funds for a given year shall have the value established by dividing the annual amount calculated in application of Article 714 of this Agreement, including any adjustment under Article 714(8), Article 716 or 717 of this Agreement, by the number of calls for funds for that year pursuant to paragraphs 2 and 4 of this Annex.
6.
By way of derogation from paragraph 5, in relation to the contribution to Horizon Europe for the multiannual financial framework 2021-2027, the call for funds for a given year N shall have the value established by dividing:
(a)
the annual amount calculated
(i)
by applying the following payment schedule for payments if year N is:
—
2021: 50 % paid in 2021, 50 % paid in 2026
—
2022: 50 % paid in 2022, 50 % paid in 2027
(ii)
on the amount resulting from the application of Articles 714 and 716 of this Agreement, including any adjustment under Article 714(8) or Article 716 of this Agreement for that year N, by
(b)
the number of calls for funds for that year N pursuant to paragraphs 2 and 4:
The application of this paragraph has no bearing on establishing the calculation of the automatic correction under Articles 716 and 721. For all the calculations of other amounts related to Part V of this Agreement, the annual contribution of the United Kingdom shall take into account this paragraph .
7.
Where the participation of the United Kingdom is terminated pursuant to Article 719 or Article 720 of this Agreement any payments in relation to the period before the termination takes effect, which were postponed in accordance with paragraph 6 of this Annex, shall become due. The Commission shall issue a call for funds in relation to the amount due at the latest one month after the termination takes effect. The United Kingdom shall pay this due amount within 60 days of the issue of the call for funds.
8.
The Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council 
(
1
)
 ("Financial Regulation") applicable to the general budget of the European Union shall apply to the management of the appropriations.
9.
In the absence of payment by the United Kingdom by the due date, the Commission shall send a formal letter of reminder.
Any delay in the payment of the contribution shall give rise to the payment of default interest by the United Kingdom on the outstanding amount as from the due date until the day on which that outstanding amount is paid in full.
The interest rate for amounts receivable but not paid on the due date shall be the rate applied by the European Central Bank to its principal refinancing operations, as published in the C series of the 
Official Journal of the European Union
, in force on the first day of the month in which the due date falls, or 0 per cent, whichever is higher, plus three and a half percentage points.
(
1
)
  Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (
OJ EU L 193, 30.7.2018, p. 1
).
ANNEX 48
RULES OF PROCEDURE FOR DISPUTE SETTLEMENT
I.   Definitions
1.
For the purposes of Title I of Part Six of this Agreement and of these Rules of Procedure, the following definitions apply:
(a)
"administrative staff", in respect of an arbitrator, means individuals under the direction and control of an arbitrator, other than assistants;
(b)
"adviser" means an individual retained by a Party to advise or assist that Party in connection with the arbitration proceedings;
(c)
"arbitration tribunal" means a tribunal established under Article 740 of this Agreement;
(d)
"arbitrator" means a member of the arbitration tribunal;
(e)
"assistant" means an individual who, under the terms of appointment and under the direction and control of an arbitrator, conducts research or provides assistance to that arbitrator;
(f)
"complaining Party" means any Party that requests the establishment of an arbitration tribunal under Article 739 of this Agreement;
(g)
"registry" means an external body with relevant expertise appointed by the Parties to provide administrative support for the proceedings;
(h)
"respondent Party" means the Party that is alleged to be in violation of the covered provisions; and
(i)
"representative of a Party" means an employee or any individual appointed by a government department, agency or any other public entity of a Party who represents the Party for the purposes of a dispute under this Agreement or any supplementing agreement.
II.   Notifications
2.
Any request, notice, written submission or other document of:
(a)
the arbitration tribunal shall be sent to both Parties at the same time;
(b)
a Party, which is addressed to the arbitration tribunal, shall be copied to the other Party at the same time; and
(c)
a Party, which is addressed to the other Party, shall be copied to the arbitration tribunal at the same time, as appropriate.
3.
Any notification referred to in rule 2 shall be made by e-mail or, where appropriate, any other means of telecommunication that provides a record of the sending thereof. Unless proven otherwise, such notification shall be deemed to be delivered on the date of its sending.
4.
All notifications shall be addressed to the Legal Service of the European Commission and to the Legal Adviser of the Foreign, Commonwealth & Development Office of the United Kingdom, respectively.
5.
Minor errors of a clerical nature in a request, notice, written submission or other document related to the arbitration tribunal proceedings may be corrected by delivery of a new document clearly indicating the changes.
6.
If the last day for delivery of a document falls on a non-working day of the institutions of the Union or of the government of the United Kingdom, the time period for the delivery of the document shall end on the first following working day.
III.   Appointment of arbitrators
7.
If pursuant to Article 740 of this Agreement, an arbitrator is selected by lot, the co-chair of the Partnership Council of the complaining Party shall promptly inform the co-chair of the respondent Party of the date, time and venue of the lot. The respondent Party may, if it so chooses, be present during the lot. In any event, the lot shall be carried out with the Party or Parties that are present.
8.
The co-chair of the complaining Party shall notify, in writing, each individual who has been selected to serve as an arbitrator of his or her appointment. Each individual shall confirm his or her availability to both Parties within five days from the date on which he or she was informed of his or her appointment.
9.
The co-chair of the Partnership Council of the complaining Party shall select by lot the arbitrator or chairperson, within five days from the expiry of the time period referred to in Article 740(2) of this Agreement, if any of the sub-lists referred in Article 752(1) of this Agreement:
(a)
is not established, amongst those individuals who have been formally proposed by one or both Parties for the establishment of that particular sub-list; or
(b)
no longer contains at least five individuals, amongst those individuals who remain on that particular sub-list.
10.
The Parties may appoint a registry to assist in the organisation and conduct of specific dispute settlement proceedings on the basis of ad-hoc arrangements or on the basis of arrangements adopted by the Partnership Council pursuant to Article 759 of this Agreement. To that end, the Partnership Council shall consider no later than 180 days after the entry into force of this Agreement whether there are any necessary amendments to these Rules of Procedure.
IV.   Organisational Meeting
11.
Unless the Parties agree otherwise, they shall meet the arbitration tribunal within seven days of its establishment in order to determine such matters that the Parties or the arbitration tribunal deem to be appropriate, including:
(a)
if not determined earlier, the remuneration and expenses to be paid to the arbitrators, which shall in any case be in accordance with WTO standards;
(b)
the remuneration to be paid to assistants; the total amount of the remuneration of an assistant or assistants of each arbitrator shall not exceed 50 % of the remuneration of that arbitrator;
(c)
the timetable of the proceedings; and
(d)
ad-hoc procedures to protect confidential information.
Arbitrators and representatives of the Parties may take part in this meeting via telephone or video conference.
V.   Written Submissions
12.
The complaining Party shall deliver its written submission no later than 20 days after the date of establishment of the arbitration tribunal. The respondent Party shall deliver its written submission no later than 20 days after the date of delivery of the written submission of the complaining Party.
VI.   Operation of the arbitration tribunal
13.
The chairperson of the arbitration tribunal shall preside at all its meetings. The arbitration tribunal may delegate to the chairperson the authority to make administrative and procedural decisions.
14.
Unless otherwise provided in Title I of Part Six of this Agreement or in these Rules of Procedure, the arbitration tribunal may conduct its activities by any means, including telephone, facsimile transmissions or computer links.
15.
Only arbitrators may take part in the deliberations of the arbitration tribunal, but the arbitration tribunal may permit their assistants to be present at its deliberations.
16.
The drafting of any ruling, decision and report shall remain the exclusive responsibility of the arbitration tribunal and shall not be delegated.
17.
Where a procedural question arises that is not covered by Title I of Part Six of this Agreement and its Annexes, the arbitration tribunal, after consulting the Parties, may adopt an appropriate procedure that is compatible with those provisions.
18.
When the arbitration tribunal considers that there is a need to modify any of the time periods for the proceedings other than the time periods set out in Title I of Part Six of this Agreement or to make any other procedural or administrative adjustment, it shall inform the Parties, in writing and after consultation of the Parties, of the reasons for the change or adjustment and of the time period or adjustment needed.
VII.   Replacement
19.
When a Party considers that an arbitrator does not comply with the requirements of Annex 49 and for that reason should be replaced, that Party shall notify the other Party within 15 days from when it obtained sufficient evidence of the arbitrator's alleged failure to comply with the requirements of that Annex.
20.
The Parties shall consult within 15 days of the notification referred to in rule 19. They shall inform the arbitrator of his or her alleged failure and they may request the arbitrator to take steps to ameliorate the failure. They may also, if they so agree, remove the arbitrator and select a new arbitrator in accordance with Article 740 of this Agreement.
21.
If the Parties fail to agree on the need to replace the arbitrator, other than the chairperson of the arbitration tribunal, either Party may request that this matter be referred to the chairperson of the arbitration tribunal, whose decision shall be final.
If the chairperson of the arbitration tribunal finds that the arbitrator does not comply with the requirements of Annex 49, the new arbitrator shall be selected in accordance with Article 740 of this Agreement.
22.
If the Parties fail to agree on the need to replace the chairperson, either Party may request that this matter be referred to one of the remaining members of the pool of individuals from the sub-list of chairpersons established under Article 752 of this Agreement. His or her name shall be drawn by lot by the co-chair of the Partnership Council from the requesting Party, or the chair's delegate. The decision by the selected person on the need to replace the chairperson shall be final.
If this person finds that the chairperson does not comply with the requirements of Annex 49, the new chairperson shall be selected in accordance with Article 740 of this Agreement.
VIII.   Hearings
23.
On the basis of the timetable determined pursuant to rule 11, after consulting with the Parties and the other arbitrators, the chairperson of the arbitration tribunal shall notify the Parties of the date, time and venue of the hearing. That information shall be made publicly available by the Party in which the hearing takes place, unless the hearing is closed to the public.
24.
Unless the Parties agree otherwise, the hearing shall be held in London if the complaining Party is the Union and in Brussels if the complaining Party is the United Kingdom. The respondent Party shall bear the expenses derived from the logistical administration of the hearing.
25.
The arbitration tribunal may convene additional hearings if the Parties so agree.
26.
All arbitrators shall be present during the entirety of the hearing.
27.
Unless the Parties agree otherwise, the following persons may attend the hearing, irrespective of whether the hearing is open to the public or not:
(a)
representatives of a Party;
(b)
advisers;
(c)
assistants and administrative staff;
(d)
interpreters, translators and court reporters of the arbitration tribunal; and
(e)
experts, as decided by the arbitration tribunal pursuant to Article 751(2) of this Agreement.
28.
No later than five days before the date of a hearing, each Party shall deliver to the arbitration tribunal and to the other Party a list of the names of persons who will make oral arguments or presentations at the hearing on behalf of that Party and of other representatives and advisers who will be attending the hearing.
29.
The arbitration tribunal shall conduct the hearing in the following manner, ensuring that the complaining Party and the respondent Party are afforded equal time in both argument and rebuttal argument:
Argument
(a)
argument of the complaining Party;
(b)
argument of the respondent Party.
Rebuttal Argument
(a)
reply of the complaining Party;
(b)
counter-reply of the respondent Party.
30.
The arbitration tribunal may direct questions to either Party at any time during the hearing.
31.
The arbitration tribunal shall arrange for a transcript of the hearing to be prepared and delivered to the Parties as soon as possible after the hearing. The Parties may comment on the transcript and the arbitration tribunal may consider those comments.
32.
Each Party may deliver a supplementary written submission concerning any matter that arises during the hearing within 10 days after the date of the hearing.
IX.   Questions in Writing
33.
The arbitration tribunal may at any time during the proceedings submit questions in writing to one or both Parties. Any questions submitted to one Party shall be copied to the other Party.
34.
Each Party shall provide the other Party with a copy of its responses to the questions submitted by the arbitration tribunal. The other Party shall have an opportunity to provide comments in writing on the Party's responses within five days after the delivery of such copy.
X.   Confidentiality
35.
Each Party and the arbitration tribunal shall treat as confidential any information submitted by the other Party to the arbitration tribunal that the other Party has designated as confidential. When a Party submits to the arbitration tribunal a written submission which contains confidential information, it shall also provide, within 15 days, a submission without the confidential information which shall be disclosed to the public.
36.
Nothing in these Rules of Procedure shall preclude a Party from disclosing statements of its own positions to the public to the extent that, when making reference to information submitted by the other Party, it does not disclose any information designated by the other Party as confidential.
37.
The arbitration tribunal shall hold the relevant parts of the session in private when the submission and arguments of a Party contains confidential information. The Parties shall maintain the confidentiality of the arbitration tribunal hearings when the hearings are held in closed session.
XI.   
Ex parte
 contacts
38.
The arbitration tribunal shall not meet or communicate with a Party in the absence of the other Party.
39.
An arbitrator shall not discuss any aspect of the subject matter of the proceedings with a Party or both Parties in the absence of the other arbitrators.
XII.   
Amicus curiae
 submissions
40.
Unless the Parties agree otherwise within five days of the date of the establishment of the arbitration tribunal, the arbitration tribunal may receive unsolicited written submissions from natural persons of a Party or legal persons established in the territory of a Party that are independent from the governments of the Parties, provided that they:
(a)
are received by the arbitration tribunal within 10 days of the date of the establishment of the arbitration tribunal;
(b)
are concise and in no case longer than 15 pages, including any annexes, typed at double space;
(c)
are directly relevant to a factual or a legal issue under consideration by the arbitration tribunal;
(d)
contain a description of the person making the submission, including for a natural person his or her nationality and for a legal person its place of establishment, the nature of its activities, its legal status, general objectives and its source of financing;
(e)
specify the nature of the interest that the person has in the arbitration proceedings; and
(f)
are drafted in English.
41.
The submissions shall be delivered to the Parties for their comments. The Parties may submit comments, within 10 days of the delivery, to the arbitration tribunal.
42.
The arbitration tribunal shall list in its report all the submissions it has received pursuant to rule 40. The arbitration tribunal shall not be obliged to address in its report the arguments made in such submissions, however, if it does, it shall also take into account any comments made by the Parties pursuant to rule 41.
XIII.   Urgent cases
43.
In cases of urgency referred to in Article 744 of this Agreement, the arbitration tribunal, after consulting the Parties, shall adjust, as appropriate, the time periods referred to in these Rules of Procedure. The arbitration tribunal shall notify the Parties of such adjustments.
XIV.   Translation and interpretation
44.
The language of proceedings before the arbitration tribunal shall be English. Rulings, reports and decisions of the arbitration tribunal shall be issued in English.
45.
Each party shall bear its own costs of the translation of any documents submitted to the arbitration tribunal which are not originally drafted in English, as well as any costs relating to interpretation during the hearing related to its representatives or advisers.
XV.   Other Procedures
46.
The time periods laid down in these Rules of Procedure shall be adjusted in accordance with the special time periods provided for the adoption of a report or decision by the arbitration tribunal in the proceedings provided for in Articles 747 to 750 of this Agreement.
ANNEX 49
CODE OF CONDUCT FOR ARBITRATORS
I.   Definitions
1.
For the purposes of this Code of Conduct, the following definitions apply:
(a)
"administrative staff" means, in respect of an arbitrator, individuals under the direction and control of an arbitrator, other than assistants;
(b)
"arbitrator" means a member of an arbitration tribunal;
(c)
"assistant" means an individual who, under the terms of appointment of an arbitrator, conducts research or provides assistance to that arbitrator; and
(d)
"candidate" means an individual whose name is on a list of arbitrators referred to in Article 752 of this Agreement or who is under consideration for selection as an arbitrator under Article 740 of this Agreement.
II.   Governing Principles
2.
In order to preserve the integrity and impartiality of the dispute settlement mechanism, each candidate and arbitrator shall:
(a)
get acquainted with this Code of Conduct;
(b)
be independent and impartial;
(c)
avoid direct or indirect conflicts of interest;
(d)
avoid impropriety and the appearance of impropriety or bias;
(e)
observe high standards of conduct; and
(f)
not be influenced by self-interest, outside pressure, political considerations, public clamour, and loyalty to a Party or fear of criticism.
3.
An arbitrator shall not, directly or indirectly, incur any obligation or accept any benefit that would in any way interfere, or appear to interfere, with the proper performance of his or her duties.
4.
An arbitrator shall not use his or her position on the arbitration tribunal to advance any personal or private interests. An arbitrator shall avoid actions that may create the impression that others are in a special position to influence him or her.
5.
An arbitrator shall not allow past or existing financial, business, professional, personal, or social relationships or responsibilities to influence his or her conduct or judgement.
6.
An arbitrator shall avoid entering into any relationship or acquiring any financial interest that is likely to affect his or her impartiality or that might reasonably create an appearance of impropriety or bias.
III.   Disclosure obligations
7.
Prior to the acceptance of his or her appointment as an arbitrator under Article 740 of this Agreement, a candidate requested to serve as an arbitrator shall disclose any interest, relationship or matter that is likely to affect his or her independence or impartiality or that might reasonably create an appearance of impropriety or bias in the proceedings. To that end, a candidate shall make all reasonable efforts to become aware of any such interests, relationships and matters, including financial interests, professional interests, or employment or family interests.
8.
The disclosure obligation under paragraph 7 is a continuing duty which requires an arbitrator to disclose any such interests, relationships or matters that may arise during any stage of the proceedings.
9.
A candidate or an arbitrator shall communicate to the Partnership Council for consideration by the Parties any matters concerning actual or potential violations of this Code of Conduct at the earliest time he or she becomes aware of them.
IV.   Duties of Arbitrators
10.
Upon acceptance of his or her appointment, an arbitrator shall be available to perform and shall perform his or her duties thoroughly and expeditiously throughout the proceedings, and with fairness and diligence.
11.
An arbitrator shall consider only the issues raised in the proceedings and which are necessary for a decision and shall not delegate that duty to any other person.
12.
An arbitrator shall take all appropriate steps to ensure that his or her assistants and administrative staff are aware of, and comply with, the obligations incurred by arbitrators under Parts II, III, IV and VI of this Code of Conduct.
V.   Obligations of Former Arbitrators
13.
Each former arbitrator shall avoid actions that may create the appearance that he or she was biased in carrying out the duties or derived advantage from the decision of the arbitration tribunal.
14.
Each former arbitrator shall comply with the obligations in Part VI of this Code of Conduct.
VI.   Confidentiality
15.
An arbitrator shall not, at any time, disclose any non-public information concerning the proceedings or acquired during the proceedings for which he or she has been appointed. An arbitrator shall not, in any case, disclose or use such information to gain personal advantage or advantage for others or to adversely affect the interests of others.
16.
An arbitrator shall not disclose a decision of the arbitration tribunal or parts thereof prior to its publication in accordance with Title I of Part Six of this Agreement.
17.
An arbitrator shall not, at any time, disclose the deliberations of an arbitration tribunal, or any arbitrator's view, nor make any statements on the proceedings for which he or she has been appointed or on the issues in dispute in the proceedings.
VII.   Expenses
18.
Each arbitrator shall keep a record and render a final account of the time devoted to the proceedings and of his or her expenses, as well as the time and expenses of his or her assistants and administrative staff.
PROTOCOL ON ADMINISTRATIVE COOPERATION AND COMBATING FRAUD IN THE FIELD OF VALUE ADDED TAX AND ON MUTUAL ASSISTANCE FOR THE RECOVERY OF CLAIMS RELATING TO TAXES AND DUTIES
TITLE I
GENERAL PROVISIONS
Article PVAT.1
Objective
The objective of this Protocol is to establish the framework for administrative cooperation between the Member States and the United Kingdom, in order to enable their authorities to assist each other in ensuring compliance with VAT legislation and in protecting VAT revenue and in recovering claims relating to taxes and duties.
Article PVAT.2
Scope
1.
This Protocol lays down rules and procedures for cooperation:
(a)
to exchange any information that may help to effect a correct assessment of VAT, monitor the correct application of VAT, and combat VAT fraud; and
(b)
for the recovery of:
(i)
claims relating to VAT, customs duties and excise duties, levied by or on behalf of a State or its territorial or administrative subdivisions, excluding the local authorities, or on behalf of the Union;
(ii)
administrative penalties, fines, fees and surcharges relating to the claims referred to in point (i) imposed by the administrative authorities that are competent to levy the taxes or duties concerned or carry out administrative enquiries with regard to them, or confirmed by administrative or judicial bodies at the request of those administrative authorities; and
(iii)
interest and costs relating to the claims referred to in points (i) and (ii).
2.
This Protocol does not affect the application of the rules on administrative cooperation and combating fraud in the field of VAT and assistance for the recovery of claims between Member States.
3.
This Protocol does not affect the application of the rules on mutual assistance in criminal matters.
Article PVAT.3
Definitions
For the purpose of this Protocol, the following definitions apply:
(a)
"administrative enquiry" means all the controls, checks and other action taken by the States in the performance of their duties with a view to ensuring the proper application of the VAT legislation;
(b)
"applicant authority" means a central liaison office or a liaison department of a State which makes a request under Title III;
(c)
"automatic exchange" means the systematic communication of predefined information to another State, without prior request;
(d)
"by electronic means" means using electronic equipment for the processing (including digital compression) and storage of data, and employing wires, radio transmission, optical technologies or other electromagnetic means;
(e)
"CCN/CSI network" means the common platform based on the common communication network ("CCN") and common system interface ("CSI"), developed by the Union to ensure all transmissions by electronic means between competent authorities in the area of taxation;
(f)
"central liaison office" means the office designated pursuant to Article PVAT.4(2) with the principal responsibility for contacts for the application of Title II or Title III;
(g)
"competent authority" means the authority designated pursuant to Article PVAT.4(1);
(h)
"competent official" means any official designated pursuant to Article PVAT.4(4) who can directly exchange information under Title II;
(i)
"customs duties" means the duty payable on goods entering or leaving the customs territory of each Party in accordance with the rules set out in the customs legislation of the respective Parties;
(j)
"excise duties" means those duties and charges defined as such under the domestic legislation of the State in which the applicant authority is located;
(k)
"liaison department" means any office other than the central liaison office designated as such pursuant to Article PVAT.4(3) to request or grant mutual assistance under Title II or Title III;
(l)
"person" means any person as defined in point (l) of Article 512 of this Agreement; 
(
1
)
(m)
"requested authority" means the central liaison office, the liaison department or, as far as cooperation under Title II is concerned, the competent official who receives a request from a requesting or an applicant authority;
(n)
"requesting authority" means a central liaison office, a liaison department or a competent official who makes a request for assistance under Title II, on behalf of a competent authority;
(o)
"simultaneous control" means the coordinated checking of the tax situation of a taxable person or of two or more related taxable persons organised by two or more States with common or complementary interests;
(p)
"Specialised Committee" means the Trade Specialised Committee on Administrative Cooperation in VAT and Recovery of Taxes and Duties;
(q)
"spontaneous exchange" means the non-systematic communication, at any moment and without prior request, of information to another State;
(r)
"State" means a Member State or the United Kingdom, as the context requires;
(s)
"third country" means a country that is neither a Member State nor the United Kingdom;
(t)
"VAT" means value added tax pursuant to Council Directive 2006/112/EC on the common system of value added tax for the Union and means value added tax pursuant to the Value Added Tax Act 1994 for the United Kingdom.
Article PVAT.4
Organisation
1.
Each State shall designate a competent authority responsible for the application of this Protocol.
2.
Each State shall designate:
(a)
one central liaison office with the principal responsibility for the application of Title II of this Protocol; and
(b)
one central liaison office with the principal responsibility for the application of Title III of this Protocol.
3.
Each competent authority may designate, directly or by delegation:
(a)
liaison departments to exchange directly information under Title II of this Protocol;
(b)
liaison departments to request or grant mutual assistance under Title III of this Protocol, in relation to their specific territorial or operational competences.
4.
Each competent authority may designate, directly or by delegation, competent officials who can directly exchange information on the basis of Title II of this Protocol
5.
Each central liaison office shall keep the list of liaison departments and competent officials up-to-date and make it available to the other central liaison offices.
6.
Where a liaison department or a competent official sends or receives a request for assistance under this Protocol, it shall inform its central liaison office thereof.
7.
Where a central liaison office, a liaison department or a competent official receives a request for mutual assistance requiring action outside its competence, it shall forward the request without delay to the competent central liaison office or liaison department, and shall inform the requesting or applicant authority thereof. In such a case, the period laid down in Article PVAT.8 shall start the day after the request for assistance has been forwarded to the competent central liaison office or the competent liaison department.
8.
Each Party shall inform the Specialised Committee of its competent authorities for the purposes of this Protocol within one month of the signature of this Agreement and of any changes regarding those competent authorities without delay. The Specialised Committee shall keep the list of competent authorities updated.
Article PVAT.5
Service level agreement
A service level agreement ensuring the technical quality and quantity of the services for the functioning of the communication and information exchange systems shall be concluded according to a procedure established by the Specialised Committee.
Article PVAT.6
Confidentiality
1.
Any information obtained by a State under this Protocol shall be treated as confidential and shall be protected in the same manner as information obtained under its domestic law.
2.
Such information may be disclosed to persons or authorities (including courts and administrative or supervisory bodies) concerned with the application of VAT laws and for the purpose of a correct assessment of VAT as well as for the purpose of applying enforcement measures including recovery or precautionary measures with regard to claims referred to in point (b) of Article PVAT.2(1).
3.
The information referred to in paragraph 1 may also be used for assessment of other taxes and for assessment and enforcement, including recovery or precautionary measures, with regard to claims relating to compulsory social security contributions. If the information exchanged reveals or helps to prove the existence of breaches of the tax law, it may also be used for imposing administrative or criminal sanctions. Only the persons or authorities mentioned in paragraph 2 may use the information and then only for purposes set out in the preceding sentences of this paragraph. They may disclose it in public court proceedings or in judicial decisions.
4.
Notwithstanding paragraphs 1 and 2, the State providing the information shall, on the basis of a reasoned request, permit its use for purposes other than those referred to in Article PVAT.2(1) by the State which receives the information if, under the legislation of the State providing the information, the information may be used for similar purposes. The requested authority shall accept or refuse any such request within one month.
5.
Reports, statements and any other documents, or certified true copies or extracts thereof, obtained by a State under the assistance provided by this Protocol may be invoked as evidence in that State on the same basis as similar documents provided by another authority of that State.
6.
Information provided by a State to another State may be transmitted by the latter to another State, subject to prior authorisation by the competent authority from which the information originated. The State of origin of the information may oppose such a sharing of information within ten working days of the date on which it received the communication from the State wishing to share the information.
7.
The States may transmit information obtained in accordance with this Protocol to third countries subject to the following conditions:
(a)
the competent authority from which the information originates has consented to that transmission; and
(b)
the transmission is permitted by assistance arrangements between the State transmitting the information and that particular third country.
8.
When a State receives information from a third country, the States may exchange that information, in so far as permitted by the assistance arrangements with that particular third country.
9.
Each State shall immediately notify the other States concerned regarding any breach of confidentiality, and any sanctions and remedial actions consequently imposed.
10.
Persons duly accredited by the Security Accreditation Authority of the European Commission may have access to this information only in so far as it is necessary for care, maintenance and development of the electronic systems hosted by the Commission and used by the States to implement this Protocol.
TITLE II
ADMINISTRATIVE COOPERATION AND COMBATING VAT FRAUD
CHAPTER ONE
EXCHANGE OF INFORMATION ON REQUEST
Article PVAT.7
Exchange of information and administrative enquiries
1.
At the request of the requesting authority, the requested authority shall communicate the information referred to in point (a) of Article PVAT.2(1), including any information relating to a specific case or cases.
2.
For the purpose of forwarding the information referred to in paragraph 1, the requested authority shall arrange for the conduct of any administrative enquiries necessary to obtain such information.
3.
The request referred to in paragraph 1 may contain a reasoned request for a specific administrative enquiry. The requested authority shall undertake the administrative enquiry in consultation with the requesting authority where necessary. If the requested authority takes the view that no administrative enquiry is necessary, it shall immediately inform the requesting authority of the reasons thereof.
4.
Where the requested authority refuses to undertake an administrative enquiry into amounts that were declared or amounts that should have been declared by a taxable person established in the State of the requested authority in connection with supplies of goods or services and imports of goods which are made by that taxable person and which are taxable in the State of the requesting authority, the requested authority shall at least provide to the requesting authority the dates and values of any relevant supplies and imports made by the taxable person in the State of the requesting authority over the previous two years, unless the requested authority does not hold and is not required to hold this information under domestic legislation.
5.
In order to obtain the information sought or to conduct the administrative enquiry requested, the requested authority or the administrative authority to which it has recourse shall proceed as though acting on its own account or at the request of another authority in its own State.
6.
At the request of the requesting authority, the requested authority shall communicate to it any pertinent information it obtains or has in its possession as well as the results of administrative enquiries, in the form of reports, statements and any other documents, or certified true copies or extracts thereof.
7.
Original documents shall be provided only where this is not contrary to the provisions in force in the State of the requested authority.
Article PVAT.8
Time limit for providing information
1.
The requested authority shall provide the information referred to in Article PVAT.7 as quickly as possible and no later than 90 days following the date of receipt of the request. However, where the requested authority is already in possession of that information, the time limit shall be reduced to a maximum period of 30 days.
2.
In certain special categories of cases, time limits which are different from those provided for in paragraph 1 may be agreed between the requested and the requesting authorities.
3.
Where the requested authority is unable to respond to the request within the time limits referred to in paragraphs 1 and 2, it shall forthwith inform the requesting authority in writing of the reasons for its failure to do so, and when it considers it would be likely to be able to respond.
CHAPTER TWO
EXCHANGE OF INFORMATION WITHOUT PRIOR REQUEST
Article PVAT.9
Types of exchange of information
The exchange of information without prior request shall either be spontaneous exchanges, as provided for in Article PVAT.10, or automatic exchanges, as provided for in Article PVAT.11.
Article PVAT.10
Spontaneous exchange of information
The competent authority of a State shall, without prior request, forward to the competent authority of another State the information referred to in point (a) of Article PVAT.2(1) which has not been forwarded under the automatic exchange referred to in Article PVAT.11 and of which it is aware of in the following cases:
(a)
where taxation is deemed to take place in another State and information is necessary for the effectiveness of the control system of that State;
(b)
where a State has grounds to believe that a breach of VAT legislation has been committed or is likely to have been committed in the other State;
(c)
where there is a risk of tax loss in the other State.
Article PVAT.11
Automatic exchange of information
1.
The categories of information subject to automatic exchange shall be determined by the Specialised Committee in accordance with Article PVAT.39.
2.
A State may abstain from taking part in the automatic exchange of one or more categories of information referred to in paragraph 1 where the collection of information for such exchange would require the imposition of new obligations on persons liable for VAT or would impose a disproportionate administrative burden on that State.
3.
Each State shall notify the Specialised Committee in writing of its decision taken in accordance with the previous paragraph.
CHAPTER THREE
OTHER FORMS OF COOPERATION
Article PVAT.12
Administrative notification
1.
The requested authority shall, at the request of the requesting authority and in accordance with the rules governing the notification of similar instruments and decisions in the State of the requested authority, notify the addressee of all instruments and decisions which have been sent from the requesting authorities and concern the application of VAT legislation in the State of the requesting authority.
2.
Requests for notification, mentioning the subject of the instrument or decision to be notified, shall indicate the name, address and any other relevant information for identifying the addressee.
3.
The requested authority shall inform the requesting authority immediately of its response to the request for notification and notify it, in particular, of the date of notification of the decision or instrument to the addressee.
Article PVAT.13
Presence in administrative offices and participation in administrative enquiries
1.
By agreement between the requesting authority and the requested authority, and in accordance with the arrangements laid down by the latter, the requested authority may allow officials authorised by the requesting authority to be present in the offices of the requested authority, or any other place where those authorities carry out their duties, with a view to exchanging the information referred to in point (a) of Article PVAT.2(1). Where the requested information is contained in documentation to which the officials of the requested authority have access, the officials of the requesting authority shall be given copies thereof on request.
2.
By agreement between the requesting authority and the requested authority, and in accordance with the arrangements laid down by the latter, the requested authority may allow officials authorised by the requesting authority to be present during the administrative enquiries carried out in the territory of the State of the requested authority, with a view to exchanging the information referred to in point (a) of Article PVAT.2(1). Such administrative enquiries shall be carried out exclusively by the officials of the requested authority. The officials of the requesting authority shall not exercise the powers of inspection conferred on officials of the requested authority. They may, however, have access to the same premises and documents as the latter, through the intermediation of the officials of the requested authority and for the sole purpose of carrying out the administrative enquiry.
3.
By agreement between the requesting authorities and the requested authority, and in accordance with the arrangements laid down by the latter, officials authorised by the requesting authorities may take part in the administrative enquiries carried out in the territory of the requested State with a view to collecting and exchanging the information referred to in point (a) of Article PVAT.2(1). Such administrative enquiries shall be carried out jointly by the officials of the requesting and requested authorities and shall be conducted under the direction and according to the legislation of the requested State. The officials of the requesting authorities shall have access to the same premises and documents as the officials of the requested authority and, in so far as it is permitted under the legislation of the requested State for its officials, shall be able to interview taxable persons.
Where it is permitted under the legislation of the requested State, the officials of the requesting States shall exercise the same inspection powers as those conferred on officials of the requested State.
The inspection powers of the officials of the requesting authorities shall be exercised for the sole purpose of carrying out the administrative enquiry.
By agreement between the requesting authorities and the requested authority and in accordance with the arrangements laid down by the requested authority, the participating authorities may draft a common enquiry report.
4.
The officials of the requesting authority present in another State in accordance with paragraphs 1, 2 and 3 must at all times be able to produce written authority stating their identity and their official capacity.
Article PVAT.14
Simultaneous controls
1.
The States may agree to conduct simultaneous controls whenever they consider such controls to be more effective than controls carried out by only one State.
2.
A State shall identify independently the taxable persons which it intends to propose for a simultaneous control. The competent authority of that State shall notify the competent authority of the other State concerned of the cases proposed for a simultaneous control. It shall give reasons for its choice, as far as possible, by providing the information which led to its decision. It shall specify the period of time during which such controls should be conducted.
3.
A competent authority that receives the proposal for a simultaneous control shall confirm its agreement or communicate its reasoned refusal to the counterpart authority, in principle within two weeks of receipt of the proposal, but within a month of receipt of the proposal at the latest.
4.
Each competent authority concerned shall appoint a representative to be responsible for supervising and coordinating the control operation.
CHAPTER FOUR
GENERAL PROVISIONS
Article PVAT.15
Conditions governing the exchange of information
1.
The requested authority shall provide a requesting authority with the information referred to in point (a) of Article PVAT.2(1) or carry out an administrative notification referred to in Article PVAT.12, provided that:
(a)
the number and nature of the requests for information or administrative notification made by the requesting authority do not impose a disproportionate administrative burden on that requested authority; and
(b)
the requesting authority has exhausted the usual sources of information which it could have used in the circumstances to obtain the information requested or measures which it could reasonably have taken to carry out the administrative notification requested, without running the risk of jeopardising the achievement of the desired end.
2.
This Protocol shall impose no obligation to have enquiries carried out or to provide information on a particular case if the laws or administrative practices of the State which would have to supply the information do not authorise that State to carry out those enquiries or collect or use that information for its own purposes.
3.
A requested authority may refuse to provide information where the requesting authority is unable, for legal reasons, to provide similar information. The requested authority shall inform the Specialised Committee of the grounds for the refusal.
4.
The provision of information may be refused where it would lead to the disclosure of a commercial, industrial or professional secret or of a commercial process, or of information whose disclosure would be contrary to public policy.
5.
Paragraphs 2, 3 and 4 should in no case be interpreted as authorising the requested authority to refuse to supply information on the sole grounds that this information is held by a bank, other financial institution, nominee or person acting in an agency or fiduciary capacity or because it relates to ownership interests in a legal person.
6.
The requested authority shall inform the requesting authority of the grounds for refusing a request for assistance.
Article PVAT.16
Feedback
Where a competent authority provides information pursuant to Article PVAT.7 or PVAT.10, it may request the competent authority which receives the information to give feedback thereon. If such request is made, the competent authority which receives the information shall, without prejudice to the rules on tax secrecy and data protection applicable in its State, send feedback as soon as possible, provided that this does not impose a disproportionate administrative burden on it.
Article PVAT.17
Language
Requests for assistance, including requests for notification and attached documents, shall be made in a language agreed between the requested and requesting authority.
Article PVAT.18
Statistical data
1.
By 30 June each year, the Parties shall communicate by electronic means to the Specialised Committee statistical data on the application of this Title.
2.
The content and format of the statistical data to be communicated under paragraph 1 shall be determined by the Specialised Committee.
Article PVAT.19
Standard forms and means of communication
1.
Any information communicated pursuant to Articles PVAT.7, PVAT.10, PVAT.11, PVAT.12 and PVAT.16 and the statistics communicated pursuant to Article PVAT.18 shall be provided using a standard form referred to in point (d) of Article PVAT.39(2), except in the cases referred to in Article PVAT.6(7) and (8) or in specific cases where the respective competent authorities deem other secure means more appropriate and agree to use those means.
2.
The standard forms shall be transmitted, in so far as possible, by electronic means.
3.
Where the request has not been lodged completely through the electronic systems, the requested authority shall confirm receipt of the request by electronic means without delay and, in any event, no later than five working days after receipt.
4.
Where an authority has received a request or information of which it is not the intended recipient, it shall send a message by electronic means to the sender without delay and, in any event, no later than five working days after receipt.
5.
Pending the adoption by the Specialised Committee of the decisions referred to in Article PVAT.39(2), the competent authorities shall make use of the rules set out in the Annex to this Protocol, including the standard forms.
TITLE III
RECOVERY ASSISTANCE
CHAPTER ONE
EXCHANGE OF INFORMATION
Article PVAT.20
Request for information
1.
At the request of the applicant authority, the requested authority shall provide any information which is foreseeably relevant to the applicant authority in the recovery of its claims as referred to in point (b) of Article PVAT.2(1). The request for information shall include, where available, the name and any other data relevant to the identification of the persons concerned.
For the purpose of providing that information, the requested authority shall arrange for the carrying-out of any administrative enquiries necessary to obtain it.
2.
The requested authority shall not be obliged to supply information:
(a)
which it would not be able to obtain for the purpose of recovering similar claims on its own behalf;
(b)
which would disclose any commercial, industrial or professional secrets; or
(c)
the disclosure of which would be liable to prejudice the security of or be contrary to the public policy of the State of the requested authority.
3.
Paragraph 2 shall in no case be construed as permitting a requested authority to decline to supply information solely because this information is held by a bank, other financial institution, nominee or person acting in an agency or a fiduciary capacity or because it relates to ownership interests in a legal person.
4.
The requested authority shall inform the applicant authority of the grounds for refusing a request for information.
Article PVAT.21
Exchange of information without prior request
Where a refund of taxes or duties relates to a person established or resident in another State, the State from which the refund is to be made may inform the State of establishment or residence of the pending refund.
Article PVAT.22
Presence in administrative offices and participation in administrative enquiries
1.
By agreement between the applicant authority and the requested authority, and in accordance with the arrangements laid down by the latter, officials authorised by the applicant authority may, with a view to promoting mutual assistance provided for in this Title:
(a)
be present in the offices where officials of the requested State carry out their duties;
(b)
be present during administrative enquiries carried out in the territory of the requested State; and
(c)
assist the competent officials of the requested State during court proceedings in that State.
2.
In so far as it is permitted under applicable legislation in the requested State, the agreement referred to in point (b) of paragraph 1 may provide that officials of the applicant authority may interview individuals and examine records.
3.
Officials authorised by the applicant authority who make use of the possibility offered by paragraphs 1 and 2 must at all times be able to produce written authority stating their identity and their official capacity.
CHAPTER TWO
ASSISTANCE FOR THE NOTIFICATION OF DOCUMENTS
Article PVAT.23
Request for notification of certain documents relating to claims
1.
At the request of the applicant authority, the requested authority shall notify to the addressee all documents, including those of a judicial nature, which have been sent from the State of the applicant authority and which relate to a claim as referred to in point (b) of Article PVAT.2(1) or to its recovery.
The request for notification shall be accompanied by a standard form containing at least the following information:
(a)
name, address and other data relevant to the identification of the addressee;
(b)
the purpose of the notification and the period within which notification should be effected;
(c)
a description of the attached document and the nature and amount of the claim concerned; and
(d)
name, address and other contact details regarding:
(i)
the office responsible with regard to the attached document; and
(ii)
if different, the office where further information can be obtained concerning the notified document or concerning the possibilities for contesting the payment obligation.
2.
The applicant authority shall make a request for notification pursuant to this Article only when it is unable to notify in accordance with the rules governing the notification of the document concerned in its own State or when such notification would give rise to disproportionate difficulties.
3.
The requested authority shall forthwith inform the applicant authority of any action taken on its request for notification and in particular of the date of notification of the document to the addressee.
Article PVAT.24
Means of notification
1.
The requested authority shall ensure that notification in the requested State is effected in accordance with the applicable national laws, regulations and administrative practices.
2.
Paragraph 1 is without prejudice to any other form of notification made by a competent authority of the applicant State in accordance with the rules in force in that State.
A competent authority established in the applicant State may notify any document directly by registered mail or electronically to a person within the territory of another State.
CHAPTER THREE
RECOVERY OR PRECAUTIONARY MEASURES
Article PVAT.25
Request for recovery
1.
At the request of the applicant authority, the requested authority shall recover claims which are the subject of an instrument permitting enforcement in the State of the applicant authority.
2.
As soon as any relevant information relating to the matter which gave rise to the request for recovery comes to the knowledge of the applicant authority, it shall forward it to the requested authority.
Article PVAT.26
Conditions governing a request for recovery
1.
The applicant authority may not make a request for recovery if and as long as the claim or the instrument permitting its enforcement are contested in the State of the applicant authority, except in cases where the third subparagraph of Article PVAT.29(4) applies.
2.
Before the applicant authority makes a request for recovery, appropriate recovery procedures available in the State of the applicant authority shall be applied, except in the following situations:
(a)
where it is obvious that there are no assets for recovery in that State or that such procedures will not result in the payment of a substantial amount, and the applicant authority has specific information indicating that the person concerned has assets in the State of the requested authority;
(b)
where recourse to such procedures in the State of the applicant authority would give rise to disproportionate difficulty.
Article PVAT.27
Instrument permitting enforcement in the State of the requested authority and other accompanying documents
1.
Any request for recovery shall be accompanied by a uniform instrument permitting enforcement in the State of the requested authority.
This uniform instrument permitting enforcement shall reflect the substantial contents of the initial instrument permitting enforcement in the State of the applicant authority, and constitute the sole basis for recovery and precautionary measures in the State of the requested authority. No act of recognition, supplementing or replacement shall be required in that State.
The uniform instrument permitting enforcement shall contain at least the following information:
(a)
information relevant to the identification of the initial instrument permitting enforcement, a description of the claim, including its nature, the period covered by the claim, any dates of relevance to the enforcement process, and the amount of the claim and its different components such as principal, interest accrued, etc.;
(b)
name and other data relevant to the identification of the debtor; and
(c)
name, address and other contact details regarding:
(i)
the office responsible for the assessment of the claim; and
(ii)
if different, the office where further information can be obtained concerning the claim or the possibilities for contesting the payment obligation.
2.
The request for recovery of a claim may be accompanied by other documents relating to the claim issued by the State of the applicant authority.
Article PVAT.28
Execution of the request for recovery
1.
For the purpose of the recovery in the State of the requested authority, any claim in respect of which a request for recovery has been made shall be treated as if it was a claim of that State, except where otherwise provided for in this Protocol. The requested authority shall make use of the powers and procedures provided under the laws, regulations or administrative provisions of that State applying to its claims except where otherwise provided for in this Protocol.
The State of the requested authority shall not be obliged to grant to claims whose recovery is requested preferences accorded to similar claims arising in the State of the requested authority, except where otherwise agreed or provided under the law of that State.
The State of the requested authority shall recover the claim in its own currency.
2.
The requested authority shall inform the applicant authority with due diligence of any action it has taken on the request for recovery.
3.
From the date on which the recovery request is received, the requested authority shall charge interest for late payment in accordance with the laws, regulations and administrative provisions applicable to its own claims.
4.
The requested authority may, where the applicable laws, regulations or administrative provisions so permit, allow the debtor time to pay or authorise payment by instalment and it may charge interest in that respect. It shall inform the applicant authority of any such decision.
5.
Without prejudice to Article PVAT.35(1), the requested authority shall remit to the applicant authority the amounts recovered with respect to the claim and the interest referred to in paragraphs 3 and 4 of this Article.
Article PVAT.29
Disputed claims and enforcement measures
1.
Disputes concerning the claim, the initial instrument permitting enforcement in the State of the applicant authority or the uniform instrument permitting enforcement in the State of the requested authority and disputes concerning the validity of a notification made by an applicant authority shall fall within the competence of the competent bodies of the State of the applicant authority. If, in the course of the recovery procedure, the claim, the initial instrument permitting enforcement in the State of the applicant authority or the uniform instrument permitting enforcement in the State of the requested authority is contested by an interested party, the requested authority shall inform that party that such an action must be brought by the latter before the competent body of the State of the applicant authority in accordance with the laws in force there.
2.
Disputes concerning enforcement measures taken in the State of the requested authority or concerning the validity of a notification made by an authority of the requested State shall be brought before the competent body of that State in accordance with its laws and regulations.
3.
Where an action as referred to in paragraph 1 has been brought, the applicant authority shall inform the requested authority thereof and shall indicate the extent to which the claim is not contested.
4.
As soon as the requested authority has received the information referred to in paragraph 3, either from the applicant authority or from the interested party, it shall suspend the enforcement procedure, as far as the contested part of the claim is concerned, pending the decision of the body competent in the matter, unless the applicant authority requests otherwise in accordance with the third subparagraph of this paragraph.
At the request of the applicant authority, or where otherwise deemed to be necessary by the requested authority, and without prejudice to Article PVAT.31, the requested authority may take precautionary measures to guarantee recovery in so far as the applicable laws or regulations allow.
The applicant authority may, in accordance with the laws, regulations and administrative practices in force in its State, ask the requested authority to recover a contested claim or the contested part of a claim, in so far as the laws, regulations and administrative practices in force in the State of the requested authority allow. Any such request shall be reasoned. If the result of contestation is subsequently favourable to the debtor, the applicant authority shall be liable for reimbursing any sums recovered, together with any compensation due, in accordance with the laws in force in the State of the requested authority.
If a mutual agreement procedure has been initiated between the State of the applicant authority and the State of requested authority, and the outcome of the procedure may affect the claim in respect of which assistance has been requested, the recovery measures shall be suspended or stopped until that procedure has been terminated, unless it concerns a case of immediate urgency because of fraud or insolvency. If the recovery measures are suspended or stopped, the second subparagraph shall apply.
Article PVAT.30
Amendment or withdrawal of the request for recovery assistance
1.
The applicant authority shall inform the requested authority immediately of any subsequent amendment to its request for recovery or of the withdrawal of its request, indicating the reasons for amendment or withdrawal.
2.
If the amendment of the request is caused by a decision of the competent body referred to in Article PVAT.29(1), the applicant authority shall communicate this decision together with a revised uniform instrument permitting enforcement in the State of the requested authority. The requested authority shall then proceed with further recovery measures on the basis of the revised instrument.
Recovery or precautionary measures already taken on the basis of the original uniform instrument permitting enforcement in the State of the requested authority may be continued on the basis of the revised instrument, unless the amendment of the request is due to invalidity of the initial instrument permitting enforcement in the State of the applicant authority or the original uniform instrument permitting enforcement in the State of the requested authority.
Articles PVAT.27 and PVAT.29 shall apply in relation to the revised instrument.
Article PVAT.31
Request for precautionary measures
1.
At the request of the applicant authority, the requested authority shall take precautionary measures, if allowed by its national law and in accordance with its administrative practices, to ensure recovery where a claim or the instrument permitting enforcement in the State of the applicant authority is contested at the time when the request is made, or where the claim is not yet the subject of an instrument permitting enforcement in the State of the applicant authority, in so far as precautionary measures are possible in a similar situation under the law and administrative practices of the State of the applicant authority.
The document drawn up for permitting precautionary measures in the State of the applicant authority and relating to the claim for which mutual assistance is requested, if any, shall be attached to the request for precautionary measures in the State of the requested authority. This document shall not be subject to any act of recognition, supplementing or replacement in the State of the requested authority.
2.
The request for precautionary measures may be accompanied by other documents relating to the claim.
Article PVAT.32
Rules governing the request for precautionary measures
In order to give effect to Article PVAT.31, Article PVAT.25(2), Article PVAT.28(1) and (2), Article PVAT.29 and Article PVAT.30 shall apply 
mutatis mutandis
 to requests under Article PVAT.31.
Article PVAT.33
Limits to the requested authority's obligation
1.
The requested authority shall not be obliged to grant the assistance provided for in Articles PVAT.25 to PVAT.31 if recovery of the claim would, because of the situation of the debtor, create serious economic or social difficulties in the State of the requested authority, in so far as the laws, regulations and administrative practices in force in that State allow such exception for national claims.
2.
The requested authority shall not be obliged to grant the assistance provided for in Articles PVAT.25 to PVAT.31 where the costs or administrative burdens for the requested State would be clearly disproportionate to the monetary benefit to be derived by the applicant State.
3.
The requested authority shall not be obliged to grant the assistance provided for in Article PVAT.20 and Articles PVAT.22 to PVAT.31 if the initial request for assistance pursuant to Article PVAT.20, PVAT.22, PVAT.23, PVAT.25 or PVAT.31 is made in respect of claims which are more than 5 years old, dating from the due date of the claim in the State of the applicant authority to the date of the initial request for assistance.
However, in cases where the claim or the initial instrument permitting enforcement in the State of the applicant authority is contested, the 5-year period shall be deemed to begin from the moment when it is established in the State of the applicant authority that the claim or the instrument permitting enforcement may no longer be contested.
Moreover, in cases where a postponement of the payment or payment by instalments arrangement has been granted by the State of the applicant authority, the 5-year period shall be deemed to begin from the moment when the entire extended payment period has come to its end.
However, in those cases the requested authority shall not be obliged to grant assistance in respect of claims which are more than 10 years old, dating from the due date of the claim in the State of the applicant authority.
4.
A State shall not be obliged to grant assistance if the total amount for which assistance is requested is less than GBP 5 000.
5.
The requested authority shall inform the applicant authority of the grounds for refusing a request for assistance.
Article PVAT.34
Questions on limitation
1.
Questions concerning periods of limitation shall be governed solely by the laws in force in the State of the applicant authority.
2.
In relation to the suspension, interruption or prolongation of periods of limitation, any steps taken in the recovery of claims by or on behalf of the requested authority in pursuance of a request for assistance which have the effect of suspending, interrupting or prolonging the period of limitation according to the laws in force in the State of the requested authority shall have the same effect in the State of the applicant authority, on condition that the corresponding effect is provided for under the law of the latter State.
If suspension, interruption or prolongation of the period of limitation is not possible under the laws in force in the State of the requested authority, any steps taken in the recovery of claims by or on behalf of the requested authority in pursuance of a request for assistance which, if they had been carried out by or on behalf of the applicant authority in its own State, would have had the effect of suspending, interrupting or prolonging the period of limitation according to the laws of that State shall be deemed to have been taken in the latter State, in so far as that effect is concerned.
The first and second subparagraphs shall not affect the right of the State of the applicant authority to take measures which have the effect of suspending, interrupting or prolonging the period of limitation in accordance with the laws in force in that State.
3.
The applicant authority and the requested authority shall inform each other of any action which interrupts, suspends or prolongs the limitation period of the claim for which the recovery or precautionary measures were requested, or which may have this effect.
Article PVAT.35
Costs
1.
In addition to the amounts referred to in Article PVAT.28(5), the requested authority shall seek to recover from the person concerned and retain the costs linked to the recovery that it incurred, in accordance with the laws and regulations of its State. The States shall renounce all claims on each other for the reimbursement of costs arising from any mutual assistance they grant each other pursuant to this Protocol.
2.
However, where recovery creates a specific problem, concerns a very large amount in costs or relates to organised crime, the applicant and requested authorities may agree reimbursement arrangements specific to the cases in question.
3.
Notwithstanding paragraph 2, the State of the applicant authority shall be liable to the State of the requested authority for any costs and any losses incurred as a result of actions held to be unfounded, as far as either the substance of the claim or the validity of the instrument permitting enforcement and/or precautionary measures issued by the applicant authority are concerned.
CHAPTER FOUR
GENERAL RULES GOVERNING ALL TYPES OF RECOVERY ASSISTANCE REQUESTS
Article PVAT.36
Use of languages
1.
All requests for assistance, standard forms for notification and uniform instruments permitting enforcement in the State of the requested authority shall be sent in, or shall be accompanied by a translation into, the official language, or one of the official languages, of the State of the requested authority. The fact that certain parts thereof are written in a language other than the official language, or one of the official languages, of that State, shall not affect their validity or the validity of the procedure, in so far as that other language is one agreed between the States concerned.
2.
The documents for which notification is requested pursuant to Article PVAT.23 may be sent to the requested authority in an official language of the State of the applicant authority.
3.
Where a request is accompanied by documents other than those referred to in paragraphs 1 and 2, the requested authority may, where necessary, require from the applicant authority a translation of such documents into the official language, or one of the official languages of the State of the requested authority, or into any other language agreed between the States concerned.
Article PVAT.37
Statistical data on recovery assistance
1.
By 30 June each year, the Parties shall communicate by electronic means to the Specialised Committee the statistical data on the application of this Title.
2.
The content and format of the statistical data to be communicated under paragraph 1 shall be determined by the Specialised Committee.
Article PVAT.38
Standard forms and means of communication for recovery assistance
1.
Requests pursuant to Article PVAT.20(1) for information, requests pursuant to Article PVAT.23(1) for notification, requests pursuant to Article PVAT.25(1) for recovery or requests pursuant to Article PVAT.31(1) for precautionary measures, and communication of statistical data pursuant to Article PVAT.37 shall be sent by electronic means, using a standard form, unless this is impracticable for technical reasons. As far as possible, these forms shall also be used for any further communication with regard to the request.
The uniform instrument permitting enforcement in the State of the requested authority, the document permitting precautionary measures in the State of the applicant authority and the other documents referred to in Articles PVAT.27 and PVAT.31 shall also be sent by electronic means, unless this is impracticable for technical reasons.
Where appropriate, the standard forms may be accompanied by reports, statements and any other documents, or certified true copies or extracts thereof, which shall also be sent by electronic means, unless this is impracticable for technical reasons.
Standard forms and communication by electronic means may also be used for the exchange of information pursuant to Article PVAT.21.
2.
Paragraph 1 shall not apply to the information and documentation obtained through the presence of officials in administrative offices in another State or through participation in administrative enquiries in another State, in accordance with Article PVAT.22.
3.
If communication is not made by electronic means or with use of standard forms, this shall not affect the validity of the information obtained or of the measures taken in the execution of a request for assistance.
4.
The electronic communication network and the standard forms adopted for the implementation of this Protocol may also be used for recovery assistance regarding other claims than the claims referred to in point (b) of Article PVAT.2(1), if such recovery assistance is possible under other bilateral or multilateral legally binding instruments on administrative cooperation between the States.
5.
Pending the adoption by the Specialised Committee of the decisions referred to in Article PVAT.39(2), the competent authorities shall make use of the rules set out in the Annex to this Protocol, including the standard forms.
6.
The State of the requested authority shall use its official currency for the transfer of the recovered amounts to the State of the applicant authority, unless otherwise agreed between the States concerned.
TITLE IV
IMPLEMENTATION AND APPLICATION
Article PVAT.39
Trade Specialised Committee on Administrative Cooperation in VAT and Recovery of Taxes and Duties
1.
The Specialised Committee shall:
(a)
hold regular consultations; and
(b)
review the operation and effectiveness of this Protocol at least every 5 years.
2.
The Specialised Committee shall adopt decisions or recommendations to:
(a)
determine the frequency of, the practical arrangements for and the exact categories of information subject to automatic exchange referred to in Article PVAT.11;
(b)
review the result of the automatic exchange of information for each category established pursuant to point (a) so as to ensure that this type of exchange takes place only where it is the most efficient means for the exchange of information;
(c)
establish new categories of information to be exchanged pursuant to Article PVAT.11, should the automatic exchange be the most efficient means of cooperation;
(d)
define the standard forms for the communications pursuant to Articles PVAT.19(1) and PVAT.38(1);
(e)
review the availability, collection, and processing of statistical data referred to in Articles PVAT.18 and PVAT.37, so as to ensure that the obligations set out in those Articles do not impose a disproportionate administrative burden on the Parties;
(f)
establish what shall be transmitted via the CCN/CSI network or other means;
(g)
determine the amount and the modalities of the financial contribution to be made by the United Kingdom to the general budget of the Union in respect of the cost generated by its participation in the European information systems, taking into account the decisions referred to in points (d) and (f);
(h)
establish implementing rules on the practical arrangements with regard to the organisation of the contacts between the central liaison offices and liaison departments referred to in Article PVAT.4(2) and (3);
(i)
establish the practical arrangements between the central liaison offices for the implementation of Article PVAT.4(5);
(j)
establish implementing rules for Title III, including rules on the conversion of the sums to be recovered and the transfer of sums recovered; and
(k)
establish the procedure for concluding the service level agreement referred to in Article PVAT.5 and also conclude that service level agreement.
TITLE V
FINAL PROVISIONS
Article PVAT.40
Execution of on-going requests
1.
Where requests for information and for administrative enquiries sent in accordance with Regulation (EU) No 904/2010 in relation to the transactions covered by Article 99(1) of the Withdrawal Agreement are not yet closed within four years after the end of the transition period, the requested State shall ensure that those requests are executed in accordance with the rules of this Protocol.
2.
Where assistance requests relating to taxes and duties within the scope of Article PVAT.2 of this Protocol sent in accordance with Directive 2010/24/EU in relation to the claims referred to in Article 100(1) of the Withdrawal Agreement are not closed within five years after the end of the transition period, the requested State shall ensure that those assistance requests are executed in accordance with the rules of this Protocol. The standard uniform form for notification or the instrument permitting enforcement in the requested State established in accordance with the legislation referred to in this paragraph shall retain its validity for the purposes of such execution. A revised uniform instrument permitting enforcement in the requested State may be established after the end of that five year period in relation to claims for which assistance was requested before that time. Such revised uniform instruments shall refer to the legal basis used for the initial assistance request.
Article PVAT.41
Relation to other agreements or arrangements
This Protocol shall take precedence over the provisions of any bilateral or multilateral agreements or arrangements on administrative cooperation in the field of VAT, or on recovery assistance relating to the claims covered by this Protocol, which have been concluded between Member States and the United Kingdom, insofar as their provisions are incompatible with those of this Protocol.
(
1
)
  For greater certainty and in particular for the purposes of this Protocol, it is understood that the term "person" includes any association of persons lacking the legal status of a legal person but recognized under applicable law as having the capacity to perform legal acts. It also includes any other legal arrangement of whatever nature and form, having legal personality or not, which conducts transactions which are subject to VAT or which is liable for the payment of the claims referred to in point (b) of Article PVAT.2(1) of this Protocol.
ANNEX
TO THE PROTOCOL ON ADMINISTRATIVE COOPERATION AND COMBATING FRAUD IN THE FIELD OF VALUE ADDED TAX AND ON MUTUAL ASSISTANCE FOR THE RECOVERY OF CLAIMS RELATING TO TAXES AND DUTIES
SECTION 1
Pending the adoption by the Specialised Committee of the decisions referred to in Article PVAT.39(2) of this Protocol, the following rules and standard forms apply.
SECTION 2
ORGANISATION OF CONTACTS
2.1.
Until further notice, the central liaison offices having the principal responsibility for the application of Title II of this Protocol are:
(a)
for the United Kingdom: Her Majesty's Revenue and Customs, UK VAT Central Liaison Office;
(b)
for the Member States: the central liaison offices designated for administrative cooperation between the Member States in the area of VAT.
2.2.
Until further notice, the central liaison offices having the principal responsibility for the application of Title III of this Protocol are:
(a)
for the United Kingdom: Her Majesty's Revenue and Customs, Debt Management;
(b)
for the Member States: the central liaison offices designated for recovery assistance between the Member States.
SECTION 3
ADMINISTRATIVE COOPERATION AND COMBATING FRAUD IN THE FIELD OF VALUE ADDED TAX
3.1.   Communication
The communication of information under Title II of this Protocol shall be done, as far as possible, by electronic means and via the Common Communication Network (CCN), between the respective mailboxes of the States for the exchange of information on administrative cooperation or the mailboxes for combating fraud in the field of VAT.
3.2.   Standard form
For the exchange of information under Title II of this Protocol, the States shall use the following model:
Standard form for requests for information, for spontaneous exchange of information and for feedback between EU Member States and the United Kingdom under the Protocol on administrative cooperation and combating fraud in the area of VAT
Exchange of information reference:
A)
BASIC INFORMATION
A1
Requesting State:
Requested State:
Requesting authority:
Requested authority:
A2
Official dealing with the request/exchange in the requesting authority:
Official dealing with the reply to the request/exchange in the requested authority:
Name:
Name:
Email:
Email:
Telephone:
Telephone:
Language:
Language:
A3
Requesting authority national reference:
Requested authority national reference:
Space reserved for the requesting authority:
Space reserved for the requested authority:
A4
Date of transmission of the request/exchange:
Date of transmission of the reply:
A5
No of attachments to the request/exchange:
No of attachments to the reply:
A6
A7
o
General request/exchange
☐
I, requested authority, will not be able to reply within the following deadlines:
o
Request for information
o
3 months
o
Spontaneous exchange of information
o
1 month for information that is already in my possession
☐
Feedback on spontaneous exchange of information is requested
Reason for delay:
o
Anti-fraud request/exchange
o
Request for information
o
Missing Trader Fraud - Registration control/Business activity
o
Spontaneous supply of information
☐
Feedback on spontaneous information is requested
☐
Expected time of reply:
☐
The requested authority of the State authorises the transmission of the information to another State (Article PVAT.6(6) of the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties)
☐
Feedback on the reply is requested
Pursuant to Article PVAT.6(4) of the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties, the State providing the information shall, on the basis of a reasoned request, permit the use of the information received for purposes other than those referred to in Article 2(1) of that Protocol.
B)
REQUEST FOR GENERAL INFORMATION
Requesting authority
Requested authority
Requested authority
 (
1
)
B1 VAT identification number (if not, tax identification number)
B1 VAT identification number (if not, tax identification number)
o
Please fill in
o
Please confirm
o
I confirm
o
I do not confirm
VAT number:
VAT number:
VAT number:
☐
VAT number not available
☐
VAT number not available
☐
VAT number not available
Tax identification number:
Tax identification number:
Tax identification number:
B2 Name
B2 Name
o
Please fill in
o
Please confirm
o
I confirm
o
I do not confirm
Name:
B3 Trading name
B3 Trading name
o
Please fill in
o
Please confirm
o
I confirm
o
I do not confirm
Trading name:
B4 Address
B4 Address
o
Please fill in
o
Please confirm
o
I confirm
o
I do not confirm
Address:
B5 The following dates in the format (YYYY/MM/DD):
B5 The following dates in the format (YYYY/MM/DD):
o
Please fill in
o
Please confirm
o
I confirm
o
I do not confirm
(a)
issue of the VAT/tax identification number
(a)
issue of the VAT/tax identification number
(a)
issue of the VAT/tax identification number
(b)
cancellation of the VAT/tax identification number
(b)
cancellation of the VAT/tax identification number
(b)
cancellation of the VAT/tax identification number
(c)
Incorporation
(c)
Incorporation
(c)
Incorporation
B6 Date of commencement of activity
B6 Date of commencement of activity
o
Please fill in
o
Please confirm
o
I confirm
o
I do not confirm
Date of commencement of activity
Date of commencement of activity
B7 Date of cessation of activity
B7 Date of cessation of activity
o
Please fill in
o
Please confirm
o
I confirm
o
I do not confirm
Date of cessation of activity
Date of cessation of activity
B8 Names of the managers/directors
B8 Names of the managers/directors
o
Please fill in
o
Please confirm
o
I confirm
o
I do not confirm
B9 Names of the owners, proprietors, associates, partners, agents, stakeholders or persons having other rights in the business
B9 Names of the owners, proprietors, associates, partners, agents, stakeholders or persons having other rights in the business
o
Please fill in
o
Please confirm
o
I confirm
o
I do not confirm
B10 Nature of the activity
B10 Nature of the activity
o
Please fill in
o
Please confirm
o
I confirm
o
I do not confirm
(a)
Legal status of the business
(a)
Legal status of the business
(a)
Legal status of the business
(b)
Actual principal activity
 (
2
)
(b)
Actual principal activity
(b)
Actual principal activity
B11 Nature of the transaction
Nature of the transaction
B11 Goods/services involved
o
Please fill in
Nature of the transaction
B11 Goods/services involved
o
Please confirm
o
I confirm
o
I do not confirm
Period and amount to which the request/exchange relates
B12 Supply of goods from one country to another
From
Period
Period
To
Amount
Amount
Sources:
☐
VAT information exchange system (VIES)
☐
Other
B13 Supply of services from one country to another
From
Period
Period
To
Amount
Amount
Sources:
☐
VIES
☐
Other
C)
ADDITIONAL INFORMATION
Registration
☐
C1 The taxable person in the requested State (☐)/ the taxable person in the requesting State (☐) is currently not identified for VAT purposes.
According to the VIES or other sources, supplies have been made after the date of cessation of the activity. Please explain.
☐
C2 The taxable person in the requested State (☐) / the taxable person in the requesting State (☐) is not identified for VAT purposes.
According to the VIES or other sources, supplies have been made before the date of registration. Please explain.
Transactions of goods/services
Goods
☐
C3 According to the VIES or other sources, the taxable person in the requested State made supplies of goods but the taxable person in the requesting State either:
o
did not declare a purchase of the goods;
o
denies receipt of the goods;
o
declared a purchase for a different amount and the declared amount is:
Please investigate and explain.
☐
I attach copies of documents in my possession.
☐
C4 The purchase declared by the taxable person in the requesting State does not correspond with the information from VIES or other sources. Please investigate and explain.
☐
C5 Please provide the addresses where the goods were delivered.
Addresses:
☐
C6 The taxable person in the requesting State claims to have made supply to a person in the requested State. Please confirm that the goods were received and whether they were:
☐
accounted for: o Yes o No
☐
declared/paid by a taxable person in the requested State o Yes o No
Name and/or VAT identification number of the taxable person in the requested State.
Prior/onward movement of the goods
☐
C7 From whom were the goods purchased? Please provide names, trading names and VAT numbers in box C41.
☐
C8 To whom were the goods sold on? Please provide names, trading names and VAT numbers in box C41.
Services
☐
C9 According to the VIES or other sources, the taxable person in the requested State made supplies of services taxable in the requesting State but the taxable person in the requesting State either:
o
did not declare the service;
o
denies having received the service;
o
declared having receiving the service for a different amount and the declared amount is:
Please investigate and explain.
☐
I attach copies of documents in my possession.
☐
C10 The a purchase declared by the taxable person in the requesting State do not correspond with the information from the VIES or other sources. Please investigate and explain.
☐
C11 Please provide the addresses where the services were provided.
Addresses:
☐
C12 The taxable person in the requesting State claims to have made supply to a person in the requested State. Please confirm that the services were provided and whether they were:
☐
accounted for: o Yes o No
☐
declared/paid by a taxable person in the requested State o Yes o No
Name and/or VAT identification number of the taxable person in the requested State.
Transport of goods
☐
C13 Please provide the name/VAT identification number and the address of the transporter.
Name and/or VAT identification number and address:
☐
C14 Who ordered and paid the transportation of the goods?
Name and/or VAT identification number and address:
☐
C15 Who is the owner of the means of transport used?
Name and/or VAT identification number and address:
Invoices
☐
C16 Please provide the amount invoiced and currency.
Payment
☐
C17 Please provide the amount paid and currency.
☐
C18 Please provide the name of the bank account holder and the number of the account from which and/or to which the payment was made.
From:
Name of the account holder:
IBAN number or account number:
Bank:
To:
Name of the account holder:
IBAN number or account number:
Bank:
☐
C19 Please provide the following details where the payment was made in cash:
☐
Who handed over the money, to whom, where and when?
☐
What document (cash receipt, etc.) was issued confirming the payment?
☐
C20 Is there any evidence of third party payments? If yes, please provide additional information in box C41 o Yes o No
Placing of an order
☐
C21 Please furnish all available details of the person placing the order, how the order was placed and how the contact was established
between the supplier and the customer.
Goods covered by special schemes/particular procedures
Please tick the appropriate box and enter your question in box C40
☐
C22 Triangular transactions.
☐
C23 Margin scheme.
☐
C24 Distance sales of goods
☐
covered by the Union scheme
☐
covered by the Import scheme
☐
C25 New means of transport sold to non-taxable persons.
☐
C26 Exemption under Customs Procedure 42XX / 63XX.
☐
C27 Gas and electricity.
☐
C28 Call-off stock arrangements.
☐
C29 Others:
Services covered by particular provisions
Please tick the appropriate box and enter your question in box C40
☐
C30 Supply of services provided by an intermediary.
☐
C31 Supply of services connected to immovable property.
☐
C32 Supplies of passenger transport.
☐
C33 Supplies of transport of goods.
☐
C34 Supply of cultural, artistic, sporting, scientific, educational, entertainment and similar services, ancillary transport services and valuations of and work on movable tangible property.
☐
C35 Supply of restaurant and catering services other than as provided for at C37.
☐
C36 Supply of transport hire.
☐
C37 Supply of restaurant and catering services for consumption on board of ships, aircraft or trains.
☐
C38 Supply of services
☐
covered by the non-Union scheme
☐
covered by the Union scheme
☐
C39 Services for which effective use and enjoyment rules are applied.
☐
C40 Background information and further questions
C41 Free text reply box
D)
REQUEST FOR DOCUMENTS
Please provide copies of the following documents (where applicable see amount and period in part B12 and B13)
☐
D1 Invoices
o
Provided
o
Not available
☐
D2 Contracts
o
Provided
o
Not available
☐
D3 Orders
o
Provided
o
Not available
☐
D4 Evidence of payments
o
Provided
o
Not available
☐
D5 Transport documentation
o
Provided
o
Not available
☐
D6 Creditor's ledger for the taxable person in the requested State
o
Provided
o
Not available
☐
D7 Debtor's ledger for the taxable person in the requested State
o
Provided
o
Not available
☐
D8 Call-off stock registers
From
To
o
Provided
o
Not available
☐
D9 One-stop-shop/import one-stop-shop records
From
To
o
Provided
o
Not available
☐
D10 Bank account statements
From
To
o
Provided
o
Not available
☐
D11 Others
o
Provided
o
Not available
E)
SPONTANEOUS SUPPLY OF INFORMATION (GENERAL)
☐
E1 Based on the records of the taxable person in the sending State, it appears that they should be registered in the receiving State.
☐
E2 According to the records of the taxable person in the sending State, ☐ goods / ☐ services were supplied to them by a taxable person in the receiving State, but no information is available via the VIES/Customs or other sources data.
☐
E3 According to the records of the taxable person in the sending State, VAT is to be paid on goods supplied to the receiving State, but no data was entered into VIES/Customs or other sources data.
☐
E4 According to the VIES/Customs or other sources data, the taxable person in the receiving State made supplies to a taxable person in the sending State but the latter taxable person either:
☐
did not declare a purchase of ☐ goods / receipt of ☐ services;
☐
denies the purchase of the ☐ goods / receipt of ☐ services.
☐
E5 According to the records of the taxable person in the sending State, VAT is to be paid on services supplied in the receiving State.
☐
E6 Background and additional information:
☐
E7 I attach copies of invoices in my possession.
F)
MISSING TRADER FRAUD: REGISTRATION CONTROL / BUSINESS ACTIVITY
(A)
Identification of the business
Requesting authority
Requested authority
Requested authority
 (
3
)
F1 VAT identification number (if not, tax identification number)
F1 VAT identification number (if not, tax identification number)
o
Please fill in
o
Please confirm
o
I confirm
o
I do not confirm
VAT number:
VAT number:
VAT number:
☐
VAT number not available
☐
VAT number not available
☐
VAT number not available
Tax identification number:
Tax identification number:
Tax identification number:
F2 Name
F2 Name
o
Please fill in
o
Please confirm
o
I confirm
o
I do not confirm
Name:
F3 Address
F3 Address
o
Please fill in
o
Please confirm
o
I confirm
o
I do not confirm
Address:
F4 The following dates in the format (YYYY/MM/DD):
F4 The following dates in the format (YYYY/MM/DD):
o
Please fill in
o
Please confirm
o
I confirm
o
I do not confirm
(a)
issue of the VAT/tax identification number
(a)
issue of the VAT/tax identification number
(a)
issue of the VAT/tax identification number
(b)
cancellation of the VAT/tax identification number
(b)
cancellation of the VAT/tax identification number
(b)
cancellation of the VAT/tax identification number
(c)
Incorporation
(c)
Incorporation
(c)
Incorporation
F5 Owners, proprietors, associates, partners, agents, stakeholders or persons having other rights in the business
F5 Owners, proprietors, associates, partners, agents, stakeholders or persons having other rights in the business
o
Please fill in
o
Please confirm
o
I confirm
o
I do not confirm
(a)
Name
(a)
Name
(a)
Name
(b)
Address
(b)
Address
(b)
Address
(c)
Date of birth
(c)
Date of birth
(c)
Date of birth
(d)
Nationality
(d)
Nationality
(d)
Nationality
F6 Managers/directors
F6 Managers/directors
o
Please fill in
o
Please confirm
o
I confirm
o
I do not confirm
(a)
Name
(a)
Name
(a)
Name
(b)
Address
(b)
Address
(b)
Address
(c)
Date of birth
(c)
Date of birth
(c)
Date of birth
(d)
Nationality
(d)
Nationality
(d)
Nationality
(B)
Information requested
☐
F7 Are the persons referred to in F5 and F6 (with date of birth if known) contained in any of your databases?
o
Yes
o
No
☐
F8 Do those persons referred to in F5 and F6 have a financial criminal record?
☐
The information cannot be given for legal reasons.
o
Yes
o
No
☐
F9 Do those persons referred to in F5 and F6 have a history of involvement in missing trader fraud or other type of fraud?
☐
The information cannot be given for legal reasons.
o
Yes
o
No
☐
F10 Are those persons referred to in F5 and F6 either resident at or connected with the address given?
o
Yes
o
No
☐
F11 Is the stated address residential/business/temporary accommodation/accountant/other?
o
Yes
o
No
☐
F12 What is the business activity?
☐
F13 Is the business's tax compliance suspect?
o
Yes
o
No
☐
F14 What is the reason for the cancellation of the VAT number?
☐
F15 Please advise of any associated business
 (
4
)
 including their VAT identification numbers and any views as to their credibility.
☐
F16 Please provide details of known bank accounts of the business in the requested State and any associated businesses.
☐
F17 Please provide information from recapitulative statements or from Customs declarations on the supplies/purchases of goods/services for the year(s):
☐
F18 Please provide information from VAT declarations/about payments for the year(s):
☐
F19 Any additional comments:
G)
SPONTANEOUS SUPPLY OF INFORMATION (MISSING TRADER FRAUD)
Sending authority
Receiving authority
Identification of the business
G1 VAT identification number (if not, tax identification number)
Identification of the business
G1 VAT identification number (if not, tax identification number)
VAT number:
VAT number:
☐
VAT number not available
☐
VAT number not available
Tax identification number:
Tax identification number:
G2 Name
G2 Name
G3 Address
G3 Address
G4 The following dates in the format (YYYY/MM/DD):
G4 The following dates in the format (YYYY/MM/DD):
(a)
issue of the VAT/tax identification number
(a)
issue of the VAT/tax identification number
(b)
cancellation of the VAT/tax identification number
(b)
cancellation of the VAT/tax identification number
(c)
Incorporation
(c)
Incorporation
G5 Owners, proprietors, associates, partners, agents, stakeholders or persons having other rights in the business
G5 Owners, proprietors, associates, partners, agents, stakeholders or persons having other rights in the business
(a)
Name
(a)
Name
(b)
Address
(b)
Address
(c)
Date of birth
(c)
Date of birth
(d)
Nationality
(d)
Nationality
G6 Managers, directors
G6 Managers, directors
(a)
Name
(a)
Name
(b)
Address
(b)
Address
(c)
Date of birth
(c)
Date of birth
(d)
Nationality
(d)
Nationality
Any additional comments
H)
FEEDBACK
 (
5
)
Results related to the information provided:
1)
The information provided:
☐
Resulted in an additional assessment of VAT or of other taxes. Please provide details on the type and amount of tax assessed:
Type of tax:
Additional assessment:
Penalty:
☐
Resulted in VAT registration.
☐
Resulted in VAT deregistration.
☐
Resulted in the cancellation of a VAT number from VIES or from VAT registered taxpayer's database.
☐
Resulted in the correction of VAT declarations.
☐
Led to a desk enquiry.
☐
Led to a new audit procedure or was used as part of an on-going audit.
☐
Led to a fraud investigation.
☐
Resulted in a request for information.
☐
Led to a presence in administrative office or to participation in administrative enquiry.
☐
Led to Multilateral control (MLC).
☐
Resulted in other actions:
☐
Did not result in any substantial action.
2)
Other comments:
Date of transmission:
SECTION 4
RECOVERY ASSISTANCE
Article 4.1
Communication
A request sent by electronic means for the application of Title III of this Protocol shall be sent between the CCN mailboxes that are set up for the type of tax or duty to which the request relates, unless the central liaison offices of the applicant and requested States agree that one of the mailboxes can be used for requests concerning different types of taxes or duties.
However, if a request for notification of documents relates to more than one type of tax or duty, the applicant authority shall send that request to a mailbox set up for at least one of the types of claims mentioned in the documents to be notified.
Article 4.2
Implementing rules relating to the uniform instrument permitting enforcement in the requested State
1.   The administrative penalties, fines, fees and surcharges and the interest and costs referred to in point (b) of Article PVAT.2(1) of this Protocol which, in accordance with the rules in force in the applicant State, may be due from the date of the initial instrument permitting enforcement until the day before the date on which the recovery request is sent, may be added in the uniform instrument permitting enforcement in the requested State.
2.   A single uniform instrument permitting enforcement in the requested State may be issued in respect of several claims and several persons, corresponding to the initial instrument or instruments permitting enforcement in the applicant State.
3.   In so far as initial instruments permitting enforcement for several claims in the applicant State have already been replaced by a global instrument permitting enforcement for all those claims in that State, the uniform instrument permitting enforcement in the requested State may be based on the initial instruments permitting enforcement in the applicant State or on that global instrument regrouping those initial instruments in the applicant State.
4.   Where the initial instrument referred to in paragraph 2 or the global instrument referred to in paragraph 3 contains several claims, one or more of which have already been collected or recovered, the uniform instrument permitting enforcement in the requested State shall only refer to those claims for which recovery assistance is requested.
5.   Where the initial instrument referred to in paragraph 2 or the global instrument referred to in paragraph 3 contains several claims, the applicant authority may list those claims in different uniform instruments permitting enforcement in the requested State, in line with the tax type related division of competences of the respective recovery offices in the requested State.
6.   If a request cannot be transmitted by CCN network and is transmitted by post, the uniform instrument permitting enforcement in the requested State shall be signed by a duly authorised official of the applicant authority.
Article 4.3
Conversion of the sums to be recovered
1.   The applicant authority shall express the amount of the claim to be recovered in the currency of the applicant State and in the currency of the requested State.
2.   For requests sent to the United Kingdom, the exchange rate to be used for the purposes of the recovery assistance shall be the exchange rate published by the European Central Bank on the day before the date on which the request is sent. Where there is no such rate available on that date, the exchange rate used shall be the latest exchange rate published by the European Central Bank before the date the request is sent.
For requests sent to a Member State, the exchange rate to be used for the purposes of the recovery assistance shall be the exchange rate published by the Bank of England on the day before the date on which the request is sent. Where there is no such rate available on that date, the exchange rate used shall be the latest exchange rate published by the Bank of England before the date the request is sent.
3.   In order to convert the amount of the claim resulting from the adjustment referred to in Article PVAT.30(2) of this Protocol into the currency of the State of the requested authority, the applicant authority shall use the exchange rate used in its initial request.
Article 4.4
Transfer of recovered amounts
1.   The transfer of the recovered amounts shall take place within two months of the date on which recovery was effected, unless otherwise agreed between the States.
2.   However, if recovery measures applied by the requested authority are contested for a reason not falling within the responsibility of the applicant State, the requested authority may wait to transfer any sums recovered in relation to the applicant State's claim, until the dispute is settled, if the following conditions are simultaneously fulfilled:
(a)
the requested authority finds it likely that the outcome of this contestation will be favourable to the party concerned; and
(b)
the applicant authority has not declared that it will reimburse the sums already transferred if the outcome of that contestation is favourable to the party concerned.
3.   If the applicant authority has made a declaration to reimburse in accordance with point (b) of the paragraph 2, it shall return the recovered amounts already transferred by the requested authority within one month of the receipt of the request for reimbursement. Any other compensation due shall, in that case, be borne solely by the requested authority.
Article 4.5
Reimbursement of recovered amounts
The requested authority shall notify any action taken in the requested State for reimbursement of sums recovered or for compensation in relation to recovery of contested claims to the applicant authority immediately after the requested authority has been informed of such action.
The requested authority shall as far as possible involve the applicant authority in the procedures for settling the amount to be reimbursed and the compensation due. Upon receipt of a reasoned request from the requested authority, the applicant authority shall transfer the sums reimbursed and the compensation paid within two months of the receipt of that request.
Article 4.6
Standard forms
1.   For the uniform notification form accompanying the request for notification, referred to in Article PVAT.23 of this Protocol, the States shall use the form established in accordance with model A.
2.   For the uniform instrument permitting enforcement in the requested State, referred to in Article PVAT.27 of this Protocol, accompanying the request for recovery or the request for precautionary measures, or the revised uniform instrument permitting enforcement in the requested State, referred to in Article PVAT.30(2) of this Protocol, the States shall use the form established in accordance with model B.
3.   For the request for information referred to in Article PVAT.20 of this Protocol, the States shall use the form established in accordance with model C.
4.   For the request for notification referred to in Article PVAT.23 of this Protocol, the States shall use the form established in accordance with model D.
5.   For the request for recovery or for precautionary measures referred to in Articles PVAT.25 and PVAT.31 of this Protocol, the States shall use the form established in accordance with model E.
6.   Where forms are transmitted by electronic means, their structure and lay-out may be adapted to the requirements and possibilities of the electronic communication system, provided that the set of data and information contained therein is not substantially altered when compared to the models set out below.
Model A
Uniform notification form providing information about notified document(s)
(to be transmitted to the addressee of the notification)(
1
)
This document accompanies document(s) hereby notified by the competent authority of the following State: [name of requested State].
This notification concerns documents of the competent authorities of the following State: [name of applicant State], which asked for notification assistance, in accordance with Article PVAT.23 of the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties between the European Union and the United Kingdom.
A.   ADDRESSEE OF THE NOTIFICATION
–
Name
–
Address (known or assumed)
–
Other data relevant to the identification of the addressee
B.   PURPOSE OF THE NOTIFICATION
This notification is intended:
☐
to inform the addressee about the document(s) to which this document is attached
☐
to interrupt the period of limitation with regard to the claim(s) mentioned in the notified document(s).
☐
to confirm to the addressee, his/her obligation to pay the amounts mentioned under point D.
Please note that in case of non-payment, the authorities may take enforcement and/or precautionary measures to ensure the recovery of the claim(s). This may cause extra costs charged to the addressee.
You are the addressee of this notification, as you are considered to be:
☐
the principal debtor
☐
a co-debtor
☐
a person other than the (co-)debtor, liable for settlement of the taxes, duties and other measures, or for other claims relating to these taxes, duties and other measures, under the laws in force in the applicant State
☐
a person other than the (co-)debtor, holding assets belonging to, or having debts towards, the (co-)debtor or to any other person liable
☐
a third party which may become affected by enforcement measures concerning other persons
(The following information will appear if the addressee of the notification is a person other than the (co-)debtor, holding assets belonging to, or having debts towards, the (co-)debtor or to any other person liable, or a third party which may become affected by enforcement measures concerning other persons:
The notified documents concern claims relating to taxes and duties, for which the following person(s) is (are) liable as
☐
the principal debtor: [name and address (known or assumed)]
☐
a co-debtor: [name and address (known or assumed)]
☐
a person other than the (co-)debtor, liable for settlement of the taxes, duties and other measures, or for other claims relating to these taxes, duties and other measures, under the laws in force in the applicant State: [name and address (known or assumed)]).
The applicant authority of the applicant State [name of the applicant State] invited the competent authorities of the requested State [name of the requested State] to make this notification before [date]. Please note that this date is not specifically related to any period of limitation.
C.   OFFICE(S) RESPONSIBLE FOR THE NOTIFIED DOCUMENT(S)
Office responsible with regard to the attached document(s):
–
Name:
–
Address:
–
Other contact details:
–
Language(s) in which this office can be contacted:
Further information about ☐ 
the notified document(s)
 ☐ 
and/or the possibility of contesting the obligations
 can be obtained
☐
at the abovementioned office responsible with regard to the attached document(s), and/or
☐
from the following office:
–
Name:
–
Address:
–
Other contact details:
–
Language(s) in which this office can be contacted:
D.   DESCRIPTION OF THE NOTIFIED DOCUMENT(S)
Document [number]
–
Reference number:
–
Date of establishment:
–
Nature of the notified document:
☐
Tax assessment
☐
Payment order
☐
Decision following an administrative appeal
☐
Other administrative document:
☐
Judgment or order of:
☐
Other judicial document:
–
Name of the claim(s) concerned (in the language of the applicant State):
–
Nature of the claim(s) concerned:
–
Amount of the claim(s) concerned:
☐
Principal amount:
☐
Administrative penalties and fines:
☐
Interest up to [date]:
☐
Costs up to [date]:
☐
Fees for certificates and similar documents issued in connection with administrative procedures related to the claim mentioned under point [x]:
☐
Total amount for this (these) claim(s):
–
The amount mentioned under point [x] should be paid:
☐
before:
☐
within [number] days following the date of this notification
☐
without any further delay
–
This payment should be made to:
–
Holder of the bank account:
–
International Bank Account Number (IBAN):
–
Bank Identification Code (BIC):
–
Name of the bank:
–
Reference to be used for the payment:
–
The addressee can reply to the document(s) that is (are) hereby notified.
☐
Last day for replying:
☐
Time period for replying:
–
Name and address of the authority to whom a reply can be sent:
–
Possibility of contesting:
☐
The period to contest the claim or the notified document(s) has already come to its end.
☐
Last day for contesting the claim:
☐
Time period to contest the claim: [number of days] following
☐
the date of this notification.
☐
the establishment of the notified document(s)
☐
another date:
–
Name and address of the authority where a contestation has to be submitted:
Please note that disputes concerning the claim, the instrument permitting enforcement or any other document originating from the authorities of the applicant State [name of applicant State], fall within the competence of the competent bodies of the applicant State [name of applicant State], in accordance with Article PVAT.29 of the above Protocol between the European Union and the United Kingdom.
Any such dispute is governed by the procedural and language rules applying in the applicant State [name of applicant State].
☐
Please note that the recovery may begin before the end of the period within which the claim may be contested.
–
Other information:
______________
(1)
The elements in italics are optional.
Model B
Uniform instrument permitting enforcement of claims covered by Article PVAT.27 of the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties between the European Union and the United Kingdom(
1
)
☐
UNIFORM INSTRUMENT PERMITTING ENFORCEMENT OF CLAIMS
–
Date of issue:
–
Reference number:
☐
REVISED UNIFORM INSTRUMENT PERMITTING ENFORCEMENT OF CLAIMS
–
Date of issue of the original uniform instrument:
–
Date of revision:
–
Reason for the revision:
☐
judgment or order of [name of the Court] of [date]
☐
administrative decision of [date]
–
Reference number:
State where this document is issued: [name of applicant State]
Recovery measures taken by the requested State are based on:
☐
a uniform instrument permitting enforcement, in accordance with
Article PVAT.27 of the above Protocol.
☐
a revised uniform instrument permitting enforcement, in accordance with
Article PVAT.30 of the above Protocol (to take account of the decision of the competent body referred to in Article PVAT.29(1) of that Protocol).
This document is the uniform instrument permitting enforcement (including precautionary measures). It concerns the claim(s) mentioned below, which remain(s) unpaid in the applicant State [name of applicant State]. The initial instrument for the enforcement of this/these claim(s) has been notified in so far as required under the national law of the applicant State [name of applicant State].
Disputes concerning the claim(s) fall exclusively within the competence of the competent bodies of the applicant State [name of applicant State], in accordance with Article PVAT.29 of the above Protocol. Any such action shall be brought before them in accordance with the procedural and language rules in force in the applicant State [name of applicant State].
DESCRIPTION OF THE CLAIM(S) AND THE PERSON(S) CONCERNED
Identification of the claim(s) [number]
1.
Reference:
2.
Nature of the claim(s) concerned:
3.
Name of the tax/duty concerned:
4.
Period or date concerned:
5.
Date of establishment of the claim:
6.
Date on which enforcement becomes possible:
7.
Amount of the claim still due:
☐
principal amount:
☐
administrative penalties and fines:
☐
interest till date before the day the request is sent:
☐
costs till date before the day the request is sent:
☐
total amount of this claim:
8.
Date of notification of the initial instrument permitting enforcement in the applicant State: [name of the applicant State]:
☐
Date:
☐
No date available
9.
Office responsible for the assessment of the claim:
–
Name:
–
Address:
–
Other contact details:
–
Language(s) in which this office can be contacted:
10.
Further information concerning the claim or the possibilities for contesting the payment obligation can be obtained from:
☐
the office indicated above
☐
the following office responsible for the Uniform instrument permitting enforcement:
–
Name:
–
Address:
–
Other contact details:
–
Language(s) in which this office can be contacted:
Identification of the person(s) concerned in the national instrument(s) permitting enforcement
(a)
The following person is mentioned in the national instrument(s) permitting enforcement
☐
natural person
☐
other
–
Name
–
Address (known or assumed)
–
Other data relevant to the identification of the addressee
☐
Legal representative
–
Name
–
Address (known or assumed)
–
Other data relevant to the identification of the addressee
Cause of liability:
☐
principal debtor
☐
a co-debtor
☐
a person other than the (co-)debtor, liable for settlement of the taxes, duties and other measures, or for other claims relating to these taxes, duties and other measures under the laws in force in the applicant State
(b)
the following person(s) is (are) also mentioned in the national instrument(s) permitting enforcement:
☐
natural person
☐
other
–
Name:
–
Address (known or assumed):
–
Other data relevant to the identification of the addressee:
☐
Legal representative
–
Name:
–
Address (known or assumed):
–
Other data relevant to the identification of the addressee:
Cause of liability:
☐
principal debtor
☐
a co-debtor
☐
a person other than the (co-)debtor, liable for settlement of the taxes, duties and other measures, or for other claims relating to these taxes, duties and other measures under the laws in force in the applicant State
Other information
Overall total amount of the claim(s)
–
in the currency of the applicant State:
–
in the currency of the requested State:
_____________
(1)
The elements in italics are optional.
Model form C – request for information
REQUEST FOR INFORMATION
Based on Article PVAT.20 of the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties between the European Union and the United Kingdom
Reference: AA_RA_aaaaaaaaaaa_rrrrrrrrrrrr_20YYMMDD_xxxxxxx_RI
Nature of the claim(s):
1.
STATE OF THE APPLICANT AUTHORITY
A.
Applicant authority
Country:
Name:
Telephone:
Reference of the file:
Name of the official dealing with the request:
Language skills
B.
Office initiating the request
Name:
Address:
Postcode:
Town:
Telephone:
E-mail:
Reference of the file:
Name of the official dealing with the request:
2.
STATE OF THE REQUESTED AUTHORITY
A.
Requested authority
Country:
Name:
Telephone:
Reference of the file:
Name of the official dealing with the request:
Language skills
B.
Office handling the request
Name:
Address:
Postcode:
Town:
Telephone:
E-mail:
Reference of the file:
Name of the official dealing with the request:
3.
INFORMATION RELATING TO THE REQUEST
☐
I, applicant authority, ask the requested authority not to inform the person(s) concerned about this request.
☐
I, applicant authority, confirm that the information to be received will be subject to the secrecy provisions defined in the legal basis quoted above.
4.
INFORMATIONRELATING TO THE PERSON CONCERNED
A.
Information is requested with regard to:
☐
For natural persons:
First name(s):
Surname:
Maiden name (name at birth):
Date of birth:
Place of birth:
VAT number:
Tax Identification Number:
Other identification data:
Address of this person: ☐ known — ☐ assumed
—
Street and number:
—
Details of address:
—
Postcode and town:
—
Country:
☐
Or for legal entities:
Company name:
Legal status:
VAT number:
Tax Identification Number:
Other identification data:
Address of this legal entity: ☐ known — ☐ assumed
—
Street and number:
—
Details of address:
—
Postcode and town:
—
Country:
☐
Legal representative
Name:
Address of this legal representative: ☐ known — ☐ assumed
—
Street and number:
—
Details of address:
—
Postcode and town:
—
Country:
B.
Liability: the person concerned is:
☐
the principal debtor
☐
a co-debtor
☐
a person other than the (co-)debtor, liable for settlement of the taxes, duties and other measures, or for other claims relating to these taxes, duties and other measures under the laws in force in the applicant State;
☐
a person other than the (co-)debtor, holding assets belonging to, or having debts towards, the (co-)debtor or to any other person liable.
☐
a third party which may become affected by enforcement measures concerning other persons.
C.
Other relevant information concerning the above persons:
☐
Bank account number(s)
—
Bank account number (IBAN):
—
Bank identification code (BIC):
—
Name of the bank:
☐
Car information on 20YY/MM/DD
—
car plate number:
—
car brand:
—
colour of the car:
☐
Estimated or provisional or ☐ precise amount of the claim(s):
☐
Other:
5.
INFORMATION REQUESTED
☐
Information about the identity of the person concerned (for natural persons: full name, date and place of birth; for legal entities: company name and legal status)
☐
Information about the address
☐
Information about the income and assets for recovery
☐
Information about the heirs and/or legal successors
☐
Other:
6.
FOLLOW-UP OF THE REQUEST FOR INFORMATION
Date
Nr
Message
Applicant authority
Requested authority
date
1
☐
I, requested authority, acknowledge receipt of the request.
date
☐
To be combined with acknowledgment
2
☐
I, requested authority, invite the applicant authority to complete the request with the following additional information:
date
3
☐
I, requested authority, have not yet received the additional information required and will close your request if I do not receive this information before 20YY/MM/DD.
date
4
I, applicant authority,
☐
a
provide on request the following additional information:
☐
b
am not able to provide the requested additional information
(because:)
date
5
☐
I, requested authority, acknowledge receipt of the additional information and am now in a position to proceed.
date
6
I, requested authority, do not provide assistance and close the case because:
☐
a
I do not have competence for any of the claims to which the request relates.
☐
b
the claim is older than foreseen in the Protocol.
☐
c
the amount of the claim is below the threshold.
☐
d
I am not able to obtain this information for the purpose of recovering similar national claims.
☐
e
this would disclose a commercial, industrial or professional secret.
☐
f
the disclosure of this information would be liable to prejudice the security or be contrary to the public policy of the State.
☐
g
the applicant authority did not provide all the required additional information
☐
h
other reason:
date
7
☐
I, applicant authority, ask to be informed about the present status of my request.
date
8
I, requested authority, cannot provide the information now because:
☐
I have asked information from other public bodies.
☐
I have asked information from a third party.
☐
I am arranging a personal call.
☐
other reason:
date
9
The requested information cannot be obtained because:
☐
a
the person concerned is not known.
☐
b
insufficient data for identification of person concerned.
☐
c
the person concerned has moved away, address unknown.
☐
d
the requested information is not available.
☐
e
other reason:
date
10
☐
I, requested authority, transmit the following part of the requested information:
date
11
I, requested authority, transmit all (or the final part of) the requested information:
☐
a
Identity confirmed
☐
b
Address confirmed
☐
c
The following data about the identity of the person concerned have changed (or are added):
For natural persons:
☐
First name(s):
☐
Surname:
☐
Maiden name:
☐
Date of birth:
☐
Place of birth:
For legal entities:
☐
Legal Status:
☐
Company name:
☐
d
The following address data have changed (or are added):
☐
Street and no.:
☐
Details of address:
☐
Postcode and town:
☐
Country:
☐
Telephone:
☐
Fax:
☐
E-mail:
☐
e
Financial situation:
☐
Bank account(s) known:
Bank account number (IBAN): …
Bank identification code (BIC): …
Name of the bank: …
☐
Employment details: ☐ Employee —☐ Self-employed — ☐ Unemployed
☐
It seems that the person concerned has no means to settle the debt/no assets to cover recovery
☐
The person concerned is bankrupt/insolvent:
—
Date of order:
—
Date of release:
—
Liquidators details:
Name:
Street and no:
Details of address:
Postcode and town:
Country:
☐
It seems that the person concerned has:
☐
limited means to partially settle the debt
☐
sufficient means/assets for recovery
☐
Comments:
☐
f
Debt disputed
☐
person concerned has been advised to contest the claim in the State of the applicant authority
☐
references of the dispute, if available:
☐
further details attached
☐
g
Debtor deceased on YYYY/MM/DD
☐
h
Name and address of heirs/will executor:
☐
i
Other comments:
☐
j
I recommend proceeding with recovery procedures
☐
k
I recommend not proceeding with recovery procedures
date
12
☐
I, applicant authority, withdraw my request for information.
date
13
☐
Other: comment from o applicant authority or o requested authority:
Model form D – request for notification
REQUEST FOR NOTIFICATION
Based on Article PVAT.23 of the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties between the European Union and the United Kingdom
Reference: AA_RA_aaaaaaaaaaa_rrrrrrrrrrrr_20YYMMDD_xxxxxxx_RN
Nature of the claim(s):
1.
STATE OF THE APPLICANT AUTHORITY
A.
Applicant authority
Country:
Name:
Telephone:
Reference of the file:
Name of the official dealing with the request:
Language skills:
B.
Office initiating the request
Name:
Address:
Postcode:
Town:
Telephone:
E-mail:
Reference of the file:
Name of the official dealing with the request:
2.
STATE OF THE REQUESTED AUTHORITY
A.
Requested authority
Country:
Name:
Telephone:
Reference of the file:
Name of the official dealing with the request:
Language skills:
B.
Office handling the request
Name:
Address:
Postcode:
Town:
Telephone:
E-mail:
Reference of the file:
Name of the official dealing with the request:
3.
INFORMATION RELATING TO THE REQUEST
☐
Final date for notification of these documents in order to avoid problems with the limitation period (if necessary): 20YY/MM/DD
☐
Other comments:
4.
IDENTIFICATION OF THE ADDRESSEE OF THE NOTIFICATION
A.
The notification should be made to:
☐
For natural persons:
First name(s):
Surname:
Maiden name (name at birth):
Date of birth:
Place of birth:
VAT number:
Tax Identification Number:
Other identification data:
Address of this person: ☐ known — ☐ assumed:
Street and number:
Details of address:
Postcode and town:
Country:
☐
Or for legal entities:
Company name:
Legal status:
VAT number:
Tax Identification Number:
Other identification data:
Address of this legal entity: ☐ known — ☐ assumed
Street and number:
Details of address:
Postcode and town:
Country:
☐
Legal representative
Name:
Address of this legal representative: ☐ known — ☐ assumed
Street and number:
Details of address:
Postcode and town:
Country:
B.
Other relevant information concerning the above persons:
5
PURPOSE OF THE NOTIFICATION: see the attached uniform notification form.
6
DESCRIPTION OF THE NOTIFIED DOCUMENT(S): see the attached uniform notification form.
7.
FOLLOW-UP OF THE REQUEST FOR NOTIFICATION
Date
Nr
Message
Applicant authority
Requested authority
date
1
☐
I, requested authority, acknowledge receipt of the request.
date
2
☐
I, requested authority, invite the applicant authority to complete the request with the following additional information:
date
3
☐
I, requested authority, have not yet received the additional information required and will close your request if I do not receive this information before 20YY/MM/DD.
date
4
I, applicant authority,
☐
a
provide on request the following additional information:
☐
b
I am not able to provide the requested additional information
(because: )
date
5
☐
I, requested authority, acknowledge receipt of the additional information and am now in a position to proceed.
date
6
☐
☐
☐
☐
☐
I, requested authority, do not provide assistance and close the case because:
a
I do not have competence for any of the taxes to which the request relates.
b
the claim(s) is/are older than foreseen in the Protocol.
c
the amount of the claim(s) is below the threshold.
d
the applicant authority did not provide all the required additional information
e
Other reason:
date
7
☐
I, applicant authority, ask to be informed about the present status of my request.
date
8
I, requested authority, certify:
☐
a
that the document(s) has (have) been notified to the addressee, with legal effect according to the national legislation of the State of the requested authority, on 20YY/MM/DD.
The notification was made in the following manner:
☐
to the addressee in person
☐
by mail
☐
by electronic mail
☐
by registered mail
☐
by bailiff
☐
by another procedure
☐
b
that the above-mentioned document(s) could not be notified to the person concerned for the following reasons:
☐
addressee(s) not known
☐
addressee(s) deceased
☐
addressee(s) has (have) left the State. New address:
☐
other:
date
9
☐
I, applicant authority, withdraw my request for notification.
date
10
☐
Other: comment from o applicant authority or o requested authority
Model form E – request for recovery or precautionary measures
REQUEST FOR ☐ RECOVERY MEASURES
Based on Article PVAT.25 of the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties between the European Union and the United Kingdom
AND/OR ☐ PRECAUTIONARY MEASURES
Based on Article PVAT.31 of the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties between the European Union and the United Kingdom
Reference: AA_RA_aaaaaaaaaaa_rrrrrrrrrrrr_20YYMMDD_xxxxxxx_RR(RP)
Nature of the claim(s):
1.
STATE OF THE APPLICANT AUTHORITY
A.
Applicant authority
Country:
Name:
Telephone:
Reference of the file:
Name of the official dealing with the request:
Language skills:
B.
Office initiating the request
Name:
Address:
Postcode:
Town:
Telephone:
E-mail:
Reference of the file:
Name of the official dealing with the request:
2.
STATE OF THE REQUESTED AUTHORITY
A.
Requested authority
Country:
Name:
Telephone:
Reference of the file:
Name of the official dealing with the request:
Language skills:
B.
Office handling the request
Name:
Address:
Postcode:
Town:
Telephone:
E-mail:
Reference of the file:
Name of the official dealing with the request:
3.
INFORMATION ABOUT THE REQUEST
☐
The claim(s) is (are) the subject of an instrument permitting enforcement in the applicant State.
☐
The claim(s) is (are) not yet subject of an instrument permitting enforcement in the applicant State.
☐
The claim(s) is (are) not contested.
☐
The claim(s) may no longer be contested by an administrative appeal/by an appeal to the courts.
☐
The claim(s) is (are) contested but the laws, regulations and administrative practices in force in the State of the applicant authority allow recovery of a contested claim.
☐
The total amount of the claims for which assistance is requested, is not less than GBP 5 000 .
☐
This request relates to claims that fulfil the age requirement applying under the Protocol.
☐
This request for precautionary measures is based on the reasons described in the attached document(s).
☐
This request is accompanied by an instrument permitting precautionary measures in the applicant state.
☐
I request not to inform the debtor/other person concerned prior to the precautionary measures.
☐
Please contact me if the following specific situation occurs (by using the free text field at the end of the request form:
☐
I, applicant authority will reimburse the sums already transferred if the outcome of the contestation is favourable to the party concerned.
☐
Sensitive case:
4.
PAYMENT INSTRUCTIONS
A.
Please remit the amount of the claim recovered to:
—
Bank account number (IBAN):
—
Bank identification code (BIC):
—
Name of the bank:
—
Name of the account holder:
—
Address of the account holder:
—
Payment reference to be used at the transfer of the money:
B.
Payment by instalment is:
☐
acceptable without further consultation
☐
only acceptable after consultation (Please use box 7, point 20 for this consultation)
☐
not acceptable
5.
INFORMATION ABOUT THE PERSON CONCERNED BY THE REQUEST
A
Recovery/precautionary measures are requested with regard to:
☐
For natural persons:
First name(s):
Surname:
Maiden name (name at birth):
Date of birth:
Place of birth:
VAT number:
Tax Identification Number:
Other identification data:
Address of this person/legal entity: ☐ known — ☐ assumed
Street and number:
Details of address:
Postcode and town:
☐
Or for legal entities:
Legal status:
Company name:
VAT number:
Tax Identification Number:
Other identification data:
Address of this person/legal entity: ☐ known — ☐ assumed
Street and number:
Details of address:
Postcode and town:
—
other information concerning this person:
—
☐ Legal representative
—
Name:
—
Details of address: ☐ known — ☐ assumed
—
Street and number:
—
Postcode and town:
—
Country:
B
Other relevant information concerning this request and/or person
1
☐
The following person(s) is (are) co-debtor(s): [It should be possible to add more than 1 name of such persons]
—
Identity of this person:
☐
For natural persons:
—
Name:
—
Date of birth:
—
VAT number:
—
Tax Identification Number:
—
Street and number:
—
Details of address:
—
Postcode and town:
☐
Or for legal entities:
—
Legal status:
—
Company name:
—
VAT number:
—
Tax Identification Number:
—
Street and number:
—
Details of address:
—
Postcode and town:
—
other information concerning this (these) co-debtor(s):
2
☐
The following person(s) is (are) holding assets belonging to the person concerned by this request: [It should be possible to add more than 1 name of such persons]
—
Identity of this person:
☐
For natural persons:
—
Name:
—
Date of birth:
—
VAT number:
—
Tax Identification Number:
—
Street and number:
—
Details of address:
—
Postcode and town:
☐
Or for legal entities:
—
Legal status:
—
Company name:
—
VAT number:
—
Tax Identification Number:
—
Street and number:
—
Details of address:
—
Postcode and town:
—
assets held by this other person:
3
☐
The following person(s) is (are) having debts towards the person concerned by this request: [It should be possible to add more than 1 name of such persons]
—
Identity of this person:
☐
For natural persons:
—
Name:
—
Date of birth:
—
VAT number:
—
Tax Identification Number:
—
Street and number:
—
Details of address:
—
Postcode and town:
☐
Or for legal entities:
—
Legal status:
—
Company name:
—
VAT number
—
Tax Identification Number:
—
Street and number:
—
Details of address:
—
Postcode and town:
—
(future) debts of this other person:
4
☐
There (is) are (an)other person(s) than the person concerned by this request, who (is) are liable for settlement of the taxes, duties and other measures, or for other claims relating to these taxes, duties and other measures under the laws of the applicant State. [It should be possible to add more than 1 name of such persons]
—
Identity of this person:
☐
For natural persons:
—
Name:
—
Date of birth:
—
VAT number:
—
Tax Identification Number:
—
Street and number:
—
Details of address:
—
Postcode and town:
☐
Or for legal entities:
—
Legal status:
—
Company name:
—
VAT number:
—
Tax Identification Number:
—
Street and number:
—
Details of address:
—
Postcode and town:
—
Reason or nature of the liability of this other person:
6.
DESCRIPTION OF THE CLAIM(S): see the attached uniform instrument permitting enforcement in the requested State.
7.
FOLLOW-UP OF THE REQUEST
Applicant authority
Requested authority
date
1
☐
I, requested authority, acknowledge receipt of the request.
date
☐
To be combined with acknowledgment
2
☐
I, requested authority, invite the applicant authority to complete the request with the following additional information:
date
3
☐
I, requested authority, have not yet received the additional information required and will close your request if I do not receive this information before 20YY/MM/DD.
date
4
I, applicant authority,
☐
a
provide on request the following additional information:
☐
b
am not able to provide the requested additional information
(because: )
date
5
☐
I, requested authority, acknowledge receipt of the additional information and am now in a position to proceed.
date
6
I, requested authority, do not provide assistance and close the case because:
☐
a
I do not have competence for the claims to which your request relates.
☐
b
I do not have competence for the following claim(s) of your request:
☐
c
the claim(s) is/are older than foreseen in the Protocol.
☐
d
the total amount is less than the threshold foreseen in the Protocol.
☐
e
the applicant authority did not provide all the required additional information.
☐
f
Other reason:
date
7
☐
I, applicant authority, ask to be informed about the present status of my request.
date
8
I, requested authority, will not take the requested action(s), for the following reasons:
☐
a
my national legislation and practice does not allow recovery measures for claims that are contested.
☐
b
my national legislation and practice does not allow precautionary measures for claims that are contested.
9
I, requested authority, have conducted the following procedures for recovery and/or precautionary measures:
date
☐
a
I established contact with the debtor and requested payment on 20YY/MM/DD.
date
☐
b
I am negotiating payment by instalment.
date
☐
c
I have commenced enforcement procedures on 20YY/MM/DD.
The following actions have been taken:
☐
d
I have commenced precautionary measures on 20YY/MM/DD.
The following actions have been taken:
☐
e
I, requested authority, inform the applicant authority that the measures which I have taken (described under point c and/or d above) have the following effect on the period of limitation:
☐
suspension
☐
interruption
☐
prolongation ☐ till 20YY/MM/DD – ☐ with xx years/months/weeks/days
I ask the applicant State to inform me if the same effect is not provided for under the laws in force in the applicant State.
☐
f
I, requested authority, inform the applicant authority that suspension, interruption or prolongation of the period of limitation is not possible under the laws of the requested State.
I ask the applicant State to confirm whether the measures which I have taken (described under point c and/or d above) have interrupted, suspended or prolonged the time limit for recovery and, if so, what the new time limit is.
date
10
☐
Procedures are still going on. I, requested authority, will inform applicant authority when changes occur.
date
11
☐
a
I, applicant authority, confirm that:
as a result of the action mentioned under point 9, the time limit has been changed. The new time limit is: …
☐
b
My national laws do not provide for the suspension, interruption or prolongation of the period of limitation.
12
I, requested authority, inform the applicant authority that:
date
☐
a
the claim has been fully recovered on 20YY/MM/DD
—
of which the following amount (indicate the currency of the State of the requested authority) relates to the claim as mentioned in the request:
—
of which the following amount relates to the interest charged under the laws of the State of the requested authority:
date
☐
b
the claim has been partly recovered on 20YY/MM/DD,
—
for the amount of (indicate the currency of the State of the requested authority):
—
of which the following amount relates to the claim as mentioned in the request:
—
of which the following amount relates to the interest charged under the laws of the State of the requested authority:
☐
I will take no further action.
☐
I will continue recovery procedures.
date
☐
c
precautionary measures have been taken.
(The requested authority is invited to indicate the nature of these measures:)
date
☐
d
the following payment by instalment has been agreed:
date
13
I, requested authority, confirm that all or part of the claim could not be recovered/ precautionary measures will not be taken, and the case will be closed because:
☐
a
The person concerned is not known.
☐
b
The person concerned is known, but moved to:
☐
c
The person concerned is known, but moved to an unknown address.
☐
d
The person concerned is deceased on YYYY/MM/DD.
☐
e
Debtor/co-debtor is insolvent.
☐
f
Debtor/co-debtor is bankrupt and the claim has been lodged.
Date of order: … --- Date of release: …
☐
g
Debtor/co-debtor is bankrupt / no recovery possible
☐
h
Others:
date
14
☐
I, applicant authority, confirm that the case is closed.
date
15
☐
I, requested authority, inform the applicant authority that I have received notification that an action has been launched contesting the claim or the instrument permitting its enforcement and will suspend enforcement procedures.
Further,
☐
a
I have taken precautionary measures to ensure recovery of the claim on ….
☐
b
I ask the applicant authority to inform me whether I should recover the claim.
☐
c
I inform the applicant authority that the laws, regulations and administrative practices in force in the State in which I am situated do not permit (continued) recovery of the claim as long as it is contested.
date
16
I, applicant authority, having been informed that an action has been launched contesting the claim or the instrument permitting its enforcement,
☐
a
ask the requested authority to suspend any action which it has undertaken.
☐
b
ask the requested authority to take precautionary measures to ensure recovery of the claim.
☐
c
ask the requested authority to (continue to) recover the claim.
date
17
☐
I, requested authority, inform the applicant authority that the laws, regulations and administrative practices in force in the State in which I am situated do not permit the action requested:
☐
under point 16(b).
☐
under point 16(c).
date
18
I, applicant authority,
☐
a
amend the request for recovery/precautionary measures
☐
in accordance with the decision about the contested claim, [this information about the decision will be put in box 6A]
☐
because part of the claim was paid directly to the applicant authority;
☐
for another reason: ….
☐
b
ask the requested authority to resume enforcement procedures since the contestation was not favourable to the debtor (decision of the body competent in this matter of …).
date
19
I, applicant authority, withdraw this request for recovery/precautionary measures because:
☐
a
the amount was paid directly to the applicant authority.
☐
b
the time limit for recovery action has elapsed.
☐
c
the claim(s) has (have) been annulled by a national court or by an administrative body.
☐
d
the instrument permitting enforcement has been annulled.
☐
e
other reason: …
date
20
☐
Other: comment from o applicant authority or o requested authority
(Please start each comment by indicating the date)
(
1
)
  In this third column, the requested authority either fills in the information requested by the requesting authority (box "please fill in" ticked in the second column) or confirms the veracity of the information provided by the requesting authority (box "please confirm" ticked and information provided in the second column).
(
2
)
  Actual principal activity means the real main activity carried out by the business (as opposed to another possibly declared one).
(
3
)
  In this third column, the requested authority either fills in the information requested by the requesting authority (box "please fill in" ticked in the second column) or confirms the veracity of the information provided by the requesting authority (box "please confirm" ticked and information provided in the second column).
(
4
)
  This is any business with common directors or other legal, economic or financial links with the business referred to in Heading A.
(
5
)
  To be provided by the competent authority receiving the information.
PROTOCOL ON MUTUAL ADMINISTRATIVE ASSISTANCE IN CUSTOMS MATTERS
Article PCUST.1
Definitions
1.
For the purposes of this Protocol:
(a)
"applicant authority" means a competent administrative authority which has been designated by a Party for this purpose and which makes a request for assistance on the basis of this Protocol;
(b)
"operations in breach of customs legislation" means any violation or attempted violation of customs legislation;
(c)
"requested authority" means a competent administrative authority which has been designated by a Party for this purpose and which receives a request for assistance on the basis of this Protocol.
2.
Unless otherwise provided in this Protocol, the definitions of Chapter 5 of Title I of Heading One of Part Two of this Agreement also apply to this Protocol.
Article PCUST.2
Scope
1.
The Parties shall assist each other in the areas within their competence, in the manner and under the conditions laid down in this Protocol, to ensure the correct application of customs legislation, in particular by preventing, investigating and combating operations in breach of that legislation.
2.
The provisions on assistance in customs matters provided for in this Protocol apply to any administrative authority of either Party which is competent for the application of this Protocol. That assistance shall neither prejudice the provisions governing mutual assistance in criminal matters nor shall it cover information obtained under powers exercised at the request of a judicial authority, except where communication of such information is authorised by that authority.
3.
Assistance in the recovery of duties, taxes or fines is covered by the Protocol on administrative cooperation and combating fraud in the field of value added tax and on mutual assistance for the recovery of claims relating to taxes and duties.
Article PCUST.3
Assistance on request
1.
At the request of the applicant authority, the requested authority shall provide the applicant authority with all relevant information which may enable the applicant authority to ensure that customs legislation is correctly applied, including information related to activities noted or planned which are or could be operations in breach of customs legislation.
2.
At the request of the applicant authority, the requested authority shall in particular inform it whether:
(a)
goods exported from the territory of one of the Parties have been properly imported into the territory of the other Party, specifying, where appropriate, the customs procedure applied to the goods;
(b)
goods imported into the territory of one of the Parties have been properly exported from the territory of the other Party, specifying, where appropriate, the customs procedure applied to the goods.
3.
At the request of the applicant authority, the requested authority shall take the necessary steps in accordance with its applicable laws and regulations to ensure special surveillance of and to provide the applicant authority with information on:
(a)
natural or legal persons in respect of whom there are reasonable grounds for believing that they are or have been involved in operations in breach of customs legislation;
(b)
goods that are or may be transported in such a way that there are reasonable grounds for believing that they have been or are intended to be used in operations in breach of customs legislation;
(c)
places where stocks of goods have been or may be stored or assembled in such a way that there are reasonable grounds for believing that these goods have been or are intended to be used in operations in breach of customs legislation;
(d)
means of transport that are or may be used in such a way that there are reasonable grounds for believing that they are intended to be used in operations in breach of customs legislation; and
(e)
premises suspected by the applicant authority of being used to commit breaches of customs legislation.
Article PCUST.4
Spontaneous assistance
Wherever possible, on their own initiative, the Parties shall assist each other in accordance with their laws and regulations by providing information on concluded, planned or ongoing activities which constitute or appear to constitute operations in breach of customs legislation and which may be of interest to the other Party. The information shall focus in particular on:
(a)
goods known to be subject to operations in breach of customs legislation;
(b)
persons in respect of whom there are reasonable grounds for believing they are or have been involved in operations in breach of customs legislation;
(c)
means of transport in respect of which there are reasonable grounds for believing that they have been, are, or may be used in operations in breach of customs legislation; and
(d)
new means or methods employed in carrying out operations in breach of customs legislation.
Article PCUST.5
Form and substance of requests for assistance
1.
Requests pursuant to this Protocol shall be made in writing either in print or electronic format. They shall be accompanied by the documents necessary to enable compliance with the request. In case of urgency, the requested authority may accept oral requests, but such oral requests shall be confirmed by the applicant authority in writing promptly.
2.
Requests pursuant to paragraph 1 shall include the following information:
(a)
the applicant authority and requesting official;
(b)
the information or type of assistance requested;
(c)
the object of and the reason for the request;
(d)
the laws and regulations and other legal elements involved;
(e)
indications as exact and comprehensive as possible on the goods or persons who are the target of the investigations;
(f)
a summary of the relevant facts and of the enquiries already carried out; and
(g)
any additional available details to enable the requested authority to comply with the request.
3.
Requests shall be submitted in an official language of the requested authority or in a language acceptable to that authority, English always being an acceptable language. This requirement does not apply to any documents that accompany the request under paragraph 1.
4.
If a request does not meet the formal requirements set out in this Article, the requested authority may require the correction or the completion of the request; pending such correction or completion, precautionary measures may be ordered.
Article PCUST.6
Execution of requests
1.
In order to comply with a request for assistance, the requested authority shall proceed promptly, within the limits of its competence, as though it was acting on its own account or at the request of another authority of that same Party, by supplying information already in its possession, by carrying out appropriate enquiries or by arranging for those enquiries to be carried out. This provision shall also apply to any other authority to which the request has been addressed by the requested authority when the latter cannot act on its own. In providing any such assistance the requested authority shall give appropriate consideration to the urgency of the request.
2.
Requests for assistance shall be executed in accordance with the laws and regulations of the requested Party.
Article PCUST.7
Form in which information is to be communicated
1.
The requested authority shall communicate results of enquiries conducted pursuant to a request made under this Protocol to the applicant authority in writing, together with relevant documents, certified copies of documents or other items. This information may be provided in electronic format.
2.
Original documents shall be transmitted according to each Party's legal constraints, only at the request of the applicant authority, in cases where certified copies would be insufficient. The applicant authority shall return those originals at the earliest opportunity.
3.
Under the provisions referred to in paragraph 2, the requested authority shall deliver to the applicant authority any information related to the authenticity of the documents issued or certified by official agencies within its territory in support of a goods declaration.
Article PCUST.8
Presence of officials of one Party in the territory of another
1.
Duly authorised officials of a Party may, with the agreement of the other Party and subject to the conditions laid down by the latter, be present in the offices of the requested authority or any other concerned authority referred to in Article PCUST.6(1) to obtain information relating to activities that are or could be operations in breach of customs legislation which the applicant authority needs for the purposes of this Protocol.
2.
With the agreement of the requested Party, and subject to the conditions it may specify, duly authorised officials of the other Party may be present at enquiries carried out in the requested Party's territory.
Article PCUST.9
Delivery and notification
1.
At the request of the applicant authority, the requested authority shall take all necessary measures in accordance with its applicable laws and regulations in order to deliver any documents or to notify any decisions of the applicant authority that fall within the scope of this Protocol, to an addressee residing or established in the territory of the requested authority.
2.
Such requests for the delivery of documents or the notification of decisions shall be made in writing in an official language of the requested authority or in a language acceptable to that authority.
Article PCUST.10
Automatic exchange of information
1.
The Parties may, by mutual arrangement in accordance with Article PCUST.15 of this Protocol:
(a)
exchange any information covered by this Protocol on an automatic basis;
(b)
exchange specific information in advance of the arrival of consignments in the territory of the other Party.
2.
The Parties may establish arrangements on the type of information they wish to exchange, the format and the frequency of transmission to implement the exchanges under points (a) and (b) of paragraph 1.
Article PCUST.11
Exceptions to the obligation to provide assistance
1.
Assistance under this Protocol may be refused or may be subject to the satisfaction of certain conditions or requirements in cases where a Party is of the opinion that such assistance would:
(a)
be likely to prejudice the sovereignty of the United Kingdom or that of a Member State which has been requested to provide assistance under this Protocol;
(b)
be likely to prejudice public policy, security or other essential interests; or
(c)
violate an industrial, commercial or professional secret.
2.
The requested authority may postpone the assistance on the grounds that such assistance will interfere with ongoing investigations, prosecutions or proceedings. In such a case, the requested authority shall consult with the applicant authority to determine if assistance can be given subject to such terms or conditions as the requested authority may require.
3.
Where the applicant authority seeks assistance which it would itself be unable to provide if so requested, it shall draw attention to that fact in its request. It shall then be for the requested authority to decide how to respond to such a request.
4.
In the cases referred to in paragraphs 1 and 2, the requested authority shall communicate its decision and the reasons for that decision to the applicant authority without delay.
Article PCUST.12
Information exchange and confidentiality
1.
The information received under this Protocol shall be used solely for the purposes established in this Protocol.
2.
The use of information obtained under this Protocol in administrative or judicial proceedings instituted in respect of operations in breach of customs legislation is considered to be for the purposes of this Protocol. Therefore, the Parties may use information obtained and documents consulted in accordance with the provisions of this Protocol as evidence in their records of evidence, reports and testimonies and in proceedings and charges brought before the courts or tribunals. The requested authority may subject the supply of information or the granting of access to documents to the condition that it is notified of such use.
3.
Where one of the Parties wishes to use such information for other purposes, it shall obtain the prior written consent of the authority which provided the information. Such use shall then be subject to any restrictions laid down by that authority.
4.
Any information communicated in whatsoever form pursuant to this Protocol shall be considered to be of a confidential or restricted nature, in accordance with the laws and regulations applicable in each Party. That information shall be covered by the obligation of professional secrecy and shall enjoy the protection granted to similar information under the relevant laws and regulations of the receiving Party, unless the Party which provided the information gives its prior consent to the disclosure of such information. The Parties shall communicate to each other information on their applicable laws and regulations.
Article PCUST.13
Experts and witnesses
The requested authority may authorise its officials to appear, within the limitations of the authorisation granted, as experts or witnesses in judicial or administrative proceedings regarding the matters covered by this Protocol, and produce such objects, documents or confidential or certified copies thereof, as may be needed for the proceedings. The request for appearance must indicate specifically before which judicial or administrative authority the official will have to appear, on what matters and by virtue of what title or qualification the official will be questioned.
Article PCUST.14
Assistance expenses
1.
Subject to paragraphs 2 and 3, the Parties shall waive any claims on each other for reimbursements of expenses incurred in the execution of this Protocol.
2.
Expenses and allowances paid to experts, witnesses, interpreters and translators, other than public service employees, shall be borne as appropriate by the requesting Party.
3.
If expenses of a substantial or extraordinary nature are or will be required to execute the request, the Parties shall consult to determine the terms and conditions under which the request is to be executed, as well as the manner in which the costs are to be borne.
Article PCUST.15
Implementation
1.
The implementation of this Protocol shall be entrusted on the one hand to the customs authorities of the United Kingdom and on the other hand to the competent services of the European Commission and the customs authorities of the Member States of the Union, as appropriate. They shall decide on all practical measures and arrangements necessary for the implementation of this Protocol, taking into consideration their respective applicable laws and regulations, in particular for the protection of personal data.
2.
Each Party shall keep the other Party informed of the detailed implementation measures which it adopts in accordance with the provisions of this Protocol, in particular with respect to the duly authorised services and officials designated as competent to send and receive the communications provided for in this Protocol.
3.
In the Union, the provisions of this Protocol shall not affect the communication of any information obtained under this Protocol between the competent services of the European Commission and the customs authorities of the Member States.
Article PCUST.16
Other agreements
The provisions of this Protocol shall take precedence over the provisions of any bilateral agreement on mutual administrative assistance in customs matters which has been or may be concluded between individual Member States of the Union and the United Kingdom insofar as the provisions of those bilateral agreements are incompatible with those of this Protocol.
Article PCUST.17
Consultations
In respect of the interpretation and implementation of this Protocol, the Parties shall consult each other to resolve the matter in the framework of the Trade Specialised Committee on Customs Cooperation and Rules of Origin.
Article PCUST.18
Future developments
With a view to supplementing the levels of mutual assistance provided for in this Protocol, the Trade Specialised Committee on customs cooperation and rules of origin may adopt a decision to expand this Protocol by establishing arrangements on specific sectors or matters in accordance with the Parties' respective customs legislation.
PROTOCOL ON SOCIAL SECURITY COORDINATION
TITLE I
GENERAL PROVISIONS
Article SSC.1
Definitions
For the purposes of this Protocol, the following definitions apply:
(a)
"activity as an employed person" means any activity or equivalent situation treated as such for the purposes of the social security legislation of the State in which such activity or equivalent situation exists;
(b)
"activity as a self-employed person" means any activity or equivalent situation treated as such for the purposes of the social security legislation of the State in which such activity or equivalent situation exists;
(c)
"assisted reproduction services" means any medical, surgical or obstetric services provided for the purpose of assisting a person to carry a child;
(d)
"benefits in kind" means:
(i)
for the purposes of Chapter 1 of Title III, benefits in kind provided for under the legislation of a State which are intended to supply, make available, pay directly or reimburse the cost of medical care and products and services ancillary to that care;
(ii)
for the purposes of Chapter 2 of Title III, all benefits in kind relating to accidents at work and occupational diseases as defined in point (i) and provided for under the States' accidents at work and occupational diseases schemes;
(e)
"child-raising period" refers to any period which is credited under the pension legislation of a State or which provides a supplement to a pension explicitly for the reason that a person has raised a child, irrespective of the method used to calculate those periods and whether they accrue during the time of child-raising or are acknowledged retroactively;
(f)
"civil servant" means a person considered to be such or treated as such by the State to which the administration employing them is subject;
(g)
"competent authority" means, in respect of each State, the Minister, Ministers or other equivalent authority responsible for social security schemes throughout or in any part of the State in question;
(h)
"competent institution" means:
(i)
the institution with which the person concerned is insured at the time of the application for benefit; or
(ii)
the institution from which the person concerned is or would be entitled to benefits if that person or a member or members of their family resided in the State in which the institution is situated; or
(iii)
the institution designated by the competent authority of the State concerned; or
(iv)
in the case of a scheme relating to an employer's obligations in respect of the benefits set out in Article SSC.3(1), either the employer or the insurer involved or, in default thereof, the body or authority designated by the competent authority of the State concerned;
(i)
"competent State" means the State in which the competent institution is situated;
(j)
"death grant" means any one-off payment in the event of death, excluding the lump-sum benefits referred to in point (w);
(k)
"family benefit" means all benefits in kind or in cash intended to meet family expenses;
(l)
"frontier worker" means any person pursuing an activity as an employed or self-employed person in a State and who resides in another State to which that person returns as a rule daily or at least once a week;
(m)
"home base" means the place from where the crew member normally starts and ends a duty period or a series of duty periods, and where, under normal conditions, the operator/airline is not responsible for the accommodation of the crew member concerned;
(n)
"institution" means, in respect of each State, the body or authority responsible for applying all or part of the legislation;
(o)
"institution of the place of residence" and "institution of the place of stay" mean, respectively, the institution which is competent to provide benefits in the place where the person concerned resides and the institution which is competent to provide benefits in the place where the person concerned is staying, in accordance with the legislation administered by that institution or, where no such institution exists, the institution designated by the competent authority of the State concerned;
(p)
"insured person", in relation to the social security branches covered by Chapters 1 and 3 of Title III, means any person satisfying the conditions required under the legislation of the State competent under Title II in order to have the right to benefits, taking into account the provisions of this Protocol;
(q)
"legislation" means, in respect of each State, laws, regulations and other statutory provisions and all other implementing measures relating to the social security branches covered by Article SSC.3(1), but excludes contractual provisions other than those which serve to implement an insurance obligation arising from the laws and regulations referred to in this point or which have been the subject of a decision by the public authorities which makes them obligatory or extends their scope, provided that the State concerned makes a declaration to that effect, notified to the Specialised Committee on Social Security Coordination. The European Union shall publish such a declaration in the 
Official Journal of the European Union
;
(r)
"long-term care benefit" means a benefit in kind or in cash the purpose of which is to address the care needs of a person who, on account of impairment, requires considerable assistance, including but not limited to assistance from another person or persons to carry out essential activities of daily living for an extended period of time in order to support their personal autonomy; this includes benefits granted for the same purpose to a person providing such assistance;
(s)
"member of the family" means:
(i)
(A)
any person defined or recognised as a member of the family or designated as a member of the household by the legislation under which benefits are provided;
(B)
with regard to benefits in kind pursuant to Chapter 1 of Title III, any person defined or recognised as a member of the family or designated as a member of the household by the legislation of the State in which that person resides;
(ii)
if the legislation of a State which is applicable under point (i) does not make a distinction between the members of the family and other persons to whom it is applicable, the spouse, minor children, and dependent children who have reached the age of majority shall be considered members of the family;
(iii)
if, under the legislation which is applicable under points (i) and (ii), a person is considered a member of the family or member of the household only if that person lives in the same household as the insured person or pensioner, this condition shall be considered satisfied if the person in question is mainly dependent on the insured person or pensioner;
(t)
"period of employment" or "period of self-employment" mean periods so defined or recognised by the legislation under which they were completed, and all periods treated as such, where they are regarded by that legislation as equivalent to periods of employment or to periods of self-employment;
(u)
"period of insurance" means periods of contribution, employment or self-employment as defined or recognised as periods of insurance by the legislation under which they were completed or considered as completed, and all periods treated as such, where they are regarded by that legislation as equivalent to periods of insurance;
(v)
"period of residence" means periods so defined or recognised by the legislation under which they were completed or considered as completed;
(w)
"pension" covers not only pensions but also lump-sum benefits which can be substituted for them and payments in the form of reimbursement of contributions and, subject to the provisions of Title III, revaluation increases or supplementary allowances;
(x)
"pre-retirement benefit" means all cash benefits, other than an unemployment benefit or an early old-age benefit, provided from a specified age to workers who have reduced, ceased or suspended their remunerative activities until the age at which they qualify for an old-age pension or an early retirement pension, the receipt of which is not conditional upon the person concerned being available to the employment services of the competent State; "early old-age benefit" means a benefit provided before the normal pension entitlement age is reached and which either continues to be provided once the said age is reached or is replaced by another old-age benefit;
(y)
"refugee" has the meaning assigned to it in Article 1 of the Convention relating to the Status of Refugees, signed in Geneva on 28 July 1951;
(z)
"registered office or place of business" means the registered office or place of business where the essential decisions of the undertaking are adopted and where the functions of its central administration are carried out;
(aa)
"residence" means the place where a person habitually resides;
(bb)
"special non-contributory cash benefits" means those non-contributory cash benefits which:
(i)
are intended to provide either:
(A)
supplementary, substitute or ancillary cover against the risks covered by the branches of social security referred to in Article SSC.3(1), and which guarantee the persons concerned a minimum subsistence income having regard to the economic and social situation in the State concerned; or
(B)
solely specific protection for the disabled, closely linked to the said person's social environment in the State concerned, and
(ii)
where the financing exclusively derives from compulsory taxation intended to cover general public expenditure and the conditions for providing and for calculating the benefits are not dependent on any contribution in respect of the beneficiary. However, benefits provided to supplement a contributory benefit shall not be considered to be contributory benefits for this reason alone;
(cc)
"special scheme for civil servants" means any social security scheme which is different from the general social security scheme applicable to employed persons in the State concerned and to which all, or certain categories of, civil servants are directly subject;
(dd)
" stateless person" has the meaning assigned to it in Article 1 of the Convention relating to the Status of Stateless Persons, signed in New York on 28 September 1954;
(ee)
"stay" means temporary residence.
Article SSC.2
Persons covered
This Protocol applies to persons, including stateless persons and refugees, who are or have been subject to the legislation of one or more States, as well as to the members of their families and their survivors.
Article SSC.3
Matters covered
1.
This Protocol applies to the following branches of social security:
(a)
sickness benefits;
(b)
maternity and equivalent paternity benefits;
(c)
invalidity benefits;
(d)
old-age benefits;
(e)
survivors' benefits;
(f)
benefits in respect of accidents at work and occupational diseases;
(g)
death grants;
(h)
unemployment benefits;
(i)
pre-retirement benefits.
2.
Unless otherwise provided for in Annex SSC-6, this Protocol applies to general and special social security schemes, whether contributory or non-contributory, and to schemes relating to the obligations of an employer or ship-owner.
3.
The provisions of Title III do not, however, affect the legislative provisions of any State concerning a ship-owner's obligations.
4.
This Protocol does not apply to:
(a)
special non-contributory cash benefits which are listed in Part 1 of Annex SSC-1;
(b)
social and medical assistance;
(c)
benefits in relation to which a State assumes the liability for damages to persons and provides for compensation, such as those for victims of war and military action or their consequences; victims of crime, assassination or terrorist acts; victims of damage occasioned by agents of the State in the course of their duties; or victims who have suffered a disadvantage for political or religious reasons or for reasons of descent;
(d)
long-term care benefits which are listed in Part 2 of Annex SSC-1;
(e)
assisted reproduction services;
(f)
payments which are connected to a branch of social security listed in paragraph 1 and which are:
(i)
paid to meet expenses for heating in cold weather; and
(ii)
listed in Part 3 of Annex SSC-1;
(g)
family benefits.
Article SSC.4
Non-discrimination between Member States
1.
Social security coordination arrangements established in this Protocol shall be based on the principle of non-discrimination between the Member States.
2.
This Article is without prejudice to any arrangements made between the United Kingdom and Ireland concerning the Common Travel Area.
Article SSC.5
Equality of treatment
1.
Unless otherwise provided for in this Protocol, as regards the branches of social security covered by Article SSC.3(1), persons to whom this Protocol applies shall enjoy the same benefits and be subject to the same obligations under the legislation of any State as the nationals thereof.
2.
This provision does not apply to the matters referred to in Article SSC.3(4).
Article SSC.6
Equal treatment of benefits, income, facts or events
Unless otherwise provided for in this Protocol, the States shall ensure the application of the principle of equal treatment of benefits, income, facts or events in the following manner:
(a)
where, under the legislation of the competent State, the receipt of social security benefits and other income has certain legal effects, the relevant provisions of that legislation shall also apply to the receipt of equivalent benefits acquired under the legislation of another State or to income acquired in another State;
(b)
where, under the legislation of the competent State, legal effects are attributed to the occurrence of certain facts or events, that State shall take account of like facts or events that have occurred in any other State as though they had taken place in its own territory.
Article SSC.7
Aggregation of periods
Unless otherwise provided for in this Protocol, the competent institution of a State shall, to the extent necessary, take into account periods of insurance, employment, self-employment or residence completed under the legislation of any other State as though they were periods completed under the legislation which it applies, where its legislation makes conditional upon the completion of periods of insurance, employment, self-employment or residence:
(a)
the acquisition, retention, duration or recovery of the right to benefits;
(b)
the coverage by legislation; or
(c)
the access to or the exemption from compulsory, optional continued or voluntary insurance.
Article SSC.8
Waiving of residence rules
The States shall ensure the application of the principle of exportability of cash benefits in accordance with points (a) and (b):
(a)
Cash benefits payable under the legislation of a State or under this Protocol shall not be subject to any reduction, amendment, suspension, withdrawal or confiscation on account of the fact that the beneficiary or the members of their family reside in a State other than that in which the institution responsible for providing benefits is situated.
(b)
Point (a) does not apply to the cash benefits covered by points (c) and (h) of Article SSC.3(1).
Article SSC.9
Preventing of overlapping of benefits
Unless otherwise provided, this Protocol shall neither confer nor maintain the right to several benefits of the same kind for one and the same period of compulsory insurance.
TITLE II
DETERMINATION OF THE LEGISLATION APPLICABLE
Article SSC.10
General rules
1.
Persons to whom this Protocol applies shall be subject to the legislation of a single State only. Such legislation shall be determined in accordance with this Title.
2.
For the purposes of this Title, persons receiving cash benefits because or as a consequence of their activity as an employed or self-employed person shall be considered to be pursuing the said activity. This shall not apply to invalidity, old-age or survivors' pensions or to pensions in respect of accidents at work or occupational diseases or to sickness benefits in cash covering treatment for an unlimited period.
3.
Subject to Articles SSC.11, SSC.12 and SSC.13:
(a)
a person pursuing an activity as an employed or self-employed person in a State shall be subject to the legislation of that State;
(b)
a civil servant shall be subject to the legislation of the State to which the administration employing them is subject;
(c)
any other person to whom points (a) and (b) do not apply shall be subject to the legislation of the State of residence, without prejudice to other provisions of this Protocol guaranteeing them benefits under the legislation of one or more other States.
4.
For the purposes of this Title, an activity as an employed or self-employed person normally pursued on board a vessel at sea flying the flag of a State shall be deemed to be an activity pursued in the said State. However, a person employed on board a vessel flying the flag of a State and remunerated for such activity by an undertaking or a person whose registered office or place of business is in another State shall be subject to the legislation of the latter State if that person resides in that State. The undertaking or person paying the remuneration shall be considered as the employer for the purposes of the said legislation.
5.
An activity as a flight crew or cabin crew member performing air passenger or freight services shall be deemed to be an activity pursued in the State where the home base is located.
Article SSC.11
Detached workers
1.
By way of derogation from Article SSC.10(3) and as a transitional measure in relation to the situation that existed before the entry into force of this Agreement, the following rules as regards the applicable legislation apply between the Member States listed in Category A of Annex SSC-8 and the United Kingdom:
(a)
a person who pursues an activity as an employed person in a State for an employer which normally carries out its activities there and who is sent by that employer to another State to perform work on that employer's behalf shall continue to be subject to the legislation of the first State, provided that:
(i)
the duration of such work does not exceed 24 months; and
(ii)
that person is not sent to replace another detached worker.
(b)
a person who normally pursues an activity as a self-employed person in a State who goes to pursue a similar activity in another State shall continue to be subject to the legislation of the first State, provided that the anticipated duration of such activity does not exceed 24 months.
2.
By the date of entry into force of this Agreement, the Union shall notify the United Kingdom which of the following categories each Member State falls under:
(a)
Category A: The Member State has notified the Union that it wishes to derogate from Article SSC.10 in accordance with this Article;
(b)
Category B: The Member State has notified the Union that it does not wish to derogate from Article SSC.10; or
(c)
Category C: The Member State has not indicated whether it wishes to derogate from Article SSC.10.
3.
The document referred to in paragraph 2 shall become the content of Annex SSC-8 on the date of entry into force of this Agreement.
4.
For Member States which are listed in Category A on the date of entry into force of this Agreement, points (a) and (b) of paragraph 1 shall apply.
5.
For Member States which are listed in Category C on the date of entry into force of this Agreement, points (a) and (b) of paragraph 1 shall apply as though that Member State was listed in Category A for one month after the date of entry into force of this Agreement. The Specialised Committee on Social Security Coordination shall move a Member State from Category C to Category A if the Union notifies the Specialised Committee on Social Security Coordination that that Member State wishes to be so moved.
6.
A month after the date of entry into force of this Agreement, Categories B and C will cease to exist. The Parties shall publish an updated Annex SSC-8 as soon as possible thereafter. For the purpose of paragraph 1, Annex SSC-8 will be considered as containing only Category A Member States as from the date of that publication.
7.
Where a person is in a situation referred to in paragraph 1 involving a Category C Member State before the publication of an updated Annex SSC-8 in accordance with paragraph 6, paragraph 1 shall continue to apply to that person for the duration of their activities under paragraph 1.
8.
The Union shall notify the Specialised Committee on Social Security Coordination if a Member State wishes to be removed from Category A of Annex SSC-8 and the Specialised Committee on Social Security Coordination shall, at the request of the Union, remove that Member State from Category A of Annex SSC-8. The Parties shall publish an updated Annex SSC-8 which shall apply as from the first day of the second month following the receipt of the request by the Specialised Committee on Social Security Coordination.
9.
Where a person is in a situation referred to in paragraph 1 before the publication of an updated Annex SSC-8 in accordance with paragraph 8, paragraph 1 shall continue to apply to that person for the duration of that person's activities under paragraph 1.
Article SSC.12
Pursuit of activities in two or more States
1.
A person who normally pursues an activity as an employed person in one or more Member States as well as in the United Kingdom shall be subject to:
(a)
the legislation of the State of residence if that person pursues a substantial part of their activity in that State; or
(b)
if that person does not pursue a substantial part of their activity in the State of residence:
(i)
the legislation of the State in which the registered office or place of business of the undertaking or employer is situated if that person is employed by one undertaking or employer; or
(ii)
the legislation of the State in which the registered office or place of business of the undertakings or employers is situated if that person is employed by two or more undertakings or employers which have their registered office or place of business in only one State; or
(iii)
the legislation of the State in which the registered office or place of business of the undertaking or employer is situated other than the State of residence if that person is employed by two or more undertakings or employers, which have their registered office or place of business in a Member State and the United Kingdom, one of which is the State of residence; or
(iv)
the legislation of the State of residence if that person is employed by two or more undertakings or employers, at least two of which have their registered office or place of business in different States other than the State of residence.
2.
A person who normally pursues an activity as a self-employed person in one or more Member States as well as in the United Kingdom shall be subject to:
(a)
the legislation of the State of residence if that person pursues a substantial part of their activity in that State; or
(b)
the legislation of the State in which the centre of interest of their activities is situated, if that person does not reside in one of the States in which that person pursues a substantial part of their activity.
3.
A person who normally pursues an activity as an employed person and an activity as a self-employed person in two or more States shall be subject to the legislation of the State in which that person pursues an activity as an employed person or, if that person pursues such an activity in two or more States, to the legislation determined in accordance with paragraph 1.
4.
A person who is employed as a civil servant by a State and who pursues an activity as an employed person or as a self-employed person in one or more other States shall be subject to the legislation of the State to which the administration employing that person is subject.
5.
A person who normally pursues an activity as an employed person in two or more Member States (and not in the United Kingdom) shall be subject to the legislation of the United Kingdom if that person does not pursue a substantial part of that activity in the State of residence and that person:
(a)
is employed by one or more undertakings or employers, all of which have their registered office or place of business in the United Kingdom;
(b)
resides in a Member State and is employed by two or more undertakings or employers, all of which have their registered office or place of business in the United Kingdom and the Member State of residence;
(c)
resides in the United Kingdom and is employed by two or more undertakings or employers, at least two of which have their registered office or place of business in different Member States; or
(d)
resides in the United Kingdom and is employed by one or more undertakings or employers, none of which have a registered office or place of business in another State.
6.
A person who normally pursues an activity as a self-employed person in two or more Member States (and not in the United Kingdom), without pursuing a substantial part of that activity in the State of residence, shall be subject to the legislation of the United Kingdom if the centre of interest of their activity is situated in the United Kingdom.
7.
Paragraph 6 shall not apply in the case of a person who normally pursues an activity as an employed person and as a self-employed person in two or more Member States.
8.
Persons referred to in paragraphs 1 to 6 shall be treated, for the purposes of the legislation determined in accordance with these provisions, as though they were pursuing all their activities as employed or self-employed persons and were receiving all their income in the State concerned.
Article SSC.13
Voluntary insurance or optional continued insurance
1.
Articles SSC.10, SSC.11 and SSC.12 do not apply to voluntary insurance or to optional continued insurance unless, in respect of one of the branches referred to in Article SSC.3, only a voluntary scheme of insurance exists in a State.
2.
Where, by virtue of the legislation of a State, the person concerned is subject to compulsory insurance in that State, that person may not be subject to a voluntary insurance scheme or an optional continued insurance scheme in another State. In all other cases in which, for a given branch, there is a choice between several voluntary insurance schemes or optional continued insurance schemes, the person concerned shall join only the scheme of their choice.
3.
However, in respect of invalidity, old-age and survivors' benefits, the person concerned may join the voluntary or optional continued insurance scheme of a State, even if that person is compulsorily subject to the legislation of another State, provided that that person has been subject, at some stage in his or her career, to the legislation of the first State because or as a consequence of an activity as an employed or self-employed person and if such overlapping is explicitly or implicitly allowed under the legislation of the first State.
4.
Where the legislation of a State makes admission to voluntary insurance or optional continued insurance conditional upon residence in that State or upon previous activity as an employed or self-employed person, point (b) of Article SSC.6 shall apply only to persons who have been subject, at some earlier stage, to the legislation of that State on the basis of an activity as an employed or self-employed person.
Article SSC.14
Obligations of the employer
1.
An employer who has its registered office or place of business outside the competent State shall fulfil all the obligations laid down by the legislation applicable to its employees, notably the obligation to pay the contributions provided for by that legislation, as if it had its registered office or place of business in the competent State.
2.
An employer who does not have a place of business in the State whose legislation is applicable and the employee may agree that the latter may fulfil the employer's obligations on its behalf as regards the payment of contributions without prejudice to the employer's underlying obligations. The employer shall send notice of such an arrangement to the competent institution of that State.
TITLE III
SPECIAL PROVISIONS CONCERNING THE VARIOUS CATEGORIES OF BENEFITS
CHAPTER 1
SICKNESS, MATERNITY AND EQUIVALENT PATERNITY BENEFITS
SECTION 1
INSURED PERSONS AND MEMBERS OF THEIR FAMILIES EXCEPT PENSIONERS AND MEMBERS OF THEIR FAMILIES
Article SSC.15
Residence in a State other than the competent State
An insured person or members of their family who reside in a State other than the competent State shall receive in the State of residence benefits in kind provided, on behalf of the competent institution, by the institution of the place of residence, in accordance with the legislation it applies, as though the persons concerned were insured under the said legislation.
Article SSC.16
Stay in the competent State when residence is in another State – special rules for the members of the families of frontier workers
1.
Unless otherwise provided for by paragraph 2, the insured person and the members of their family referred to in Article SSC.15 shall also be entitled to benefits in kind while staying in the competent State. The benefits in kind shall be provided by the competent institution and at its own expense, in accordance with the legislation it applies, as though the persons concerned resided in that State.
2.
The members of the family of a frontier worker shall be entitled to benefits in kind during their stay in the competent State.
Where the competent State is listed in Annex SSC-2 however, the members of the family of a frontier worker who reside in the same State as the frontier worker shall be entitled to benefits in kind in the competent State only under the conditions laid down in Article SSC.17(1).
Article SSC.17
Stay outside the competent State
1.
Unless otherwise provided for by paragraph 2, an insured person and the members of their family staying in a State other than the competent State shall be entitled to benefits in kind, provided on behalf of the competent institution by the institution of the place of stay in accordance with the legislation it applies, as though the persons concerned were insured under that legislation, where:
(a)
the benefits in kind become necessary on medical grounds during their stay, in the opinion of the provider of the benefits in kind, taking into account the nature of the benefits and the expected length of the stay;
(b)
the person did not travel to that State with the purpose of receiving the benefits in kind, unless the person is a passenger or member of the crew on a vessel or aircraft travelling to that State and the benefits in kind became necessary on medical grounds during the voyage or flight; and
(c)
a valid entitlement document is presented in accordance with Article SSCI.22(1) of Annex SSC-7.
2.
Appendix SSCI-2 to Annex SSC-7 lists benefits in kind which, in order to be provided during a stay in another State, require for practical reasons a prior agreement between the person concerned and the institution providing the care.
Article SSC.18
Travel with the purpose of receiving benefits in kind – authorisation to receive appropriate treatment outside the State of residence
1.
Unless otherwise provided for in this Protocol, an insured person travelling to another State with the purpose of receiving benefits in kind during the stay shall seek authorisation from the competent institution.
2.
An insured person who is authorised by the competent institution to go to another State with the purpose of receiving the treatment appropriate to their condition shall receive the benefits in kind provided, on behalf of the competent institution, by the institution of the place of stay, in accordance with the legislation it applies, as though that person were insured under the said legislation. The authorisation shall be accorded where the treatment in question is among the benefits provided for by the legislation in the State where the person concerned resides and where that person cannot be given such treatment within a time limit which is medically justifiable, taking into account their current state of health and the probable course of their illness.
3.
Paragraphs 1 and 2 apply 
mutatis mutandis
 to the members of the family of an insured person.
4.
If the members of the family of an insured person reside in a State other than the State in which the insured person resides, and this State has opted for reimbursement on the basis of fixed amounts, the cost of the benefits in kind referred to in paragraph 2 shall be borne by the institution of the place of residence of the members of the family. In this case, for the purposes of paragraph 1, the institution of the place of residence of the members of the family shall be considered to be the competent institution.
Article SSC.19
Cash benefits
1.
An insured person and members of their family residing or staying in a State other than the competent State shall be entitled to cash benefits provided by the competent institution in accordance with the legislation it applies. By agreement between the competent institution and the institution of the place of residence or stay, such benefits may, however, be provided by the institution of the place of residence or stay at the expense of the competent institution in accordance with the legislation of the competent State.
2.
The competent institution of a State whose legislation stipulates that the calculation of cash benefits shall be based on average income or on an average contribution basis shall determine such average income or average contribution basis exclusively by reference to the incomes confirmed as having been paid, or contribution bases applied, during the periods completed under the said legislation.
3.
The competent institution of a State whose legislation provides that the calculation of cash benefits shall be based on standard income shall take into account exclusively the standard income or, where appropriate, the average of standard incomes for the periods completed under the said legislation.
4.
Paragraphs 2 and 3 apply 
mutatis mutandis
 to cases where the legislation applied by the competent institution lays down a specific reference period which corresponds in the case in question either wholly or partly to the periods which the person concerned has completed under the legislation of one or more other States.
Article SSC.20
Pension claimants
1.
An insured person who, on making a claim for a pension, or during the investigation thereof, ceases to be entitled to benefits in kind under the legislation of the State last competent, shall remain entitled to benefits in kind under the legislation of the State in which that person resides, provided that the pension claimant satisfies the insurance conditions of the legislation of the State referred to in paragraph 2. The right to benefits in kind in the State of residence shall also apply to the members of the family of the pension claimant.
2.
The benefits in kind shall be chargeable to the institution of the State which, in the event of a pension being awarded, would become competent under Articles SSC.21, SSC.22 and SSC.23.
SECTION 2
SPECIAL PROVISIONS FOR PENSIONERS AND MEMBERS OF THEIR FAMILIES
Article SSC.21
Right to benefits in kind under the legislation of the State of residence
A person who receives a pension or pensions under the legislation of two or more States, of which one is the State of residence, and who is entitled to benefits in kind under the legislation of that State, shall, with the members of their family, receive such benefits in kind from and at the expense of the institution of the place of residence, as though that person were a pensioner whose pension was payable solely under the legislation of that State.
Article SSC.22
No right to benefits in kind under the legislation of the State of residence
1.
A person who:
(a)
resides in a State;
(b)
receives a pension or pensions under the legislation of one or more States; and
(c)
is not entitled to benefits in kind under the legislation of the State of residence,
shall nevertheless receive such benefits for themselves and the members of their family, insofar as the pensioner would be entitled to them under the legislation of the State competent in respect of their pension or at least one of the States competent, if that person resided in that State. The benefits in kind shall be provided at the expense of the institution referred to in paragraph 2 by the institution of the place of residence, as though the person concerned were entitled to a pension and entitled to benefits in kind under the legislation of that State.
2.
In the cases covered by paragraph 1, the cost of the benefits in kind shall be borne by the institution as determined in accordance with the following rules:
(a)
where the pensioner is treated as if he or she were entitled to benefits in kind under the legislation of one State, the cost of those benefits shall be borne by the competent institution of that State;
(b)
where the pensioner is treated as if he or she were entitled to benefits in kind under the legislation of two or more States, the cost of those benefits shall be borne by the competent institution of the State to whose legislation the person has been subject for the longest period of time;
(c)
if the application of the rule in point (b) would result in several institutions being responsible for the cost of those benefits, the cost shall be borne by the competent institution of the State to whose legislation the pensioner was last subject.
Article SSC.23
Pensions under the legislation of one or more States other than the State of residence, where there is a right to benefits in kind in the latter State
Where a person receiving a pension or pensions under the legislation of one or more States resides in a State under whose legislation the right to receive benefits in kind is not subject to conditions of insurance, or conditions of activity as an employed or self-employed person, and that person does not receive a pension from the State of residence, the cost of benefits in kind provided to them and to members of their family shall be borne by the institution of one of the States competent in respect of the person's pensions determined in accordance with Article SSC.22(2), to the extent that the person and the members of their family would be entitled to such benefits if they resided in that State.
Article SSC.24
Residence of members of the family in a State other than the one in which the pensioner resides
Where a person:
(a)
receives a pension or pensions under the legislation of one or more States; and
(b)
resides in a State other than the one in which members of his or her family reside,
those members of that person's family shall be entitled to receive benefits in kind from the institution of the place of their residence in accordance with the legislation it applies insofar as the pensioner is entitled to benefits in kind under the legislation of a State. The costs shall be borne by the competent institution responsible for the costs of the benefits in kind provided to the pensioner in their State of residence.
Article SSC.25
Stay of the pensioner or the members of their family in a State other than the State of residence – stay in the competent State – authorisation for appropriate treatment outside the State of residence
1.
Article SSC.17 applies 
mutatis mutandis
 to:
(a)
a person receiving a pension or pensions under the legislation of one or more States and who is entitled to benefits in kind under the legislation of one of the States which provide their pension(s);
(b)
the members of their family,
who are staying in a State other than the one in which they reside.
2.
Article SSC.16(1) applies 
mutatis mutandis
 to the persons described in paragraph 1 when they stay in the State in which is situated the competent institution responsible for the cost of the benefits in kind provided to the pensioner in his or her State of residence and that State has opted for this and is listed in Annex SSC-3.
3.
Article SSC.18 applies 
mutatis mutandis
 to a pensioner or members of his or her family who are staying in a State other than the one in which they reside with the purpose of receiving in that State the treatment appropriate to their condition.
4.
Unless otherwise provided for by paragraph 5, the cost of the benefits in kind referred to in paragraphs 1 to 3 shall be borne by the competent institution responsible for the cost of benefits in kind provided to the pensioner in their State of residence.
5.
The cost of the benefits in kind referred to in paragraph 3 shall be borne by the institution of the place of residence of the pensioner or of the members of their family, if these persons reside in a State which has opted for reimbursement on the basis of fixed amounts. In these cases, for the purposes of paragraph 3, the institution of the place of residence of the pensioner or of the members of their family shall be considered to be the competent institution.
Article SSC.26
Cash benefits for pensioners
1.
Cash benefits shall be paid to a person receiving a pension or pensions under the legislation of one or more States by the competent institution of the State in which is situated the competent institution responsible for the cost of benefits in kind provided to the pensioner in their State of residence. Article SSC.19 applies 
mutatis mutandis
.
2.
Paragraph 1 also applies to the members of a pensioner's family.
Article SSC.27
Contributions by pensioners
1.
The institution of a State which is responsible under the legislation it applies for making deductions in respect of contributions for sickness, maternity and equivalent paternity benefits, may request and recover such deductions, calculated in accordance with the legislation it applies, only to the extent that the cost of the benefits pursuant to Articles SSC.21 to SSC.24 is to be borne by an institution of that State.
2.
Where, in the cases referred to in Article SSC.23, the acquisition of sickness, maternity and equivalent paternity benefits is subject to the payment of contributions or similar payments under the legislation of a State in which the pensioner concerned resides, these contributions shall not be payable by virtue of such residence.
SECTION 3
COMMON PROVISIONS
Article SSC.28
General provisions
Articles SSC.21 to SSC.27 do not apply to a pensioner or the members of the pensioner's family who are entitled to benefits under the legislation of a State on the basis of an activity as an employed or self-employed person. In such cases, the person concerned shall be subject, for the purposes of this Chapter, to Articles SSC.15 to SSC.19.
Article SSC.29
Prioritising of the right to benefits in kind – special rule for the right of members of the family to benefits in the State of residence
1.
Unless otherwise provided for by paragraphs 2 and 3, where a member of the family has an independent right to benefits in kind based on the legislation of a State or on this Chapter such right shall take priority over a derivative right to benefits in kind for members of the family.
2.
Unless otherwise provided for by paragraph 3, where the independent right in the State of residence exists directly and solely on the basis of the residence of the person concerned in that State, a derivative right to benefits in kind shall take priority over the independent right.
3.
Notwithstanding paragraphs 1 and 2, benefits in kind shall be provided to the members of the family of an insured person at the expense of the competent institution in the State in which they reside, where:
(a)
those members of the family reside in a State under whose legislation the right to benefits in kind is not subject to conditions of insurance or activity as an employed or self-employed person; and
(b)
the spouse or the person caring for the children of the insured person pursues an activity as an employed or self-employed person in that State, or receives a pension from that State on the basis of an activity as an employed or self-employed person.
Article SSC.30
Reimbursements between institutions
1.
The benefits in kind provided by the institution of a State on behalf of the institution of another State under this Chapter shall give rise to full reimbursement.
2.
The reimbursements referred to in paragraph 1 shall be determined and effected in accordance with the arrangements set out in Annex SSC-7, either on production of proof of actual expenditure, or on the basis of fixed amounts for States whose legal or administrative structures are such that the use of reimbursement on the basis of actual expenditure is not appropriate.
3.
The States, and their competent authorities, may provide for other methods of reimbursement or waive all reimbursement between the institutions coming under their jurisdiction.
CHAPTER 2
BENEFITS IN RESPECT OF ACCIDENTS AT WORK AND OCCUPATIONAL DISEASES
Article SSC.31
Right to benefits in kind and in cash
1.
Without prejudice to any more favourable provisions in paragraphs 2 and 3 of this Article, Article SSC.15 and Articles SSC.16(1), SSC.17(1) and SSC.18(1) also apply to benefits relating to accidents at work or occupational diseases.
2.
A person who has sustained an accident at work or has contracted an occupational disease and who resides or stays in a State other than the competent State shall be entitled to the special benefits in kind of the scheme covering accidents at work and occupational diseases provided, on behalf of the competent institution, by the institution of the place of residence or stay in accordance with the legislation which it applies, as though that person were insured under that legislation.
3.
The competent institution may not refuse to grant the authorisation provided for in Article SSC.18(1) to a person who has sustained an accident at work or who has contracted an occupational disease and is entitled to benefits chargeable to that institution, where the treatment appropriate to his or her condition cannot be given in the State in which that person resides within a time limit which is medically justifiable, taking into account that person's current state of health and the probable course of the illness.
4.
Article SSC.19 also applies to benefits falling within this Chapter.
Article SSC.32
Costs of transport
1.
The competent institution of a State whose legislation provides for meeting the costs of transporting a person who has sustained an accident at work or is suffering from an occupational disease, either to their place of residence or to a hospital, shall meet such costs to the corresponding place in the State where the person resides, provided that that institution gives prior authorisation for such transport, duly taking into account the reasons justifying it. Such authorisation shall not be required in the case of a frontier worker.
2.
The competent institution of a State whose legislation provides for meeting the costs of transporting the body of a person killed in an accident at work to the place of burial shall, in accordance with the legislation it applies, meet such costs to the corresponding place in the State where the person was residing at the time of the accident.
Article SSC.33
Benefits for an occupational disease where the person suffering from such a disease has been exposed to the same risk in several States
When a person who has contracted an occupational disease has, under the legislation of two or more States, pursued an activity which by its nature is likely to cause the said disease, the benefits that that person or his or her survivors may claim shall be provided exclusively under the legislation of the last of those States whose conditions are satisfied.
Article SSC.34
Aggravation of an occupational disease
In the event of aggravation of an occupational disease for which a person suffering from such a disease has received or is receiving benefits under the legislation of a State, the following rules shall apply:
(a)
if the person concerned, while in receipt of benefits, has not pursued, under the legislation of another State, an activity as an employed or self-employed person likely to cause or aggravate the disease in question, the competent institution of the first State shall bear the cost of the benefits under the provisions of the legislation which it applies, taking into account the aggravation;
(b)
if the person concerned, while in receipt of benefits, has pursued such an activity under the legislation of another State, the competent institution of the first State shall bear the cost of the benefits under the legislation it applies without taking the aggravation into account. The competent institution of the second State shall grant a supplement to the person concerned, the amount of which shall be equal to the difference between the amount of benefits due after the aggravation and the amount which would have been due prior to the aggravation under the legislation it applies, if the disease in question had occurred under the legislation of that State;
(c)
the rules concerning reduction, suspension or withdrawal laid down by the legislation of a State shall not be invoked against persons receiving benefits provided by institutions of two States in accordance with point (b).
Article SSC.35
Rules for taking into account the special features of certain legislation
1.
If there is no insurance against accidents at work or occupational diseases in the State in which the person concerned resides or stays, or if such insurance exists but there is no institution responsible for providing benefits in kind, those benefits shall be provided by the institution of the place of residence or stay responsible for providing benefits in kind in the event of sickness.
2.
If there is no insurance against accidents at work or occupational diseases in the competent State, the provisions of this Chapter concerning benefits in kind shall nevertheless be applied to a person who is entitled to those benefits in the event of sickness, maternity or equivalent paternity under the legislation of that State if that person sustains an accident at work or suffers from an occupational disease during a residence or stay in another State. Costs shall be borne by the institution that is competent for the benefits in kind under the legislation of the competent State.
3.
Article SSC.6 applies to the competent institution in a State as regards the equivalence of accidents at work and occupational diseases which either have occurred or have been confirmed subsequently under the legislation of another State when assessing the degree of incapacity, the right to benefits or the amount thereof, on condition that:
(a)
no compensation is due in respect of an accident at work or an occupational disease which had occurred or had been confirmed previously under the legislation it applies; and
(b)
no compensation is due in respect of an accident at work or an occupational disease which had occurred or had been confirmed subsequently, under the legislation of the other State under which the accident at work or the occupational disease had occurred or been confirmed.
Article SSC.36
Reimbursements between institutions
1.
Article SSC.30 also applies to benefits falling within this Chapter, and reimbursement shall be made on the basis of actual costs.
2.
The States, or their competent authorities, may provide for other methods of reimbursement or waive all reimbursement between the institutions under their jurisdiction.
CHAPTER 3
DEATH GRANTS
Article SSC.37
Right to grants where death occurs in, or where the person entitled resides in, a State other than the competent one
1.
When an insured person or a member of their family dies in a State other than the competent State, the death shall be deemed to have occurred in the competent State.
2.
The competent institution shall be obliged to provide death grants payable under the legislation it applies, even if the person entitled resides in a State other than the competent State.
3.
Paragraphs 1 and 2 shall also apply when the death is the result of an accident at work or an occupational disease.
Article SSC.38
Provision of benefits in the event of the death of a pensioner
1.
In the event of the death of a pensioner who was entitled to a pension under the legislation of one State, or to pensions under the legislations of two or more States, when that pensioner was residing in a State other than that of the institution responsible for the cost of benefits in kind provided under Articles SSC.22 and SSC.23, the death grants payable under the legislation administered by that institution shall be provided at its own expense as though the pensioner had been residing at the time of their death in the State in which that institution is situated.
2.
Paragraph 1 applies 
mutatis mutandis
 to the members of the family of a pensioner.
CHAPTER 4
INVALIDITY BENEFITS
Article SSC.39
Calculation of invalidity benefits
Without prejudice to Article SSC.7, where, under the legislation of the State competent under Title II of this Protocol, the amount of invalidity benefits is dependent on the duration of the periods of insurance, employment, self-employment or residence, the competent State is not required to take into account any such periods completed under the legislation of another State for the purposes of calculating the amount of invalidity benefit payable.
Article SSC.40
Special provisions on aggregation of periods
The competent institution of a State whose legislation makes the acquisition, retention or recovery of the right to benefits conditional upon the completion of periods of insurance or residence shall, where necessary, apply Article SSC.46 
mutatis mutandis
.
Article SSC.41
Aggravation of invalidity
In the case of aggravation of an invalidity for which a person is receiving benefits under the legislation of a State in accordance with this Protocol, the benefit shall continue to be provided in accordance with this Chapter, taking the aggravation into account.
Article SSC.42
Conversion of invalidity benefits into old-age benefits
1.
Where provided for in the legislation of the State paying invalidity benefit in accordance with this Protocol, invalidity benefits shall be converted into old-age benefits under the conditions laid down by the legislation under which they are provided and in accordance with Chapter 5 of Title III.
2.
Where a person receiving invalidity benefits can establish a claim to old-age benefits under the legislation of one or more other States, in accordance with Article SSC.45, any institution which is responsible for providing invalidity benefits under the legislation of a State shall continue to provide such a person with the invalidity benefits to which he or she is entitled under the legislation it applies until paragraph 1 becomes applicable in respect of that institution, or otherwise for as long as the person concerned satisfies the conditions for such benefits.
Article SSC.43
Special provisions for civil servants
Articles SSC.7, SSC.39, SSC.41, SSC.42 and Article SSC.55(2) and (3) apply 
mutatis mutandis
 to persons covered by a special scheme for civil servants.
CHAPTER 5
OLD-AGE AND SURVIVORS' PENSIONS
Article SSC.44
Taking into account child-raising periods
1.
Where, under the legislation of the State which is competent under Title II, no child-raising period is taken into account, the institution of the State whose legislation, according to Title II, was applicable to the person concerned on the grounds that he or she was pursuing an activity as an employed or self-employed person at the date when, under that legislation, the child-raising period started to be taken into account for the child concerned, shall remain responsible for taking into account that period as a child-raising period under its own legislation, as if such child-raising took place in its own territory.
2.
Paragraph 1 shall not apply if the person concerned is, or becomes, subject to the legislation of another State due to the pursuit of an employed or self-employed activity.
Article SSC.45
General provisions
1.
All the competent institutions shall determine entitlement to benefit, under all the legislations of the States to which the person concerned has been subject, when a request for award has been submitted, unless the person concerned expressly requests deferment of the award of old age benefits under the legislation of one or more States.
2.
If at a given moment the person concerned does not satisfy, or no longer satisfies, the conditions laid down by all the legislations of the States to which that person has been subject, the institutions applying legislation the conditions of which have been satisfied shall not take into account, when performing the calculation in accordance with point (a) or (b) of Article SSC.47(1), the periods completed under the legislations the conditions of which have not been satisfied, or are no longer satisfied, where this gives rise to a lower amount of benefit.
3.
Paragraph 2 shall apply 
mutatis mutandis
 when the person concerned has expressly requested deferment of the award of old-age benefits.
4.
A new calculation shall be performed automatically as and when the conditions to be fulfilled under the other legislations are satisfied or when a person requests the award of an old-age benefit deferred in accordance with paragraph 1, unless the periods completed under the other legislations have already been taken into account by virtue of paragraph 2 or 3.
Article SSC.46
Special provisions on aggregation of periods
1.
Where the legislation of a State makes the granting of certain benefits conditional upon the periods of insurance having been completed only in a specific activity as an employed or self-employed person or in an occupation which is subject to a special scheme for employed or self-employed persons, the competent institution of that State shall take into account periods completed under the legislation of other States only if completed under a corresponding scheme or, failing that, in the same occupation, or where appropriate, in the same activity as an employed or self-employed person.
If, account having been taken of the periods thus completed, the person concerned does not satisfy the conditions for receipt of the benefits of a special scheme, these periods shall be taken into account for the purposes of providing the benefits of the general scheme or, failing that, of the scheme applicable to manual or clerical workers, as the case may be, provided that the person concerned had been affiliated to one or other of those schemes.
2.
The periods of insurance completed under a special scheme of a State shall be taken into account for the purposes of providing the benefits of the general scheme or, failing that, of the scheme applicable to manual or clerical workers, as the case may be, of another State, provided that the person concerned had been affiliated to one or other of those schemes, even if those periods have already been taken into account in the latter State under a special scheme.
3.
Where the legislation or specific scheme of a State makes the acquisition, retention or recovery of the right to benefits conditional upon the person concerned being insured at the time of the materialisation of the risk, this condition shall be regarded as having been satisfied if that person has been previously insured under the legislation or specific scheme of that State and is, at the time of the materialisation of the risk, insured under the legislation of another State for the same risk or, failing that, if a benefit is due under the legislation of another State for the same risk. The latter condition shall, however, be deemed to be fulfilled in the cases referred to in Article SSC.52.
Article SSC.47
Award of benefits
1.
The competent institution shall calculate the amount of the benefit that would be due:
(a)
under the legislation it applies, only where the conditions for entitlement to benefits have been satisfied exclusively under national law (independent benefit);
(b)
by calculating a theoretical amount and subsequently an actual amount (pro rata benefit), as follows:
(i)
the theoretical amount of the benefit is equal to the benefit which the person concerned could claim if all the periods of insurance and/or of residence which have been completed under the legislations of the other States had been completed under the legislation it applies on the date of the award of the benefit. If, under this legislation, the amount does not depend on the duration of the periods completed, that amount shall be regarded as being the theoretical amount;
(ii)
the competent institution shall then establish the actual amount of the pro rata benefit by applying to the theoretical amount the ratio between the duration of the periods completed before materialisation of the risk under the legislation it applies and the total duration of the periods completed before materialisation of the risk under the legislations of all the States concerned.
2.
Where appropriate, the competent institution shall apply, to the amount calculated in accordance with points (a) and (b) of paragraph 1, all the rules relating to reduction, suspension or withdrawal, under the legislation it applies, within the limits provided for by Articles SSC.48, SSC.49 and SSC.50.
3.
The person concerned shall be entitled to receive from the competent institution of each State the higher of the amounts calculated in accordance with points (a) and (b) of paragraph 1.
4.
Where the calculation pursuant to point (a) of paragraph 1 in one State invariably results in the independent benefit being equal to or higher than the pro rata benefit, calculated in accordance with point (b) of paragraph 1, the competent institution shall waive the pro rata calculation, provided that:
(a)
such a situation is set out in Part 1 of Annex SSC-4;
(b)
no legislation containing rules against overlapping, as referred to in Articles SSC.49 and SSC.50, is applicable unless the conditions laid down in Article SSC.50(2) are fulfilled; and
(c)
Article SSC.52 is not applicable in relation to periods completed under the legislation of another State in the specific circumstances of the case.
5.
Notwithstanding paragraphs 1, 2 and 3, the pro rata calculation shall not apply to schemes providing benefits in respect of which periods of time are of no relevance to the calculation, subject to such schemes being listed in Part 2 of Annex SSC-4. In such cases, the person concerned shall be entitled to the benefit calculated in accordance with the legislation of the State concerned.
Article SSC.48
Rules to prevent overlapping
1.
Any overlapping of old-age and survivors' benefits calculated or provided on the basis of periods of insurance or residence completed by the same person shall be considered to be overlapping of benefits of the same kind.
2.
Overlapping of benefits which cannot be considered to be of the same kind within the meaning of paragraph 1 shall be considered to be overlapping of benefits of a different kind.
3.
The following provisions shall be applicable for the purposes of rules to prevent overlapping laid down by the legislation of a State in the case of overlapping of a benefit in respect of old age or survivors with a benefit of the same kind or a benefit of a different kind or with other income:
(a)
the competent institution shall take into account the benefits or incomes acquired in another State only where the legislation it applies provides for benefits or income acquired abroad to be taken into account;
(b)
the competent institution shall take into account the amount of benefits to be paid by another State before deduction of tax, social security contributions and other individual levies or deductions, unless the legislation it applies provides for the application of rules to prevent overlapping after such deductions, under the conditions and the procedures laid down in Annex SSC-7;
(c)
the competent institution shall not take into account the amount of benefits acquired under the legislation of another State on the basis of voluntary insurance or continued optional insurance;
(d)
if a single State applies rules to prevent overlapping because the person concerned receives benefits of the same or of a different kind under the legislation of other States or income acquired in other States, the benefit due may be reduced solely by the amount of such benefits or such income.
Article SSC.49
Overlapping of benefits of the same kind
1.
Where benefits of the same kind due under the legislation of two or more States overlap, the rules to prevent overlapping laid down by the legislation of a State shall not be applicable to a pro rata benefit.
2.
The rules to prevent overlapping shall apply to an independent benefit only if the benefit concerned is:
(a)
a benefit the amount of which does not depend on the duration of periods of insurance or residence; or
(b)
a benefit the amount of which is determined on the basis of a credited period deemed to have been completed between the date on which the risk materialised and a later date, overlapping with:
(i)
a benefit of the same type, except where an agreement has been concluded between two or more States to avoid the same credited period being taken into account more than once; or
(ii)
a benefit referred to in point (a).
The benefits and agreements referred to in points (a) and (b) are listed in Annex SSC-5.
Article SSC.50
Overlapping of benefits of a different kind
1.
If the receipt of benefits of a different kind or other income requires the application of the rules to prevent overlapping provided for by the legislation of the States concerned regarding:
(a)
two or more independent benefits, the competent institutions shall divide the amounts of the benefit or benefits or other income, as they have been taken into account, by the number of benefits subject to the said rules;
however, the application of this point cannot deprive the person concerned of their status as a pensioner for the purposes of the other chapters of this Title under the conditions and the procedures laid down in Annex SSC-7;
(b)
one or more pro rata benefits, the competent institutions shall take into account the benefit or benefits or other income and all the elements stipulated for applying the rules to prevent overlapping as a function of the ratio between the periods of insurance and/or residence established for the calculation referred to in point (b)(ii) of Article SSC.47(1);
(c)
one or more independent benefits and one or more pro-rata benefits, the competent institutions shall apply 
mutatis mutandis
 point (a) as regards independent benefits and point (b) as regards pro rata benefits.
2.
The competent institution shall not apply the division stipulated in respect of independent benefits, if the legislation it applies provides for account to be taken of benefits of a different kind or other income and all other elements for calculating part of their amount determined as a function of the ratio between periods of insurance and/or residence referred to in point (b)(ii) of Article SSC.47(1).
3.
Paragraphs 1 and 2 shall apply 
mutatis mutandis
 where the legislation of one or more States provides that a right to a benefit cannot be acquired in the case where the person concerned is in receipt of a benefit of a different kind, payable under the legislation of another State, or of other income.
Article SSC.51
Additional provisions for the calculation of benefits
1.
For the calculation of the theoretical and pro rata amounts referred to in point (b) of Article SSC.47(1), the following rules apply:
(a)
where the total length of the periods of insurance and/or residence completed before the risk materialised under the legislations of all the States concerned is longer than the maximum period required by the legislation of one of these States for receipt of full benefit, the competent institution of that State shall take into account this maximum period instead of the total length of the periods completed; this method of calculation shall not result in the imposition on that institution of the cost of a benefit greater than the full benefit provided for by the legislation it applies. This provision shall not apply to benefits the amount of which does not depend on the length of insurance;
(b)
the procedure for taking into account overlapping periods is laid down in Annex SSC-7;
(c)
if the legislation of a State provides that the benefits are to be calculated on the basis of incomes, contributions, bases of contributions, increases, earnings, other amounts or a combination of more than one of them (average, proportional, fixed or credited), the competent institution shall:
(i)
determine the basis for calculation of the benefits in accordance only with periods of insurance completed under the legislation it applies;
(ii)
use, in order to determine the amount to be calculated in accordance with the periods of insurance and/or residence completed under the legislation of the other States, the same elements determined or recorded for the periods of insurance completed under the legislation it applies;
where necessary in accordance with the procedures laid down in Annex SSC-6 for the State concerned;
(d)
in the event that point (c) is not applicable because the legislation of a State provides for the benefit to be calculated on the basis of elements other than periods of insurance or residence which are not linked to time, the competent institution shall take into account, in respect of each period of insurance or residence completed under the legislation of any other State, the amount of the capital accrued, the capital which is considered as having been accrued or any other element for the calculation under the legislation it administers divided by the corresponding units of periods in the pension scheme concerned.
2.
The provisions of the legislation of a State concerning the revalorisation of the elements taken into account for the calculation of benefits shall apply, as appropriate, to the elements to be taken into account by the competent institution of that State, in accordance with paragraph 1, in respect of the periods of insurance or residence completed under the legislation of other States.
Article SSC.52
Periods of insurance or residence of less than one year
1.
Notwithstanding point (b) of Article SSC.47(1), the institution of a State shall not be required to provide benefits in respect of periods completed under the legislation it applies which are taken into account when the risk materialises, if:
(a)
the duration of the said periods is less than one year; and
(b)
taking only these periods into account no right to benefit is acquired under that legislation.
For the purposes of this Article, "periods" shall mean all periods of insurance, employment, self-employment or residence which either qualify for, or directly increase, the benefit concerned.
2.
The competent institution of each of the States concerned shall take into account the periods referred to in paragraph 1, for the purposes of point (b)(i) of Article SSC.47(1).
3.
If the effect of applying paragraph 1 would be to relieve all the institutions of the States concerned of their obligations, benefits shall be provided exclusively under the legislation of the last of those States whose conditions are satisfied, as if all the periods of insurance and residence completed and taken into account in accordance with Article SSC.7 and Article SSC.46(1) and (2) had been completed under the legislation of that State.
4.
This Article does not apply to schemes listed in Part 2 of Annex SSC-4.
Article SSC.53
Award of a supplement
1.
A recipient of benefits to whom this Chapter applies may not, in the State of residence and under whose legislation a benefit is payable to them, be provided with a benefit which is less than the minimum benefit fixed by that legislation for a period of insurance or residence equal to all the periods taken into account for the payment in accordance with this Chapter.
2.
The competent institution of that State shall pay them throughout the period of their residence in its territory a supplement equal to the difference between the total of the benefits due under this Chapter and the amount of the minimum benefit.
Article SSC.54
Recalculation and revaluation of benefits
1.
If the method for determining benefits or the rules for calculating benefits are altered under the legislation of a State, or if the personal situation of the person concerned undergoes a relevant change which, under that legislation, would lead to an adjustment of the amount of the benefit, a recalculation shall be carried out in accordance with Article SSC.47.
2.
On the other hand, if, by reason of an increase in the cost of living or changes in the level of income or other grounds for adjustment, the benefits of the State concerned are altered by a percentage or fixed amount, such percentage or fixed amount shall be applied directly to the benefits determined in accordance with Article SSC.47, without the need for a recalculation.
Article SSC.55
Special provisions for civil servants
1.
Articles SSC.7 and SSC.45, Article SSC.46(3) and Articles SSC.47 to SSC.54 apply 
mutatis mutandis
 to persons covered by a special scheme for civil servants.
2.
However, if the legislation of a competent State makes the acquisition, liquidation, retention or recovery of the right to benefits under a special scheme for civil servants subject to the condition that all periods of insurance be completed under one or more special schemes for civil servants in that State, or be regarded by the legislation of that State as equivalent to such periods, the competent institution of that State shall take into account only the periods which can be recognised under the legislation it applies.
If, account having been taken of the periods thus completed, the person concerned does not satisfy the conditions for the receipt of these benefits, these periods shall be taken into account for the award of benefits under the general scheme or, failing that, the scheme applicable to manual or clerical workers, as the case may be.
3.
Where, under the legislation of a State, benefits under a special scheme for civil servants are calculated on the basis of the last salary or salaries received during a reference period, the competent institution of that State shall take into account, for the purposes of the calculation, only those salaries, duly revalued, which were received during the period or periods for which the person concerned was subject to that legislation.
CHAPTER 6
UNEMPLOYMENT BENEFITS
Article SSC.56
Special provisions on aggregation of periods of insurance, employment or self-employment
1.
The competent institution of a State whose legislation makes the acquisition, retention, recovery or duration of the right to benefits conditional upon the completion of either periods of insurance, employment or self-employment shall, to the extent necessary, take into account periods of insurance, employment or self-employment completed under the legislation of any other State as though they were completed under the legislation it applies.
However, when the applicable legislation makes the right to benefits conditional on the completion of periods of insurance, the periods of employment or self-employment completed under the legislation of another State shall not be taken into account unless such periods would have been considered to be periods of insurance had they been completed in accordance with the applicable legislation.
2.
The application of paragraph 1 of this Article shall be conditional on the person concerned having the most recently completed, in accordance with the legislation under which the benefits are claimed:
(a)
periods of insurance, if that legislation requires periods of insurance;
(b)
periods of employment, if that legislation requires periods of employment; or
(c)
periods of self-employment, if that legislation requires periods of self-employment.
Article SSC.57
Calculation of unemployment benefits
1.
Where the calculation of unemployment benefits is based on the amount of the previous salary or professional income of the person concerned, the competent State shall take into account the salary or professional income received by the person concerned based exclusively on their last activity as an employed or self-employed person under the legislation of the competent State.
2.
Where the legislation applied by the competent State provides for a specific reference period for the determination of the salary or professional income used to calculate the amount of benefit, and the person concerned was subject to the legislation of another State for all or part of that reference period, the competent State shall only take into account the salary or professional income received during their last activity as an employed or self-employed person under that legislation.
CHAPTER 7
PRE-RETIREMENT BENEFITS
Article SSC.58
Benefits
When the applicable legislation makes the right to pre-retirement benefits conditional on the completion of periods of insurance, of employment or of self-employment, Article SSC.7 shall not apply.
TITLE IV
MISCELLANEOUS PROVISIONS
Article SSC.59
Cooperation
1.
The competent authorities of the States shall notify the Specialised Committee on Social Security Coordination of any changes to their legislation as regards the branches of social security covered by Article SSC.3 which are relevant to or may affect the implementation of this Protocol.
2.
Unless this Protocol requires such information to be notified to the Specialised Committee on Social Security Coordination, the competent authorities of the States shall communicate to each other measures taken to implement this Protocol that are not notified under paragraph 1 and that are relevant for the implementation of this Protocol.
3.
For the purposes of this Protocol, the authorities and institutions of the States shall lend one another their good offices and act as though implementing their own legislation. The administrative assistance given by those authorities and institutions shall, as a rule, be free of charge. However, the Specialised Committee on Social Security Coordination shall establish the nature of reimbursable expenses and the limits above which their reimbursement is due.
4.
The authorities and institutions of the States may, for the purposes of this Protocol, communicate directly with one another and with the persons involved or their representatives.
5.
The institutions and persons covered by this Protocol shall have a duty of mutual information and cooperation to ensure the correct implementation of this Protocol.
The institutions, in accordance with the principle of good administration, shall respond to all queries within a reasonable period of time and shall in this connection provide the persons concerned with any information required for exercising the rights conferred on them by this Protocol.
The persons concerned must inform the institutions of the competent State and of the State of residence as soon as possible of any change in their personal or family situation which affects their right to benefits under this Protocol.
6.
Failure to respect the obligation of information referred to in the third subparagraph of paragraph 5 may result in the application of proportionate measures in accordance with national law. Nevertheless, these measures shall be equivalent to those applicable to similar situations under domestic law and shall not make it impossible or excessively difficult in practice for claimants to exercise the rights conferred on them by this Protocol.
7.
In the event of difficulties in the interpretation or application of this Protocol which could jeopardise the rights of a person covered by it, the institution of the competent State or of the State of residence of the person concerned, shall contact the institution(s) of the State(s) concerned. If a solution cannot be found within a reasonable period, a Party may request to hold consultations in the framework of the Specialised Committee on Social Security Coordination.
8.
The authorities, institutions and tribunals of one State may not reject applications or other documents submitted to them on the grounds that they are written in an official language of the Union, including in English.
Article SSC.60
Data processing
1.
The States shall progressively use new technologies for the exchange, access and processing of the data required to apply this Protocol.
2.
Each State shall be responsible for managing its own part of the data-processing services.
3.
An electronic document sent or issued by an institution in conformity with this Protocol and Annex SSC-7 may not be rejected by any authority or institution of another State on the grounds that it was received by electronic means, once the receiving institution has declared that it can receive electronic documents. Reproduction and recording of such documents shall be presumed to be a correct and accurate reproduction of the original document or representation of the information it relates to, unless there is proof to the contrary.
4.
An electronic document shall be considered valid if the computer system on which the document is recorded contains the safeguards necessary in order to prevent any alteration, disclosure or unauthorised access to the recording. It shall at any time be possible to reproduce the recorded information in an immediately readable form.
Article SSC.61
Exemptions
1.
Any exemption from or reduction of taxes, stamp duty, notarial or registration fees provided for under the legislation of one State in respect of certificates or documents required to be produced in application of the legislation of that State shall be extended to similar certificates or documents required to be produced in application of the legislation of another State or of this Protocol.
2.
All statements, documents and certificates of any kind whatsoever required to be produced in application of this Protocol shall be exempt from authentication by diplomatic or consular authorities.
Article SSC.62
Claims, declarations or appeals
Any claim, declaration or appeal which should have been submitted, in application of the legislation of one State, within a specified period to an authority, institution or tribunal of that State shall be admissible if it is submitted within the same period to a corresponding authority, institution or tribunal of another State. In such a case, the authority, institution or tribunal receiving the claim, declaration or appeal shall forward it without delay to the competent authority, institution or tribunal of the former State either directly or through the competent authorities of the States concerned. The date on which such claims, declarations or appeals were submitted to the authority, institution or tribunal of the second State shall be considered as the date of their submission to the competent authority, institution or tribunal.
Article SSC.63
Medical examinations
1.
Medical examinations provided for by the legislation of one State may be carried out, at the request of the competent institution, in the territory of another State, by the institution of the place of stay or residence of the person entitled to benefits, under the conditions laid down in Annex SSC-7 or agreed between the competent authorities of the States concerned.
2.
Medical examinations carried out under the conditions laid down in paragraph 1 shall be considered as having been carried out in the territory of the competent State.
Article SSC.64
Collection of contributions and recovery of benefits
1.
Collection of contributions due to an institution of one State and recovery of benefits provided by the institution of one State but not due, may be effected in another State in accordance with the procedures and with the guarantees and privileges applicable to the collection of contributions due to the corresponding institution of the latter and the recovery of benefits provided by it but not due.
2.
Enforceable decisions of the judicial and administrative authorities relating to the collection of contributions, interest and any other charges or to the recovery of benefits provided but not due under the legislation of one State shall be recognised and enforced at the request of the competent institution in another State within the limits and in accordance with the procedures laid down by the legislation and any other procedures applicable to similar decisions of the latter. Such decisions shall be declared enforceable in that State insofar as the legislation and any other procedures of that State so require.
3.
Claims of an institution of one State shall in enforcement, bankruptcy or settlement proceedings in another State enjoy the same privileges as the legislation that the latter accords to claims of the same kind.
4.
The procedure for implementing this Article, including costs reimbursement, shall be governed by Annex SSC-7 or, where necessary and as a complementary measure, by means of agreements between the States.
Article SSC.65
Rights of institutions
1.
If a person receives benefits under the legislation of a State in respect of an injury resulting from events occurring in another State, any rights of the institution responsible for providing benefits against a third party liable to provide compensation for the injury shall be governed by the following rules:
(a)
where the institution responsible for providing benefits is, under the legislation it applies, subrogated to the rights which the beneficiary has against the third party, such subrogation shall be recognised by each State;
(b)
where the institution responsible for providing benefits has a direct right against the third party, each State shall recognise such rights.
2.
If a person receives benefits under the legislation of one State in respect of an injury resulting from events occurring in another State, the provisions of the said legislation which determine the cases in which the civil liability of employers or of their employees is to be excluded shall apply with regard to the said person or to the competent institution.
Paragraph 1 shall also apply to any rights of the institution responsible for providing benefits against employers or their employees in cases where their liability is not excluded.
3.
Where, in accordance with Article SSC.30(3) or SSC.36(2), two or more States or their competent authorities have concluded an agreement to waive reimbursement between institutions under their jurisdiction, or, where reimbursement does not depend on the amount of benefits actually provided, any rights arising against a liable third party shall be governed by the following rules:
(a)
where the institution of the State of residence or stay grants benefits to a person in respect of an injury sustained in its territory, that institution, in accordance with the provisions of the legislation it applies, shall exercise the right to subrogation or direct action against the third party liable to provide compensation for the injury;
(b)
for the application of point (a):
(i)
the person receiving benefits shall be deemed to be insured with the institution of the place of residence or stay, and
(ii)
that institution shall be deemed to be the institution responsible for providing benefits;
(c)
paragraphs 1 and 2 shall remain applicable in respect of any benefits not covered by the waiver agreement or a reimbursement which does not depend on the amount of benefits actually provided.
Article SSC.66
Implementation of legislation
Special provisions for implementing the legislation of a certain State are referred to in Annex SSC-6 to the Protocol.
TITLE V
FINAL PROVISIONS
Article SSC.67
Protection of individual rights
1.
The Parties shall ensure in accordance with their domestic legal orders that the provisions of the Protocol on Social Security Coordination have the force of law, either directly or through domestic legislation giving effect to those provisions, so that legal or natural persons can invoke those provisions before domestic courts, tribunals and administrative authorities.
2.
The Parties shall ensure the means for legal and natural persons to effectively protect their rights under this Protocol, such as the possibility to address complaints to administrative bodies or to bring legal action before a competent court or tribunal in an appropriate judicial procedure, in order to seek an adequate and timely remedy.
Article SSC.68
Amendments
The Specialised Committee on Social Security Coordination may amend the Annexes and Appendices to this Protocol.
Article SSC.69
Termination of this Protocol
Without prejudice to Article 779 of this Agreement, each Party may at any moment terminate this Protocol, by written notification through diplomatic channels. In that event, this Protocol shall cease to be in force on the first day of the ninth month following the date of notification.
Article SSC.70
Sunset clause
1.
This Protocol shall cease to apply fifteen years after the entry into force of this Agreement.
2.
Not less than 12 months before this Protocol ceases to apply in accordance with paragraph 1, either Party shall notify the other Party of its wish to enter into negotiations with a view to concluding an updated Protocol.
Article SSC.71
Post-termination arrangements
When this Protocol ceases to apply pursuant to Article SSC.69, Article SSC.70 or Article 779 of this Agreement, the rights of insured persons regarding entitlements which are based on periods completed or facts or events that occurred before this Protocol ceases to apply shall be retained. The Partnership Council may lay down additional arrangements setting out appropriate consequential and transitional arrangements in good time before this Protocol ceases to apply.
ANNEX SSC-1
CERTAIN BENEFITS IN CASH TO WHICH THIS PROTOCOL SHALL NOT APPLY
PART 1
SPECIAL NON-CONTRIBUTORY CASH BENEFITS (Point (a) of Article SSC.3(4) of this Protocol)
(i)   UNITED KINGDOM
(a)
State Pension Credit (State Pension Credit Act 2002 and State Pension Credit Act (Northern Ireland) 2002);
(b)
Income-based allowances for jobseekers (Jobseekers Act 1995 and Jobseekers (Northern Ireland) Order 1995);
(c)
Disability Living Allowance, mobility component (Social Security Contributions and Benefits Act 1992 and Social Security Contributions and Benefits (Northern Ireland) Act 1992);
(d)
Personal Independence Payment, mobility component (Welfare Reform Act 2012 (Part 4) and Welfare Reform (Northern Ireland) Order 2015 (Part 5));
(e)
Employment and Support Allowance Income-related (Welfare Reform Act 2007 and Welfare Reform Act (Northern Ireland) 2007);
(f)
Best Start Foods payment (Welfare Foods (Best Start Foods) (Scotland) Regulations 2019 (SSI 2019/193));
(g)
Best Start Grants (pregnancy and baby grant, early learning grant, school-age grant) (The Early Years Assistance (Best Start Grants) (Scotland) Regulations 2018 (SSI 2018/370));
(h)
Funeral Support Payment (Funeral Expense Assistance (Scotland) Regulations 2019 (SSI 2019/292)).
(ii)   MEMBER STATES
AUSTRIA
Compensatory supplement (Federal Act of 9 September 1955 on General Social Insurance — ASVG, Federal Act of 11 October 1978 on Social insurance for persons engaged in trade and commerce — GSVG and Federal Act of 11 October 1978 on Social insurance for farmers — BSVG).
BELGIUM
(a)
Income replacement allowance (Law of 27 February 1987);
(b)
Guaranteed income for elderly persons (Law of 22 March 2001).
BULGARIA
Social Pension for old age (Article 89 of the Social Insurance Code).
CYPRUS
(a)
Social Pension (Social Pension Law of 1995 (Law 25(I)/95), as amended);
(b)
Severe motor disability allowance (Council of Ministers' Decisions Nos 38210 of 16 October 1992, 41370 of 1 August 1994, 46183 of 11 June 1997 and 53675 of 16 May 2001);
(c)
Special grant to blind persons (Special Grants Law of 1996 (Law 77(I)/96), as amended).
CZECH REPUBLIC
Social allowance (State Social Support Act No 117/1995 Sb.).
DENMARK
Accommodation expenses for pensioners (Law on individual accommodation assistance, consolidated by Law No 204 of 29 March 1995).
ESTONIA
(a)
Disabled adult allowance (Social Benefits for Disabled Persons Act of 27 January 1999);
(b)
State unemployment allowance (Labour Market Services and Support Act of 29 September 2005).
FINLAND
(a)
Housing allowance for pensioners (Act concerning the Housing Allowance for pensioners, 571/2007);
(b)
Labour market support (Act on Unemployment Benefits 1290/2002);
(c)
Special assistance for immigrants (Act on Special Assistance for Immigrants, 1192/2002).
FRANCE
(a)
Supplementary allowances of:
(i)
the Special Invalidity Fund; and
(ii)
the Old Age Solidarity Fund in respect of acquired rights
(Law of 30 June 1956, codified in Book VIII of the Social Security Code);
(b)
Disabled adults' allowance (Law of 30 June 1975, codified in Book VIII of the Social Security Code);
(c)
Special allowance (Law of 10 July 1952, codified in Book VIII of the Social Security Code) in respect of acquired rights;
(d)
Old-age solidarity allowance (ordinance of 24 June 2004, codified in Book VIII of the Social Security Code) as of 1 January 2006.
GERMANY
(a)
Basic subsistence income for the elderly and for persons with reduced earning capacity under Chapter 4 of Book XII of the Social Code;
(b)
Benefits to cover subsistence costs under the basic provision for jobseekers unless, with respect to these benefits, the eligibility requirements for a temporary supplement following receipt of unemployment benefit (Article 24(1) of Book II of the Social Code) are fulfilled.
GREECE
Special benefits for the elderly (Law 1296/82).
HUNGARY
(a)
Invalidity annuity (Decree No 83/1987 (XII 27) of the Council of Ministers on Invalidity Annuity);
(b)
Non-contributory old age allowance (Act III of 1993 on Social Administration and Social Benefits);
(c)
Transport allowance (Government Decree No 164/1995 (XII 27) on Transport Allowances for Persons with Severe Physical Handicap).
IRELAND
(a)
Jobseekers' allowance (Social Welfare Consolidation Act 2005, Part 3, Chapter 2);
(b)
State pension (non-contributory) (Social Welfare Consolidation Act 2005, Part 3, Chapter 4);
(c)
Widow's (non-contributory) pension and widower's (non-contributory) pension (Social Welfare Consolidation Act 2005, Part 3, Chapter 6);
(d)
Disability allowance (Social Welfare Consolidation Act 2005, Part 3, Chapter 10);
(e)
Mobility allowance (Health Act 1970, Section 61);
(f)
Blind pension (Social Welfare Consolidation Act 2005, Part 3, Chapter 5).
ITALY
(a)
Social pensions for persons without means (Law No 153 of 30 April 1969);
(b)
Pensions and allowances for the civilian disabled or invalids (Laws No 118 of 30 March 1971, No 18 of 11 February 1980 and No 508 of 21 November 1988);
(c)
Pensions and allowances for the deaf and dumb (Laws No 381 of 26 May 1970 and No 508 of 21 November 1988);
(d)
Pensions and allowances for the civilian blind (Laws No 382 of 27 May 1970 and No 508 of 21 November 1988);
(e)
Benefits supplementing the minimum pensions (Laws No 218 of 4 April 1952, No 638 of 11 November 1983 and No 407 of 29 December 1990);
(f)
Benefits supplementing disability allowances (Law No 222 of 12 June 1984);
(g)
Social allowance (Law No 335 of 8 August 1995);
(h)
Social increase (Article 1(1) and (12) of Law No 544 of 29 December 1988 and successive amendments).
LATVIA
(a)
State Social Security Benefit (Law on State Social Benefits of 1 January 2003);
(b)
Allowance for the compensation of transportation expenses for disabled persons with restricted mobility (Law on State Social Benefits of 1 January 2003).
LITHUANIA
(a)
Social assistance pension (Law of 2005 on State Social Assistance Benefits, Article 5);
(b)
Relief compensation (Law of 2005 on State Social Assistance Benefits, Article 15);
(c)
Transport compensation for the disabled who have mobility problems (Law of 2000 on Transport Compensation, Article 7).
LUXEMBOURG
Income for the seriously disabled (Article 1(2), Law of 12 September 2003), with the exception of persons recognised as being disabled workers and employed on the mainstream labour market or in a sheltered environment.
MALTA
(a)
Supplementary allowance (Section 73 of the Social Security Act (Cap. 318) 1987);
(b)
Age pension (Social Security Act (Cap. 318) 1987).
NETHERLANDS
(a)
Work and Employment Support for Disabled Young Persons Act of 24 April 1997 (Wet Wajong).
(b)
Supplementary Benefits Act of 6 November 1986 (TW).
POLAND
Social pension (Act of 27 June 2003 on social pensions).
PORTUGAL
(a)
Non-contributory State old-age and invalidity pension (Decree-Law No 464/80 of 13 October 1980);
(b)
Non-contributory widowhood pension (Regulatory Decree No 52/81 of 11 November 1981);
(c)
Solidarity supplement for the elderly (Decree – Law No 232/2005 of 29 December 2005, amended by Decree – Law No 236/2006 of 11 December 2006).
SLOVAKIA
(a)
Adjustment awarded before 1 January 2004 to pensions constituting the sole source of income;
(b)
Social pension which has been awarded before 1 January 2004.
SLOVENIA
(a)
State pension (Pension and Disability Insurance Act of 23 December 1999);
(b)
Income support for pensioners (Pension and Disability Insurance Act of 23 December 1999);
(c)
Maintenance allowance (Pension and Disability Insurance Act of 23 December 1999).
SPAIN
(a)
Minimum income guarantee (Law No 13/82 of 7 April 1982);
(b)
Cash benefits to assist the elderly and invalids unable to work (Royal Decree No 2620/81 of 24 July 1981):
(i)
Non-contributory invalidity and retirement pensions as provided for in Chapter II of Title VI of the Consolidated Text of the General Law on Social Security, approved by Royal Legislative Decree No 8/2015 of 30 October 2015; and
(ii)
the benefits which supplement the above pensions, as provided for in the legislation of the Comunidades Autonómas, where such supplements guarantee a minimum subsistence income having regard to the economic and social situation in the Comunidades Autonómas concerned;
(c)
Allowances to promote mobility and to compensate for transport costs (Law No 13/1982 of 7 April 1982).
SWEDEN
(a)
Housing supplements for persons receiving a pension (Law 2001:761);
(b)
Financial support for the elderly (Law 2001:853).
PART 2
LONG-TERM CARE BENEFITS (Point (d) of Article SSC.3(4) of this Protocol)
(i)   UNITED KINGDOM
(a)
Attendance Allowance (Social Security Contributions and Benefits Act 1992, Social Security (Attendance Allowance) Regulations 1991, Social Security Contributions and Benefits (Northern Ireland) Act 1992 and Social Security (Attendance Allowance) Regulations (Northern Ireland) 1992);
(b)
Carer's Allowance (Social Security Contributions and Benefits Act 1992, The Social Security (Invalid Care Allowance) Regulations 1976, Social Security Contributions and Benefits (Northern Ireland) Act 1992) and The Social Security (Invalid Care Allowance) Regulations 1976 (Northern Ireland);
(c)
Disability Living Allowance, care component (Social Security Contributions and Benefits Act 1992, Social Security (Disability Living Allowance) Regulations 1991, Social Security Contributions and Benefits (Northern Ireland) Act 1992 and Social Security (Disability Living Allowance) Regulations (Northern Ireland) 1992);
(d)
Personal Independence Payment, daily living component (Welfare Reform Act 2012 (Part 4), Social Security (Personal Independence Payment) Regulations 2013, The Personal Independence Payment (Transitional Provisions) Regulations 2013, Personal Independence Payment (Transitional Provisions) (Amendment) Regulations 2019, Welfare Reform (Northern Ireland) Order 2015 (Part 5), The Personal Independence Payment Regulations (Northern Ireland) 2016, The Personal Independence Payment (Transitional Provisions) Regulations (Northern Ireland) 2016 and Personal Independence Payment (Transitional Provisions) (Amendment) Regulations (Northern Ireland) 2019;
(e)
Carer's Allowance Supplement (The Social Security (Scotland) Act 2018);
(f)
Young Carer's Grant (The Carer's Assistance (Young Carer Grants) (Scotland) Regulations 2020 (as amended)).
(ii)   MEMBER STATES
AUSTRIA
(a)
Federal Long-term care allowance Act (Bundespflegegeldgesetz, BPGG), original version BGBl. no. 110/1993, last amendment BGBl- I no. 100/2016
(b)
Regulation on the staging of the Federal long-term care allowance (Einstufungsverordnung zum Bundespflegegeldgesetz (EinstV)):
(c)
Regulation of the Federal minister for Labour, Social affairs and Consumer protection on needs assessments of care for children and young people in accordance with the Federal Nursing Care Act. (Bundespflegegeldgesetz, Kinder-EinstV)
(d)
Numerous applicable statutory bases, e.g. Agreement between the Federal Government and the Länder on joint measures for persons in need of care. Social Assistance Acts and Disability Acts of the Länder.
(e)
Care Fund Law (Pflegefondsgesetz, PFG), Original version: Official Journal (BGBI. I) No. 57/2011.
(f)
Care Services Statistics Ordinance 2012 (Pflegedienstleistungsstatistik-Verordnung 2012)
(g)
Support for the 24-hour care: Federal Long-term care allowance Act (Bundespflegegeldgesetz, BPGG):
(h)
Guidelines for the support of the 24-hour care (§ 21b of the Federal Long-term care allowance Act (Bundespflegegeldgesetz))
(i)
Guidelines for granting benefits to support caring family members (§ 21a of the Federal Long-term care allowance Act (Bundespflegegeldgesetz))
(j)
Care recourse interdiction
(k)
Federal Act on a specific supplement due to the abolition of access to funds when housing people in inpatient care facilities
(l)
Federal Act on a specific supplement due to the abolition of access to funds when housing people in inpatient care facilities for 2019 and 2020, BGBl. I No 95/2019.
BELGIUM
(a)
Health Care and Sickness Benefit Compulsory Insurance Act (Loi relative à l'assurance obligatoire soins de santé et indemnités/Wet betreffende de verplichte verzekering voor geneeskundige verzorging en uitkeringen), coordinated on 14 July 1994
(b)
Act of 27 February 1987 on allowances for persons with disabilities (Loi relative aux allocations aux personnes handicapées/Wet betreffende de tegemoetkomingen aan gehandicapten).
(c)
Flemish social protection (Vlaamse sociale bescherming): Decree of the Flemish Parliament of 18 May 2018 on the organisation of Flemish social protection (Decreet houdende Vlaamse sociale bescherming/) and Orders of the Flemish government of 30 November 2018.
(d)
Walloon Code for Social Action and Health (Code wallon de l'Action sociale et de la Santé), decretal part. Part 1, book IIIter, instituted by Decree of 8 November 2018
(e)
Walloon Regulatory Code for Social Action and Health, part I/1 instituted by Walloon Government Decree of 21 December 2018
(f)
Decree of 13 December 2018 on offers to elderly or dependent persons as well as on palliative care (Dekret über die Angebote für Senioren und Personen mit Unterstützungsbedarf sowie über die Palliativpflege)
(g)
Decree of 4 June 2007 on psychiatric nursing homes (Dekret über die psychiatrischen Pflegewohnheime)
(h)
Government Decree of 20 June 2017 on mobility aids (Erlass über die Mobilitätshilfen)
(i)
Decree of 13 December 2016 on the establishment of a German Community Office for self-determined life (Dekret zur Schaffung einer Dienststelle der Deutschsprachigen Gemeinschaft für selbstbestimmtes Leben)
(j)
Royal Decree of 5 March 1990 on the allowance for assistance to the elderly (Arrêté royal du 5 mars 1990 relatif à l'allocation pour l'aide aux personnes âgées)
(k)
Government Decree of 19 December 2019 on transitional arrangements relating to the procedure for obtaining a prior authorization or an approval for the coverage or the sharing of costs of long-term rehabilitation abroad (Erlass der Regierung zur übergansweisen Regelung des Verfahrens zur Erlangung einer Vorabgeehmigung oder Zustimmung zwecks Kostenübernahme oder Kostenbeteiligung für eine Langzeitrehabilitation im Ausland).
(l)
Order of 21 December 2018 on Brussels health insurance bodies in the field of health care and assistance to people (Ordonnance du 21 décembre 2018 relative aux organismes assureurs bruxellois dans le domaine des soins de santé et de l'aide aux personnes)
(m)
Cooperation between federated entities:
(n)
Cooperation agreement of 31 December 2018 between the Flemish Community, the Walloon Region, the French Community Commission, the Joint Community Commission and the German-speaking Community concerning mobility aids
(o)
Cooperation agreement of 31 December 2018 between the Flemish Community, the Walloon Region, the French Community, the Joint Community Commission, the French Community Commission and the German-speaking Community concerning the financing of care when using care institutions located outside the limits of the federated entity.
BULGARIA
(a)
Social Insurance Code (Кодекс за социално осигуряване), 1999 title amended 2003.
(b)
Law on Social Assistance (Закон за социално подпомагане), 1998.
(c)
Regulation on the Implementation of the Law on Social Assistance (Правилник за прилагане на Закона за социално подпомагане), 1998.
(d)
Law on Integration of People with Disabilities 2019 (Закон за хората с увреждания), 2019.
(e)
Personal Assistance Act 2019 (Закон за личната помощ) 2019 which entered into force on 1 September 2019.
(f)
Regulation on the Implementation of the Law on Integration of People with Disabilities (Правилник за прилагане на Закона за интеграция на хората с увреждания), 2004.
(g)
Ordinance on the medical expertise (Наредба за медицинската експертиза) 2010.
(h)
Tariff of the Fees for Social Services Financed by the State Budget (Тарифа за таксите за социални услуги, финансирани от държавния бюджет), 2003.
CROATIA
(a)
Social Welfare Act (Zakon o socijalnoj skrbi) of 2013, OJ no. 157/13, 152/14, 99/15, 52/16, 16/17, 130/17 and 98/19)
(b)
Foster Families Act (Zakon o udomiteljstvu) OJ no. 90/11 and 78/12, as amended.
(c)
Ordinance on minimum requirements for delivery of social services (Pravilnik o minimalnim uvjetima za pružanje socijalnih usluga) of 2014, OJ no 40/14 and 66/15.
(d)
Ordinance on participation and method of payment of beneficiaries in the maintenance costs of accommodation outside the family (Pravilnik o sudjelovanju i načinu plaćanja korisnika I drugih obveznika uzdržavanja u troškovima smještaja izvan vlastite obitelji) of 1998, OJ no. 112/98 and 05/02, as amended.
(e)
Ordinance on the content and manner of keeping records of individuals who are professionally engaged in social services delivery as a profession (Pravilnik o sadržaju I načinu vođenja evidencije fizičkih osoba koje profesionalno pružaju socijalne usluge) of 2015, OJ no. 66/15.
CYPRUS
(a)
Social Welfare Services (Υπηρεσίες Κοινωνικής Ευημερίας):
(b)
The Guaranteed Minimum Income and in General the Social Benefits (Emergency Needs and Care Needs) Regulations and Decrees as they are amended or superseded. Homes for the Elderly and Disabled Persons Laws (Οι περί Στεγών για Ηλικιωμένους και Αναπήρους Νόμοι) of 1991 - 2011.[L. 222/91 and L. 65(I)/2011].
(c)
Adult Day-Care Centres Laws (Οι περί Κέντρων Ενηλίκων Νόμοι)(L. 38(Ι)/1997 and L.64(Ι)/2011).
(d)
State Aid Scheme, under the Regulation 360/2012 for the provision of services of general economic interest (De minimis) [Σχέδιο Κρατικών Ενισχύσεων ‘Ησσονος Σημασίας, βαση του Κανονισμού 360/2012 για την παροχή υπηρεσιών γενικού οικονομικού συμφέροντος].
(e)
Welfare Benefits Administration Service (Υπηρεσία Διαχείρισης Επιδομάτων Πρόνοιας):
(f)
The Guaranteed Minimum Income and generally for Welfare Benefits Law of 2014 as it is amended or superseded.
(g)
The Guaranteed Minimum Income and generally for Welfare Benefits Regulations and Decrees as they are amended or superseded.
CZECH REPUBLIC
(a)
Act. No. 108/2006 on social services (Zákon o sociálních službách).
(b)
Act No. 372/2011 on Health Services (Zákon o zdravotních službách).
(c)
Act No. 48/1997 on Public Health Insurance (Zákon o veřejném zdravotním pojištění).
DENMARK
(a)
Consolidated Act No 988 of 17 August 2017 on Social Services (om social service).
(b)
Consolidated Act No 119 of 1 February 2019 on Social Housing (om almene boliger).
ESTONIA
Social Welfare Act (Sotsiaalhoolekande seadus) 2016.
FINLAND
(a)
Services and Assistance for the Disabled Act (Laki vammaisuuden perusteella järjestettävistä palveluista ja tukitoimista) of 3 April 1987.
(b)
Act on Supporting the Functional Capacity of the Ageing Population and on Social and Health Care Services for Older People (Laki ikääntyneen väestön toimintakyvyn tukemisesta sekä iäkkäiden sosiaali- ja terveyspalveluista) of 28 December 2012.
(c)
Social Welfare Act (Sosiaalihuoltolaki) of 30 December 2014.
(d)
Health Care Act (Terveydenhuoltolaki) of 30 December 2010.
(e)
Primary Health Care Act (Kansanterveyslaki) of 28 January 1972.
(f)
Act on Informal Care Support (Laki omaishoidon tuesta) of 2 December 2005.
(g)
Family Care Act (Perhehoitolaki) of 20 March 2015.
FRANCE
(a)
Supplement for a third party (majoration pour tierce personne, MTP): Articles L. 341-4 and L. 355-1 of the Social Security Code (Code de la sécurité sociale).
(b)
Supplementary benefit for recourse to a third party (prestation complémentaire pour recours à tierce personne): Article L. 434-2 of the Social Security Code.
(c)
Special education supplement for a disabled child (complément d'allocation d'éducation de l'enfant handicapé): Article L. 541-1 of the Social Security Code.
(d)
Disability compensation allowance (prestation de compensation du handicap, PCH): Articles L. 245-1 to L. 245-14 of the Social action and Family Code (Code de l'action sociale et des familles).
(e)
Allowance for loss of autonomy (allocation personnalisée d'autonomie, APA): Articles L. 232-1 to L. 232-28 of the Social action and Family Code (Code de l'action sociale et des familles).
GERMANY
(a)
Long-term care insurance (Pflegeversicherung):
(b)
Social long-term care insurance for persons insured under statutory sickness insurance and private compulsory long-term care insurance for persons insured under private sickness insurance: Social CodeSozialgesetzbuch, Book XI (SGB XI), last amended by Article 2 of the Act of 21 December 2019 (BGBl. I p. 2913).
GREECE
(a)
Law No. 1140/1981, as amended.
(b)
Legislative Decree No. 162/73 and Joint Ministerial Decision No. Π4β/5814/1997.
(c)
Ministerial Decision No. Π1γ/ΑΓΠ/οικ.14963 of 9 October 2001.
(d)
Law No. 4025/2011.
(e)
Law No. 4109/2013.
(f)
Law No. 4199/2013 art. 127.
(g)
Law No. 4368/2016 art. 334.
(h)
Law No. 4483/2017 art. 153.
(i)
Law No. 498/1-11-2018, art. 28, 30 and 31, for the "Unified Health Benefits Regulation" of the National Service Provider Organization Health (EOPYY).
HUNGARY
(a)
Long-term care services providing personal social care (social services):
(b)
Act III of 1993 on Social Administration and Social Assistance (törvény a szociális igazgatásról és szociális ellátásokról) supplemented by Government and Ministerial decrees.
IRELAND
(a)
Health Act 1970 (No. 1 of 1970).
(b)
Nursing Homes Support Scheme Act 2009 (No. 15 of 2009).
(c)
Social Welfare Consolidation Act 2005:
(d)
Constant Attendance Allowance;
(e)
Carer's Benefit;
(f)
Carer's Allowance;
(g)
Carer's Support Grant;
(h)
Domiciliary Care Allowance.
ITALY
(a)
Law No. 118 of 30 March 1971 on civilian invalidity benefits (Legge 30 Marzo 1971, n. 118 - Conversione in Legge del D.L. 30 gennaio 1971, n. 5 e nuove norme in favore dei mutilati ed invalidi civili).
(b)
Law No. 18 of 11 February 1980 on Constant attendance allowance (Legge 11 Febbraio 1980, n. 18 - Indennità di accompagnamento agli invalidi civili totalmente inabili).
(c)
Law No. 104 of 5 February 1992, Article 33 (Framework law on disability) (Legge 5 Febbraio 1992, n. 104 - Legge-quadro per l'assistenza, l'integrazione sociale e i diritti delle persone handicappate).
(d)
Legislative Decree No. 112 of 31 March 1998 on the transfer of legislative tasks and administrative competences from the State to the Regions and local entities (Decreto Legislativo 31 Marzo 1998, n. 112 - Conferimento di funzioni e compiti amministrativi dello Stato alle regioni ed agli enti locali, in attuazione del capo I della Legge 15 Marzo 1997, n. 59).
(e)
Regulation (CE) 883/04 on social security coordination of the European Parliament and Council (Regolamento (CE) 883 del 29 aprile 2004 del Parlamento Europeo e del Consiglio, relativo al coordinamento dei sistemi di sicurezza sociale - SNCB – art 70 and Annex X).
(f)
Law No. 183 of 4 November 2010, Article 24, modifying the rules regarding the permits for the assistance to disabled persons in difficult situations (Legge n. 183 del 4 Novembre 2010, art. 24 - Modifiche alla disciplina in materia di permessi per l'assistenza a portatori di handicap in situazione di gravità).
(g)
Law No. 147 of 27 December 2013 containing provisions for drawing up the annual and pluri-annual budget of the State – Stability Law 2014 (Disposizioni per la formazione del bilancio annuale e pluriennale dello Stato - Legge di stabilità 2014).
LATVIA
(a)
Law on Social Services and Social Assistance (Sociālo pakalpojumu un sociālās palīdzības likums) 31/10/2002.
(b)
Medical Treatment Law (Ārstniecības likums) 12/06/1997.
(c)
Law on Patient Rights (Pacientu tiesību likums) 30/12/2009
(d)
Regulations of the Cabinet of Ministers No. 555 on Health care organisation and payment procedure (Ministru kabineta 2018. gada 28.augusta noteikumi Nr.555 “Veselības aprūpes pakalpojumu organizēšanas un samaksas kārtība”) 28/08/2018.
(e)
Regulations of the Cabinet of Ministers No. 275 on Procedures for Payment of Social Care and Social Rehabilitation Services and the Procedures for Covering Service Costs from a Local Government Budget (Ministru kabineta 2003.gada 27.maija noteikumi Nr.275 „Sociālās aprūpes un sociālās rehabilitācijas pakalpojumu samaksas kārtība un kārtība, kādā pakalpojuma izmaksas tiek segtas no pašvaldības budžeta”) 27/05/2003.
(f)
Regulations of the Cabinet of Ministers No. 138 on Receiving of Social Services and Social Assistance (Ministru kabineta 2019.gada 2.aprīļa noteikumi Nr 138 "Noteiku mi par sociālo pakalpojumu un sociālās palīdzības saņemšanu") 02/04/2019.
LITHUANIA
(a)
Law on Target compensations (Tikslinių kompensacijų įstatymas) of 29 June 2016 (No. XII-2507).
(b)
Law on Social Services (Socialinių paslaugų įstatymas) of 19 January 2006 (No. X-493).
(c)
Law on Health Insurance (Sveikatos draudimo įstatymas) of 21 May 1996 (No I-1343).
(d)
Law on Healthcare system (Sveikatos sistemos įstatymas) of 19 July 1994 (No I-552).
(e)
Law on Health Care Institutions (Sveikatos priežiūros įstaigų įstatymas) of 6 June 1996 (No. I-1367).
LUXEMBOURG
Law of 19 June 1998 introducing the dependency insurance, amended by the Law of 23 December 2005 and the Law of 29 August 2017.
MALTA
(a)
Social Security Act (Att dwar is-Sigurta' Socjali) (Cap. 318).
(b)
Subsidiary Legislation 318.19: State-Owned Institutions and Hostels Rates Regulations (Regolamenti dwar it-Trasferiment ta' Fondi għal Hostels Statali Indikati).
(c)
Subsidiary Legislation 318.17: Transfer of Funds (Government Financed Beds) Regulations (Regolamenti dwar it-Trasferiment ta' Fondi għal Sodod Iffinanzjati mill-Gvern).
(d)
Subsidiary Legislation 318.13: State Financed Residential Services Rates Regulations (Regolamenti dwar Rati għal Servizzi Residenzjali Finanzjali mill-Istat).
THE NETHERLANDS
Long term care act (Wet langdurige zorg (WLZ)), Law of 3 December 2014.
POLAND
(a)
Law on Health Care Services financed from Public Means (Ustawa o świadczeniach opieki zdrowotnej finansowanych ze środków publicznych) of 27 August 2004.
(b)
Law on Social Assistance (Ustawa o pomocy społecznej) of 12 March 2004.
(c)
Law on Family Benefits (Ustawa o świadczeniach rodzinnych) of 28 November 2003.
(d)
Law on Social Pension (Ustawa o rencie socjalnej) of 27 June 2003.
(e)
Law on Social Insurance Fund Pensions (Ustawa o emeryturach i rentach z Funduszu Ubezpieczeń Społecznych) of 17 December 1998.
(f)
Law on Vocational and Social Rehabilitation and Employment of Disabled Persons (Ustawa o rehabilitacji zawodowej i społecznej oraz zatrudnianiu osób niepełnosprawnych) of 27 August 1997.
(g)
Law on support for pregnant women and their families "For life" (Ustawa o wsparciu kobiet w ciąży i rodzin “Za życiem”) of 4 November 2016.
(h)
Law on supplementary benefit for persons unable to live independently (Ustawa o świadczeniu uzupełniającym dla osób niezdolnych do samodzielnej egzystencji) of 31 July 2019.
PORTUGAL
(a)
Social insurance and guaranteeing sufficient resources:
(b)
Statutory Decree 265/99 of 14 July 1999 on the long-term care supplement (complemento por dependência), as amended on several occasions.
(c)
Act 90/2009 of 31 August 2009 on the special protection system in case of disability (regime especial de proteção na invalidez), re-published in consolidated version by Statutory Decree 246/2015 of 20 October 2015, amended.
(d)
Social security system and National Health Service:
(e)
Statutory Decree 101/06 of 6 June 2006 on the National network of integrated continuing care (rede de cuidados continuados integrados), re-published in a consolidated version in Statutory Decree 136/2015 of 28 July 2015.
(f)
Decree-Law n° 8/2010 of 28 January 2010, amended and republished by Decree-Law n° 22/2011 of 10 February 2011 on the creation of units and teams for integrated continuous care in mental health (unidades e equipas de cuidados continuados integrados de saúde mental).
(g)
Decree n° 343/.2015 of 12 October 2015 on standards governing hospital and ambulatory paediatric care as well as the discharge management teams and the paediatric care teams within the framework of the national network of long-term integrated care (condições de instalação e funcionamento das unidades de internamento de cuidados integrados pediátricos e de ambulatório pediátricas, bem como as condições a que devem obedecer as equipas de gestão de altas e as equipas de cuidados continuados integrados destinadas a cuidados pediátricos da Rede Nacional de Cuidados Continuados Integrados).
(h)
Law n° 6/2009 of 6 September on the status of informal carer (Estatuto do cuidador informal).
ROMANIA
(a)
Law 17 of 6 March 2000 on Social Assistance of Senior Persons (Legea privind asistența socială a persoanelor vârstnice), with subsequent amendments.
(b)
Law 448 of 6 December 2006 on Protection and Promotion of the Rights of Persons with Disability (Legea privind protecția și promovarea drepturilor persoanelor cu handicap), with subsequent amendments.
(c)
Social Assistance Law (Legea asistenței sociale) No. 292 of 20 December 2011.
SLOVAKIA
(a)
Law on Social Services (Zákon o sociálnych službách) No. 448/2008.
(b)
Law on Financial Benefits for Compensation of Disabled Persons (Zákon o peňažných príspevkoch na kompenzáciu ťažkého zdravotného postihnutia) No. 447/2008.
(c)
Law on Health Care and Services Related to Health Care (Zákon o zdravotnej starostlivosti a službách súvisiacich s poskytovaním zdravotnej starostlivosti) No. 576/2004.
(d)
Law on Health Care Providers, Medical Workers and Professional Medical Associations (Zákon o poskytovateľoch zdravotnej starostlivosti, zdravotníckych pracovníkoch a stavovských organizáciách v zdravotníctve) No. 578/2004.
(e)
Law on Subsistence Minimum (Zákon o životnom minime) No. 601/2003.
(f)
Law on Family (Zákon o rodine) No. 36/2005
(g)
Law on Social and legal protection of children and social guardianship (Zákon o sociálno-právnej ochrane detí a sociálnej kuratele) No. 305/2005
(h)
Law on Social Work (Zákon o sociálnej práci) No. 219/2014.
SLOVENIA
No specific law related to long-term care.
Long-term care benefits are included in the following acts:
(a)
Pension and Disability Insurance Act (Zakon o pokojninskem in invalidskem zavarovanju) (Official Gazette of the Republic of Slovenia, no. 96/2012, and subsequent amendments).
(b)
Financial Social Assistance Act (Zakon o socialno vartsvenih prejemkih) (Official Gazette of the Republic of Slovenia, no. 61/2010, and subsequent amendments).
(c)
Exercise of Rights to Public Funds Act (Zakon o uveljavljanju pravic iz javnih sredstev) (Official Gazette of the Republic of Slovenia, no. 62/2010, and subsequent amendments).
(d)
Social Protection Act (Zakon o socialnem varstvu) (Official Gazette of the Republic of Slovenia, no. 3/2004 – official consolidated text, and subsequent amendments).
(e)
Parental Care and Family Benefits Act (Zakon o starševskem varstvu in družinskih prejemkih) (Official Gazette of the Republic of Slovenia, no. 110/2006 – official consolidated text, and subsequent amendments).
(f)
Mentally and Physically Handicapped Persons Act (Zakon o družbenem varstvu duševno in telesno prizadetih oseb) (Official Gazette of the Republic of Slovenia, no. 41/83, and subsequent amendments).
(g)
Health Care and Health Insurance Act (Zakon o zdravstvenem varstvu in zdravstvenem zavarovanju) (Official Gazette of the Republic of Slovenia, no. 72/2006 – official consolidated text, and subsequent amendments).
(h)
War Veterans Act (Zakon o vojnih veteranih) (Official Gazette of the Republic of Slovenia, no 59/06 official consolidated text, and subsequent amendments)
(i)
War Disability Act (Zakon o vojnih invalidih) (Official Gazette of the Republic of Slovenia, no 63/59 official consolidated text, and subsequent amendments)
(j)
Fiscal Balance Act (Zakon za uravnoteženje javnih finance (ZUJF)) (Official Gazette of the Republic of Slovenia, no. 40/2012, and subsequent amendments).
(k)
Act Regulating Adjustments of Transfers to Individuals and Households in the Republic of Slovenia (Zakon o usklajevanju transferjev posameznikom in gospodinjstvom v Republiki Sloveniji) (Official Gazette of the Republic of Slovenia, no. 114/2006 – official consolidated text, and subsequent amendments).
SPAIN
(a)
Law No. 39/2006 on the Promotion of Personal Autonomy and Assistance to persons in situations of dependence of 14 December 2006, as amended.
(b)
Ministerial Order of 15 April 1969.
(c)
Royal Decree No. 1300/95 of 21 July 1995, as amended.
(d)
Royal Decree No. 1647/97 of 31 October 1997, as amended.
SWEDEN
(a)
Social Services Act (Socialtjänstlagen (2001:453)) of 2001.
(b)
The Health Care Act (Hälso- och sjukvårdslag (2017:30)) of 2017.
PART 3
PAYMENTS WHICH ARE CONNECTED TO A BRANCH OF SOCIAL SECURITY LISTED IN ARTICLE SSC.3(1) OF THIS PROTOCOL AND WHICH ARE PAID TO MEET EXPENSES FOR HEATING IN COLD WEATHER (Point (f) of Article SSC.3(4) of this Protocol)
(i)   UNITED KINGDOM
Winter Fuel Payment (Social Security Contributions and Benefits Act 1992, Social Fund Winter Fuel Payment Regulations 2000, Social Security Contributions and Benefits (Northern Ireland) Act 1992 and Social Fund Winter Fuel Payment Regulations (Northern Ireland) 2000).
(ii)   MEMBER STATES
DENMARK
(a)
Act on Social and state pensions, LBK no. 983 of 23/09/2019
(b)
Regulations on social and state pensions, BEK no. 1602 of 27/12/2019.
ANNEX SSC-2
RESTRICTION OF RIGHTS TO BENEFITS IN KIND FOR MEMBERS OF THE FAMILY OF A FRONTIER WORKER
(referred to in Article SSC.16(2) of this Protocol)
CROATIA
DENMARK
IRELAND
FINLAND
SWEDEN
UNITED KINGDOM
ANNEX SSC-3
MORE RIGHTS FOR PENSIONERS RETURNING TO THE COMPETENT STATE
(Article SSC.25(2) of this Protocol)
AUSTRIA
BELGIUM
BULGARIA
CYPRUS
CZECH REPUBLIC
FRANCE
GERMANY
GREECE
HUNGARY
LUXEMBOURG
THE NETHERLANDS
POLAND
SLOVENIA
SPAIN
SWEDEN
ANNEX SSC-4
CASES IN WHICH THE PRO RATA CALCULATION SHALL BE WAIVED OR SHALL NOT APPLY
(Article SSC.47(4) and (5) of this Protocol)
PART 1
CASES IN WHICH THE PRO RATA CALCULATION SHALL BE WAIVED PURSUANT TO ARTICLE SSC.47(4)
AUSTRIA
(a)
All applications for benefits under the Federal Act of 9 September 1955 on General Social Insurance – ASVG, the Federal Act of 11 October 1978 on social insurance for self-employed persons engaged in trade and commerce – GSVG, the Federal Act of 11 October 1978 on social insurance for self-employed farmers – BSVG and the Federal Act of 30 November 1978 on social insurance for the self-employed in the liberal professions (FSVG);
(b)
All applications for survivors' pensions based on a pension account pursuant to the General Pensions Act (APG) of 18 November 2004, with the exception of cases under Part 2;
(c)
All applications for survivors' pensions of the Austrian Provincial Chambers of Physicians (Landesärztekammer) based on basic provision (basic and any supplementary benefit, or basic pension);
(d)
All applications for survivors' support from the pension fund of the Austrian Chamber of Veterinary Surgeons;
(e)
All applications for benefits from widows and orphans pensions according to the statutes of the welfare institutions of the Austrian bar associations, Part A;
(f)
All applications for benefits under the Notary Insurance Act of 3 February 1972 – NVG 1972.
CYPRUS
All applications for old age, widow's and widower's pensions.
DENMARK
All applications for pensions referred to in the law on social pensions, except for pensions mentioned in Annex SSC-5 to this Protocol.
IRELAND
All applications for state pension (transition), state pension (contributory), widow's (contributory) pension and widower's (contributory) pension.
LATVIA
All applications for survivor's pensions (Law on State pensions of 1 January 1996; Law on State funded pensions of 1 July 2001).
LITHUANIA
All applications for State social insurance survivor's pensions calculated on the basis of the basic amount of survivor's pension (Law on State Social Insurance Pensions).
NETHERLANDS
All applications for old-age pensions under the law on general old-age insurance (AOW).
POLAND
All applications for old-age under the defined benefits scheme and survivors' pensions, except for the cases where the totalised periods of insurance completed under the legislation of more than one country are equal to or longer than 20 years for women and 25 years for men but the national periods of insurance are inferior to these limits (and not less than 15 years for women and 20 years for men), and the calculation is made under Articles 27 and 28 of the Act of 17 December 1998 (O.J. 2015, item 748).
PORTUGAL
All applications for old-age and survivors' pension claims, except for the cases where the totalised periods of insurance completed under the legislation of more than one country are equal to or longer than 21 calendar years but the national periods of insurance are equal or inferior to 20 years, and the calculation is made under Articles 32 and 33 of Decree-Law No 187/2007 of 10 May 2007.
SLOVAKIA
(a)
All applications for survivors' pension (widow's pension, widower's and orphan's pension) calculated according to the legislation in force before 1 January 2004, the amount of which is derived from a pension formerly paid to the deceased;
(b)
All applications for pensions calculated pursuant to Act No 461/2003 Coll. on social security as amended.
SWEDEN
(a)
Applications for an old-age pension in the form of a guaranteed pension (Chapters 66 and 67 of the Social Insurance Code).
(b)
Applications for an old-age pension in the form of a supplementary pension (Chapter 63 of the Social Insurance Code).
UNITED KINGDOM
All applications for retirement pension, state pension pursuant to Part 1 of the Pensions Act 2014, widows' and bereavement benefits, with the exception of those for which during a tax year beginning on or after 6 April 1975:
(i)
the party concerned had completed periods of insurance, employment or residence under the legislation of the United Kingdom and a Member State; and one (or more) of the tax years was not considered a qualifying year within the meaning of the legislation of the United Kingdom;
(ii)
the periods of insurance completed under the legislation in force in the United Kingdom for the periods prior to 5 July 1948 would be taken into account for the purposes of point (b) of Article SSC.47(1) of this Protocol by application of the periods of insurance, employment or residence under the legislation of a Member State.
All applications for additional pension pursuant to the Social Security Contributions and Benefits Act 1992, section 44, and the Social Security Contributions and Benefits (Northern Ireland) Act 1992, section 44.
PART 2
CASES IN WHICH ARTICLE SSC.47(5) APPLIES
AUSTRIA
(a)
Old-age pensions and survivor's pensions derived thereof based on a pension account pursuant to the General Pensions Act (APG) of 18 November 2004;
(b)
Compulsory allowances under Article 41 of the Federal Law of 28 December 2001, BGBl I Nr. 154 on the general salary fund of Austrian pharmacists (Pharmazeutische Gehaltskasse für Österreich);
(c)
Retirement and early retirement pensions of the Austrian Provincial Chambers of Physicians based on basic provision (basic and any supplementary benefit, or basic pension), and all pension benefits of the Austrian Provincial Chambers of Physicians based on additional provision (additional or individual pension);
(d)
Old-age support from the pension fund of the Austrian Chamber of Veterinary Surgeons;
(e)
Benefits according to the statutes of the welfare institutions of the Austrian bar associations, Parts A and B, with the exception of applications for benefits from widows' and orphans' pensions according to the statutes of the welfare institutions of the Austrian bar associations, Part A;
(f)
Benefits by the welfare institutions of the Federal Chamber of Architects and Consulting Engineers under the Austrian Civil Engineers' Chamber Act (Ziviltechnikerkammergesetz) 1993 and the statutes of the welfare institutions, with the exception of benefits on grounds of survivors' benefits deriving from the last-named benefits;
(g)
Benefits according to the statute of the welfare institution of the Federal Chamber of Professional Accountants and Tax Advisors under the Austrian Professional Accountants and Tax Advisors' Act (Wirtschaftstreuhandberufsgesetz).
BULGARIA
Old age pensions from the Supplementary Compulsory Pension Insurance, under Part II, Title II, of the Social Insurance Code.
CROATIA
Pensions from the compulsory insurance scheme based on the individual capitalised savings according to the Compulsory and Voluntary Pension Funds Act (OG 49/99, as amended) and the Act on Pension Insurance Companies and Payment of Pensions Based on Individual Capitalised Savings (OG 106/99, as amended), except in the cases provided by Articles 47 and 48 of the Compulsory and Voluntary Pension Funds Act and survivor's pension).
CZECH REPUBLIC
Pensions paid from the Second Pillar scheme established by Act No 426/2011 Coll., on pension savings.
DENMARK
(a)
Personal pensions;
(b)
Benefits in the event of death (accrued based on contributions to Arbejdsmarkedets Tillægspension related to the time before 1 January 2002);
(c)
Benefits in the event of death (accrued based on contributions to Arbejdsmarkedets Tillægspension related to the time after 1 January 2002) referred to in the Consolidated Act on Labour Market Supplementary Pension (Arbejdsmarkedets Tillægspension) 942:2009.
ESTONIA
Mandatory funded old-age pension scheme.
FRANCE
Basic or supplementary schemes in which old-age benefits are calculated on the basis of retirement points.
HUNGARY
Pension benefits based on membership of private pension funds.
LATVIA
Old-age pensions (Law on State pensions of 1 January 1996; Law on State funded pensions of 1 July 2001).
POLAND
Old-age pensions under the defined contribution scheme.
PORTUGAL
Supplementary pensions granted pursuant to Decree-Law No 26/2008 of 22 February 2008 (public capitalisation scheme).
SLOVAKIA
Mandatory old-age pension saving.
SLOVENIA
Pension from compulsory supplementary pension insurance.
SWEDEN
Old-age pension in the form of an income pension and a premium pension (Chapters 62 and 64 of the Social Insurance Code).
UNITED KINGDOM
Graduated retirement benefits paid pursuant to the National Insurance Act 1965, sections 36 and 37, and the National Insurance Act (Northern Ireland) 1966, sections 35 and 36.
ANNEX SSC-5
BENEFITS AND AGREEMENTS WHICH ALLOW THE APPLICATION OF ARTICLE SSC.49
I.   Benefits referred to in point (a) of Article SSC.49(2) of this Protocol, the amount of which is independent of the length of periods of insurance or residence completed
DENMARK
The full Danish national old-age pension acquired after 10 years' residence by persons who will have been awarded a pension by 1 October 1989
FINLAND
National pensions and spouse's pensions determined according to the transitional rules and awarded prior to 1 January 1994 (Act on Enforcement of the National Pensions Act, 569/2007)
The additional amount of child's pension when calculating independent benefit according to the National Pension Act (the National Pension Act, 568/2007)
FRANCE
Widower's or widow's invalidity pension under the general social security system or under the agricultural workers scheme where it is calculated on the basis of the deceased spouse's invalidity pension settled in accordance with point (a) of Article SSC.47(1).
GREECE
Benefits under Law No 4169/1961 relating to the agricultural insurance scheme (OGA)
NETHERLANDS
General Surviving Relatives Act of 21 December 1995 (ANW)
The Work and Income according to Labour Capacity Act of 10 November 2005 (WIA)
SPAIN
Survivors' pensions granted under the general and special schemes, with the exception of the Special Scheme for Civil Servants
SWEDEN
Income-related sickness compensation and income-related activity compensation (Chapter 34 of the Social Insurance Code)
Guaranteed pension and guaranteed compensation which replaced the full state pensions provided under the legislation on the state pension which applied before 1 January 1993, and the full state pension awarded under the transitional rules of the legislation applying from that date
II.   Benefits referred to in point (b) of Article SSC.49(2) of this Protocol, the amount of which is determined by reference to a credited period deemed to have been completed between the date on which the risk materialised and a later date
FINLAND
Employment pensions for which account is taken of future periods according to the national legislation
GERMANY
Survivors' pensions, for which account is taken of a supplementary period
Old-age pensions, for which account is taken of a supplementary period already acquired
ITALY
Italian pensions for total incapacity for work (inabilità)
LATVIA
Survivors' pension calculated on the basis of assumed insurance periods (Article 23(8) of the Law on State Pensions of 1 January 1996)
LITHUANIA
(a)
State social insurance work incapacity pensions, paid under the Law on State Social Insurance Pensions
(b)
State social insurance survivors' and orphans' pensions, calculated on the basis of the work incapacity pension of the deceased under the Law on State Social Insurance Pensions
LUXEMBOURG
Survivors' pensions
SLOVAKIA
Slovak survivors' pension derived from the invalidity pension.
SPAIN
The pensions for retirement under the Special Scheme for Civil Servants due under Title I of the consolidated text of the Law on State Pensioners if at the time of materialisation of the risk the beneficiary was an active civil servant or treated as such; death and survivors' (widows'/widowers', orphans' and parents') pensions due under Title I of the consolidated text of the Law on State Pensioners if at the time of death the civil servant was active or treated as such
SWEDEN
Sickness compensation and activity compensation in the form of guarantee compensation (Chapter 35 of the Social Insurance Code)
Survivors' pension calculated on the basis of credited insurance periods (Chapters 76-85 of the Social Insurance Code)
III.   Agreements referred to in point (b)(i) of Article SSC.49(2) of this Protocol intended to prevent the same credited period being taken into account two or more times:
The Social Security Agreement of 28 April 1997 between the Republic of Finland and the Federal Republic of Germany
The Social Security Agreement of 10 November 2000 between the Republic of Finland and the Grand Duchy of Luxembourg
Nordic Convention on social security of 18 August 2003.
ANNEX SSC-6
SPECIAL PROVISIONS FOR THE APPLICATION OF THE LEGISLATION OF THE MEMBER STATES AND OF THE UNITED KINGDOM
(Article SSC.3(2), Article SSC.51(1) and Article SSC.66)
AUSTRIA
1.
For the purpose of acquiring periods in the pension insurance, attendance at a school or comparable educational establishment in another State shall be regarded as equivalent to attendance at a school or educational establishment pursuant to Articles 227(1)(1) and 228(1)(3) of the Allgemeines Sozialversicherungsgesetz (ASVG) (General Social Security Act), Article 116(7) of the Gewerbliches Sozialversicherungsgesetz (GSVG) (Federal Act on Social Insurance for Persons engaged in Trade and Commerce) and Article 107(7) of the Bauern-Sozialversicherungsgesetz (BSVG) (Social Security Act for Farmers), when the person concerned was subject at some time to Austrian legislation on the grounds that he pursued an activity as an employed or self-employed person, and the special contributions provided for under Article 227(3) of the ASVG, Article 116(9) of the GSVG and Article 107(9) of the BSGV for the purchase of such periods of education, are paid.
2.
For the calculation of the pro rata benefit referred to in point (b) of Article SSC.47(1) of this Protocol, special increments for contributions for supplementary insurance and the miners' supplementary benefit under Austrian legislation shall be disregarded. In those cases the pro rata benefit calculated without those contributions shall, if appropriate, be increased by unreduced special increments for contributions for supplementary insurance and the miners' supplementary benefit.
3.
Where pursuant to Article SSC.7 of this Protocol substitute periods under an Austrian pension insurance scheme have been completed but cannot form a basis for calculation pursuant to Articles 238 and 239 of the ASVG, Articles 122 and 123 of the GSVG and Articles 113 and 114 of the BSVG, the calculation basis for periods of childcare pursuant to Article 239 of the ASVG, Article 123 of the GSVG and Article 114 of the BSVG shall be used.
BULGARIA
Article 33(1) of the Bulgarian Health Insurance Act applies to all persons for whom Bulgaria is the competent Member State under Chapter 1 of Title III of this Protocol.
CYPRUS
For the purpose of applying the provisions of Articles SSC.7, SSC.46 and SSC.56 of this Protocol, for any period commencing on or after 6 October 1980, a week of insurance under the legislation of the Republic of Cyprus is determined by dividing the total insurable earnings for the relevant period by the weekly amount of the basic insurable earnings applicable in the relevant contribution year, provided that the number of weeks so determined shall not exceed the number of calendar weeks in the relevant period.
CZECH REPUBLIC
For the purposes of defining members of the family in accordance with point (s) of Article SSC.1 of this Protocol, "spouse" includes registered partners as defined in the Czech act no. 115/2006 Coll., on registered partnership.
DENMARK
1.
(a)
For the purpose of calculating the pension under the "lov om social pension" (Social Pension Act), periods of activity as an employed or self-employed person completed under Danish legislation by a frontier worker or a worker who has gone to Denmark to do work of a seasonal nature are regarded as periods of residence completed in Denmark by the surviving spouse in so far as, during those periods, the surviving spouse was linked to the abovementioned worker by marriage without separation from bed and board or de facto separation on grounds of incompatibility, and provided that, during those periods, the spouse resided in the territory of another State. For the purposes of this point, "work of a seasonal nature" means work which, being dependent on the succession of the seasons, automatically recurs each year.
(b)
For the purpose of calculating the pension under the "lov om social pension" (Social Pension Act), periods of activity as an employed or self-employed person completed under Danish legislation before 1 January 1984 by a person to whom point (a) does not apply shall be regarded as periods of residence completed in Denmark by the surviving spouse, in so far as, during those periods, the surviving spouse was linked to that person by marriage without separation from bed and board or de facto separation on grounds of incompatibility, and provided that, during those periods, the spouse resided in the territory of another State.
(c)
Periods to be taken into account under points (a) and (b) shall not be taken into consideration if they coincide with the periods taken into account for the calculation of the pension due to the person concerned under the legislation on compulsory insurance of another State, or with the periods during which the person concerned received a pension under such legislation. Those periods shall, however, be taken into consideration if the annual amount of the said pension is less than half the basic amount of the social pension.
2.
(a)
Notwithstanding the provisions of Article SSC.7 of this Protocol, persons who have not been gainfully employed in one or more States are entitled to a Danish social pension only if they have been, or have previously been, permanent residents of Denmark for at least 3 years, subject to the age limits prescribed by Danish legislation. Subject to Article SSC.5 of this Protocol, Article SSC.8 of this Protocol does not apply to a Danish social pension to which entitlement has been acquired by such persons.
(b)
The provisions referred to in point (a) do not apply to Danish social pension entitlement for the members of the family of persons who are or have been gainfully employed in Denmark, or for students or the members of their families.
3.
The temporary benefit for unemployed persons who have been admitted to the ledighedsydelse (flexible job' scheme) (Law No 455 of 10 June 1997) is covered by Chapter 6 of Title III of this Protocol.
4.
Where the beneficiary of a Danish social pension is also entitled to a survivor's pension from another State, those pensions for the implementation of Danish legislation shall be regarded as benefits of the same kind within the meaning of Article SSC.48(1), subject to the condition, however, that the person whose periods of insurance or of residence serve as the basis for the calculation of the survivor's pension had also acquired a right to a Danish social pension.
ESTONIA
For the purpose of calculating parental benefits, periods of employment in States other than Estonia shall be considered to be based on the same average amount of Social Tax as paid during the periods of employment in Estonia with which they are aggregated. If during the reference year the person has been employed only in other States, the calculation of the benefit shall be considered to be based on the average Social Tax paid in Estonia between the reference year and the maternity leave.
FINLAND
1.
For the purposes of determining entitlement and of calculating the amount of the Finnish national pension under Articles SSC.47, SSC.48 and SSC.49 of this Protocol, pensions acquired under the legislation of another State are treated in the same way as pensions acquired under Finnish legislation.
2.
When applying point (b)(i) of Article SSC.47(1) of this Protocol for the purpose of calculating earnings for the credited period under Finnish legislation on earnings-related pensions, where an individual has pension insurance periods based on activity as an employed or self-employed person in another State for part of the reference period under Finnish legislation, the earnings for the credited period shall be equivalent to the sum of earnings obtained during the part of the reference period in Finland, divided by the number of months for which there were insurance periods in Finland during the reference period.
FRANCE
1.
For persons receiving benefits in kind in France pursuant to Article SSC.15 or SSC.24 of this Protocol who are resident in the French departments of Haut-Rhin, Bas-Rhin or Moselle, benefits in kind provided on behalf of the institution of another State which is responsible for bearing their cost include benefits provided by both the general sickness insurance scheme and the obligatory supplementary local sickness insurance scheme of Alsace-Moselle.
2.
French legislation applicable to a person engaged, or formerly engaged, in an activity as an employed or self-employed person for the application of Chapter 5 of Title III of this Protocol includes both the basic old-age insurance scheme(s) and the supplementary retirement scheme(s) to which the person concerned was subject.
GERMANY
1.
Notwithstanding point (a) of Article SSC.6 of this Protocol and point 1 of Article 5(4) of the Sozialgesetzbuch VI (Volume VI of the Social Code), a person who receives a full old-age pension under the legislation of another State may request to be compulsorily insured under the German pension insurance scheme.
2.
Notwithstanding point (a) of Article SSC.6 of this Protocol and Article 7 of the Sozialgesetzbuch VI (Volume VI of the Social Code), a person who is compulsorily insured in another State, or receives an old-age pension under the legislation of another State may join the voluntary insurance scheme in Germany.
3.
For the purpose of granting cash benefits under §47(1) of SGB V, §47(1) of SGB VII and §200(2) of the Reichsversicherungsordnung to insured persons who live in another State, German insurance schemes calculate net pay, which is used to assess benefits, as if the insured person lived in Germany, unless the insured person requests an assessment on the basis of the net pay which he actually receives.
4.
Nationals of other States whose place of residence or usual abode is outside Germany and who fulfil the general conditions of the German pension insurance scheme may pay voluntary contributions only if they had been voluntarily or compulsorily insured in the German pension insurance scheme at some time previously; this also applies to stateless persons and refugees whose place of residence or usual abode is in another State.
5.
The pauschale Anrechnungszeit (fixed credit period) pursuant to Article 253 of the Sozialgesetzbuch VI (Volume VI of the Social Code) shall be determined exclusively with reference to German periods.
6.
In cases where the German pension legislation, in force on 31 December 1991, is applicable for the recalculation of a pension, only the German legislation applies for the purposes of crediting German Ersatzzeiten (substitute periods).
7.
The German legislation on accidents at work and occupational diseases to be compensated for under the law governing foreign pensions and on benefits for insurance periods which can be credited under the law governing foreign pensions in the territories named in paragraph 1(2)(3) of the Act on affairs of displaced persons and refugees (Bundesvertriebenengesetz) continues to apply within the scope of application of this Protocol, notwithstanding the provisions of paragraph 2 of the Act on foreign pensions (Fremdrentengesetz).
8.
For the calculation of the theoretical amount referred to in point (b)(i) of Article SSC.47(1) of this Protocol, in pension schemes for liberal professions, the competent institution shall take as a basis, in respect of each of the years of insurance completed under the legislation of any other State, the average annual pension entitlement acquired during the period of membership of the competent institution through the payment of contributions.
GREECE
1.
Law No 1469/84 concerning voluntary affiliation to the pension insurance scheme for Greek nationals and foreign nationals of Greek origin is applicable to nationals of other States, stateless persons and refugees, where the persons concerned, regardless of their place of residence or stay, have at some time in the past been compulsorily or voluntarily affiliated to the Greek pension insurance scheme.
2
Notwithstanding point (a) of Article SSC.6 of this Protocol and Article 34 of Law 1140/1981, a person who receives a pension in respect of accidents at work or occupational diseases under the legislation of another State may request to be compulsorily insured under the legislation applied by OGA, to the extent that they pursue an activity falling within the scope of that legislation.
IRELAND
1.
Notwithstanding Article SSC.19(2) and Article SSC.57 of this Protocol, for the purposes of calculating the prescribed reckonable weekly earnings of an insured person for the grant of sickness or unemployment benefit under Irish legislation, an amount equal to the average weekly wage of employed persons in the relevant prescribed year shall be credited to that insured person in respect of each week of activity as an employed person under the legislation of another State during that prescribed year.
MALTA
Special provisions for civil servants
(a)
Solely for the purposes of the application of Articles SSC.43 and SSC.55 of this Protocol, persons employed under the Malta Armed Forces Act (Chapter 220 of the Laws of Malta), the Police Act (Chapter 164 of the Laws of Malta) and the Prisons Act (Chapter 260 of the Laws of Malta) shall be treated as civil servants.
(b)
Pensions payable under the above Acts and under the Pensions Ordinance (Chapter 93 of the Laws of Malta) shall, solely for the purposes of point (cc) of Article SSC.1 of this Protocol, be considered as "special schemes for civil servants".
NETHERLANDS
1.   Health care insurance
(a)
As regards entitlement to benefits in kind under Dutch legislation, persons entitled to benefits in kind for the purpose of the implementation of Chapters 1 and 2 of Title III of this Protocol shall mean:
(i)
persons who, under Article 2 of the Zorgverzekeringswet (Health Care Insurance Act), are obliged to take out insurance under a health care insurer; and
(ii)
in so far as they are not already included under point (i), members of the family of active military personnel who are living in another State and persons who are resident in another State and who, under this Protocol, are entitled to health care in their state of residence, the costs being borne by the Netherlands.
(b)
The persons referred to in point 1(a)(i) must, in accordance with the provisions of the Zorgverzekeringswet (Health Care Insurance Act), take out insurance with a health care insurer, and the persons referred to in point 1(a)(ii) must register with the College voor zorgverzekeringen (Health Care Insurance Board).
(c)
The provisions of the Zorgverzekeringswet (Health Care Insurance Act) and the Algemene Wet Bijzondere Ziektekosten (General Act on Exceptional Medical Expenses) concerning liability for the payment of contributions shall apply to the persons referred to in point (a) and the members of their families. In respect of members of the family, the contributions shall be levied on the person from whom the right to health care is derived with the exception of the members of the family of military personnel living in another State, who shall be levied directly.
(d)
The provisions of the Zorgverzekeringswet (Health Care Insurance Act) concerning late insurance shall apply 
mutatis mutandis
 in the event of late registration with the College voor zorgverzekeringen (Health Care Insurance Board) in respect of the persons referred to in point (a)(ii).
(e)
Persons entitled to benefits in kind by virtue of the legislation of a State other than the Netherlands who reside in the Netherlands or stay temporarily in the Netherlands shall be entitled to benefits in kind in accordance with the policy offered to insured persons in the Netherlands by the institution of the place of residence or the place of stay, taking into account Article 11(1), (2) and (3) and Article 19(1) of the Zorgverzekeringswet (Health Care Insurance Act), as well as to benefits in kind provided for by the Algemene Wet Bijzondere Ziektekosten (General Act on Exceptional Medical Expenses).
(f)
For the purposes of Articles SSC.21 to SSC.27 of this Protocol, the following benefits, in addition to pensions covered by Chapters 4 and 5 of Title III of this Protocol, shall be treated as pensions due under Dutch legislation:
—
pensions awarded under the Law of 6 January 1966 on pensions for civil servants and their survivors (Algemene burgerlijke pensioenwet) (Netherlands Civil Service Pensions Act),
—
pensions awarded under the Law of 6 October 1966 on pensions for military personnel and their survivors (Algemene militaire pensioenwet) (Military Pensions Act),
—
benefits for incapacity for work awarded under the Law of 7 June 1972 on benefits for incapacity for work for military personnel (Wetarbeidsongeschiktheidsvoorziening militairen) (Military Personnel Incapacity for Work Act),
—
pensions awarded under the Law of 15 February 1967 on pensions for employees of the NV Nederlandse Spoorwegen (Dutch Railway Company) and their survivors (Spoorwegpensioenwet) (Railway Pensions Act),
—
pensions awarded under the Reglement Dienstvoorwaarden Nederlandse Spoorwegen (governing conditions of employment of the Netherlands Railway Company),
—
benefits awarded to retired persons before reaching the pensionable age of 65 years under a pension designed to provide income for former employed persons in their old age, or benefits provided in the event of premature exit from the labour market under a scheme set up by the state or by an industrial agreement for persons aged 55 or over,
—
benefits awarded to military personnel and civil servants under a scheme applicable in the event of redundancy, superannuation and early retirement.
(g)
For the purposes of Article SSC.16(1) of this Protocol, the persons referred to in point (a)(ii) of this paragraph who stay temporarily in the Netherlands shall be entitled to benefits in kind in accordance with the policy offered to insured persons in the Netherlands by the institution of the place of stay, taking into account Article 11(1), (2) and (3) and Article 19(1) of the Zorgverzekeringswet (Health Care Insurance Act), as well as to benefits in kind provided for by the Algemene Wet Bijzondere Ziektekosten (General Act on Exceptional Medical Expenses).
2.   Application of the Algemene Ouderdomswet (AOW) (General Old Age Pensions Act)
(a)
The reduction referred to in Article 13(1) of the AOW (General Old Age Pensions Act) shall not be applied for calendar years before 1 January 1957 during which a recipient not satisfying the conditions for having such years treated as periods of insurance:
—
resided in the Netherlands between the ages of 15 and 65,
—
while residing in another State, worked in the Netherlands for an employer established in the Netherlands, or
—
worked in another State during periods regarded as periods of insurance under the Dutch social security system.
By way of derogation from Article 7 of the AOW, anyone who resided or worked in the Netherlands in accordance with the above conditions only prior to 1 January 1957 shall also be regarded as being entitled to a pension.
(b)
The reduction referred to in Article 13(1) of the AOW shall not apply to calendar years prior to 2 August 1989 during which a person, between the ages of 15 and 65, who is or was married was not insured under the above legislation, while being resident in the territory of a State other than the Netherlands, if these calendar years coincide with periods of insurance completed by the person's spouse under the above legislation or with calendar years to be taken into account under point 2(a), provided that the couple's marriage subsisted during that time.
By way of derogation from Article 7 of the AOW, such a person shall be regarded as being entitled to a pension.
(c)
The reduction referred to in Article 13(2) of the AOW shall not apply to calendar years before 1 January 1957 during which a pensioner's spouse who fails to satisfy the conditions for having such years treated as periods of insurance:
—
resided in the Netherlands between the ages of 15 and 65, or
—
while residing in another State, worked in the Netherlands for an employer established in the Netherlands, or
—
worked in another State during periods regarded as periods of insurance under the Netherlands social security system.
(d)
The reduction referred to in Article 13(2) of the AOW shall not apply to calendar years prior to 2 August 1989 during which a pensioner's spouse resident in a State other than the Netherlands, between the ages of 15 and 65, was not insured under the AOW, if those calendar years coincide with periods of insurance completed by the pensioner under that legislation or with calendar years to be taken into account under point 2(a), provided that the couple's marriage subsisted during that time.
(e)
Points 2(a), 2(b), 2(c) and 2(d) shall not apply to periods which coincide with:
—
periods which may be taken into account for calculating pension rights under the old-age insurance legislation of a State other than the Netherlands, or
—
periods for which the person concerned has drawn an old-age pension under such legislation.
Periods of voluntary insurance under the system of another State shall not be taken into account for the purposes of this point.
(f)
Points 2(a), 2(b), 2(c) and 2(d) shall apply only if the person concerned has resided in one or more States for 6 years after the age of 59 and only for such time as that person is resident in one of those States.
(g)
By way of derogation from Chapter IV of the AOW, anyone resident in a State other than the Netherlands whose spouse is covered by compulsory insurance under that legislation shall be authorised to take out voluntary insurance under that legislation for periods during which the spouse is compulsorily insured.
This authorisation shall not cease where the spouse's compulsory insurance is terminated as a result of their death and where the survivor receives only a pension under the Algemene nabestaandenwet (General Surviving Relatives Act).
In any event, the authorisation in respect of voluntary insurance ceases on the date on which the person reaches the age of 65.
The contribution to be paid for voluntary insurance shall be set in accordance with the provisions relating to the determination of the contribution for voluntary insurance under the AOW. However, if the voluntary insurance follows on from a period of insurance as referred to in point 2(b), the contribution shall be set in accordance with the provisions relating to the determination of the contribution for compulsory insurance under the AOW, with the income to be taken into account being deemed to have been received in the Netherlands.
(h)
The authorisation referred to in point 2(g) shall not be granted to anyone insured under another State's legislation on pensions or survivors' benefits.
(i)
Anyone wishing to take out voluntary insurance under point 2(g) shall be required to apply for it to the Social Insurance Bank (Sociale Verzekeringsbank) not later than 1 year after the date on which the conditions for participation are fulfilled.
3.   Application of the Algemene nabestaandenwet (ANW) (General Surviving Relatives Act)
(a)
Where the surviving spouse is entitled to a survivor's pension under the ANW (General Surviving Relatives Act) pursuant to Article SSC.46(3) of this Protocol, that pension shall be calculated in accordance with point (b) of Article SSC.47(1) of this Protocol.
For the application of these provisions, periods of insurance prior to 1 October 1959 shall also be regarded as periods of insurance completed under Dutch legislation if during those periods the insured person, after the age of 15:
—
resided in the Netherlands; or
—
while resident in another State, worked in the Netherlands for an employer established in the Netherlands; or
—
worked in another State during periods regarded as periods of insurance under the Dutch social security system.
(b)
Account shall not be taken of the periods to be taken into consideration under point 3(a) which coincide with periods of compulsory insurance completed under the legislation of another State in respect of survivor's pensions.
(c)
For the purposes of point (b) of Article SSC.47(1) of this Protocol, only periods of insurance completed under Dutch legislation after the age of 15 shall be taken into account as periods of insurance.
(d)
By way of derogation from Article 63a(1) of the ANW, a person resident in a State other than the Netherlands whose spouse is compulsorily insured under the ANW shall be authorised to take out voluntary insurance under the ANW provided that such insurance has already begun by the date of application of this Protocol, but only for periods during which the spouse is compulsorily insured.
That authorisation shall cease as from the date of termination of the spouse's compulsory insurance under the ANW, unless the spouse's compulsory insurance is terminated as a result of their death and where the survivor only receives a pension under the ANW.
In any event, the authorisation in respect of voluntary insurance ceases on the date on which the person reaches the age of 65.
The contribution to be paid for voluntary insurance shall be set in accordance with the provisions relating to the determination of contributions for voluntary insurance under the ANW. However, if the voluntary insurance follows on from a period of insurance as referred to in point 2(b), the contribution shall be set in accordance with the provisions relating to the determination of contributions for compulsory insurance under the ANW, with the income to be taken into account being deemed to have been received in the Netherlands.
4.   Application of Dutch legislation relating to incapacity for work
In calculating benefits under either the WAO, WIA or the WAZ, the Netherlands institutions shall take account of:
—
periods of paid employment, and periods treated as such, completed in the Netherlands before 1 July 1967,
—
periods of insurance completed under the WAO,
—
periods of insurance completed by the person concerned, after the age of 15, under the Algemene Arbeidsongeschiktheidswet (General Act on Incapacity for Work), in so far as they do not coincide with the periods of insurance completed under the WAO,
—
periods of insurance completed under the WAZ,
—
periods of insurance completed under the WIA.
SPAIN
1.
For the purpose of implementing point (1)(b) of Article SSC.47(1) of this Protocol, the years which the worker lacks to reach the pensionable or compulsory retirement age as stipulated under Article 31(4) of the consolidated version of the Ley de Clases Pasivas del Estado (Law on State Pensioners) shall be taken into account as actual years of service to the State only if at the time of the event in respect of which death pensions are due, the beneficiary was covered by Spain's special scheme for civil servants or was performing an activity assimilated under the scheme, or if, at the time of the event in respect of which the pensions are due, the beneficiary was performing an activity that would have required the person concerned to be included under the State's special scheme for civil servants, the armed forces or the judiciary, had the activity been performed in Spain.
2.
(a)
Under point (c) of Article SSC.51(1), the calculation of the theoretical Spanish benefit shall be carried out on the basis of the actual contributions of the person during the years immediately preceding payment of the last contribution to Spanish social security. Where, in the calculation of the basic amount for the pension, periods of insurance and/or residence under the legislation of other States have to be taken into account, the contribution basis in Spain which is closest in time to the reference periods shall be used for those periods, taking into account the development of the retail price index.
(b)
The amount of the pension obtained shall be increased by the amount of the increases and revaluations calculated for each subsequent year for pensions of the same nature.
3.
Periods completed in other States which must be calculated in the special scheme for civil servants, the armed forces and the judicial administration, will be treated in the same way, for the purposes of Article SSC.51 of this Protocol, as the periods closest in time covered as a civil servant in Spain.
4.
The additional amounts based on age referred to in the Second Transitional Provision of the General Law on Social Security shall be applicable to all beneficiaries under this Protocol who have contributions to their name under the Spanish legislation prior to 1 January 1967; it shall not be possible, by application of Article SSC.6 of this Protocol, to treat periods of insurance credited in another State prior to 1 January 1967 as being the same as contributions paid in Spain, solely for the purposes of this Protocol. The date corresponding to 1 January 1967 shall be 1 August 1970 for the Special Scheme for Seafarers and 1 April 1969 for the Special Social Security Scheme for Coal Mining.
SWEDEN
1.
The provisions of this Protocol on the aggregation of insurance periods and periods of residence shall not apply to the transitional provisions in the Swedish legislation on entitlement to guarantee pension for persons born in or before 1937 who have been resident in Sweden for a specified period before applying for a pension (Act 2000:798).
2.
For the purpose of calculating income for notional income-related sickness compensation and income-related activity compensation in accordance with Chapter 8 of the Lag (1962:381) om allmän försäkring (the National Insurance Act), the following shall apply:
(a)
where the insured person, during the reference period, has also been subject to the legislation of one or more other States on account of activity as an employed or self-employed person, income in the State(s) concerned shall be deemed to be equivalent to the insured person's average gross income in Sweden during the part of the reference period in Sweden, calculated by dividing the earnings in Sweden by the number of years over which those earnings accrued;
3.
(a)
For the purpose of calculating notional pension assets for income-based survivor's pension (Act 2000:461), if the requirement in Swedish legislation for pension entitlement in respect of at least three out of the 5 calendar years immediately preceding the insured person's death (reference period) is not met, account shall also be taken of insurance periods completed in other States as if they had been completed in Sweden. Insurance periods in other States shall be regarded as based on the average Swedish pension base. If the person concerned has only 1 year in Sweden with a pension base, each insurance period in another State shall be regarded as constituting the same amount.
(b)
For the purpose of calculating notional pension credits for widows' pensions relating to deaths on or after 1 January 2003, if the requirement in Swedish legislation for pension credits in respect of at least two out of the 4 years immediately preceding the insured person's death (reference period) is not met and insurance periods were completed in another State during the reference period, those years shall be regarded as being based on the same pension credits as the Swedish year.
UNITED KINGDOM
1.
Where, in accordance with United Kingdom legislation, a person may be entitled to a retirement pension if:
(a)
the contributions of a former spouse are taken into account as if they were that person's own contributions; or
(b)
the relevant contribution conditions are satisfied by that person's spouse or former spouse, then provided, in each case, that the spouse or former spouse is or had been exercising an activity as an employed or self-employed person, and had been subject to the legislation of two or more States, the provisions of Chapter 5 of Title III of this Protocol shall apply in order to determine entitlement under United Kingdom legislation. In that case, references in Articles SSC.44 to SSC.55 of this Protocol to "periods of insurance" shall be construed as references to periods of insurance completed by:
(i)
a spouse or former spouse where a claim is made by:
—
a married woman, or
—
a person whose marriage has terminated otherwise than by the death of the spouse; or
(ii)
a former spouse, where a claim is made by:
—
a widower who immediately before pensionable age is not entitled to a widowed parent's allowance, or
—
a widow who immediately before pensionable age is not entitled to a widowed mother's allowance, widowed parent's allowance or widow's pension, or who is only entitled to an age-related widow's pension calculated pursuant to point (b) of Article SSC.47(1) of this Protocol, and for this purpose ‘age related widow's pension’ means a widow's pension payable at a reduced rate in accordance with section 39(4) of the Social Security Contributions and Benefits Act 1992.
2.
For the purposes of Article SSC.8 of this Protocol in the case of old-age or survivors' cash benefits, pensions for accidents at work or occupational diseases and death grants, any beneficiary under United Kingdom legislation who is staying in the territory of another State shall, during that stay, be considered as if they resided in the territory of that other State.
3.
(1)
For the purpose of calculating an earnings factor in order to determine entitlement to benefits under United Kingdom legislation, for each week of activity as an employed person under the legislation of a Member State, and which commenced during the relevant income tax year within the meaning of United Kingdom legislation, the person concerned shall be deemed to have paid contributions as an employed earner, or have earnings on which contributions have been paid, on the basis of earnings equivalent to two-thirds of that year's upper earnings limit.
(2)
For the purposes of point (b) of Article SSC.47(1) of this Protocol, where:
(a)
in any income tax year starting on or after 6 April 1975, a person carrying out activity as an employed person has completed periods of insurance, employment or residence exclusively in a Member State, and the application of point (1) of this paragraph results in that year being counted as a qualifying year within the meaning of United Kingdom legislation for the purposes of point (b)(i) of Article SSC.47(1) of this Protocol, they shall be deemed to have been insured for 52 weeks in that year in that Member State;
(b)
any income tax year starting on or after 6 April 1975 does not count as a qualifying year within the meaning of United Kingdom legislation for the purposes of point (b)(i) of Article SSC.47(1) of this Protocol, any periods of insurance, employment or residence completed in that year shall be disregarded.
(3)
For the purpose of converting an earnings factor into periods of insurance, the earnings factor achieved in the relevant income tax year within the meaning of United Kingdom legislation shall be divided by that year's lower earnings limit. The result shall be expressed as a whole number, any remaining fraction being ignored. The figure so calculated shall be treated as representing the number of weeks of insurance completed under United Kingdom legislation during that year, provided that such figure shall not exceed the number of weeks during which in that year the person was subject to that legislation.
ANNEX SSC-7
IMPLEMENTING PART
TITLE I
GENERAL PROVISIONS
CHAPTER 1
Article SSCI.1
Definitions
1.
For the purposes of this Annex, the definitions set out in Article SSC.1 of this Protocol apply.
2.
In addition to the definitions referred to in paragraph 1:
(a)
"access point" means an entity providing:
(i)
an electronic contact point;
(ii)
automatic routing based on the address; and
(iii)
intelligent routing based on software that enables automatic checking and routing (for example, an artificial intelligence application) or human intervention;
(b)
"liaison body" means any body designated by the competent authority of a State for one or more of the branches of social security referred to in Article SSC.3 of this Protocol to respond to requests for information and assistance for the purposes of the application of this Protocol and of this Annex and which has to fulfil the tasks assigned to it under Title IV of this Annex;
(c)
"document" means a set of data, irrespective of the medium used, structured in such a way that it can be exchanged electronically and which must be communicated in order to enable the operation of this Protocol and this Annex;
(d)
"Structured Electronic Document" means any structured document in a format designed for the electronic exchange of information between States;
(e)
"transmission by electronic means" means the transmission of data using electronic equipment for the processing (including digital compression) of data and employing wires, radio transmission, optical technologies or any other electromagnetic means;
(f)
"fraud" means any deliberate act or deliberate omission to act, carried out with the intention to either:
(i)
receive social security benefits, or enable another person to receive social security benefits, when the conditions of entitlement to such benefits under the law of the State(s) concerned or this Protocol are not met; or
(ii)
avoid paying social security contributions, or enable another person to avoid paying social security contributions, when such contributions are required under the law of the State(s) concerned or this Protocol.
CHAPTER 2
PROVISIONS CONCERNING COOPERATION AND EXCHANGES OF DATA
Article SSCI.2
Scope and rules for exchanges between institutions
1.
For the purposes of this Annex, exchanges between authorities of the States and institutions and persons covered by this Protocol shall be based on the principles of public service, efficiency, active assistance, rapid delivery and accessibility, including e-accessibility, in particular for the disabled and the elderly.
2.
The institutions shall without delay provide or exchange all data necessary for establishing and determining the rights and obligations of persons to whom this Protocol applies. Such data shall be transferred between the States directly by the institutions themselves or indirectly via the liaison bodies.
3.
Where a person has mistakenly submitted information, documents or claims to an institution in the territory of a State other than that in which the institution designated, in accordance with this Annex, is situated, the information, documents or claims shall be resubmitted without delay by the former institution to the institution designated in accordance with this Annex, indicating the date on which they were initially submitted. That date shall be binding on the latter institution. The institutions of the States shall not, however, be held liable, or be deemed to have taken a decision by virtue of their failure to act as a result of the late transmission of information, documents or claims by States' institutions.
4.
Where data are transferred indirectly via the liaison body of the State of destination, time limits for responding to claims shall start from the date when that liaison body received the claim, as if it had been received by the institution in that State.
Article SSCI.3
Scope and rules for exchanges between the persons concerned and institutions
1.
The States shall ensure that the necessary information is made available to the persons concerned in order to inform them of the provisions introduced by this Protocol and this Annex to enable them to assert their rights. They shall also provide for user-friendly services.
2.
Persons to whom this Protocol applies shall be required to forward to the relevant institution the information, documents or supporting evidence necessary to establish their situation or that of their families, to establish or maintain their rights and obligations and to determine the applicable legislation and their obligations under it.
3.
To the extent necessary for the application of this Protocol and this Annex, the relevant institutions shall forward the information and issue the documents to the persons concerned without delay and in all cases within any time limits specified under the legislation of the State in question.
The relevant institution shall notify the claimant residing or staying in another State of its decision directly or through the liaison body of the State of residence or stay. When refusing the benefits, it shall also indicate the reasons for refusal, the remedies and periods allowed for appeals. A copy of this decision shall be sent to other involved institutions.
Article SSCI.4
Forms, documents and methods of exchanging data
1.
Subject to Article SSCI.75 and Appendix SSCI-2, the structure, content and format of forms and documents issued on behalf of the States for the purposes of implementing this Protocol shall be agreed by the Specialised Committee on Social Security Coordination.
2.
The transmission of data between the institutions or the liaison bodies may, subject to the approval of the Specialised Committee on Social Security Coordination, be carried out via the Electronic Exchange of Social Security Information. To the extent the forms and documents referred to in paragraph 1 are exchanged via the Electronic Exchange of Social Security Information, they shall respect the rules applicable to that system.
Where the transmission of data between institutions or the liaison bodies is not carried out via the Electronic Exchange of Social Security Information, the relevant institutions and liaison bodies shall use the arrangements appropriate to each case, and favour the use of electronic means as far as possible.
3.
In their communications with the persons concerned, the relevant institutions shall use the arrangements appropriate to each case, and favour the use of electronic means as far as possible.
Article SSCI.5
Legal value of documents and supporting evidence issued in another State
1.
Documents issued by the institution of a State and showing the position of a person for the purposes of the application of this Protocol and this Annex, and supporting evidence on the basis of which the documents have been issued, shall be accepted by the institutions of the other States for as long as they have not been withdrawn or declared to be invalid by the State in which they were issued.
2.
Where there is doubt about the validity of a document or the accuracy of the facts on which the particulars contained therein are based, the institution of the State that receives the document shall ask the issuing institution for the necessary clarification and, where appropriate, the withdrawal of that document. The issuing institution shall reconsider the grounds for issuing the document and, if necessary, withdraw it.
3.
Pursuant to paragraph 2, where there is doubt about the information provided by the persons concerned, the validity of a document or supporting evidence or the accuracy of the facts on which the particulars contained therein are based, the institution of the place of stay or residence shall, insofar as this is possible, at the request of the competent institution, proceed to the necessary verification of this information or document.
4.
Where no agreement is reached between the institutions concerned, the matter may be brought before the Specialised Committee on Social Security Coordination by the competent authorities no earlier than one month following the date on which the institution that received the document submitted its request. The Specialised Committee on Social Security Coordination shall endeavour to reconcile the points of view within six months of the date on which the matter was brought before it.
Article SSCI.6
Provisional application of legislation and provisional granting of benefits
1.
Unless otherwise provided for in this Annex, where there is a difference of views between the institutions or authorities of two or more States concerning the determination of the applicable legislation, the person concerned shall be made provisionally subject to the legislation of one of those States, the order of priority being determined as follows:
(a)
the legislation of the State where the person actually pursues their employment or self-employment, if the employment or self-employment is pursued in only one State;
(b)
the legislation of the State of residence if the person concerned pursues employment or self-employment in two or more States and performs part of their activity or activities in the State of residence, or if the person concerned is neither employed nor self-employed;
(c)
in all other cases, the legislation of the State the application of which was first requested if the person pursues an activity, or activities, in two or more States.
2.
Where there is a difference of views between the institutions or authorities of two or more States about which institution should provide the benefits in cash or in kind, the person concerned who could claim benefits if there was no dispute shall be entitled, on a provisional basis, to the benefits provided for by the legislation applied by the institution of that person's place of residence or, if that person does not reside on the territory of one of the States concerned, to the benefits provided for by the legislation applied by the institution to which the request was first submitted.
3.
Where no agreement is reached between the institutions or authorities concerned, the matter may be brought before the Specialised Committee on Social Security Coordination by a Party no earlier than one month after the date on which the difference of views, as referred to in paragraph 1 or 2, arose. The Specialised Committee on Social Security Coordination shall seek to reconcile the points of view within six months of the date on which the matter was brought before it.
4.
Where it is established either that the applicable legislation is not that of the State of provisional membership, or the institution which granted the benefits on a provisional basis was not the competent institution, the institution identified as being competent shall be deemed retroactively to have been so, as if that difference of views had not existed, at the latest from either the date of provisional membership or of the first provisional granting of the benefits concerned.
5.
If necessary, the institution identified as being competent and the institution which provisionally paid the cash benefits or provisionally received contributions shall settle the financial situation of the person concerned as regards contributions and cash benefits paid provisionally, where appropriate, in accordance with Chapter 2 of Title IV of this Annex.
Benefits in kind granted provisionally by an institution in accordance with paragraph 2 shall be reimbursed by the competent institution in accordance with Title IV of this Annex.
Article SSCI.7
Provisional calculation of benefits and contributions
1.
Unless otherwise provided for in this Annex, where a person is eligible for a benefit, or is liable to pay a contribution in accordance with this Protocol, and the competent institution does not have all the information concerning the situation in another State which is necessary to calculate definitively the amount of that benefit or contribution, that institution shall, on request of the person concerned, award this benefit or calculate this contribution on a provisional basis, if such a calculation is possible on the basis of the information at the disposal of that institution.
2.
The benefit or the contribution concerned shall be recalculated once all the necessary supporting evidence or documents are provided to the institution concerned.
CHAPTER 3
OTHER GENERAL PROVISIONS FOR THE APPLICATION OF THIS PROTOCOL
Article SSCI.8
Other procedures between authorities and institutions
1.
Two or more States, or their competent authorities, may agree procedures other than those provided for by this Annex, provided that such procedures do not adversely affect the rights or obligations of the persons concerned.
2.
Any agreements concluded to this end shall be notified to the Specialised Committee on Social Security Coordination and listed in Appendix SSCI-1.
3.
Provisions contained in implementing agreements concluded between two or more States with the same purpose as, or which are similar to, those referred to in paragraph 2, which are in force on the day preceding the entry into force of this Agreement, shall continue to apply, for the purposes of relations between those States, provided they are also included in Appendix SSCI-1 to this Protocol.
Article SSCI.9
Prevention of overlapping of benefits
Notwithstanding other provisions in this Protocol, when benefits due under the legislation of two or more States are mutually reduced, suspended or withdrawn, any amounts that would not be paid in the event of strict application of the rules concerning reduction, suspension or withdrawal laid down by the legislation of the State concerned shall be divided by the number of benefits subjected to reduction, suspension or withdrawal.
Article SSCI.10
Elements for determining residence
1.
Where there is a difference of views between the institutions of two or more States about the determination of the residence of a person to whom this Protocol applies, these institutions shall establish by common agreement the centre of interests of the person concerned, based on an overall assessment of all available information relating to relevant facts, which may include, as appropriate:
(a)
the duration and continuity of presence on the territory of the States concerned;
(b)
that person's situation, including:
(i)
the nature and the specific characteristics of any activity pursued, in particular the place where such activity is habitually pursued, the stability of the activity, and the duration of any work contract;
(ii)
that person's family status and family ties;
(iii)
the exercise of any non-remunerated activity;
(iv)
in the case of students, the source of that student's income;
(v)
that person's housing situation, in particular how permanent it is;
(vi)
the State in which that person is deemed to reside for taxation purposes.
2.
Where the consideration of the various criteria based on relevant facts as set out in paragraph 1 does not lead to agreement between the institutions concerned, the person's intention, as it appears from such facts and circumstances, especially the reasons that led the person to move, shall be considered to be decisive for establishing that person's actual place of residence.
3.
The centre of interests of a student who goes to another State to pursue a full-time course of study shall not be considered as being in the State of study for the entire duration of the course of study in that State, without prejudice to the possibility of rebutting this presumption.
4.
Paragraph 3 applies 
mutatis mutandis
 to the family members of the student.
Article SSCI.11
Aggregation of periods
1.
For the purposes of applying Article SSC.7, the competent institution shall contact the institutions of the States to whose legislation the person concerned has also been subject in order to determine all the periods completed under their legislation.
2.
The respective periods of insurance, employment, self-employment or residence completed under the legislation of a State shall be added to those completed under the legislation of any other State, insofar as necessary for the purposes of applying Article SSC.7, provided that these periods do not overlap.
3.
Where a period of insurance or residence which is completed in accordance with compulsory insurance under the legislation of a State coincides with a period of insurance completed on the basis of voluntary insurance or continued optional insurance under the legislation of another State, only the period completed on the basis of compulsory insurance shall be taken into account.
4.
Where a period of insurance or residence other than an equivalent period completed under the legislation of a State coincides with an equivalent period on the basis of the legislation of another State, only the period other than an equivalent period shall be taken into account.
5.
Any period regarded as equivalent under the legislation of two or more States shall be taken into account only by the institution of the State to whose legislation the person concerned was last compulsorily subject before that period. In the event that the person concerned was not compulsorily subject to the legislation of a State before that period, the latter shall be taken into account by the institution of the State to whose legislation the person concerned was compulsorily subject for the first time after that period.
6.
In the event that the time in which certain periods of insurance or residence were completed under the legislation of a State cannot be determined precisely, it shall be presumed that these periods do not overlap with periods of insurance or residence completed under the legislation of another State, and account shall be taken thereof, where advantageous to the person concerned, insofar as they can reasonably be taken into consideration.
Article SSCI.12
Rules for conversion of periods
1.
Where periods completed under the legislation of a State are expressed in units different from those provided for by the legislation of another State, the conversion needed for the purpose of aggregation under Article SSC.7 shall be carried out under the following rules:
(a)
the period to be used as the basis for the conversion shall be that communicated by the institution of the State under whose legislation the period was completed;
(b)
in the case of schemes where the periods are expressed in days the conversion from days to other units, and vice versa, as well as between different schemes based on days shall be calculated according to the following table:
Scheme based on
1 day corresponds to
1 week corresponds to
1 month corresponds to
1 quarter corresponds to
Maximum of days in one calendar year
5 days
9 hours
5 days
22 days
66 days
264 days
6 days
8 hours
6 days
26 days
78 days
312 days
7 days
6 hours
7 days
30 days
90 days
360 days
(c)
in the case of schemes where the periods are expressed in units other than days,
(i)
three months or 13 weeks shall be equivalent to one quarter, and vice versa;
(ii)
one year shall be equivalent to four quarters, 12 months or 52 weeks, and vice versa;
(iii)
for the conversion of weeks into months, and vice versa, weeks and months shall be converted into days in accordance with the conversion rules for the schemes based on six days in the table in point (b);
(d)
in the case of periods expressed in fractions, those figures shall be converted into the next smaller integer unit applying the rules laid down in points (b) and (c). Fractions of years shall be converted into months unless the scheme involved is based on quarters;
(e)
if the conversion under this paragraph results in a fraction of a unit, the next higher integer unit shall be taken as the result of the conversion under this paragraph.
2.
The application of paragraph 1 shall not have the effect of producing, for the total sum of the periods completed during one calendar year, a total exceeding the number of days indicated in the last column in the table in point (b) of paragraph 1, 52 weeks, 12 months or four quarters.
If the periods to be converted correspond to the maximum annual amount of periods under the legislation of the State in which they have been completed, the application of paragraph 1 shall not result within one calendar year in periods that are shorter than the possible maximum annual amount of periods provided under the legislation concerned.
3.
The conversion shall be carried out either in one single operation covering all those periods which were communicated as an aggregate, or for each year, if the periods were communicated on a year-by-year basis.
4.
Where an institution communicates periods expressed in days, it shall at the same time indicate whether the scheme it administers is based on five days, six days or seven days.
TITLE II
DETERMINATION OF THE LEGISLATION APPLICABLE
Article SSCI.13
Details relating to Articles SSC.11 and SSC.12 of this Protocol
1.
For the purposes of the application of point (a) of Article SSC.11(1), a "person who pursues an activity as an employed person in a State for an employer which normally carries out its activities there and who is sent by that employer to another State" shall include a person who is recruited with a view to being sent to another State, provided that, immediately before the start of that person's employment, the person concerned is already subject to the legislation of the State in which their employer is established.
2.
For the purposes of the application of point (a) of Article SSC.11(1) of this Protocol, the words "which normally carries out its activities there" shall refer to an employer that ordinarily performs substantial activities, other than purely internal management activities, in the territory of the State in which it is established, taking account of all criteria characterising the activities carried out by the undertaking in question. The relevant criteria must be suited to the specific characteristics of each employer and the real nature of the activities carried out.
3.
For the purposes of the application of point (b) of Article SSC.11(1) of this Protocol, the words "who normally pursues an activity as a self-employed person" shall refer to a person who habitually carries out substantial activities in the territory of the State in which that person is established. In particular, that person must have already pursued their activity for some time before the date when they wish to take advantage of the provisions of that Article and, during any period of temporary activity in another State, must continue to fulfil, in the State where they are established, the requirements for the pursuit of their activity in order to be able to pursue it on their return.
4.
For the purposes of the application of point (b) of Article SSC.11(1) of this Protocol, the criterion for determining whether the activity that a self-employed person goes to pursue in another State is "similar" to the self-employed activity normally pursued shall be that of the actual nature of the activity, rather than of the designation of employed or self-employed activity that may be given to this activity by the other State.
5.
For the purposes of the application of Article SSC.12(1) and (5) of this Protocol, a person who "normally pursues an activity as an employed person" in "one or more Member States as well as in the United Kingdom", or in "two or more Member States" respectively, shall refer to a person who simultaneously, or in alternation, for the same undertaking or employer or for various undertakings or employers, exercises one or more separate activities in such States.
6.
For the purposes of Article SSC.12(1) and (5) of this Protocol, an employed flight crew or cabin crew member normally pursuing air passenger or freight services in two or more States shall be subject to the legislation of the State where the home base, as defined in Article SSC.1 of this Protocol, is located.
7.
Marginal activities shall be disregarded for the purposes of determining the applicable legislation under Article SSC.12 of this Protocol. Article SSCI.15 shall apply to all cases under this Article.
8.
For the purposes of the application of Article SSC.12(2) and (6) of this Protocol, a person who "normally pursues an activity as a self-employed person" in "one or more Member States as well as in the United Kingdom", or in "two or more Member States" respectively, shall refer, in particular, to a person who simultaneously or in alternation pursues one or more separate self-employed activities, irrespective of the nature of those activities, in such States.
9.
For the purposes of distinguishing the activities under paragraphs 5 and 8 of this Article from the situations described in Article SSC.11(1) of this Protocol, the duration of the activity in one or more States (whether it is permanent or of an ad hoc or temporary nature) shall be decisive. For these purposes, an overall assessment shall be made of all the relevant facts including, in particular, in the case of an employed person, the place of work as defined in the employment contract.
10.
For the purposes of the application of Article SSC.12(1), (2), (5) and (6) of this Protocol, a "substantial part of employed or self-employed activity" pursued in a State shall mean a quantitatively substantial part of all the activities of the employed or self-employed person pursued there, without this necessarily being the major part of those activities.
11.
To determine whether a substantial part of the activities is pursued in a State, the following indicative criteria shall be taken into account:
(a)
in the case of an employed activity, the working time or the remuneration; and
(b)
in the case of a self-employed activity, the turnover, working time, number of services rendered or income.
In the framework of an overall assessment, a share of less than 25 % in respect of the criteria mentioned above shall be an indicator that a substantial part of the activities is not being pursued in the relevant State.
12.
For the purposes of the application of point (b) of Article SSC.12(2) of this Protocol, the "centre of interest" of the activities of a self-employed person shall be determined by taking account of all the aspects of that person's occupational activities, notably the place where the person's fixed and permanent place of business is located, the habitual nature or the duration of the activities pursued, the number of services rendered, and the intention of the person concerned as revealed by all the circumstances.
13.
For the determination of the applicable legislation under paragraphs 10, 11 and 12, the institutions concerned shall take into account the situation projected for the following 12 calendar months.
14.
If a person pursues his or her activity as an employed person in two or more States on behalf of an employer established outside the territory of the States, and if this person resides in a State without pursuing substantial activity there, they shall be subject to the legislation of the State of residence.
Article SSCI.14
Procedures for the application of point (b) of Article SSC.10(3), Article SSC.10(4) and Article SSC.11 of this Protocol (on the provision of information to the institutions concerned)
1.
Unless otherwise provided for by Article SSCI.15 of this Annex, where a person pursues their activity outside the competent State, the employer or, in the case of a person who does not pursue an activity as an employed person, the person concerned shall inform the competent institution of the State whose legislation is applicable thereof, whenever possible in advance. That institution shall issue the attestation referred to in Article SSCI.16(2) of this Annex to the person concerned and shall without delay make information concerning the legislation applicable to that person, pursuant to point (b) of Article SSC.10(3) or Article SSC.11 of this Protocol, available to the institution designated by the competent authority of the State in which the activity is pursued.
2.
An employer within the meaning of Article SSC.10(4) of this Protocol who has an employee on board a vessel flying the flag of another State shall inform the competent institution of the State whose legislation is applicable thereof whenever possible in advance. That institution shall, without delay, make information concerning the legislation applicable to the person concerned, pursuant to Article SSC.10(4) of this Protocol, available to the institution designated by the competent authority of the State whose flag, the vessel on which the employee is to perform the activity, is flying.
Article SSCI.15
Procedure for the application of Article SSC.12 of this Protocol
1.
A person who pursues activities in two or more States, or where Article SSC.12(5) or (6) applies, shall inform the institution designated by the competent authority of the State of residence thereof.
2.
The designated institution of the place of residence shall without delay determine the legislation applicable to the person concerned, having regard to Article SSC.12 of this Protocol and Article SSCI.13 of this Annex. That initial determination shall be provisional. The institution shall inform the designated institutions of each State in which an activity is pursued of its provisional determination.
3.
The provisional determination of the applicable legislation, as provided for in paragraph 2, shall become definitive within two months of the institutions designated by the competent authorities of the State(s) concerned being informed of it, in accordance with paragraph 2, unless the legislation has already been definitively determined on the basis of paragraph 4, or at least one of the institutions concerned informs the institution designated by the competent authority of the State of residence by the end of this two-month period that it cannot yet accept the determination or that it takes a different view on this.
4.
Where uncertainty about the determination of the applicable legislation requires contacts between the institutions or authorities of two or more States, at the request of one or more of the institutions designated by the competent authorities of the State(s) concerned, or of the competent authorities themselves, the legislation applicable to the person concerned shall be determined by common agreement, having regard to Article SSC.12 of this Protocol and the relevant provisions of Article SSCI.13 of this Annex.
Where there is a difference of views between the institutions or competent authorities concerned, those bodies shall seek agreement in accordance with the conditions set out above and Article SSCI.6 shall apply.
5.
The competent institution of the State whose legislation is determined to be applicable either provisionally or definitively shall without delay inform the person concerned.
6.
If the person concerned fails to provide the information referred to in paragraph 1, this Article shall be applied at the initiative of the institution designated by the competent authority of the State of residence as soon as it is appraised of that person's situation, possibly via another institution concerned.
Article SSCI.16
Provision of information to persons concerned and employers
1.
The competent institution of the State whose legislation becomes applicable pursuant to Title II of this Protocol shall inform the person concerned and, where appropriate, their employer(s) of the obligations laid down in that legislation. It shall provide them with the necessary assistance to complete the formalities required by that legislation.
2.
At the request of the person concerned or of the employer, the competent institution of the State whose legislation is applicable pursuant to Title II shall provide an attestation that such legislation is applicable and shall indicate, where appropriate, until what date and under what conditions.
Article SSCI.17
Cooperation between institutions
1.
The relevant institutions shall communicate to the competent institution of the State whose legislation is applicable to a person pursuant to Title II of this Protocol the necessary information required to establish the date on which that legislation becomes applicable and the contributions which that person and his or her employer(s) are liable to pay under that legislation.
2.
The competent institution of the State whose legislation becomes applicable to a person pursuant to Title II of this Protocol shall make the information indicating the date on which the application of that legislation takes effect available to the institution designated by the competent authority of the State to whose legislation that person was last subject.
Article SSCI.18
Cooperation in case of doubts about the validity of issued documents concerning the applicable legislation
1.
Where there is doubt about the validity of a document showing the position of the person for the purposes of the applicable legislation or the accuracy of the facts on which the document is based, the institution of the State that receives the document shall ask the issuing institution for the necessary clarification and, where appropriate, the withdrawal or rectification of that document. The requesting institution shall substantiate its request and provide the relevant supporting documentation that gave rise to the request.
2.
When receiving such a request, the issuing institution shall reconsider the grounds for issuing the document and, where an error is detected, withdraw it or rectify it within 30 working days from the receipt of the request. The withdrawal or rectification shall have retroactive effect. However, in cases where there is a risk of disproportionate outcome, and in particular, of the loss of status as an insured person for the whole or part of the relevant period in the State(s) concerned, the States shall consider a more proportionate arrangement in such case. When the available evidence permits the issuing institution to find that the applicant of the document has committed fraud, it shall withdraw or rectify the document without delay and with retroactive effect.
TITLE III
SPECIAL PROVISIONS CONCERNING THE VARIOUS CATEGORIES OF BENEFITS
CHAPTER 1
SICKNESS, MATERNITY AND EQUIVALENT PATERNITY BENEFITS
Article SSCI.19
General implementing provisions
1.
The competent authorities or institutions shall ensure that any necessary information is made available to insured persons regarding the procedures and conditions for the granting of benefits in kind where such benefits are received in the territory of a State other than that of the competent institution.
2.
Notwithstanding point (a) of Article SSC.6 of this Protocol, a State may become responsible for the cost of benefits in accordance with Article SSC.20 of this Protocol only if, either the insured person has made a claim for a pension under the legislation of that State, or in accordance with Articles SSC.21 to SSC.27 of this Protocol, they receive a pension under the legislation of that State.
Article SSCI.20
Regime applicable in the event of the existence of more than one regime in the State of residence or stay
If the legislation of the State of residence or stay comprises more than one scheme of sickness, maternity and paternity insurance for more than one category of insured persons, the provisions applicable under Articles SSC.15, SSC.17(1), SSC.18, SSC.20, SSC.22 and SSC.24 of this Protocol shall be those of the legislation on the general scheme for employed persons.
Article SSCI.21
Residence in a State other than the competent State
Procedure and scope of right
1.
For the purposes of the application of Article SSC.15 of this Protocol, the insured person or members of that person's family shall be obliged to register promptly with the institution of the place of residence. Their right to benefits in kind in the State of residence shall be certified by a document issued by the competent institution upon request of the insured person or upon request of the institution of the place of residence.
2.
The document referred to in paragraph 1 shall remain valid until the competent institution informs the institution of the place of residence of its cancellation.
The institution of the place of residence shall inform the competent institution of any registration under paragraph 1 and of any change or cancellation of that registration.
3.
This Article applies 
mutatis mutandis
 to the persons referred to in Articles SSC.20, SSC.22, SSC.23 and SSC.24 of this Protocol.
Reimbursement
4.
Where a person or the members of that person's family:
(a)
have been issued with the document referred to in paragraph 1;
(b)
have registered that document with the institution of the place of residence in accordance with paragraph 1; and
(c)
a health fee has been paid by or on behalf of the person or members of their family to the State of residence as part of an application for a permit to enter, stay, work or reside in that State,
that person or members of that person's family may apply to the institution of the State of residence for reimbursement (in whole or part, as the case may be) of the health fee paid.
5.
Where a claim is made in accordance with paragraph 1, the institution of the State of residence shall determine that claim within three calendar months, starting on the day the claim was received, and shall make any reimbursement in accordance with this Article.
6.
Where the period of validity of the document referred to in paragraph 1 is less than the period of time in respect of which the health fee has been paid, the amount reimbursed shall not exceed that portion of the health fee which corresponds to the period for which the document had been issued.
7.
Where the health fee was paid by another person on behalf of a person to whom this Article applies, reimbursement may be made to that other person.
Article SSCI.22
Stay in a State other than the competent State
Procedure and scope of right
1.
For the purposes of the application of Article SSC.17 of this Protocol, the insured person shall present to the health care provider in the State of stay an entitlement document issued by the competent institution indicating his entitlement to benefits in kind. If the insured person does not have such a document, the institution of the place of stay, upon request or if otherwise necessary, shall contact the competent institution in order to obtain one.
2.
That document shall indicate that the insured person is entitled to benefits in kind under the conditions laid down in Article SSC.17 of this Protocol on the same terms as those applicable to persons insured under the legislation of the State of stay, and shall satisfy the requirements in Appendix SSCI-2.
3.
The benefits in kind referred to in Article SSC.17(1) of this Protocol shall refer to the benefits in kind which are provided in the State of stay, in accordance with its legislation, and which become necessary on medical grounds with a view to preventing an insured person from being forced to return, before the end of the planned duration of stay, to the competent State to obtain the necessary treatment.
Procedure and arrangements for meeting the costs and providing reimbursement of benefits in kind
4.
If the insured person has actually borne the costs of all or part of the benefits in kind provided within the framework of Article SSC.17 of this Protocol and if the legislation applied by the institution of the place of stay enables reimbursement of those costs to an insured person, they may send an application for reimbursement to the institution of the place of stay. In that case, that institution shall reimburse directly to that person the amount of the costs corresponding to those benefits within the limits of and under the conditions of the reimbursement rates laid down in its legislation.
5.
If the reimbursement of such costs has not been requested directly from the institution of the place of stay, the costs incurred shall be reimbursed to the person concerned by the competent institution in accordance with the reimbursement rates administered by the institution of the place of stay or the amounts which would have been subject to reimbursement to the institution of the place of stay, if Article SSCI.47 had applied in the case concerned.
The institution of the place of stay shall provide the competent institution, upon request, with all necessary information about these rates or amounts.
6.
By way of derogation from paragraph 5, the competent institution may undertake the reimbursement of the costs incurred within the limits of and under the conditions of the reimbursement rates laid down in its legislation, provided that the insured person has agreed to this provision being applied to them.
7.
If the legislation of the State of stay does not provide for reimbursement pursuant to paragraphs 4 and 5 in the case concerned, the competent institution may reimburse the costs within the limits of and under the conditions of the reimbursement rates laid down in its legislation, without the agreement of the insured person.
8.
The reimbursement to the insured person shall not, in any event, exceed the amount of costs actually incurred by them.
9.
In the case of substantial expenditure, the competent institution may pay the insured person an appropriate advance as soon as that person submits the application for reimbursement to it.
Family Members
10.
Paragraphs 1 to 9 apply 
mutatis mutandis
 to the members of the family of the insured person.
Reimbursement for students
11.
Where a person:
(a)
holds a valid entitlement document referred to in Appendix SSCI-2 issued by the competent institution;
(b)
has been accepted by a higher education institution in a State other than the competent State ("State of study") to pursue a full-time course of study leading to a higher education qualification recognised by that State, including diplomas, certificates or doctoral degrees at a higher education institution, which may cover a preparatory course prior to such education, in accordance with national law, or compulsory training;
(c)
does not exercise, or has not exercised, an activity as an employed or self-employed person in the State of study during the period to which the health fee relates; and
(d)
a health fee has been paid by or on behalf of that person to the State of study as part of an application for a permit to enter, stay or reside for the purposes of pursuing a full-time course of study in that State;
that person may apply to the institution of the State of study for reimbursement (in whole or part, as the case may be) of the health fee paid.
12.
Where a claim is made in accordance with paragraph 11, the institution of the State of study shall process and settle that claim within a reasonable period but not later than six calendar months starting on the day the claim was received and make any reimbursement in accordance with this Article.
13.
Where the period of validity of the entitlement document referred to in point (a) of paragraph 11 is less than the period of time in respect of which the health fee has been paid, the amount of the health fee reimbursed shall be the amount paid which corresponds to the period of validity of that document.
14.
Where the health fee was paid by another person on behalf of a person to whom this Article applies, reimbursement may be made to that other person.
15.
Paragraphs 11 to 14 apply 
mutatis mutandis
 to the members of the family of that person.
16.
This Article shall enter into force 12 months after the date of entry into force of this Agreement.
17.
A person who satisfied the conditions in paragraph 11 in the period between the entry into force of this Agreement and the date specified in paragraph 16 may, upon the entry into force of this Article, make a claim for reimbursement under paragraph 11 in relation to that period.
18.
By way of derogation from Article SSC.5(1), charges may be imposed by the State of study in accordance with its national law in respect of benefits in kind that do not fulfil the criteria set out in point (a) of Article SSC.17(1) and which are provided to a person in respect of whom reimbursement has been made during that person's stay for the period to which that reimbursement relates.
Article SSCI.23
Scheduled treatment
Authorisation procedure
1.
For the purposes of the application of Article SSC.18(1) of this Protocol, the insured person shall present a document issued by the competent institution to the institution of the place of stay. For the purposes of this Article, the competent institution shall mean the institution which bears the cost of the scheduled treatment; in the cases referred to in Articles SSC.18(4) and SSC.25(5) of this Protocol, in which the benefits in kind provided in the State of residence are reimbursed on the basis of fixed amounts, the competent institution shall mean the institution of the place of residence.
2.
If an insured person does not reside in the competent State, they shall request authorisation from the institution of the place of residence, which shall forward it to the competent institution without delay.
In that event, the institution of the place of residence shall certify in a statement whether the conditions set out in the second sentence of Article SSC.18(2) of this Protocol are met in the State of residence.
The competent institution may refuse to grant the requested authorisation only if, in accordance with the assessment of the institution of the place of residence, the conditions set out in the second sentence of Article SSC.18(2) of this Protocol are not met in the State of residence of the insured person, or if the same treatment can be provided in the competent State itself, within a time-limit which is medically justifiable, taking into account the current state of health and the probable course of illness of the person concerned.
The competent institution shall inform the institution of the place of residence of its decision.
In the absence of a reply within the deadlines set by its national legislation, the authorisation shall be considered to have been granted by the competent institution.
3.
If an insured person who does not reside in the competent Party is in need of urgent vitally necessary treatment, and the authorisation cannot be refused in accordance with the second sentence of Article SSC.18(2) of this Protocol, the authorisation shall be granted by the institution of the place of residence on behalf of the competent institution, which shall be immediately informed by the institution of the place of residence.
The competent institution shall accept the findings and the treatment options of the doctors approved by the institution of the place of residence that issues the authorisation, concerning the need for urgent vitally necessary treatment.
4.
At any time during the procedure granting the authorisation, the competent institution shall retain the right to have the insured person examined by a doctor of its own choice in the Party of stay or residence.
5.
The institution of the place of stay shall, without prejudice to any decision regarding authorisation, inform the competent institution if it appears medically appropriate to supplement the treatment covered by the existing authorisation.
Meeting the cost of benefits in kind incurred by the insured person
6.
Without prejudice to paragraph 7, Article SSCI.22(4) and (5) apply 
mutatis mutandis
.
7.
If the insured person has actually borne all or part of the costs for the authorised medical treatment themselves and the costs which the competent institution is obliged to reimburse to the institution of the place of stay or to the insured person according to paragraph 6 (actual cost) are lower than the costs which it would have had to assume for the same treatment in the competent State (notional cost), the competent institution shall reimburse, upon request, the cost of treatment incurred by the insured person up to the amount by which the notional cost exceeds the actual cost. The reimbursed sum may not, however, exceed the costs actually incurred by the insured person and may take account of the amount which the insured person would have had to pay if the treatment had been delivered in the competent State.
Meeting the costs of travel and stay as part of scheduled treatment
8.
Where the national legislation of the competent institution provides for the reimbursement of the costs of travel and stay which are inseparable from the treatment of the insured person, such costs for the person concerned and, if necessary, for a person who must accompany them, shall be assumed by this institution when an authorisation is granted in the case of treatment in another State.
Family members
9.
Paragraphs 1 to 8 apply 
mutatis mutandis
 to the members of the family of the insured person.
Article SSCI.24
Cash benefits relating to incapacity for work in the event of stay or residence in a State other than the competent State
Procedure to be followed by the insured person
1.
If the legislation of the competent State requires that the insured person presents a certificate in order to be entitled to cash benefits relating to incapacity for work pursuant to Article SSC.19(1) of this Protocol, the insured person shall ask the doctor of the State of residence who established that person's state of health to certify his or her incapacity for work and its probable duration.
2.
The insured person shall send the certificate to the competent institution within the time limit laid down by the legislation of the competent State.
3.
Where the doctors providing treatment in the State of residence do not issue certificates of incapacity for work, and where such certificates are required under the legislation of the competent State, the person concerned shall apply directly to the institution of the place of residence. That institution shall immediately arrange for a medical assessment of the person's incapacity for work and for the certificate referred to in paragraph 1 to be drawn up. The certificate shall be forwarded to the competent institution forthwith.
4.
The forwarding of the document referred to in paragraphs 1, 2 and 3 shall not exempt the insured person from fulfilling the obligations provided for by the applicable legislation, in particular with regard to that person's employer. Where appropriate, the employer or the competent institution may call upon the employee to participate in activities designed to promote and assist his or her return to employment.
Procedure to be followed by the institution of the State of residence
5.
At the request of the competent institution, the institution of the place of residence shall carry out any necessary administrative checks or medical examinations of the person concerned in accordance with the legislation applied by this latter institution. The report of the examining doctor concerning, in particular, the probable duration of the incapacity for work, shall be forwarded without delay by the institution of the place of residence to the competent institution.
Procedure to be followed by the competent institution
6.
The competent institution shall reserve the right to have the insured person examined by a doctor of its choice.
7.
Without prejudice to the second sentence of Article SSC.19(1) of this Protocol, the competent institution shall pay the cash benefits directly to the person concerned and shall, where necessary, inform the institution of the place of residence thereof.
8.
For the purposes of the application of Article SSC.19(1) of this Protocol, the particulars of the certificate of incapacity for work of an insured person drawn up in another State on the basis of the medical findings of the examining doctor or institution shall have the same legal value as a certificate drawn up in the competent State.
9.
If the competent institution refuses the cash benefits, it shall notify its decision to the insured person and at the same time to the institution of the place of residence.
Procedure in the event of a stay in a State other than the competent State
10.
Paragraphs 1 to 9 apply 
mutatis mutandis
 when the insured person stays in a State other than the competent State.
Article SSCI.25
Contributions by pensioners
If a person receives a pension from more than one State, the amount of contributions deducted from all the pensions paid shall, under no circumstances, be greater than the amount deducted in respect of a person who receives the same amount of pension from the competent State.
Article SSCI.26
Special implementing measures
1.
When a person or a group of persons are exempted upon request from compulsory sickness insurance and such persons are thus not covered by a sickness insurance scheme to which this Protocol applies, the institution of a State shall not, solely because of this exemption, become responsible for bearing the costs of benefits in kind or in cash provided to such persons or to a member of their family under Articles SSC.15 to SSC.30 of this Protocol.
2.
When the persons referred to in paragraph 1 and the members of their families reside in a State where the right to receive benefits in kind is not subject to conditions of insurance, or of activity as an employed or self-employed person, they shall be liable to pay the full costs of benefits in kind provided in their State of residence.
CHAPTER 2
BENEFITS IN RESPECT OF ACCIDENTS AT WORK AND OCCUPATIONAL DISEASES
Article SSCI.27
Right to benefits in kind and in cash in the event of residence or stay in a State other than the competent State
1.
For the purposes of the application of Article SSC.31 of this Protocol, the procedures laid down in Articles SSCI.21 to SSCI.24 of this Annex apply 
mutatis mutandis
.
2.
When providing special benefits in kind in connection with accidents at work and occupational diseases under the national legislation of the State of stay or residence, the institution of that State shall without delay inform the competent institution.
Article SSCI.28
Procedure in the event of an accident at work or occupational disease which occurs in a State other than the competent State
1.
If an accident at work occurs or an occupational disease is diagnosed for the first time in a State other than the competent State, the declaration or notification of the accident at work or the occupational disease, where the declaration or notification exists under national legislation, shall be carried out in accordance with the legislation of the competent State, without prejudice, where appropriate, to any other applicable legal provisions in force in the State in which the accident at work occurred or in which the first medical diagnosis of the occupational disease was made, which remain applicable in such cases. The declaration or notification shall be addressed to the competent institution.
2.
The institution of the State in the territory of which the accident at work occurred or in which the occupational disease was first diagnosed, shall notify the competent institution of medical certificates drawn up in the territory of that State.
3.
Where, as a result of an accident while travelling to or from work which occurs in the territory of a State other than the competent State, an inquiry is necessary in the territory of the first State in order to determine any entitlement to relevant benefits, a person may be appointed for that purpose by the competent institution, which shall inform the authorities of that State. The institutions shall cooperate with each other in order to assess all relevant information and to consult the reports and any other documents relating to the accident.
4.
Following treatment, a detailed report accompanied by medical certificates relating to the permanent consequences of the accident or disease, in particular the injured person's present state and the recovery or stabilisation of injuries, shall be sent upon request of the competent institution. The relevant fees shall be paid by the institution of the place of residence or of stay, where appropriate, at the rate applied by that institution to the charge of the competent institution.
5.
At the request of the institution of the place of residence or stay, where appropriate, the competent institution shall notify it of the decision setting the date for the recovery or stabilisation of injuries and, where appropriate, the decision concerning the granting of a pension.
Article SSCI.29
Disputes concerning the occupational nature of the accident or disease
1.
Where the competent institution disputes the application of the legislation relating to accidents at work or occupational diseases under Article SSC.31(2) of this Protocol, it shall without delay inform the institution of the place of residence or stay which provided the benefits in kind, which will then be considered as sickness insurance benefits.
2.
When a final decision has been taken on that subject, the competent institution shall, without delay, inform the institution of the place of residence or stay which provided the benefits in kind.
Where an accident at work or occupational disease is not established, benefits in kind shall continue to be provided as sickness benefits if the person concerned is entitled to them.
Where an accident at work or occupational disease is established, sickness benefits in kind provided to the person concerned shall be considered as accident at work or occupational disease benefits from the date on which the accident at work occurred or the occupational disease was first medically diagnosed.
3.
The second subparagraph of Article SSCI.6(5) applies 
mutatis mutandis
.
Article SSCI.30
Procedure in the event of exposure to the risk of an occupational disease in two or more States
1.
In the case referred to in Article SSC.33 of this Protocol, the declaration or notification of the occupational disease shall be sent to the competent institution for occupational diseases of the last State under the legislation of which the person concerned pursued an activity likely to cause that disease.
When the institution to which the declaration or notification was sent establishes that an activity likely to cause the occupational disease in question was last pursued under the legislation of another State, it shall send the declaration or notification and all accompanying certificates to the equivalent institution in that State.
2.
Where the institution of the last State under the legislation of which the person concerned pursued an activity likely to cause the occupational disease in question establishes that the person concerned or his survivors do not meet the requirements of that legislation, inter alia, because the person concerned had never pursued in that State an activity which caused the occupational disease or because that State does not recognise the occupational nature of the disease, that institution shall forward without delay the declaration or notification and all accompanying certificates, including the findings and reports of medical examinations performed by the first institution to the institution of the previous State under the legislation of which the person concerned pursued an activity likely to cause the occupational disease in question.
3.
Where appropriate, the institutions shall reiterate the procedure set out in paragraph 2 going back as far as the equivalent institution in the State under whose legislation the person concerned first pursued an activity likely to cause the occupational disease in question.
Article SSCI.31
Exchange of information between institutions and advance payments in the event of an appeal against rejection
1.
In the event of an appeal against a decision to refuse benefits taken by the institution of a State under the legislation of which the person concerned pursued an activity likely to cause the occupational disease in question, that institution shall inform the institution to which the declaration or notification was sent, in accordance with the procedure provided for in Article SSCI.30(2), and shall subsequently inform it when a final decision is reached.
2.
Where a person is entitled to benefits under the legislation applied by the institution to which the declaration or notification was sent, that institution shall make the advance payments, the amount of which shall be determined, where appropriate, after consulting the institution which made the decision against which the appeal was lodged, and in such a way that overpayments are avoided. The latter institution shall reimburse the advance payments made if, as a result of the appeal, it is obliged to provide those benefits. That amount will then be deducted from the benefits due to the person concerned, in accordance with the procedure provided for in Articles SSCI.56 and SSCI.57.
3.
The second subparagraph of Article SSCI.6(5) applies 
mutatis mutandis
.
Article SSCI.32
Aggravation of an occupational disease
In the cases covered by Article SSC.34 of this Protocol, the claimant must provide the institution in the State from which they are claiming entitlement to benefits with details concerning benefits previously granted for the occupational disease in question. That institution may contact any other previously competent institution in order to obtain the information it considers necessary.
Article SSCI.33
Assessment of the degree of incapacity in the event of occupational accidents or diseases which occurred previously or subsequently
Where a previous or subsequent incapacity for work was caused by an accident which occurred when the person concerned was subject to the legislation of a State which makes no distinction according to the origin of the incapacity to work, the competent institution or the body designated by the competent authority of the State in question shall:
(a)
upon request by the competent institution of another State, provide information concerning the degree of the previous or subsequent incapacity for work, and where possible, information making it possible to determine whether the incapacity is the result of an accident at work within the meaning of the legislation applied by the institution in the other State;
(b)
take into account the degree of incapacity caused by these previous or subsequent cases when determining the right to benefits and the amount, in accordance with the applicable legislation.
Article SSCI.34
Submission and investigation of claims for pensions or supplementary allowances
In order to receive a pension or supplementary allowance under the legislation of a State, the person concerned or their survivors residing in the territory of another State shall submit, where appropriate, a claim either to the competent institution or to the institution of the place of residence, which shall send it to the competent institution.
The claim shall contain the information required under the legislation applied by the competent institution.
CHAPTER 3
DEATH GRANTS
Article SSCI.35
Claim for death grants
For the purposes of Articles SSC.37 and SSC.38 of this Protocol, the claim for death grants shall be sent either to the competent institution or to the institution of the claimant's place of residence, which shall send it to the competent institution.
The claim shall contain the information required under the legislation applied by the competent institution.
CHAPTER 4
INVALIDITY BENEFITS AND OLD-AGE AND SURVIVORS' PENSIONS
Article SSCI.36
Additional provisions for the calculation of the benefit
1.
For the purposes of calculating the theoretical amount and the actual amount of the benefit in accordance with point (b) of Article SSC.47(1) of this Protocol, the rules provided for in Article SSCI.11(3), (4), (5) and (6) of this Annex apply.
2.
Where periods of voluntary or optional continued insurance have not been taken into account under Article SSCI.11(3) of this Annex, the institution of the State under whose legislation those periods were completed shall calculate the amount corresponding to those periods under the legislation it applies. The actual amount of the benefit, calculated in accordance with point (b) of Article SSC.47(1) of this Protocol, shall be increased by the amount corresponding to periods of voluntary or optional continued insurance.
3.
The institution of each State shall calculate, under the legislation it applies, the amount due corresponding to periods of voluntary or optional continued insurance which, under point (c) of Article SSC.48(3) of this Protocol, shall not be subject to the another State's rules relating to withdrawal, reduction or suspension.
Where the legislation applied by the competent institution does not allow it to determine this amount directly, on the grounds that that legislation allocates different values to insurance periods, a notional amount may be established. The Specialised Committee on Social Security Coordination shall lay down the detailed arrangements for the determination of that notional amount.
Article SSCI.37
Claims for benefits
Submission of claims for old-age and survivors' pensions
1.
The claimant shall submit a claim to the institution of his place of residence or to the institution of the last State whose legislation was applicable. If the person concerned was not, at any time, subject to the legislation applied by the institution of the place of residence, that institution shall forward the claim to the institution of the last State whose legislation was applicable.
2.
The date of submission of the claim shall apply in all the institutions concerned.
3.
By way of derogation from paragraph 2, if the claimant does not, despite having been asked to do so, notify the fact that he or she has been employed or has resided in other States, the date on which the claimant completes his or her initial claim or submits a new claim for his or her missing periods of employment or/and residence in a State shall be considered as the date of submission of the claim to the institution applying the legislation in question, subject to more favourable provisions of that legislation.
Article SSCI.38
Certificates and information to be submitted with the claim by the claimant
1.
The claim shall be submitted by the claimant in accordance with the provisions of the legislation applied by the institution referred to in Article SSCI.37(1) and be accompanied by the supporting documents required by that legislation. In particular, the claimant shall supply all available relevant information and supporting documents relating to periods of insurance (institutions, identification numbers), employment (employers) or self-employment (nature and place of activity) and residence (addresses) which may have been completed under other legislation, as well as the length of those periods.
2.
Where, in accordance with Article SSC.45(1) of this Protocol, the claimant requests deferment of the award of old-age benefits under the legislation of one or more States, the claimant shall state that in their claim and specify under which legislation the deferment is requested. In order to enable the claimant to exercise that right, the institutions concerned shall, upon the request of the claimant, notify them of all the information available to them so that he or she can assess the consequences of concurrent or successive awards of benefits which they might claim.
3.
Should the claimant withdraw a claim for benefits provided for under the legislation of a particular State, that withdrawal shall not be considered as a concurrent withdrawal of claims for benefits under the legislation of another State.
Article SSCI.39
Investigation of claims by the institutions concerned
Contact institution
1.
The institution to which the claim for benefits is submitted or forwarded in accordance with Article SSCI.37(1) shall be referred to hereinafter as the "contact institution". The institution of the place of residence shall not be referred to as the contact institution if the person concerned has not, at any time, been subject to the legislation which that institution applies.
In addition to investigating the claim for benefits under the legislation which it applies, that institution shall, in its capacity as contact institution, promote the exchange of data, the communication of decisions and the operations necessary for the investigation of the claim by the institutions concerned, and supply the claimant, upon request, with any information relevant to the aspects of the investigation which arise under this Protocol, and keep the claimant informed of its progress.
Investigation of claims for old-age and survivors pensions
2.
The contact institution shall, without delay, send claims for benefits and all the documents which it has available and, where appropriate, the relevant documents supplied by the claimant to all the institutions in question so that they can all start the investigation of the claim concurrently. The contact institution shall notify the other institutions of periods of insurance or residence subject to its legislation. It shall also indicate which documents shall be submitted at a later date and supplement the claim as soon as possible.
3.
Each of the institutions in question shall notify the contact institution and the other institutions in question, as soon as possible, of the periods of insurance or residence subject to their legislation.
4.
Each of the institutions in question shall calculate the amount of benefits in accordance with Article SSC.47 of this Protocol and shall notify the contact institution and the other institutions concerned of its decision, of the amount of benefits due and of any information required for the purposes of Articles SSC.48 to SSC.50 of this Protocol.
5.
Should an institution establish, on the basis of the information referred to in paragraphs 2 and 3 of this Article, that Article SSC.52(2) or (3) of this Protocol is applicable, it shall inform the contact institution and the other institutions concerned.
Article SSCI.40
Notification of decisions to the claimant
1.
Each institution shall notify the claimant of the decision it has taken in accordance with the applicable legislation. Each decision shall specify the remedies and periods allowed for appeals. Once the contact institution has been notified of all decisions taken by each institution, it shall send the claimant and the other institutions concerned a summary of those decisions. A model summary shall be drawn up by the Specialised Committee on Social Security Coordination. The summary shall be sent to the claimant in the language of the institution or, at the request of the claimant, in any language of their choice, including English, recognised as an official language of the Union.
2.
Where it appears to the claimant following receipt of the summary that his or her rights may have been adversely affected by the interaction of decisions taken by two or more institutions, the claimant shall have the right to a review of the decisions by the institutions concerned within the time limits laid down in the respective national legislation. The time limits shall commence on the date of receipt of the summary. The claimant shall be notified of the result of the review in writing.
Article SSCI.41
Determination of the degree of invalidity
Each institution shall, in accordance with its legislation, have the possibility of having the claimant examined by a medical doctor or other expert of its choice to determine the degree of invalidity. However, the institution of a State shall take into consideration documents, medical reports and administrative information collected by the institution of any other State as if they had been drawn up in its own territory.
Article SSCI.42
Provisional instalments and advance payment of a benefit
1.
Notwithstanding Article SSCI.7 of this Annex, any institution which establishes, while investigating a claim for benefits, that the claimant is entitled to an independent benefit under the applicable legislation, in accordance with point (a) of Article SSC.47(1) of this Protocol, shall pay that benefit without delay. That payment shall be considered provisional if the amount might be affected by the result of the claim investigation procedure.
2.
Whenever it is evident from the information available that the claimant is entitled to a payment from an institution under point (b) of Article SSC.47(1) of this Protocol, that institution shall make an advance payment, the amount of which shall be as close as possible to the amount which will probably be paid under point (b) of Article SSC.47(1) of this Protocol.
3.
Each institution which is obliged to pay the provisional benefits or advance payment under paragraph 1 or 2 shall inform the claimant without delay, specifically drawing the claimant's attention to the provisional nature of the measure and any rights of appeal in accordance with its legislation.
Article SSCI.43
New calculation of benefits
1.
Where there is a new calculation of benefits in accordance with Articles SSC.45(4) and SSC.54(1) of this Protocol, Article SSCI.42 of this Annex shall be applicable 
mutatis mutandis
.
2.
Where there is a new calculation, withdrawal or suspension of the benefit, the institution which took the decision shall inform the person concerned without delay and shall inform each of the institutions in respect of which the person concerned has an entitlement.
Article SSCI.44
Measures intended to accelerate the pension calculation process
1.
In order to facilitate and accelerate the investigation of claims and the payment of benefits, the institutions to whose legislation a person has been subject shall:
(a)
exchange with or make available to institutions of other States the elements for identifying persons who change from one applicable national legislation to another, and together ensure that those identification elements are retained and correspond, or, failing that, provide those persons with the means to access their identification elements directly;
(b)
sufficiently in advance of the minimum age for commencing pension rights or before an age to be determined by national legislation, exchange with or make available to the person concerned and to institutions of other States information (periods completed or other important elements) on the pension entitlements of persons who have changed from one applicable legislation to another or, failing that, inform those persons of, or provide them with, the means of familiarising themselves with their prospective benefit entitlement.
2.
For the purposes of paragraph 1, the Specialised Committee on Social Security Coordination shall determine the elements of information to be exchanged or made available and shall establish the appropriate procedures and mechanisms, taking account of the characteristics, administrative and technical organisation, and the technological means at the disposal of national pension schemes. The Specialised Committee on Social Security Coordination shall ensure the implementation of those pension schemes by organising a follow-up to the measures taken and their application.
3.
For the purposes of paragraph 1, the institution in the first State where a person is allocated a Personal Identification Number (PIN) for the purposes of social security administration should be provided with the information referred to in this Article.
Article SSCI.45
Coordination measures in the States
1.
Without prejudice to Article SSC.46 of this Protocol, where national legislation includes rules for determining the institution responsible or the scheme applicable or for designating periods of insurance to a specific scheme, those rules shall be applied, taking into account only periods of insurance completed under the legislation of the State concerned.
2.
Where national legislation includes rules for the coordination of special schemes for civil servants and the general scheme for employed persons, those rules shall not be affected by the provisions of this Protocol and of this Annex.
CHAPTER 5
UNEMPLOYMENT BENEFITS
Article SSCI.46
Aggregation of periods and calculation of benefits
1.
Article SSCI.11(1) of this Annex applies 
mutatis mutandis
 to Article SSC.56 of this Protocol. Without prejudice to the underlying obligations of the institutions involved, the person concerned may submit to the competent institution a document issued by the institution of the State to whose legislation they were subject in respect of that person's last activity as an employed or self-employed person specifying the periods completed under that legislation.
2.
For the purpose of applying Article SSC.57 of this Protocol, the competent institution of a State whose legislation provides that the calculation of benefits varies with the number of members of the family shall also take into account the members of the family of the person concerned residing in another State as if they resided in the competent State. This provision shall not apply where, in the State of residence of members of the family, another person is entitled to unemployment benefits calculated on the basis of the number of members of the family.
TITLE IV
FINANCIAL PROVISIONS
CHAPTER 1
REIMBURSEMENT OF THE COST OF BENEFITS IN APPLICATION OF ARTICLE SSC.30 AND ARTICLE SSC.36 OF THIS PROTOCOL
SECTION 1
REIMBURSEMENT ON THE BASIS OF ACTUAL EXPENDITURE
Article SSCI.47
Principles
1.
For the purpose of applying Article SSC.30 and Article SSC.36 of this Protocol, the actual amount of the expenses for benefits in kind, as shown in the accounts of the institution that provided them, shall be reimbursed to that institution by the competent institution, except where Article SSCI.57 of this Annex is applicable.
2.
If any or part of the actual amount of the expenses for benefits referred to in paragraph 1 is not shown in the accounts of the institution that provided them, the amount to be refunded shall be determined on the basis of a lump-sum payment calculated from all the appropriate references obtained from the data available. The Specialised Committee on Social Security Coordination shall assess the bases to be used for calculation of the lump-sum payment and shall decide the amount thereof.
3.
Higher rates than those applicable to the benefits in kind provided to insured persons subject to the legislation applied by the institution providing the benefits referred to in paragraph 1 may not be taken into account in the reimbursement.
SECTION 2
REIMBURSEMENT ON THE BASIS OF FIXED AMOUNTS
Article SSCI.48
Identification of the State(s) concerned
1.
The States referred to in Article SSC.30(2) of this Protocol, whose legal or administrative structures are such that the use of reimbursement on the basis of actual expenditure is not appropriate, are listed in Appendix SSCI-3 to this Annex.
2.
In the case of the States listed in Appendix SSCI-3, the amount of benefits in kind supplied to:
(a)
family members who do not reside in the same State as the insured person, as provided for in Article SSC.15 of this Protocol; and to
(b)
pensioners and members of their family, as provided for in Article SSC.22(1), Articles SSC.23 and SSC.24 of this Protocol;
shall be reimbursed by the competent institutions to the institutions providing those benefits, on the basis of a fixed amount established for each calendar year. This fixed amount shall be as close as possible to actual expenditure.
Article SSCI.49
Calculation method of the monthly fixed amounts and the total fixed amount
1.
For each creditor State, the monthly fixed amount per person (F
i
) for a calendar year shall be determined by dividing the annual average cost per person (Y
i
), broken down by age group (i), by 12 and by applying a reduction (X) to the result in accordance with the following formula:
F
i
 = Y
i
*1/12*(1-X)
Where:
—
the index (i = 1, 2 and 3) represents the three age groups used for calculating the fixed amounts:
—
i = 1: persons aged under 20,
—
i = 2: persons aged from 20 to 64,
—
i = 3: persons aged 65 and over,
—
Y
i
 represents the annual average cost per person in age group i, as defined in paragraph 2,
—
the coefficient X (0.20 or 0.15) represents the reduction as defined in paragraph 3.
2.
The annual average cost per person (Y
i
) in age group i shall be obtained by dividing the annual expenditure on all benefits in kind provided by the institutions of the creditor State to all persons in the age group concerned subject to its legislation and residing within its territory by the average number of persons concerned in that age group in the calendar year in question. The calculation shall be based on the expenditure under the schemes referred to in Article SSCI.20.
3.
The reduction to be applied to the monthly fixed amount shall, in principle, be equal to 20 % (X = 0.20). It shall be equal to 15 % (X = 0.15) for pensioners and members of their family where the competent State is not listed in Annex SSC-3 to this Protocol.
4.
For each debtor State, the total fixed amount for a calendar year shall be the sum of the products obtained by multiplying, in each age group i, the determined monthly fixed amounts per person by the number of months completed by the persons concerned in the creditor State in that age group.
The number of months completed by the persons concerned in the creditor State shall be the sum of the calendar months in a calendar year during which the persons concerned were, because of their residence in the territory of the creditor State, eligible to receive benefits in kind in that territory at the expense of the debtor State. Those months shall be determined from an inventory kept for that purpose by the institution of the place of residence, based on documentary evidence of the entitlement of the beneficiaries supplied by the competent institution.
5.
The Specialised Committee on Social Security Coordination may present a proposal containing any amendments which may prove necessary in order to ensure that the calculation of fixed amounts comes as close as possible to the actual expenditure incurred and the reductions referred to in paragraph 3 do not result in unbalanced payments or double payments for the States.
6.
The Specialised Committee on Social Security Coordination shall establish the methods for determining the elements for calculating the fixed amounts referred to in this Article.
Article SSCI.50
Notification of annual average costs
The annual average cost per person in each age group for a specific year shall be notified to the Specialised Committee on Social Security Coordination at the latest by the end of the second year following the year in question. If the notification is not made by this deadline, the annual average cost per person which the Specialised Committee on Social Security Coordination has last determined for a previous year will be taken.
SECTION 3
COMMON PROVISIONS
Article SSCI.51
Procedure for reimbursement between institutions
1.
Reimbursements between the States shall be made as promptly as possible. Every institution concerned shall be obliged to reimburse claims before the deadlines mentioned in this Section, as soon as it is in a position to do so. A dispute concerning a particular claim shall not hinder the reimbursement of another claim or other claims.
2.
The reimbursements between the institutions of the Member States and the United Kingdom, provided for in Articles SSC.30 and SSC.36 of this Protocol, shall be made via the liaison body. There may be a separate liaison body for reimbursements under Article SSC.30 and Article SSC.36 of this Protocol.
Article SSCI.52
Deadlines for the introduction and settlement of claims
1.
Claims based on actual expenditure shall be introduced to the liaison body of the debtor State within 12 months of the end of the calendar half-year during which those claims were recorded in the accounts of the creditor institution.
2.
Claims for fixed amounts for a calendar year shall be introduced to the liaison body of the debtor State within the 12-month period following the month during which the average costs for the year concerned were approved by the Specialised Committee on Social Security Coordination. The inventories referred to Article SSCI.49(4) shall be presented by the end of the year following the reference year.
3.
In the case referred to in the second subparagraph of Article SSCI.7(5), the deadline set out in paragraphs 1 and 2 of this Article shall not start before the competent institution has been identified.
4.
Claims introduced after the deadlines specified in paragraphs 1 and 2 shall not be considered.
5.
The claims shall be paid to the liaison body of the creditor State referred to in Article SSCI.51, by the debtor institution within 18 months of the end of the month during which they were introduced to the liaison body of the debtor State. This does not apply to the claims which the debtor institution has rejected for a relevant reason within that period.
6.
Any disputes concerning a claim shall be settled, at the latest, within 36 months following the month in which the claim was introduced.
7.
The Specialised Committee on Social Security Coordination shall facilitate the final closing of accounts in cases where a settlement cannot be reached within the period set out in paragraph 6, and, upon a reasoned request by one of the parties in the dispute, shall give its opinion on a dispute within six months following the month in which the matter was referred to it.
Article SSCI.53
Interest on late payments and down payments
1.
From the end of the 18-month period set out in Article SSCI.52(5), interest can be charged by the creditor institution on outstanding claims, unless the debtor institution has made, within six months of the end of the month during which the claim was introduced, a down payment of at least 90 % of the total claim introduced pursuant to Article SSCI.52(1) or (2). For those parts of the claim not covered by the down payment, interest may be charged only from the end of the 36-month period set out in Article SSCI.52(6).
2.
The interest shall be calculated on the basis of the reference rate applied by the financial institution designated for this purpose by the Specialised Committee on Social Security Coordination to its main refinancing operations. The reference rate applicable shall be that in force on the first day of the month on which the payment is due.
3.
No liaison body shall be obliged to accept a down payment as provided for in paragraph 1. If however, a liaison body declines such an offer, the creditor institution shall no longer be entitled to charge interest on late payments related to the claims in question other than under the second sentence of paragraph 1.
Article SSCI.54
Statement of Annual Accounts
1.
The Partnership Council shall establish the claims situation for each calendar year on the basis of the report of the Specialised Committee on Social Security Coordination. To this end, the liaison bodies shall notify the Specialised Committee on Social Security Coordination, by the deadlines and according to the procedures laid down by the latter, of the amount of the claims introduced, settled or contested (creditor position) and the amount of claims received, settled or contested (debtor position).
2.
The Partnership Council may perform any appropriate checks on the statistical and accounting data used as the basis for drawing up the annual statement of claims provided for in paragraph 1 in order, in particular, to ensure that they comply with the rules laid down under this Title.
CHAPTER 2
RECOVERY OF BENEFITS PROVIDED BUT NOT DUE, RECOVERY OF PROVISIONAL PAYMENTS AND CONTRIBUTIONS, OFFSETTING AND ASSISTANCE WITH RECOVERY
SECTION 1
PRINCIPLES
Article SSCI.55
Common provisions
For the purposes of applying Article SSC.64 of this Protocol and within the framework defined therein, the recovery of claims shall, wherever possible, be by way of offsetting either between the institutions of the Member State concerned and of the United Kingdom, or vis-à-vis the natural or legal person concerned in accordance with Articles SSCI.56 to SSCI.58 of this Annex. If it is not possible to recover all or any of the claim via this offsetting procedure, the remainder of the amount due shall be recovered in accordance with Articles SSCI.59 to SSCI.69 of this Annex.
SECTION 2
OFFSETTING
Article SSCI.56
Benefits received unduly
1.
If the institution of a State has paid undue benefits to a person, that institution may, within the terms and limits laid down in the legislation it applies, request the institution of the State responsible for paying benefits to the person concerned to deduct the undue amount from arrears or on-going payments owed to the person concerned regardless of the social security branch under which the benefit is paid. The institution of the latter State shall deduct the amount concerned subject to the conditions and limits applying to this kind of offsetting procedure in accordance with the legislation it applies in the same way as if it had made the overpayments itself, and shall transfer the amount deducted to the institution that has paid undue benefits.
2.
By way of derogation from paragraph 1, if, when awarding or reviewing benefits in respect of invalidity benefits, old-age and survivors' pensions pursuant to Chapters 3 and 4 of Title III of this Protocol, the institution of a State has paid to a person benefits of undue sum, that institution may request the institution of the State responsible for the payment of corresponding benefits to the person concerned to deduct the amount overpaid from the arrears payable to the person concerned. After the latter institution has informed the institution that has paid an undue sum of these arrears, the institution which has paid the undue sum shall within two months communicate the amount of the undue sum. If the institution which is due to pay arrears receives that communication within the deadline it shall transfer the amount deducted to the institution which has paid undue sums. If the deadline expires, that institution shall without delay pay out the arrears to the person concerned.
3.
If a person has received social welfare assistance in one State during a period in which they were entitled to benefits under the legislation of another State, the body which provided the assistance may, if it is legally entitled to reclaim the benefits due to the person concerned, request the institution of any other State responsible for paying benefits in favour of the person concerned to deduct the amount of assistance paid from the amounts which that State pays to the person concerned.
This provision applies 
mutatis mutandis
 to any family member of a person concerned who has received assistance in the territory of a State during a period in which the insured person was entitled to benefits under the legislation of another State in respect of that family member.
The institution of a State which has paid an undue amount of assistance shall send a statement of the amount due to the institution of the other State, which shall then deduct the amount, subject to the conditions and limits laid down for this kind of offsetting procedure in accordance with the legislation it applies, and transfer the amount without delay to the institution that has paid the undue amount.
Article SSCI.57
Provisionally paid benefits in cash or contributions
1.
For the purposes of applying Article SSCI.6, at the latest three months after the applicable legislation has been determined or the institution responsible for paying the benefits has been identified, the institution which provisionally paid the cash benefits shall draw up a statement of the amount provisionally paid and shall send it to the institution identified as being competent.
The institution identified as being competent for paying the benefits shall deduct the amount due in respect of the provisional payment from the arrears of the corresponding benefits it owes to the person concerned and shall without delay transfer the amount deducted to the institution which provisionally paid the cash benefits.
If the amount of provisionally paid benefits exceeds the amount of arrears, or if arrears do not exist, the institution identified as being competent shall deduct this amount from ongoing payments subject to the conditions and limits applying to this kind of offsetting procedure under the legislation it applies, and without delay transfer the amount deducted to the institution which provisionally paid the cash benefits.
2.
The institution which has provisionally received contributions from a legal or natural person shall not reimburse the amounts in question to the person who paid them until it has ascertained from the institution identified as being competent the sums due to it under Article SSCI.6(4).
Upon request of the institution identified as being competent, which shall be made at the latest three months after the applicable legislation has been determined, the institution that has provisionally received contributions shall transfer them to the institution identified as being competent for that period for the purpose of settling the situation concerning the contributions owed by the legal or natural person to it. The contributions transferred shall be retroactively deemed as having been paid to the institution identified as being competent.
If the amount of provisionally paid contributions exceeds the amount the legal or natural person owes to the institution identified as being competent, the institution which provisionally received contributions shall reimburse the amount in excess to the legal or natural person concerned.
Article SSCI.58
Costs related to offsetting
No costs are payable where the debt is recovered via the offsetting procedure provided for in Articles SSCI.56 and SSCI.57.
SECTION 3
RECOVERY
Article SSCI.59
Definitions and common provisions
1.
For the purposes of this Section:
(a)
"claim" means all claims relating to contributions or to benefits paid or provided unduly, including interest, fines, administrative penalties and all other charges and costs connected with the claim in accordance with the legislation of the State making the claim;
(b)
"applicant party" means, in respect of each State, any institution which makes a request for information, notification or recovery concerning a claim as defined above;
(c)
"requested party" means, in respect of each State, any institution to which a request for information, notification or recovery can be made.
2.
Requests and any related communications between the States shall, in general, be addressed via designated institutions.
3.
Practical implementation measures, including, among others, those related to Article SSCI.4 and to setting a minimum threshold for the amounts for which a request for recovery can be made, shall be taken by the Specialised Committee on Social Security Coordination.
Article SSCI.60
Requests for information
1.
At the request of the applicant party, the requested party shall provide any information which would be useful to the applicant party in the recovery of its claim.
2.
In order to obtain that information, the requested party shall make use of the powers provided for under the laws, regulations or administrative practices applying to the recovery of similar claims arising in its own State. The request for information shall indicate the name, last known address, and any other relevant information relating to the identification of the legal or natural person concerned to whom the information to be provided relates and the nature and amount of the claim in respect of which the request is made.
3.
The requested party shall not be obliged to supply information:
(a)
which it would not be able to obtain for the purpose of recovering similar claims arising in its own territory;
(b)
which would disclose any commercial, industrial or professional secrets; or
(c)
the disclosure of which would be liable to prejudice the security of or be contrary to the public policy of a State.
4.
The requested party shall inform the applicant party of the grounds for refusing a request for information.
Article SSCI.61
Notification
1.
The requested party shall, at the request of the applicant party, and in accordance with the rules in force for the notification of similar instruments or decisions in its own territory, notify the addressee of all instruments and decisions, including those of a judicial nature, which come from the State of the applicant party and which relate to a claim or to its recovery.
2.
The request for notification shall indicate the name, address and any other relevant information relating to the identification of the addressee concerned to which the applicant party normally has access, the nature and the subject of the instrument or decision to be notified and, if necessary the name, address and any other relevant information relating to the identification of the debtor and the claim to which the instrument or decision relates, and any other useful information.
3.
The requested party shall without delay inform the applicant party of the action taken on its request for notification and, particularly, of the date on which the decision or instrument was forwarded to the addressee.
Article SSCI.62
Request for recovery
1.
At the request of the applicant party, the requested party shall recover claims that are the subject of an instrument permitting enforcement issued by the applicant party to the extent permitted by and in accordance with the laws and administrative practices in force in the State of the requested party.
2.
The applicant party may only make a request for recovery if:
(a)
it also provides to the requested party an official or certified copy of the instrument permitting enforcement of the claim in the State of the applicant party, except in cases where Article SSCI.64(3) is applied;
(b)
the claim or instrument permitting its enforcement are not contested in its own State;
(c)
it has, in its own State, applied appropriate recovery procedures available to it on the basis of the instrument referred to in paragraph 1, and the measures taken will not result in the payment in full of the claim;
(d)
the period of limitation according to its own legislation has not expired.
3.
The request for recovery shall indicate:
(a)
the name, address and any other relevant information relating to the identification of the natural or legal person concerned or to the identification of any third party holding that person's assets;
(b)
the name, address and any other relevant information relating to the identification of the applicant party;
(c)
a reference to the instrument permitting its enforcement, issued in the State of the applicant party;
(d)
the nature and amount of the claim, including the principal, interest, fines, administrative penalties and all other charges and costs due indicated in the currencies of the State(s) of the applicant and requested parties;
(e)
the date of notification of the instrument to the addressee by the applicant party or by the requested party;
(f)
the date from which and the period during which enforcement is possible under the laws in force in the State of the applicant party;
(g)
any other relevant information.
4.
The request for recovery shall also contain a declaration by the applicant party confirming that the conditions laid down in paragraph 2 have been fulfilled.
5.
The applicant party shall forward to the requested party any relevant information relating to the matter which gave rise to the request for recovery, as soon as this comes to its knowledge.
Article SSCI.63
Instrument permitting enforcement of recovery
1.
In accordance with Article SSC.64(2) of this Protocol, the instrument permitting enforcement of the claim shall be directly recognised and treated automatically as an instrument permitting the enforcement of a claim of the State of the requested party
2.
Notwithstanding paragraph 1, the instrument permitting enforcement of the claim may, where appropriate and in accordance with the provisions in force in the State of the requested party, be accepted as, recognised as, supplemented with, or replaced by an instrument authorising enforcement in the territory of that State.
Within three months of the date of receipt of the request for recovery, the State(s) shall endeavour to complete the acceptance, recognition, supplementing or replacement, except in cases where the third subparagraph of this paragraph applies. States may not refuse to complete these actions where the instrument permitting enforcement is properly drawn up. The requested party shall inform the applicant party of the grounds for exceeding the three-month period.
If any of these actions should give rise to a dispute in connection with the claim or the instrument permitting enforcement issued by the applicant party, Article SSCI.65 shall apply.
Article SSCI.64
Payment arrangements and deadline
1.
Claims shall be recovered in the currency of the State of the requested party. The entire amount of the claim that is recovered by the requested party shall be remitted by the requested party to the applicant party.
2.
The requested party may, where the laws, regulations or administrative provisions in force in its own State so permit, and after consulting the applicant party, allow the debtor time to pay or authorise payment by instalment. Any interest charged by the requested party in respect of such extra time to pay shall also be remitted to the applicant party.
3.
From the date on which the instrument permitting enforcement of the recovery of the claim has been directly recognised in accordance with Article SSCI.63(1) or accepted, recognised, supplemented or replaced in accordance with Article SSCI.63(2), interest shall be charged for late payment under the laws, regulations and administrative provisions in force in the State of the requested party and shall also be remitted to the applicant party.
Article SSCI.65
Contestation concerning the claim or the instrument permitting enforcement of its recovery and contestation concerning enforcement measures
1.
If, in the course of the recovery procedure, the claim or the instrument permitting its enforcement issued in the State of the applicant party are contested by an interested party, the action shall be brought by this party before the appropriate authorities of the State of the applicant party, in accordance with the laws in force in that State. The applicant party shall without delay notify the requested party of this action. The interested party may also inform the requested party of the action.
2.
As soon as the requested party has received the notification or information referred to in paragraph 1 either from the applicant party or from the interested party, it shall suspend the enforcement procedure pending the decision of the appropriate authority in the matter, unless the applicant party requests otherwise in accordance with the second subparagraph of this paragraph. Should the requested party deem it necessary, and without prejudice to Article SSCI.68, it may take precautionary measures to guarantee recovery insofar as the laws or regulations in force in its own State allow such action for similar claims.
Notwithstanding the first subparagraph, the applicant party may, in accordance with the laws, regulations and administrative practices in force in its own State, request the requested party to recover a contested claim, insofar as the relevant laws, regulations and administrative practices in force in the requested party's State allow such action. If the result of the contestation is subsequently favourable to the debtor, the applicant party shall be liable for the reimbursement of any sums recovered, together with any compensation due, in accordance with the legislation in force in the requested party's State.
3.
Where the contestation concerns enforcement measures taken in the State of the requested party, the action shall be brought before the appropriate authority of that State in accordance with its laws and regulations.
4.
Where the appropriate authority before which the action is brought in accordance with paragraph 1 is a judicial or administrative tribunal, the decision of that tribunal, insofar as it is favourable to the applicant party and permits recovery of the claim in the State of the applicant party, shall constitute the "instrument permitting enforcement" within the meaning of Articles SSCI.62 and SSCI.63 and the recovery of the claim shall proceed on the basis of that decision.
Article SSCI.66
Limits applying to assistance
1.
The requested party shall not be obliged:
(a)
to grant the assistance provided for in Articles SSCI.62 to SSCI.65, if recovery of the claim would, because of the situation of the debtor, create serious economic or social difficulties in the State of the requested party, insofar as the laws, regulations or administrative practices in force in the State of the requested party allow such action for similar national claims;
(b)
to grant the assistance provided for in Articles SSCI.60 to SSCI.65, if the initial request under Articles SSCI.60 to SSCI.62 applies to claims more than five years old, dating from the moment the instrument permitting the recovery was established in accordance with the laws, regulations or administrative practices in force in the State of the applicant party at the date of the request. However, if the claim or instrument is contested, the time limit begins from the moment that the State of the applicant party establishes that the claim or the enforcement order permitting recovery may no longer be contested.
2.
The requested party shall inform the applicant party of the grounds for refusing a request for assistance.
Article SSCI.67
Periods of limitation
1.
Questions concerning periods of limitation shall be governed as follows:
(a)
by the laws in force in the State of the applicant party, insofar as they concern the claim or the instrument permitting its enforcement; and
(b)
by the laws in force in the State of the requested party, insofar as they concern enforcement measures in the requested State.
Periods of limitation according to the laws in force in the State of the requested party shall start from the date of direct recognition or from the date of acceptance, recognition, supplementing or replacement in accordance with Article SSCI.63.
2.
Steps taken in the recovery of claims by the requested party in pursuance of a request for assistance, which, if they had been carried out by the applicant party, would have had the effect of suspending or interrupting the period of limitation according to the laws in force in the State of the applicant party, shall be deemed to have been taken in the latter, insofar as that effect is concerned.
Article SSCI.68
Precautionary measures
Upon reasoned request by the applicant party, the requested party shall take precautionary measures to ensure recovery of a claim insofar as the laws and regulations in force in the State of the requested party so permit.
For the purposes of implementing the first paragraph, the provisions and procedures laid down in Articles SSCI.62, SSCI.63, SSCI.65 and SSCI.66 apply 
mutatis mutandis
.
Article SSCI.69
Costs related to recovery
1.
The requested party shall recover from the natural or legal person concerned and retain any costs linked to recovery which it incurs, in accordance with the laws and regulations of the State of the requested party that apply to similar claims.
2.
Mutual assistance afforded under this Section shall, as a rule, be free of charge. However, where recovery poses a specific problem or concerns a very large amount in costs, the applicant and the requested parties may agree on reimbursement arrangements specific to the cases in question.
The State of the applicant party shall remain liable to the State of the requested party for any costs and any losses incurred as a result of actions held to be unfounded, as far as either the substance of the claim or the validity of the instrument issued by the applicant party is concerned.
TITLE V
MISCELLANEOUS, TRANSITIONAL AND FINAL PROVISIONS
Article SSCI.70
Medical examination and administrative checks
1.
Without prejudice to other provisions, where a recipient or a claimant of benefits, or a member of that person's family, is staying or residing within the territory of a State other than that in which the debtor institution is located, the medical examination shall be carried out, at the request of that institution, by the institution of the beneficiary's place of stay or residence in accordance with the procedures laid down by the legislation applied by that institution.
The debtor institution shall inform the institution of the place of stay or residence of any special requirements, if necessary, to be followed and points to be covered by the medical examination.
2.
The institution of the place of stay or residence shall forward a report to the debtor institution that requested the medical examination. This institution shall be bound by the findings of the institution of the place of stay or residence.
The debtor institution shall reserve the right to have the beneficiary examined by a doctor of its choice. However, the beneficiary may be asked to return to the State of the debtor institution only if the beneficiary is able to make the journey without prejudice to the beneficiary's health and the cost of travel and accommodation is paid for by the debtor institution.
3.
Where a recipient or a claimant of benefits, or a member of that person's family, is staying or residing in the territory of a State other than that in which the debtor institution is located, the administrative check shall, at the request of the debtor institution, be performed by the institution of the beneficiary's place of stay or residence.
Paragraph 2 shall also apply in this case.
4.
As an exception to the principle of free-of-charge mutual administrative cooperation in Article SSC.59(3) of this Protocol, the effective amount of the expenses of the checks referred to in this Article shall be refunded to the institution which was requested to carry them out by the debtor institution which requested them.
Article SSCI.71
Notifications
1.
The States shall notify the Specialised Committee on Social Security Coordination of the details of the bodies and entities defined in Article SSC.1 of this Protocol and points (a) and (b) of Article SSCI.1(2) of this Annex, and of the institutions designated in accordance with this Annex.
2.
The bodies specified in paragraph 1 shall be provided with an electronic identity in the form of an identification code and electronic address.
3.
The Specialised Committee on Social Security Coordination shall establish the structure, content and detailed arrangements, including the common format and model, for notification of the details specified in paragraph 1.
4.
For the purposes of implementing this Protocol, the United Kingdom may take part in the Electronic Exchange of Social Security Information and bear the related costs.
5.
The States shall be responsible for keeping the information specified in paragraph 1 up to date.
Article SSCI.72
Information
The Specialised Committee on Social Security Coordination shall prepare the information needed to ensure that the parties concerned are aware of their rights and the administrative formalities required in order to assert them. This information shall, where possible, be disseminated electronically via publication online on sites accessible to the public. The Specialised Committee on Social Security Coordination shall ensure that the information is regularly updated and monitor the quality of services provided to customers.
Article SSCI.73
Currency conversion
For the purposes of this Protocol and this Annex, the exchange rate between two currencies shall be the reference rate published by the financial institution designated for this purpose by the Specialised Committee on Social Security Coordination. The date to be taken into account for determining the exchange rate shall be fixed by the Specialised Committee on Social Security Coordination.
Article SSCI.74
Implementing provisions
The Specialised Committee on Social Security Coordination may adopt further guidance on the implementation of this Protocol and of this Annex.
Article SSCI.75
Interim provisions for forms and documents
1.
For an interim period, the end date of which shall be agreed by the Specialised Committee on Social Security Coordination, all forms and documents issued by the competent institutions in the format used immediately before this Protocol comes into force shall be valid for the purposes of implementing this Protocol and, where appropriate, shall continue to be used for the exchange of information between competent institutions. All such forms and documents issued before and during that interim period shall be valid until their expiry or cancellation.
2.
The forms and documents valid in accordance with paragraph 1 include:
(a)
European Health Insurance Cards issued on behalf of the United Kingdom, which shall be valid entitlement documents for the purposes of Article SSC.17 and Article SSC.25(1) of this Protocol and Article SSCI.22 of this Annex; and
(b)
portable documents which certify a person's social security situation as required to give effect to this Protocol.
Appendix SSCI-1
ADMINISTRATIVE ARRANGEMENTS BETWEEN TWO OR MORE STATES (referred to in Article SSCI.8 of this Annex)
BELGIUM — UNITED KINGDOM
The Exchange of Letters of 4 May and 14 June 1976 regarding Article 105(2) of Regulation (EEC) No 574/72 (waiving of reimbursement of the costs of administrative checks and medical examinations)
The Exchange of Letters of 18 January and 14 March 1977 regarding Article 36(3) of Regulation (EEC) No 1408/71 (arrangement for reimbursement or waiving of reimbursement of the costs of benefits in kind provided under the terms of Chapter 1 of Title III of Regulation (EEC) No 1408/71) as amended by the Exchange of Letters of 4 May and 23 July 1982 (agreement for reimbursement of costs incurred under Article 22(1)(a) of Regulation (EEC) No 1408/71)
DENMARK — UNITED KINGDOM
The Exchange of Letters of 30 March and 19 April 1977 as modified by an Exchange of Letters of 8 November 1989 and of 10 January 1990 on agreement of waiving of reimbursement of the costs of benefits in kind and administrative checks and medical examinations
ESTONIA — UNITED KINGDOM
The Arrangement finalised on 29 March 2006 between the Competent Authorities of the Republic of Estonia and of the United Kingdom under Article 36(3) and 63(3) of Regulation (EEC) No 1408/71 establishing other methods of reimbursement of the costs of benefits in kind provided under Regulation (EC) No 883/2004 by both countries with effect from 1 May 2004
FINLAND — UNITED KINGDOM
The Exchange of Letters 1 and 20 June 1995 concerning Article 36(3) and 63(3) of Regulation (EEC) No 1408/71 (reimbursement or waiving of reimbursement of the cost of benefits in kind) and Article 105(2) of Regulation (EEC) 574/72 (waiving of reimbursement of the cost of administrative checks and medical examinations)
FRANCE — UNITED KINGDOM
The Exchange of Letters of 25 March and 28 April 1997 regarding Article 105(2) of Regulation (EEC) No 574/72 (waiving of reimbursement of the costs of administrative checks and medical examinations)
The Agreement of 8 December 1998 on the specific methods of determining the amounts to be reimbursed for benefits in kind pursuant to Regulations (EEC) No 1408/71 and (EEC) No 574/72
HUNGARY — UNITED KINGDOM
The Arrangement finalised on 1 November 2005 between the Competent Authorities of the Republic of Hungary and of the United Kingdom under Article 35(3) and 41(2) of Regulation (EEC) No 883/2004 establishing other methods of reimbursement of the costs of benefits in kind provided under that Regulation by both countries with effect from 1 May 2004
IRELAND — UNITED KINGDOM
The Exchange of Letters of 9 July 1975 regarding Article 36(3) and 63(3) of Regulation (EEC) No 1408/71 (arrangement for reimbursement or waiving of reimbursement of the costs of benefits in kind provided under the terms of Chapter 1 or 4 of Title III of Regulation (EEC) No 1408/71) and Article 105(2) of Regulation (EEC) No 574/72 (waiving of reimbursement of the costs of administrative checks and medical examinations)
ITALY — UNITED KINGDOM
The Arrangement signed on 15 December 2005 between the Competent Authorities of the Italian Republic and of the United Kingdom under Article 36(3) and 63(3) of Regulation (EEC) No 1408/71 establishing other methods of reimbursement of the costs of benefits in kind provided under Regulation (EC) No 883/2004 by both countries with effect from 1 January 2005
LUXEMBOURG — UNITED KINGDOM
The Exchange of Letters of 18 December 1975 and 20 January 1976 regarding Article 105(2) of Regulation (EEC) No 574/72 (waiving of reimbursement of the costs entailed in administrative checks and medical examinations referred to in Article 105 of Regulation (EEC) No 574/72)
MALTA — UNITED KINGDOM
The Arrangement finalised on 17 January 2007 between the Competent Authorities of Malta and of the United Kingdom under Article 35(3) and 41(2) of Regulation (EEC) No 883/2004 establishing other methods of reimbursement of the costs of benefits in kind provided under that Regulation by both countries with effect from 1 May 2004
NETHERLANDS — UNITED KINGDOM
The second sentence of Article 3 of the Administrative Arrangement of 12 June 1956 on the implementation of the Convention of 11 August 1954
PORTUGAL — UNITED KINGDOM
The Arrangement of 8 June 2004 establishing other methods of reimbursement of the costs of benefits in kind provided by both countries with effect from 1 January 2003
SPAIN — UNITED KINGDOM
The Agreement of 18 June 1999 on the reimbursement of costs for benefits in kind granted pursuant to the provisions of Regulations (EEC) No 1408/71 and (EEC) No 574/72
SWEDEN — UNITED KINGDOM
The Arrangement of 15 April 1997 concerning Article 36(3) and Article 63(3) of Regulation (EEC) No 1408/71 (reimbursement or waiving of reimbursement of the cost of benefits in kind) and Article 105(2) of Regulation (EEC) No 574/72 (waiving of refunds of the costs of administrative checks and medical examinations)
Appendix SSCI-2
ENTITLEMENT DOCUMENT (Article SSC.17 and Article SSC.25(1) of this Protocol and Article SSCI.22 of this Annex)
1.
Entitlement documents issued for the purposes of Article SSC.17 and Article SSC.25(1) of this Protocol by the competent institutions of Member States shall comply with Decision No S2 of 12 June 2009 of the Administrative Commission concerning the technical specifications of the European Health Insurance Card.
2.
Entitlement documents issued for the purposes of Article SSC.17 and Article SSC.25(1) by the competent institutions of the United Kingdom shall contain the following data:
(a)
surname and forename of the document holder;
(b)
personal identification number of the document holder;
(c)
date of birth of the document holder;
(d)
expiry date of the document;
(e)
the code "UK" in lieu of the ISO code of the United Kingdom;
(f)
identification number and acronym of the United Kingdom institution issuing the document;
(g)
logical number of the document;
(h)
in the case of a provisional document, the date of issue and date of delivery of the document, and the signature and stamp of the United Kingdom institution.
3.
The technical specifications of entitlement documents issued by the United Kingdom shall be notified without delay to the Specialised Committee on Social Security Coordination in order to facilitate the acceptance of the respective documents by institutions of the Member States providing the benefits in kind.
BENEFITS IN KIND REQUIRING PRIOR AGREEMENT (Article SSC.17 and Article SSC.25(1) of this Protocol)
1.
The benefits in kind to be provided under Article SSC.17 and Article SSC.25(1) of this Protocol shall include benefits provided in conjunction with chronic or existing illnesses as well as in conjunction with pregnancy and childbirth.
2.
Benefits in kind, including those in conjunction with chronic or existing illnesses or in conjunction with childbirth, are not covered by these provisions when the objective of the stay in another State is to receive these treatments.
3.
Any vital medical treatment which is only accessible in a specialised medical unit or given by specialised staff or equipment must be subject to a prior agreement between the insured person and the unit providing the treatment in order to ensure that the treatment is available during the insured person's stay in a State other than the competent State or the one of residence.
4.
A non-exhaustive list of the treatments which fulfil these criteria is the following:
(a)
kidney dialysis;
(b)
oxygen therapy;
(c)
special asthma treatment;
(d)
echocardiography in case of chronic autoimmune diseases;
(e)
chemotherapy.
Appendix SSCI-3
STATES CLAIMING THE REIMBURSEMENT OF THE COST OF BENEFITS IN KIND ON THE BASIS OF FIXED AMOUNTS (referred to in Article SSCI.48(1) of this Annex)
IRELAND
SPAIN
CYPRUS
PORTUGAL
SWEDEN
UNITED KINGDOM
ANNEX SSC-8
TRANSITIONAL PROVISIONS REGARDING THE APPLICATION OF ARTICLE SSC.11
MEMBER STATES

Summary:
EU-UK Trade and Cooperation agreement
SUMMARY OF:
Trade and cooperation agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part
Agreement between the European Union and the United Kingdom of Great Britain and Northern Ireland concerning security procedures for exchanging and protecting classified information
Decision (EU) 2020/2252 on the signing, on behalf of the Union, of the EU-UK Trade and Cooperation Agreement and of the Agreement concerning security procedures for exchanging and protecting classified information
Decision (Euratom) 2020/2253 approving the conclusion of the Agreement between the Government of the United Kingdom of Great Britain and Northern Ireland and the European Atomic Energy Community for Cooperation on the Safe and Peaceful Uses of Nuclear Energy and of the Trade and Cooperation Agreement
Declarations referred to in the Council Decision on the conclusion, on behalf of the Union, of the Trade and Cooperation Agreement and of the Agreement concerning security procedures for exchanging and protecting classified information
Decision (EU) 2021/689 on the conclusion, on behalf of the Union, of the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part, and of the Agreement between the European Union and the United Kingdom of Great Britain and Northern Ireland concerning security procedures for exchanging and protecting classified information
Notice concerning the entry into force of the EU-UK Trade and Cooperation Agreement and of the Agreement concerning security procedures for exchanging and protecting classified information
WHAT IS THE AIM OF THE DECISIONS, THE AGREEMENTS AND THE DECLARATIONS?
The decisions cover the signing and application of the free trade agreement between the United Kingdom and the 
EU
 and the EU 
Member States
.
The agreement is designed to go further than a traditional free trade agreement and provide a solid basis to preserve friendship and cooperation in the future. It reflects the fact that the UK is leaving the EU’s system of common rules, supervision and enforcement mechanisms, and will no longer enjoy the benefits of the EU’s 
single market
.
The declarations set out political decisions agreed between the 2 parties on a number of specific issues and policy areas.
KEY POINTS
The agreement is divided into 7 parts followed by 3 protocols and more than 600 pages of annexes.
Part 1: Common and institutional rules
This part lays out the aims of the agreement, rules for supplementary agreements between the parties and sets out the institutional structure, including the Partnership Council committees and working groups designed to ensure the proper functioning of the agreement.
Part 2: Trade, transport, fisheries and other arrangements
This part is subdivided into several headings:
1.
Trade
 — this heading covers a number of areas including:
trade in goods
 — including an agreement for zero tariffs or quotas on goods traded, mutual recognition of trusted traders programmes, and rules of origin;
services and investments
 — includes an agreement for equal treatment for EU service suppliers and investors in the UK and vice versa;
digital trade
 — includes the removal of unjustified barriers to digital trade, including prohibition of data localisation requirements, while respecting data protection rules;
energy
 — includes guarantees on security of energy supply, offshore energy cooperation in the North Sea, enforceable commitments towards the 
Paris Agreement
 and non-regression on climate change and carbon pricing;
a level playing field
 for open and fair competition and 
sustainable development
.
2. 
Aviation
 — the agreement includes:
unlimited point-to-point traffic between EU and UK airports;
cooperation on aviation safety, security and air traffic management;
rules on ground-handling and slots (non-discrimination and access), and passenger rights.
3. 
Road transport
 — the agreement includes:
unlimited point-to-point access for hauliers carrying loads between the EU and the UK and full transit rights across each other’s territories;
rules on working conditions, road safety, fair competition, and a level playing field regarding the environment, social issues and competition.
4. 
Social security coordination and visas for short term visits
 — the agreement includes:
coordination of some social security benefits (old-age and survivors’ pensions, pre-retirement, healthcare, maternity and paternity, accidents at work) making it easier to work abroad and not lose rights;
non-discrimination clause ensures equal treatment of EU citizens for short-term visas.
5. 
Fisheries
 — the agreement includes:
new arrangements ensure sustainable management of shared fish stocks in EU and UK waters, respecting both parties’ rights and obligations as independent coastal states;
a transition period of five and a half years during which reciprocal access rights to fish in each other’s waters remain unchanged, with a gradual transfer of EU quotas to the UK.
Part 3: Law enforcement and judicial cooperation in criminal matters
The agreement ensures that the parties will work together in a number of ways including:
continued cooperation between UK, 
Europol
 and 
Eurojust
;
arrangements for close cooperation between national police and judicial authorities of the UK and EU Member States, including on surrender;
mechanisms for swift exchanges of 
Passenger Name Record (PNR)
 data, of 
DNA, fingerprints and vehicle registration data (Prüm)
, and of criminal record information;
cooperation on money-laundering and terrorist financing.
Part 4: Thematic cooperation
The agreement ensures cooperation on certain other issues including:
cross-border health security threats;
sharing classified information and best practice in the field of cyber security, including the opportunity for the UK to take part in the 
EU Agency for Cyber Security (ENISA)
.
Part 5: Participation in EU programmes, sound financial management and financial provisions
The UK will take part in 5 EU programmes open to non-EU country participation (subject to its financial contribution):
Horizon Europe
 (research and innovation);
Euratom Research and Training programme
;
ITER
 (fusion test facility);
Copernicus
 (Earth monitoring system);
Access to 
EU satellite 
surveillance & tracking
 (SST) services
.
Part 6: Dispute settlement and horizontal rules
If a solution to a disagreement cannot be found between the parties, an independent arbitration tribunal can be set up to settle the matter through a binding ruling. This dispute settlement mechanism covers most areas of the agreement, including the level playing field and fisheries.
The mechanism is accompanied by enforcement and safeguard mechanisms including the possibility to suspend market access commitments, e.g. by reintroducing tariffs and/or quotas in the affected area.
Both parties will also be able to 
cross-retaliate
1
 if the other does not comply with a ruling of an independent arbitration tribunal.
Any substantial breach of obligations deemed ‘
essential elements
’ (fighting climate change, respecting democratic values and fundamental rights, or non-proliferation) can trigger the suspension or termination of all or part of the entire agreement.
Part 7: Final provisions
The agreement does not apply to 
Gibraltar
 nor to 
British overseas territories
.
The agreement and any supplementary agreements will be reviewed every 5 years.
Annexes and protocols
There are numerous 
annexes
 to the agreement covering issues such as:
rules of procedure of the Partnership Council and committees;
rules of origin;
motor vehicles, equipment and parts;
medical products;
rules for authorised economic operators;
guidelines for the recognition of professional qualifications.
The are 3 
protocols
 attached to the agreement:
Protocol on 
administrative cooperation and combating fraud in the field of value added tax
 and for 
mutual assistance for the recovery of claims related to tax and duties
 — this protocol sets out the rules and procedures for cooperation in this field.
Protocol on 
mutual administrative assistance in customs matters
 — this protocol is designed to enable the two parties to assist each other in ensuring the correct application of customs legislation, in particular by preventing, investigating and combating operations in breach of that legislation.
Protocol on 
social security coordination
 — this protocol sets out the rules for coordination on: 
sickness benefits;
maternity and paternity benefits;
invalidity benefits;
old-age benefits.
Declarations
The declarations cover a wide range of issues including:
financial service regulatory cooperation;
countering harmful tax regimes;
monetary policy and subsidy control;
road hauliers;
asylum and returns;
various aspects of law enforcement and judicial cooperation on criminal matters;
exchange and protection of classified information;
UK participation in EU programmes and access to programme services;
a draft protocol on the programmes and activities in which the UK will participate.
FROM WHEN DO THE DECISIONS AND AGREEMENT APPLY?
Decisions (EU) 2020/2252 and (Euratom) 2020/2253 have applied since 
29 December 2020
.
Following the consent of the 
European Parliament
 on 
27 April 2021
 and the 
Council
 decision on 
29 April 2021
, the EU-UK Trade and Cooperation Agreement and the Agreement on security of information entered into force on 
1 May 2021
.
BACKGROUND
The Trade and Cooperation Agreement follows on from the 
Withdrawal Agreement
 agreed between the UK and the EU which entered into force on 
1 February 2020
. The Withdrawal Agreement covered issues such as:
citizens’ rights — both of EU citizens living in the UK and 
vice versa
;
separation issues — steps to ensure an orderly withdrawal of the UK;
a transition period from 1 February to 
31 December 2020
 — to enable a Trade and Cooperation Agreement to be negotiated, and during which the UK was treated in most respects as a Member State;
the financial settlement — ensuring that the UK honoured its financial obligations as a Member State.
KEY TERMS
Cross-retaliation:
 retaliation by means such as tariffs, in one sector of trade, such as agriculture, to counter unfair actions or violations of agreements affecting trade in another sector.
MAIN DOCUMENTS
Trade and cooperation agreement
 between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part (OJ L 149, 
30.4.2021
, 
pp. 10-2539
)
Agreement
 between the European Union and the United Kingdom of Great Britain and Northern Ireland concerning security procedures for exchanging and protecting classified information (OJ L 149, 
30.4.2021
, 
pp. 2540-2548
)
Council Decision (EU) 
2020/2252
 of 
29 December 2020
 on the signing, on behalf of the Union, and on provisional application of the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part, and of the Agreement between the European Union and the United Kingdom of Great Britain and Northern Ireland concerning security procedures for exchanging and protecting classified information (OJ L 444, 
31.12.2020
, 
pp. 2-10
)
Council Decision (Euratom) 
2020/2253
 of 
29 December 2020
 approving the conclusion, by the European Commission, of the Agreement between the Government of the United Kingdom of Great Britain and Northern Ireland and the European Atomic Energy Community for Cooperation on the Safe and Peaceful Uses of Nuclear Energy and the conclusion, by the European Commission, on behalf of the European Atomic Energy Community, of the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part (OJ L 444, 
31.12.2020
, 
pp. 11-13
)
Declarations
 referred to in the Council Decision on the conclusion, on behalf of the Union, of the Trade and Cooperation Agreement and of the Agreement concerning security procedures for exchanging and protecting classified information (OJ L 149, 
30.4.2021
, 
pp. 2549-2559
)
Council Decision (EU) 
2021/689
 of 
29 April 2021
 on the conclusion, on behalf of the Union, of the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part, and of the Agreement between the European Union and the United Kingdom of Great Britain and Northern Ireland concerning security procedures for exchanging and protecting classified information (OJ L 149, 
30.4.2021
, 
pp. 2-9
)
Notice
 concerning the entry into force of the Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part, and of the Agreement between the European Union and the United Kingdom of Great Britain and Northern Ireland concerning security procedures for exchanging and protecting classified information (OJ L 149, 
30.4.2021
, 
p. 2560
)
RELATED DOCUMENT
Agreement
 on the withdrawal of the United Kingdom of Great Britain and Northern Ireland from the European Union and the European Atomic Energy Community (OJ C 384I, 
12.11.2019
, 
pp. 1-177
)
last update 
27.5.2021

--- DANISH ---

Document:
30.4.2021
DA
Den Europæiske Unions Tidende
L 149/10
HANDELS- OG SAMARBEJDSAFTALE
mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side
PRÆAMBEL
DEN EUROPÆISKE UNION OG DET EUROPÆISKE ATOMENERGIFÆLLESSKAB
OG
DET FORENEDE KONGERIGE STORBRITANNIEN OG NORDIRLAND,
1.
SOM PÅ NY BEKRÆFTER deres tilslutning til de demokratiske principper, til retsstatsprincippet, til menneskerettighederne, til bekæmpelse af spredning af masseødelæggelsesvåben og til bekæmpelse af klimaændringer, som udgør væsentlige elementer i denne aftale og supplerende aftaler,
2.
SOM ANERKENDER betydningen af globalt samarbejde for at løse spørgsmål af fælles interesse,
3.
SOM ANERKENDER betydningen af gennemsigtighed i international handel og internationale investeringer til gavn for alle interessenter,
4.
SOM ØNSKER at fastsætte klare og gensidigt fordelagtige regler for handel og investeringer mellem parterne,
5.
SOM TAGER I BETRAGTNING, at det for at sikre en effektiv forvaltning og en korrekt fortolkning og anvendelse af denne aftale og eventuelle supplerende aftaler samt overholdelse af forpligtelserne i henhold til disse aftaler er afgørende at fastsætte bestemmelser, der sikrer den overordnede styring, navnlig tvistbilæggelses- og håndhævelsesregler, der fuldt ud respekterer autonomien i Unionens og Det Forenede Kongeriges respektive retssystemer samt Det Forenede Kongeriges status som et land uden for Den Europæiske Union,
6.
SOM BYGGER på deres respektive rettigheder og forpligtelser i henhold til Marrakeshoverenskomsten om oprettelse af Verdenshandelsorganisationen, indgået den 15. april 1994, og andre multilaterale og bilaterale samarbejdsinstrumenter,
7.
SOM ANERKENDER parternes respektive autonomi og ret til at regulere på deres område med henblik på at nå legitime mål for den offentlige politik, såsom beskyttelse og fremme af folkesundheden, sociale tjenesteydelser, offentlig uddannelse, sikkerhed, miljø, herunder klimaændringer, beskyttelse af den offentlige moral, social beskyttelse eller forbrugerbeskyttelse, dyrevelfærd, privatlivets fred og databeskyttelse samt fremme og beskyttelse af kulturel mangfoldighed, samtidig med at de bestræber sig på at forbedre deres respektive høje beskyttelsesniveauer,
8.
SOM ER OVERBEVIST om fordelene ved et forudsigeligt handelsmiljø, der fremmer handel og investeringer mellem parterne og forhindrer forvridning af samhandelen og urimelige konkurrencefordele og på en måde, der fremmer en bæredygtig udvikling i dens økonomiske, sociale og miljømæssige dimensioner,
9.
SOM ANERKENDER behovet for et ambitiøst, vidtfavnende og afbalanceret økonomisk partnerskab, der skal understøttes af lige vilkår for åben og fair konkurrence og bæredygtig udvikling gennem effektive og solide rammer for subsidier og konkurrence og en forpligtelse til at opretholde deres respektive høje beskyttelsesniveauer på områderne arbejdsstandarder og sociale standarder, miljø, bekæmpelse af klimaændringer og beskatning,
10.
SOM ANERKENDER behovet for at sikre et åbent og sikkert marked for virksomheder, herunder små og mellemstore virksomheder, og deres varer og tjenesteydelser ved at fjerne uberettigede hindringer for handel og investeringer,
11.
SOM NOTERER SIG betydningen af at fremme nye muligheder for virksomheder og forbrugere gennem digital handel og fjerne uberettigede hindringer for datastrømme og handel ved hjælp af elektroniske midler, samtidig med at parternes regler om beskyttelse af personoplysninger overholdes,
12.
SOM ØNSKER, at denne aftale bidrager til forbrugernes velfærd gennem politikker, der sikrer et højt niveau af forbrugerbeskyttelse og økonomisk velfærd samt tilskynder til samarbejde mellem de relevante myndigheder,
13.
SOM TAGER HENSYN TIL betydningen af grænseoverskridende forbindelser ad luftvejen, ad vej og ad søvejen for passagerer og gods og behovet for at sikre høje standarder for levering af transporttjenester mellem parterne,
14.
SOM ANERKENDER fordelene ved handel med og investeringer i energi og råstoffer og betydningen af at støtte leveringen af omkostningseffektive, rene og sikre energiforsyninger til Unionen og Det Forenede Kongerige,
15.
SOM NOTERER SIG parternes interesse i at etablere en ramme for at lette det tekniske samarbejde og for at udvikle nye handelsordninger for samkøringslinjer, der giver solide og effektive resultater inden for alle tidsrammer,
16.
SOM NOTERER SIG, at samarbejde og handel mellem parterne på disse områder bør baseres på fair konkurrence på energimarkederne og ikkediskriminerende adgang til net,
17.
SOM ANERKENDER fordelene ved bæredygtig energi, vedvarende energi, navnlig off-shoreproduktion i Nordsøen, og energieffektivitet,
18.
SOM ØNSKER at fremme fredelig udnyttelse af farvandene ud for deres kyster og en optimal og retfærdig udnyttelse af de marine levende ressourcer disse farvande, herunder en fortsat bæredygtig forvaltning af fælles bestande,
19.
SOM NOTERER SIG, at Det Forenede Kongerige udtrådte af Den Europæiske Union, og at Det Forenede Kongerige med virkning fra den 1. januar 2021 er en uafhængig kyststat med tilhørende rettigheder og forpligtelser i henhold til folkeretten,
20.
SOM BEKRÆFTER, at kyststaternes suveræne rettigheder, som parterne udøver med henblik på efterforskning, udnyttelse, bevarelse og forvaltning af de levende ressourcer i deres farvande, bør udøves i henhold til og i overensstemmelse med folkerettens principper, herunder De Forenede Nationers havretskonvention, udfærdiget den 10. december 1982 i Montego Bay (De Forenede Nationers havretskonvention),
21.
SOM ANERKENDER betydningen af at koordinere socialsikringsrettighederne for personer, der flytter mellem parterne for at arbejde, opholde sig eller tage ophold samt deres familiemedlemmers og efterladtes socialsikringsrettigheder,
22.
SOM TAGER I BETRAGTNING, at samarbejde på områder af fælles interesse, såsom videnskab, forskning og innovation, nuklear forskning og rummet, i form af Det Forenede Kongeriges deltagelse i de tilsvarende EU-programmer på retfærdige og passende vilkår vil være til gavn for begge parter,
23.
SOM TAGER I BETRAGTNING, at samarbejdet mellem Det Forenede Kongerige og Unionen om forebyggelse, efterforskning, opdagelse eller retsforfølgning af strafbare handlinger og om fuldbyrdelse af strafferetlige sanktioner, herunder beskyttelse mod og forebyggelse af trusler mod den offentlige sikkerhed, vil gøre det muligt at styrke Det Forenede Kongeriges og Unionens sikkerhed,
24.
SOM ØNSKER, at der indgås en aftale mellem Det Forenede Kongerige og Unionen med henblik på at skabe et retsgrundlag for et sådant samarbejde,
25.
SOM ANERKENDER, at parterne kan supplere denne aftale med andre aftaler, der udgør en integrerende del af deres samlede bilaterale forbindelser som reguleret af denne aftale, og at aftalen om sikkerhedsprocedurer for udveksling og beskyttelse af klassificerede informationer er indgået som sådan en supplerende aftale og muliggør udveksling af klassificerede oplysninger mellem parterne i henhold til denne aftale eller enhver anden supplerende aftale,
ER BLEVET ENIGE OM FØLGENDE:
FØRSTE DEL
FÆLLES OG INSTITUTIONELLE BESTEMMELSER
AFSNIT I
ALMINDELIGE BESTEMMELSER
Artikel 1
Formål
Denne aftale danner grundlag for brede forbindelser mellem parterne inden for et område med velstand og godt naboskab, der er kendetegnet ved tætte og fredelige forbindelser baseret på samarbejde og respekt for parternes autonomi og suverænitet.
Artikel 2
Supplerende aftaler
1.   Hvis Unionen og Det Forenede Kongerige indgår andre bilaterale aftaler mellem hinanden, udgør sådanne aftaler supplerende aftaler til denne aftale, medmindre andet er fastsat i disse aftaler. Sådanne supplerende aftaler udgør en integrerende del af de samlede bilaterale forbindelser, der er underlagt denne aftale, og er en del af den overordnede ramme.
2.   Stk. 1 finder også anvendelse på:
a)
aftaler mellem Unionen og dens medlemsstater på den ene side og Det Forenede Kongerige på den anden side og
b)
aftaler mellem Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige på den anden.
Artikel 3
God tro
1.   Parterne bistår i fuld gensidig respekt og god tro hinanden ved gennemførelsen af de opgaver, der følger af denne aftale og en eventuel supplerende aftale.
2.   De træffer alle almindelige eller særlige passende foranstaltninger for at sikre opfyldelsen af de forpligtelser, der følger af denne aftale og af en eventuel supplerende aftale, og afholder sig fra at træffe foranstaltninger, som kan bringe virkeliggørelsen af denne aftales eller en eventuel supplerende aftales mål i fare.
AFSNIT II
FORTOLKNINGSPRINCIPPER OG DEFINITIONER
Artikel 4
Folkeretten
1.   Bestemmelserne i denne aftale og eventuelle supplerende aftaler skal fortolkes loyalt i overensstemmelse med deres sædvanlige betydning i deres sammenhæng og belyst af aftalens hensigt og formål i overensstemmelse med sædvanereglerne for fortolkning af folkeretten, herunder dem, der er kodificeret i Wienerkonventionen, der blev udfærdiget den 23. maj 1969 i Wien.
2.   Det præciseres, at hverken denne aftale eller nogen supplerende aftale indeholder en forpligtelse til at fortolke bestemmelserne heri i overensstemmelse med en af parternes nationale lovgivning.
3.   Det præciseres, at en af parternes domstoles fortolkning af denne aftale eller eventuelle supplerende aftaler ikke er bindende for den anden parts domstole.
Artikel 5
Private rettigheder
1.   Med forbehold af artikel SSC.67 i protokollen om koordinering af sociale sikringsordninger og for så vidt angår Unionen med undtagelse af denne aftales tredje del må intet i denne aftale eller nogen supplerende aftale fortolkes således, at det skaber rettigheder eller forpligtelser for andre personer end dem, der er skabt mellem parterne i henhold til folkeretten, eller som gør det muligt at påberåbe sig denne aftale eller eventuelle supplerende aftaler direkte i parternes nationale retssystemer.
2.   En part må ikke i sin lovgivning give adgang til søgsmål mod den anden part med den begrundelse, at den anden part har handlet i strid med denne aftale eller en eventuel supplerende aftale.
Artikel 6
Definitioner
1.   Medmindre andet er fastsat, forstås der i denne aftale eller i en eventuel supplerende aftale ved:
a)
"registreret": en identificeret eller identificerbar fysisk person; ved identificerbar fysisk person forstås en person, der direkte eller indirekte kan identificeres, navnlig ved en identifikator som f.eks. et navn, et identifikationsnummer, lokaliseringsdata, en onlineidentifikator eller et eller flere elementer, der er særlige for denne fysiske persons fysiske, fysiologiske, genetiske, psykiske, økonomiske, kulturelle eller sociale identitet
b)
"dag": en kalenderdag
c)
"medlemsstat": en medlemsstat i Den Europæiske Union
d)
"personoplysninger": enhver form for information om en registreret
e)
"stat": en medlemsstat eller Det Forenede Kongerige, alt efter sammenhængen
f)
en parts "område": for hver part de områder, som denne aftale finder anvendelse på i overensstemmelse med artikel 774
g)
"overgangsperiode": den periode, der er omhandlet i udtrædelsesaftalens artikel 126, og
h)
"udtrædelsesaftale": aftalen om Det Forenede Kongerige Storbritannien og Nordirlands udtræden af Den Europæiske Union og Det Europæiske Atomenergifællesskab, herunder protokollerne hertil.
2.   Enhver henvisning til "Unionen", "part" eller "parter" i denne aftale eller enhver supplerende aftale forstås således, at den ikke omfatter Det Europæiske Atomenergifællesskab, medmindre andet er angivet, eller medmindre andet følger af sammenhængen.
AFSNIT III
INSTITUTIONELLE RAMMER
Artikel 7
Partnerskabsrådet
1.   Der nedsættes et partnerskabsråd. Det består af repræsentanter for Unionen og Det Forenede Kongerige. Partnerskabsrådet kan mødes i forskellige sammensætninger afhængigt af de emner, der drøftes.
2.   Formandskabet for Partnerskabsrådet varetages i fællesskab af et medlem af Europa-Kommissionen og en repræsentant for Det Forenede Kongeriges regering på ministerplan. Det træder sammen på Unionens eller Det Forenede Kongeriges anmodning og under alle omstændigheder mindst én gang om året og fastsætter sin mødekalender og sin dagsorden ved fælles overenskomst.
3.   Partnerskabsrådet fører tilsyn med, at målene for denne aftale og eventuelle supplerende aftaler nås. Det fører tilsyn med og letter gennemførelsen og anvendelsen af denne aftale og eventuelle supplerende aftaler. Hver part kan forelægge Partnerskabsrådet ethvert spørgsmål vedrørende gennemførelsen, anvendelsen og fortolkningen af denne aftale eller en eventuel supplerende aftale.
4.   Partnerskabsrådet har beføjelse til:
a)
at træffe afgørelser om alle spørgsmål, hvis dette er fastsat i denne aftale eller en eventuel supplerende aftale
b)
at fremsætte henstillinger til parterne vedrørende gennemførelsen og anvendelsen af denne aftale eller af eventuelle supplerende aftaler
c)
ved afgørelse at vedtage ændringer af denne aftale eller af eventuelle supplerende aftaler i de tilfælde, der er fastsat i denne aftale eller i en eventuel supplerende aftale
d)
undtagen i forbindelse med første del, afsnit III, indtil udgangen af det fjerde år efter denne aftales ikrafttræden at vedtage afgørelser om ændring af denne aftale eller eventuelle supplerende aftaler, forudsat at sådanne ændringer er nødvendige for at korrigere fejl eller for at afhjælpe udeladelser eller andre mangler
e)
at drøfte ethvert spørgsmål vedrørende de områder, der er omfattet af denne aftale eller af eventuelle supplerende aftaler
f)
at delegere visse af sine beføjelser til Handelspartnerskabsudvalget eller til et specialudvalg med undtagelse af de beføjelser og ansvarsområder, der er omhandlet i dette stykkes litra g)
g)
ved en afgørelse at nedsætte andre handelsspecialudvalg og specialudvalg end dem, der er omhandlet i artikel 8, stk. 1, at opløse ethvert handelsspecialudvalg eller specialudvalg eller at ændre de opgaver, de har fået pålagt, og
h)
at fremsætte henstillinger til parterne vedrørende videregivelse af personoplysninger på specifikke områder, der er omfattet af denne aftale eller en eventuel supplerende aftale.
5.   Partnerskabsrådets arbejde er underlagt forretningsordenen i bilag 1. Partnerskabsrådet kan ændre dette bilag.
Artikel 8
Udvalg
1.   Der nedsættes herved følgende udvalg:
a)
Handelspartnerskabsudvalget, der behandler spørgsmål, der er omfattet af anden del, sektion et, afsnit I-VII, afsnit VIII, kapitel 4, og afsnit IX-XII, anden del, sektion seks, og bilag 27
b)
Handelsspecialudvalget vedrørende Varer, som behandler spørgsmål, der er omfattet af anden del, sektion et, afsnit I, kapitel 1, og anden del, sektion et, afsnit VIII, kapitel 4
c)
Handelsspecialudvalget vedrørende Toldsamarbejde og Oprindelsesregler, som behandler spørgsmål, der er omfattet af anden del, sektion et, afsnit I, kapitel 2 og 5, protokollen om gensidig administrativ bistand i toldspørgsmål og bestemmelserne om toldmyndighedernes håndhævelse af intellektuelle ejendomsrettigheder, gebyrer og afgifter, toldværdiansættelse og reparerede varer
d)
Handelsspecialudvalget vedrørende Sundheds- og Plantesundhedsforanstaltninger, som behandler spørgsmål, der er omfattet af anden del, sektion et, afsnit I, kapitel 3
e)
Handelspecialudvalget vedrørende Tekniske Handelshindringer, som behandler spørgsmål, der er omfattet af anden del, sektion et, afsnit I, kapitel 4, og artikel 323
f)
Handelsspecialudvalget vedrørende Tjenesteydelser, Investeringer og Digital Handel, som behandler spørgsmål, der er omfattet af anden del, sektion et, afsnit II-IV, og anden del, sektion et, afsnit VIII, kapitel 4
g)
Handelsspecialudvalget vedrørende Intellektuel Ejendomsret, som behandler spørgsmål, der er omfattet af anden del, sektion et, afsnit V
h)
Handelsspecialudvalget vedrørende Offentlige Udbud, som behandler spørgsmål, der er omfattet af anden del, sektion et, afsnit VI
i)
Handelsspecialudvalget vedrørende Reguleringssamarbejde, som behandler spørgsmål, der er omfattet af anden del, sektion et, afsnit X
j)
Handelsspecialudvalget vedrørende Lige Vilkår for Åben og Fair Konkurrence og Bæredygtig Udvikling, som behandler spørgsmål, der er omfattet af anden del, sektion et, afsnit XI, og bilag 27
k)
Handelsspecialudvalget vedrørende Administrativt Samarbejde i forbindelse med Moms og Inddrivelse af Skatter og Afgifter, som behandler spørgsmål, der er omfattet af protokollen om administrativt samarbejde og bekæmpelse af svig vedrørende merværdiafgift og om gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter
l)
Specialudvalget om Energi
i)
som behandler spørgsmål, der er omfattet af anden del, sektion et, afsnit VIII, med undtagelse af kapitel 4, artikel 323 og bilag 27, og
ii)
som kan drøfte og yde ekspertbistand til det relevante handelsspecialudvalg i spørgsmål vedrørende kapitel 4 og artikel 323
m)
Specialudvalget om Lufttransport, som behandler spørgsmål, der er omfattet af anden del, sektion to, afsnit I
n)
Specialudvalget om Flyvesikkerhed, som behandler spørgsmål, der er omfattet af anden del, sektion to, afsnit II
o)
Specialudvalget om Vejtransport, som behandler spørgsmål, der er omfattet af anden del, sektion tre
p)
Specialudvalget om Koordinering af de Sociale Sikringsordninger, som behandler spørgsmål, der er omfattet af anden del, sektion fire, og protokollen om koordinering af de sociale sikringsordninger
q)
Specialudvalget om Fiskeri, som behandler spørgsmål, der er omfattet af anden del, sektion fem
r)
Specialudvalget om Retshåndhævelse og Retligt Samarbejde, som behandler spørgsmål, der er omfattet af tredje del, og
s)
Specialudvalget om Deltagelse i EU-Programmer, som behandler spørgsmål, der er omfattet af femte del.
2.   Med hensyn til spørgsmål vedrørende anden del, sektion et, afsnit I-VII, afsnit VIII, kapitel 4, afsnit IX-XII, anden del, sektion seks og bilag 27 har det i denne artikels stk. 1 omhandlede Handelspartnerskabsudvalg beføjelse til:
a)
at bistå Partnerskabsrådet i udførelsen af dets opgaver og navnlig aflægge rapport til Partnerskabsrådet og udføre enhver opgave, det pålægges af Partnerskabsrådet
b)
at føre tilsyn med gennemførelsen af denne aftale eller eventuelle supplerende aftaler
c)
at træffe afgørelser eller fremsætte henstillinger som omhandlet i denne aftale eller eventuelle supplerende aftaler, eller når Partnerskabsrådet har delegeret sådanne beføjelser til det
d)
at føre tilsyn med arbejdet i de handelsspecialudvalg, der er omhandlet i denne artikels stk. 1
e)
at undersøge den mest hensigtsmæssige måde at forebygge eller løse eventuelle vanskeligheder, der måtte opstå i forbindelse med fortolkningen og anvendelsen af denne aftale eller eventuelle supplerende aftaler, jf. dog sjette del, afsnit I
f)
at udøve de beføjelser, der er delegeret til det af Partnerskabsrådet i henhold til artikel 7, stk. 4, litra f)
g)
ved afgørelse at nedsætte handelsspecialudvalg ud over dem, der er omhandlet i stk. 1, opløse sådanne handelsspecialudvalg eller ændre de opgaver, de har fået pålagt, og
h)
at nedsætte, føre tilsyn med, koordinere og opløse arbejdsgrupper eller uddelegere tilsynet med dem til et handelsspecialudvalg.
3.   For så vidt angår spørgsmål i forbindelse med deres kompetenceområde har handelsspecialudvalgene beføjelse til:
a)
at overvåge og evaluere gennemførelsen og sikre, at denne aftale eller eventuelle supplerende aftaler fungerer korrekt
b)
at bistå Handelspartnerskabsudvalget ved udførelsen af dets opgaver og navnlig aflægge rapport til Handelspartnerskabsudvalget og udføre enhver opgave, det måtte pålægge dem
c)
at udføre det forberedende tekniske arbejde, der er nødvendigt for at støtte Partnerskabsrådets og Handelspartnerskabsudvalgets funktioner, herunder når disse organer skal vedtage afgørelser eller henstillinger
d)
at træffe afgørelser om alle spørgsmål, hvis det er fastsat i denne aftale eller en eventuel supplerende aftale
e)
at drøfte tekniske spørgsmål, der opstår som følge af gennemførelsen af denne aftale eller af eventuelle supplerende aftaler, jf. dog sjette del, afsnit I, og
f)
at udgøre et forum, hvor parterne kan udveksle oplysninger, drøfte bedste praksis og udveksle erfaringer med gennemførelsen.
4.   For så vidt angår spørgsmål i forbindelse med deres kompetenceområde har specialudvalgene beføjelse til:
a)
at overvåge og evaluere gennemførelsen og sikre, at denne aftale eller eventuelle supplerende aftaler fungerer korrekt
b)
at bistå Partnerskabsrådet med udførelsen af dets opgaver og navnlig aflægge rapport til Partnerskabsrådet og udføre de opgaver, det måtte pålægge dem
c)
at vedtage afgørelser, herunder ændringer, og henstillinger vedrørende alle spørgsmål, hvis denne aftale eller eventuelle supplerende aftaler indeholder bestemmelser herom, eller vedrørende hvilke Partnerskabsrådet har delegeret sine beføjelser til et specialudvalg i overensstemmelse med artikel 7, stk. 4, litra f)
d)
at drøfte tekniske spørgsmål, der opstår i forbindelse med gennemførelsen af denne aftale eller eventuelle supplerende aftaler
e)
at udgøre et forum, hvor parterne kan udveksle oplysninger, drøfte bedste praksis og udveksle erfaringer med gennemførelsen
f)
at nedsætte, overvåge, koordinere og opløse arbejdsgrupper og
g)
at udgøre et konsultationsforum i henhold til artikel 738, stk. 7.
5.   Udvalg består af repræsentanter for hver af parterne. Hver af parterne sikrer, at deres repræsentanter i udvalgene har den fornødne ekspertise med hensyn til de spørgsmål, der drøftes.
6.   Handelspartnerskabsudvalget ledes i fællesskab af en højtstående repræsentant for Unionen og en repræsentant for Det Forenede Kongerige med ansvar for handelsrelaterede anliggender eller deres stedfortrædere. Det træder sammen på Unionens eller Det Forenede Kongeriges anmodning og under alle omstændigheder mindst én gang om året og fastsætter sin mødekalender og sin dagsorden ved fælles overenskomst.
7.   Handelsspecialudvalgene og specialudvalgene ledes i fællesskab af en repræsentant for Unionen og en repræsentant for Det Forenede Kongerige. Medmindre andet er fastsat i denne aftale, eller medmindre formændene bestemmer andet, mødes de mindst én gang om året.
8.   Udvalgene fastsætter deres mødekalender og dagsorden efter fælles overenskomst.
9.   Udvalgenes arbejde er underlagt forretningsordenen i bilag 1.
10.   Uanset stk. 9 kan et udvalg vedtage og efterfølgende ændre sine egne regler for sit arbejde.
Artikel 9
Arbejdsgrupper
1.   Der nedsættes herved følgende arbejdsgrupper:
a)
Arbejdsgruppen vedrørende Økologiske Produkter under tilsyn af Handelsspecialudvalget vedrørende Tekniske Handelshindringer
b)
Arbejdsgruppen vedrørende Motorkøretøjer og Reservedele under tilsyn af Handelsspecialudvalget vedrørende Tekniske Handelshindringer
c)
Arbejdsgruppen vedrørende Lægemidler under tilsyn af Handelsspecialudvalget vedrørende Tekniske Handelshindringer
d)
Arbejdsgruppen vedrørende Koordinering af de Sociale Sikringsordninger under tilsyn af Specialudvalget om Koordinering af de Sociale Sikringsordninger.
2.   Arbejdsgrupperne bistår under tilsyn af udvalg udvalgene med at udføre deres opgaver, navnlig forberede udvalgenes arbejde og udføre de opgaver, som udvalgene pålægger dem.
3.   Arbejdsgrupperne omfatter repræsentanter for Unionen og Det Forenede Kongerige og ledes i fællesskab af en repræsentant for Unionen og en repræsentant for Det Forenede Kongerige.
4.   Arbejdsgrupperne fastsætter deres egen forretningsorden, mødekalender og dagsorden efter fælles overenskomst.
Artikel 10
Afgørelser og henstillinger
1.   De afgørelser, der træffes af Partnerskabsrådet eller eventuelt af et udvalg, er bindende for parterne og for alle de organer, der er nedsat i henhold til denne aftale og i henhold til eventuelle supplerende aftaler, herunder den voldgiftsret, der er omhandlet i sjette del, afsnit I. Henstillinger er ikke bindende.
2.   Partnerskabsrådet, eller i givet fald et udvalg, vedtager afgørelser og fremsætter henstillinger efter fælles overenskomst.
Artikel 11
Parlamentarisk samarbejde
1.   Europa-Parlamentet og Det Forenede Kongeriges parlament kan oprette en parlamentarisk partnerskabsforsamling bestående af medlemmer af Europa-Parlamentet og medlemmer af Det Forenede Kongeriges parlament som forum for udveksling af synspunkter om partnerskabet.
2.   Ved oprettelsen:
a)
kan Den Parlamentariske Partnerskabsforsamling anmode Partnerskabsrådet om relevante oplysninger vedrørende gennemførelsen af denne aftale og eventuelle supplerende aftaler, som derefter giver forsamlingen de ønskede oplysninger
b)
underrettes Den Parlamentariske Partnerskabsforsamling om Partnerskabsrådets afgørelser og henstillinger og
c)
kan Den Parlamentariske Partnerskabsforsamling fremsætte henstillinger til Partnerskabsrådet.
Artikel 12
Inddragelse af civilsamfundet
Parterne hører civilsamfundet om gennemførelsen af denne aftale og eventuelle supplerende aftaler, navnlig gennem interaktion med de nationale rådgivningsgrupper og det civilsamfundsforum, der er nævnt i artikel 13 og 14.
Artikel 13
Interne rådgivningsgrupper
1.   Om spørgsmål, der er omfattet af denne aftale og eventuelle supplerende aftaler, hører hver part sin eller sine nyoprettede eller eksisterende interne rådgivningsgrupper, der omfatter en repræsentation af uafhængige civilsamfundsorganisationer, herunder ikkestatslige organisationer, erhvervs- og arbejdsgiverorganisationer samt fagforeninger, der er aktive inden for økonomi, bæredygtig udvikling, sociale spørgsmål, menneskerettigheder, miljø og andre spørgsmål. Hver part kan indkalde sin eller sine interne rådgivningsgrupper i forskellige sammensætninger for at drøfte gennemførelsen af forskellige bestemmelser i denne aftale eller i eventuelle supplerende aftaler.
2.   Hver part skal tage hensyn til synspunkter eller henstillinger fra sin eller sine interne rådgivningsgrupper. Parternes repræsentanter bestræber sig på at rådføre sig med deres respektive interne rådgivningsgrupper mindst en gang om året. Møderne kan afholdes virtuelt.
3.   For at fremme offentlighedens kendskab til de interne rådgivningsgrupper bestræber hver part sig på at offentliggøre listen over organisationer, der deltager i dens interne rådgivende gruppe eller grupper samt kontaktpunktet for denne eller disse grupper.
4.   Parterne fremmer samspillet mellem deres respektive interne rådgivningsgrupper, herunder ved om muligt at udveksle kontaktoplysninger for medlemmerne af deres interne rådgivningsgrupper.
Artikel 14
Civilsamfundsforum
1.   Parterne letter oprettelsen af et civilsamfundsforum med henblik på at føre en dialog om gennemførelsen af anden del. Partnerskabsrådet vedtager operationelle retningslinjer for afholdelsen af forummet.
2.   Civilsamfundsforummet træder sammen mindst en gang om året, medmindre parterne aftaler andet. Civilsamfundsforummet kan mødes virtuelt.
3.   Civilsamfundsforummet er åbent for deltagelse af uafhængige civilsamfundsorganisationer, der er etableret på parternes områder, herunder medlemmer af de nationale rådgivningsgrupper, som er omhandlet i artikel 13. Hver part fremmer en afbalanceret repræsentation, herunder ikkestatslige organisationer, erhvervs- og arbejdsgiverorganisationer og fagforeninger, der er aktive inden for økonomi, bæredygtig udvikling, sociale anliggender, menneskerettigheder, miljø og andre anliggender.
ANDEN DEL
HANDEL, TRANSPORT, FISKERI OG ANDRE ORDNINGER
SEKTION ET
HANDEL
AFSNIT I
VAREHANDEL
KAPITEL 1
NATIONAL BEHANDLING OG MARKEDSADGANG FOR VARER  (HERUNDER AFBØDENDE HANDELSFORANSTALTNINGER)
Artikel 15
Formål
Formålet med dette kapitel er at lette handelen med varer mellem parterne og opretholde en liberaliseret varehandel i overensstemmelse med bestemmelserne i denne aftale.
Artikel 16
Anvendelsesområde
Medmindre andet er fastsat, finder dette kapitel anvendelse på handel med en parts varer.
Artikel 17
Definitioner
I dette kapitel forstås ved:
a)
"konsulatsforretninger": proceduren for indhentning hos en konsul fra den importerende part på den eksporterende parts område eller på en tredjeparts område af en konsulatsfaktura eller et konsulatscertifikat for en handelsfaktura, et oprindelsescertifikat, en fragtliste, en "shippers' export declaration" eller enhver anden tolddokumentation i forbindelse med importen af varerne
b)
"toldværdiansættelsesaftalen": aftalen om anvendelsen af artikel VII i GATT 1994
c)
"eksportlicensprocedure": administrativ procedure, uanset om den kaldes licens eller ej, der anvendes af en part til driften af eksportlicensordninger, der kræver indgivelse af en ansøgning eller anden dokumentation, bortset fra den til toldprocedurer generelt påkrævede, til det relevante administrative organ som en forudgående betingelse for eksport fra den pågældende part
d)
"importlicensprocedure": administrativ procedure, uanset om den kaldes licens eller ej, der anvendes af en part til gennemførelse af importlicensordninger, der kræver indgivelse af en ansøgning eller anden dokumentation, bortset fra den til toldbehandlingsformål generelt påkrævede, til det eller de relevante administrative organer som en forudgående betingelse for import til den importerende parts område
e)
"varer med oprindelsesstatus": medmindre andet er fastsat, en vare, som opfylder kravene i oprindelsesreglerne i dette afsnits kapitel 2
f)
"præstationskrav": et krav:
i)
hvorefter en bestemt mængde, værdi eller procentdel af varerne skal eksporteres
ii)
hvorefter varer fra den part, der udsteder en importlicens, skal erstatte importerede varer
iii)
hvorefter en person, der er omfattet af en importlicens, skal købe andre varer på den importlicensudstedende parts område eller indrømme en fortrinsstilling til internt producerede varer
iv)
hvorefter en person, der er omfattet af en importlicens, skal producere varer på den importlicensudstedende parts område i en bestemt mængde, til en bestemt værdi eller med en bestemt procentdel internt indhold, eller
v)
som på en eller anden måde vedrører mængden eller værdien af importen, mængden eller værdien af eksporten eller mængden af udenlandsk valutaindstrømning
g)
"genfremstillet vare": en vare henhørende under HS-kapitel 32, 40, 84-90, 94 eller 95, som:
i)
er helt eller delvist sammensat af dele fra brugte varer
ii)
har en tilsvarende forventet levetid og ydeevne set i forhold til samme varer, når de er nye, og
iii)
har en garanti svarende til den, der gælder for disse varer, når de er nye, og
h)
"reparation": enhver behandling, som foretages for at udbedre funktionsfejl eller materielle skader for således at genetablere varens oprindelige funktion eller sikre, at den er i overensstemmelse med de tekniske krav til anvendelsen. Reparation af en vare omfatter genetablering og vedligeholdelse, herunder en eventuel stigning i varens værdi som følge af genetableringen af den pågældende vares oprindelige funktionalitet, men ikke en behandling eller en proces:
i)
hvormed varens grundlæggende karakteristika tilintetgøres, eller der skabes en ny eller kommercielt anderledes vare
ii)
hvormed et halvfabrikata omformes til helfabrikata, eller
iii)
som bruges til at forbedre eller opgradere en vares tekniske præstation.
Artikel 18
Tarifering af varer
Tariferingen af de varer, der handles mellem parterne i henhold til denne aftale, er fastsat i parternes respektive toldnomenklaturer i overensstemmelse med det harmoniserede system.
Artikel 19
National behandling ved intern beskatning og regulering
Parterne indrømmer hver især national behandling for varer fra den anden part, jf. artikel III i GATT 1994, herunder bemærkninger og supplerende bestemmelser hertil. Med henblik herpå indarbejdes artikel III i GATT 1994 og noter og supplerende bestemmelser hertil tilsvarende i og gøres til en del af nærværende aftale.
Artikel 20
Fri transit
Parterne sikrer fri transit gennem deres område via de mest hensigtsmæssige ruter for international transit, for transittrafik til eller fra den anden parts eller ethvert andet tredjelands område. Med henblik herpå indarbejdes artikel XI i GATT 1994 og noter og supplerende bestemmelser hertil tilsvarende i og gøres til en del af nærværende aftale. Parterne er enige om, at artikel V i GATT 1994 omfatter fri bevægelighed for energiprodukter, bl.a. via rørledninger eller elnet.
Artikel 21
Toldforbud
Medmindre andet er fastsat i denne aftale, er told på varer med oprindelse i den anden part forbudt.
Artikel 22
Eksporttold, -skatter eller andre afgifter
1.   Ingen af parterne må indføre eller opretholde told, skatter eller andre afgifter af enhver art, der pålægges ved eller i forbindelse med eksport af en vare til den anden part, eller interne skatter eller andre afgifter for varer, der eksporteres til den anden part, som overstiger de skatter eller afgifter, som pålægges tilsvarende varer bestemt til internt forbrug.
2.   Med henblik på denne artikel omfatter "andre afgifter af enhver art" ikke gebyrer og andre afgifter, der er tilladt i henhold til artikel 23.
Artikel 23
Gebyrer og formaliteter
1.   Gebyrer og andre afgifter, der pålægges af en part ved eller i forbindelse med import eller eksport af en anden parts varer, begrænses til de anslåede omkostninger ved de ydede tjenester og må ikke udgøre en indirekte beskyttelse af indenlandske varer eller en beskatning af import eller eksport til fiskale formål. En part må ikke opkræve gebyrer eller andre afgifter ved eller i forbindelse med import eller eksport på et ad valorem-grundlag.
2.   Hver part kan pålægge afgifter eller kræve dækning for omkostninger, når der udføres særlige tjenesteydelser, navnlig følgende:
a)
toldpersonales tilstedeværelse uden for officiel åbningstid eller andre steder end på toldmyndighedernes lokaliteter efter anmodning
b)
analyser eller ekspertudtalelser om varer og portoudgifter til returnering af varer til en ansøger, især for så vidt angår afgørelser vedrørende bindende oplysninger eller meddelelse af oplysninger om anvendelsen af toldlove og -bestemmelser
c)
undersøgelse eller prøveudtagning af varer i verifikationsøjemed eller tilintetgørelse af varer, hvis der er andre omkostninger forbundet hermed end anvendelse af toldpersonale, og
d)
ekstraordinære kontrolforanstaltninger, hvor det er nødvendigt som følge af varernes art eller en potentiel risiko.
3.   Parterne offentliggør straks via et officielt websted alle gebyrer og afgifter, som de pålægger i forbindelse med import eller eksport, på en sådan måde, at det er muligt for offentlige myndigheder, virksomheder og andre interesserede parter at få kendskab dertil. Det skal af oplysningerne fremgå, hvorfor den ydede tjeneste pålægges et gebyr eller en afgift, hvilken myndighed der er ansvarlig herfor, hvilke gebyrer og afgifter der vil blive opkrævet, og hvornår og hvordan de skal betales. Der pålægges ikke nye eller ændrede gebyrer og afgifter, inden der er offentliggjort oplysninger i henhold til dette stykke, og disse er gjort nemt tilgængelige.
4.   En part må ikke kræve udførelse af konsulatsforretninger, herunder betaling af de hermed forbundne gebyrer og afgifter, i forbindelse med import af varer fra den anden part.
Artikel 24
Reparerede varer
1.   En part må ikke lægge told på en vare, uanset oprindelse, som genindføres på dens område efter at have været midlertidigt eksporteret fra dens område til den anden parts område med henblik på reparation.
2.   Stk. 1 finder ikke anvendelse på varer, der mod kaution importeres til frihandelszoner eller med tilsvarende status, og som efterfølgende eksporteres med henblik på reparation og ikke genindføres mod kaution til frihandelszoner eller med tilsvarende status.
3.   En part må ikke lægge told på en vare, uanset oprindelse, der importeres midlertidigt fra den anden parts område med henblik på reparation.
Artikel 25
Genfremstillede varer
1.   En part må ikke indrømme den anden parts genfremstillede varer en behandling, der er mindre gunstig end den behandling, den giver tilsvarende varer i ny stand.
2.   Artikel 26 gælder for import- og eksportforbud eller -restriktioner for genfremstillede varer. Hvis en part indfører eller opretholder import- og eksportforbud eller -restriktioner for brugte varer, finder disse ikke anvendelse på genfremstillede varer.
3.   En part kan kræve, at genfremstillede varer udpeges som sådanne med henblik på distribution eller salg på dens område, og at de opfylder alle gældende tekniske krav for tilsvarende varer i ny stand.
Artikel 26
Import- og eksportrestriktioner
1.   En part må ikke indføre eller opretholde forbud eller restriktioner på import af varer fra den anden part eller på eksport eller salg til eksport af varer bestemt til den anden parts område, jf. dog artikel XI i GATT 1994, herunder noter og supplerende bestemmelser hertil. Med henblik herpå indarbejdes artikel XI i GATT 1994 og noter og supplerende bestemmelser hertil tilsvarende i og gøres til en del af nærværende aftale.
2.   En part må ikke indføre eller opretholde:
a)
krav vedrørende eksport- og importpriser, medmindre det er tilladt i forbindelse med håndhævelse af påbud og tilsagn om udlignings- og antidumpingtold, eller
b)
importlicenser, der er betinget af opfyldelsen af et præstationskrav.
Artikel 27
Import- og eksportmonopoler
En part må ikke udpege eller opretholde et import- eller eksportmonopol. I denne artikel forstås ved import- eller eksportmonopol eneretten til eller en parts bemyndigelse af en enhed til at importere en vare fra eller eksportere en vare til den anden part.
Artikel 28
Importlicensprocedurer
1.   Hver part sikrer, at alle importlicensprocedurer, der finder anvendelse på varehandel mellem parterne, anvendes neutralt og forvaltes på en retfærdig, rimelig, ikkediskriminerende og gennemsigtig måde.
2.   En part indfører eller opretholder kun licensprocedurer som en betingelse for import til sit område fra den anden parts område, hvis der ikke findes andre passende, rimeligt tilgængelige procedurer til opfyldelse af et administrativt formål.
3.   En part må ikke indføre eller opretholde ikkeautomatiske importlicensprocedurer, medmindre det er nødvendigt for at gennemføre en foranstaltning i overensstemmelse med denne aftale. En part, der indfører sådanne ikkeautomatiske importlicensprocedurer, angiver klart, hvilken foranstaltning der gennemføres ved hjælp af proceduren.
4.   Hver part indfører og administrerer importlicensprocedurer i henhold til artikel 1-3 i WTO-aftalen om importlicensprocedurer ("importlicensaftalen"). Med henblik herpå er importlicensaftalens artikel 1-3 indarbejdet i og gjort til en del af nærværende aftale med de fornødne ændringer.
5.   En part, der indfører eller ændrer en importlicensprocedure, gør alle relevante oplysninger tilgængelige online på et officielt websted. Disse oplysninger gøres om muligt tilgængelige mindst 21 dage før datoen for anvendelsen af den nye eller ændrede licensprocedure og under alle omstændigheder senest på anvendelsesdatoen. Disse oplysninger skal indeholde de oplysninger, der kræves i henhold til importlicensaftalens artikel 5.
6.   Efter anmodning fra den anden part tilvejebringer parten straks enhver relevant oplysning om de importlicensprocedurer, som den agter at indføre eller opretholder, herunder de oplysninger, der er omhandlet i importlicensaftalens artikel 1-3.
7.   Det præciseres, at intet i denne artikel forpligter en part til at udstede en importlicens eller forhindrer en part i at opfylde sine forpligtelser eller tilsagn i henhold til FN's Sikkerhedsråds resolutioner samt multilaterale ikkespredningsordninger og importkontrolordninger.
Artikel 29
Eksportlicensprocedurer
1.   Parterne offentliggør enhver ny eksportlicensprocedure eller enhver ændring af en eksisterende eksportlicensprocedure på en sådan måde, at det er muligt for offentlige myndigheder, virksomheder og andre interesserede parter at få kendskab dertil. Offentliggørelsen sker så vidt muligt, 45 dage før proceduren eller ændringen får virkning, og under alle omstændigheder senest på den dato, hvor den pågældende procedure eller ændring får virkning, og, hvis det er relevant, på relevante statslige websteder.
2.   Offentliggørelsen af eksportlicensprocedurer omfatter følgende oplysninger:
a)
ordlyden af partens eksportlicensprocedurer eller af eventuelle ændringer af disse procedurer foretaget af parten
b)
de varer, der er omfattet af licensproceduren
c)
for hver procedure en beskrivelse af licensansøgningsproceduren og eventuelle kriterier, som en ansøger skal opfylde for at være berettiget til at ansøge om en licens, f.eks. krav om en virksomhedslicens, etablering eller vedligeholdelse af en investering eller drift gennem en særlig virksomhedsform på en parts område
d)
et eller flere kontaktpunkter, hvor interesserede kan få yderligere oplysninger om betingelserne for at opnå en eksportlicens
e)
det eller de administrative organer, hvortil en ansøgning eller anden relevant dokumentation skal indgives
f)
en beskrivelse af den eller de foranstaltninger, der gennemføres i forbindelse med eksportlicensproceduren
g)
den periode, hvor hver enkelt eksportlicensprocedure vil være gældende, medmindre proceduren forbliver gældende, indtil den trækkes tilbage eller revideres i en ny offentliggørelse
h)
hvis parten agter at anvende en licensprocedure til at forvalte en eksportkvote, den samlede mængde og, hvis det er relevant, kvoteværdien og kvotens begyndelses- og slutdato, og
i)
enhver fritagelse eller undtagelse fra eksportlicenskravet, hvordan man anmoder om disse fravigelser eller undtagelser, og kriterierne for deres tildeling.
3.   Senest 45 dage efter denne aftales ikrafttræden giver parterne hinanden meddelelse om deres respektive eksisterende eksportlicensprocedurer. Parterne giver hinanden meddelelse om alle nye eksportlicensprocedurer og ændringer af eksisterende eksportlicensprocedurer senest 60 dage efter offentliggørelsen. Meddelelsen skal indeholde en henvisning til de kilder, hvor de oplysninger, der kræves i henhold til stk. 2, offentliggøres, og i givet fald omfatte adressen på de relevante statslige websteder.
4.   Det præciseres, at intet i denne artikel forpligter en part til at udstede en eksportlicens eller hindrer en part i at opfylde sine forpligtelser i henhold til De Forenede Nationers Sikkerhedsråds resolutioner samt multilaterale ikkespredningsordninger og eksportkontrolordninger, herunder Wassenaararrangementet om kontrol med eksporten af konventionelle våben og varer og teknologier med dobbelt anvendelse, Australiengruppen, Gruppen af Leverandører af Nukleart Materiale og missilteknologikontrolregimet, eller fra at vedtage, opretholde eller gennemføre uafhængige sanktionsordninger.
Artikel 30
Toldværdiansættelse
Hver part bestemmer toldværdien af den anden parts varer, der importeres til dens område, i overensstemmelse med artikel VII i GATT 1994 og toldværdiansættelsesaftalen. Med henblik herpå indarbejdes artikel VII i GATT 1994, herunder noter og supplerende bestemmelser hertil, og artikel 1-17 i toldværdiansættelsesaftalen, herunder fortolkende noter hertil, tilsvarende i og gøres til en del af nærværende aftale.
Artikel 31
Præferenceudnyttelse
1.   Med henblik på at overvåge denne aftales virkemåde og beregne præferenceudnyttelsesgraden udveksler parterne hvert år importstatistikker i en periode på ti år, der begynder et år efter denne aftales ikrafttræden. Medmindre Handelspartnerskabsudvalget træffer anden afgørelse, forlænges denne periode automatisk med fem år, hvorefter Handelspartnerskabsudvalget kan beslutte at forlænge den yderligere.
2.   Udvekslingen af importstatistikker omfatter oplysninger vedrørende det senest tilgængelige dataår, herunder værdi og, hvis det er relevant, volumen, på toldpositionsniveauet for import af varer fra den anden part, som drager fordel af præferencetoldbehandling i henhold til denne aftale, og for varer, der ikke er indrømmet præferencetoldbehandling.
Artikel 32
Afbødende handelsforanstaltninger
1.   Parterne bekræfter deres rettigheder og forpligtelser i henhold til artikel VI i GATT 1994, antidumpingaftalen, SCM-aftalen, artikel XIX i GATT 1994, aftalen om beskyttelsesforanstaltninger og artikel 5 i aftalen om landbrug.
2.   Kapitel 2 finder ikke anvendelse på antidumping-, udlignings- og beskyttelsesundersøgelser og -foranstaltninger.
3.   Hver part anvender antidumping- og udligningsforanstaltninger i overensstemmelse med kravene i antidumpingaftalen og SCM-aftalen og efter en retfærdig og gennemsigtig proces.
4.   Forudsat at det ikke forsinker gennemførelsen af undersøgelsen unødigt, skal alle berørte parter i en antidumping- og antisubsidieundersøgelse 
(
1
)
 have mulighed for at forsvare deres interesser.
5.   Hver parts undersøgelsesmyndighed kan i overensstemmelse med partens lovgivning overveje, om størrelsen af den antidumpingtold, der skal indføres, skal være den fulde dumpingmargen eller et lavere beløb.
6.   Hver parts undersøgelsesmyndighed tager i overensstemmelse med partens lovgivning hensyn til oplysninger om, hvorvidt det ikke ville være i offentlighedens interesse at indføre en antidumping- eller udligningstold.
7.   En part må ikke samtidig for samme vare indføre eller opretholde:
a)
en foranstaltning i henhold til artikel 5 i landbrugsaftalen og
b)
en foranstaltning i henhold til artikel XIX i GATT 1994 og aftalen om beskyttelsesforanstaltninger.
8.   Sjette del, afsnit I, finder ikke anvendelse på denne artikels stk. 1-6.
Artikel 33
Anvendelse af eksisterende WTO-toldkontingenter
1.   Produkter med oprindelse i en af parterne kan ikke importeres til den anden part i henhold til eksisterende WTO-toldkontingenter som defineret i stk. 2. Dette omfatter de toldkontingenter, der er fordelt mellem parterne i forbindelse med forhandlingerne i henhold til artikel XXVIII i GATT indledt af Den Europæiske Union i WTO-dokument G/SECRET/42/Add.2 og af Det Forenede Kongerige i WTO-dokument G/SECRET/44 og som fastsat i hver parts interne lovgivning. Med henblik på denne artikel bestemmes produkternes oprindelse efter de ikkepræferentielle oprindelsesregler, der gælder i den importerende part.
2.   Med henblik på stk. 1 forstås ved "eksisterende WTO-toldkontingenter" Den Europæiske Unions WTO-indrømmelser for toldkontingenter opført i udkastet til EU-28-listen over indrømmelser og forpligtelser i henhold til GATT 1994, der blev forelagt for WTO i dokument G/MA/TAR/RS/506 som ændret ved dokument G/MA/TAR/RS/506/Add.1 og G/MA/TAR/RS/506/Add.2.
Artikel 34
Foranstaltninger i tilfælde af overtrædelser eller omgåelse af toldlovgivningen
1.   Parterne samarbejder om at forebygge, afsløre og bekæmpe overtrædelser eller omgåelse af toldlovgivningen i overensstemmelse med deres forpligtelser i henhold til kapitel 2 og protokollen om gensidig administrativ bistand i toldspørgsmål. Hver part træffer de passende og sammenlignelige foranstaltninger for at beskytte sin egen og den anden parts finansielle interesser med hensyn til opkrævning af told på varer, der indføres i Det Forenede Kongeriges eller Unions toldområde.
2.   Med forbehold af muligheden for fritagelse for erhvervsdrivende, der opfylder kravene, jf. stk. 7, kan en part midlertidigt suspendere den relevante præferencebehandling af det eller de pågældende produkter efter proceduren i stk. 3 og 4, hvis:
a)
den pågældende part baseret på objektive, tvingende og verificerbare oplysninger har konstateret, at der er begået systematiske og omfattende overtrædelser eller sket omgåelser af toldlovgivningen, og
b)
den anden part gentagne gange og uberettiget nægter eller på anden måde undlader at opfylde sine forpligtelser i henhold til stk. 1.
3.   Den part, der har foretaget en konstatering som omhandlet i stk. 2, underretter Handelspartnerskabsudvalget herom og indleder konsultationer med den anden part i Handelspartnerskabsudvalget med henblik på at nå frem til en gendigt acceptabel løsning.
4.   Hvis parterne ikke når til enighed om en gensidigt acceptabel løsning senest tre måneder efter meddelelsesdatoen, kan den part, der har foretaget konstateringen, beslutte at suspendere præferencetoldbehandlingen af den eller de pågældende varer midlertidigt. I så fald underretter den part, der foretog konstateringen, straks Handelspartnerskabsudvalget om den midlertidige suspension, herunder det tidsrum, hvori den har til hensigt at lade den midlertidige suspension gælde.
5.   Den midlertidige suspension anvendes kun, så længe det er nødvendigt for at modvirke overtrædelserne eller omgåelserne og beskytte den pågældende parts finansielle interesser og under alle omstændigheder ikke længere end seks måneder. Den berørte part tager situationen op til fornyet overvejelse, og hvis den beslutter, at den midlertidige suspension ikke længere er nødvendig, bringer den den til ophør inden udløbet af den periode, der er meddelt Handelspartnerskabsudvalget. Består de omstændigheder, der gav anledning til den oprindelige suspension, fortsat ved udløbet af den periode, der er meddelt Handelspartnerskabsudvalget, kan den pågældende part beslutte at forlænge suspensionen. Enhver suspension gøres til genstand for regelmæssige konsultationer i Handelspartnerskabsudvalget.
6.   Hver part offentliggør i overensstemmelse med sine interne procedurer meddelelser til importører om enhver beslutning vedrørende midlertidige suspensioner som omhandlet i stk. 4 og 5.
7.   Uanset stk. 4 tillader den importerende part, hvis importøren kan godtgøre over for importmyndigheden, at de pågældende varer er i fuld overensstemmelse med den importerende parts toldlovgivning, kravene i denne aftale og andre passende betingelser vedrørende den midlertidige suspension fastsat af den importerende part i overensstemmelse med dens love og forskrifter, importøren at ansøge om præferencebehandling og få refunderet overskydende told i forhold til de gældende præferencetoldsatser på importtidspunktet.
Artikel 35
Behandling af administrative fejl
I tilfælde af systematiske fejl begået af de kompetente myndigheder eller spørgsmål vedrørende korrekt forvaltning af præferenceordningen ved eksport, navnlig vedrørende anvendelsen af bestemmelserne i dette afsnits kapitel 2 eller anvendelsen af protokollen om gensidig administrativ bistand i toldspørgsmål, og hvis disse fejl eller spørgsmål har konsekvenser med hensyn til importafgifter, kan den part, der står over for sådanne konsekvenser, anmode Handelspartnerskabsudvalget om at undersøge muligheden for at træffe passende afgørelser for at løse situationen.
Artikel 36
Kulturgoder
1.   Parterne samarbejder om at lette tilbageleveringen af kulturgoder, som ulovligt er fjernet fra en parts område, under hensyntagen til principperne i UNESCO's konvention om midlerne til at forbyde og forhindre ulovlig import, eksport og ejendomsoverdragelse af kulturgenstande, der blev undertegnet den 17. november 1970 i Paris.
2.   I denne artikel forstås ved:
a)
"kulturgode": et gode, der er klassificeret eller defineret som national skat af kunstnerisk, historisk eller arkæologisk værdi i overensstemmelse med parternes respektive regler og procedurer, og
b)
"ulovligt fjernet fra en parts område":
i)
fjernet fra en parts område fra og med den 1. januar 1993 i strid med dens lovgivning om beskyttelse af nationale kulturskatte eller i strid med dens regler om eksport af kulturgoder eller
ii)
ikke tilbageleveret efter udløbet af en periode med midlertidig lovlig fjernelse eller enhver overtrædelse af øvrige betingelser for en sådan midlertidig fjernelse på eller efter den 1. januar 1993.
3.   Parternes kompetente myndigheder samarbejder med hinanden, navnlig ved:
a)
at underrette den anden part, hvis der på deres område opdages kulturgoder, og det med rimelighed kan antages, at de pågældende goder ulovligt er fjernet fra den anden parts område
b)
at behandle ansøgninger fra den anden part om tilbagelevering af kulturgoder, som ulovligt er fjernet fra den pågældende parts område
c)
at afværge ved hjælp af de fornødne midlertidige foranstaltninger ethvert forsøg på at undgå at tilbagelevere sådanne kulturgoder og
d)
at træffe de nødvendige foranstaltninger med henblik på den fysiske bevaring af kulturgoder, som ulovligt er fjernet fra den anden parts område.
4.   Parterne udpeger hver især et kontaktpunkt med ansvar for kommunikationen med den anden part vedrørende spørgsmål, der måtte opstå i forbindelse med denne artikel, herunder vedrørende de underretninger og ansøgninger, der er omhandlet i stk. 3, litra a) og b).
5.   Parternes toldmyndigheder med ansvar for forvaltningen af eksportprocedurer for kulturgoder inddrages i det påtænkte samarbejde mellem parterne, hvis det er relevant og nødvendigt.
6.   Sjette del, afsnit I, finder ikke anvendelse på denne artikel.
KAPITEL 2
OPRINDELSESREGLER
AFDELING 1
OPRINDELSESREGLER
Artikel 37
Formål
Formålet med dette kapitel er at fastsætte regler til bestemmelse af varers oprindelse med henblik på anvendelse af præferencetoldbehandling i henhold til denne aftale og relaterede oprindelsesprocedurer.
Artikel 38
Definitioner
I dette kapitel forstås ved:
a)
"toldklassifikation": en vares eller et materiales tarifering under et bestemt kapitel, en bestemt position eller en bestemt underposition i det harmoniserede system
b)
"sending": varer, som enten sendes samtidig fra en bestemt eksportør til en bestemt modtager eller er omfattet af et gennemgående transportdokument, der dækker transporten fra eksportøren til modtageren, eller, såfremt et sådant dokument ikke foreligger, af en samlet faktura
c)
"eksportør": en person, der er hjemmehørende i en af parterne, og som i overensstemmelse med de krav, der er fastsat i denne parts love og forskrifter, eksporterer eller fremstiller varer med oprindelsesstatus og udfærdiger en udtalelse om oprindelse
d)
"importør": en person, der importerer varer med oprindelsesstatus og anmoder om præferencetoldbehandling for det
e)
"materiale": ethvert stof, der anvendes i produktionen af en vare, herunder alle komponenter, ingredienser, råvarer eller dele
f)
"materiale uden oprindelsesstatus": et materiale uden oprindelsesstatus i henhold til dette kapitel, herunder materiale, hvis oprindelse ikke kan bestemmes
g)
"vare": den vare, der er resultatet af produktionen, selv når det er bestemt til anvendelse som materiale i produktionen af en anden vare
h)
"produktion": alle former for bearbejdning eller forarbejdning, herunder også samling.
Artikel 39
Generelle krav
1.   Med henblik på en parts anvendelse af præferencetoldbehandling på varer med oprindelse i den anden part i overensstemmelse med denne aftale, forudsat at varerne opfylder alle andre gældende krav i dette kapitel, anses følgende varer for at have oprindelse i den anden part:
a)
varer, der er fuldt ud fremstillet i den pågældende part i den betydning, der er fastsat i artikel 41
b)
varer, der er produceret udelukkende af materialer med oprindelse i den pågældende part, og
c)
varer, der er fremstillet i den pågældende part, som indeholder materialer uden oprindelsesstatus, forudsat at de opfylder kravene i bilag 3.
2.   Hvis en vare har opnået oprindelsesstatus, anses de materialer uden oprindelsesstatus, der anvendes til produktionen af den pågældende vare, ikke som produkter uden oprindelsesstatus, når den pågældende vare indgår som et materiale i en anden vare.
3.   Opnåelse af oprindelsesstatus skal ske uden afbrydelse i Det Forenede Kongerige eller Unionen.
Artikel 40
Kumulation af oprindelse
1.   En vare med oprindelse i en part anses for at have oprindelse i den anden part, hvis den pågældende vare anvendes som materiale i produktionen af en anden vare i den pågældende anden part.
2.   Produktion, der udføres i en part på et materiale uden oprindelsesstatus, kan tages i betragtning med henblik på at fastslå, om et produkt har oprindelse i den anden part.
3.   Stk. 1 og 2 finder ikke anvendelse, hvis den produktion, der udføres i den anden part, ikke er mere vidtgående end de aktiviteter, der er omhandlet i artikel 43.
4.   For at en eksportør kan udfylde den oprindelsesudtalelse, der er nævnt i artikel 54, stk. 2, litra a), for et produkt, der er nævnt i stk. 2, indhenter eksportøren fra sin leverandør en leverandørerklæring som omhandlet i bilag 6 eller et tilsvarende dokument, der indeholder de samme oplysninger, der beskriver de pågældende materialer uden oprindelsesstatus, der er tilstrækkelig detaljeret til, at de kan identificeres.
Artikel 41
Fuldt ud fremstillede produkter
1.   Følgende varer anses for at være fuldt ud fremstillet i en part:
a)
mineralske produkter, som udvindes eller indsamles fra dens jord eller havbund
b)
planter og vegetabilske produkter, der er dyrket eller høstet dér
c)
levende dyr, som er født og opdrættet dér
d)
produkter fra levende dyr opdrættet dér
e)
produkter fra slagtede dyr, som er født og opdrættet dér
f)
produkter fra jagt og fiskeri, som drives dér
g)
produkter fra akvakultur dér, hvis akvatiske organismer, herunder fisk, bløddyr, krebsdyr, andre hvirvelløse vanddyr samt vandplanter er opdrættet og dyrket på basis af f.eks. æg, rogn, fiskeyngel, sættefisk, larver, unglaks, smolt eller andre ikkekønsmodne fisk efter yngelstadiet gennem produktionsfremmende indgreb i opdræts- eller vækstprocesserne, f.eks. ved regelmæssig udsætning, fodring eller beskyttelse mod rovdyr
h)
produkter fra havfiskeri og andre produkter fra havet, som er optaget af en parts fartøj uden for ethvert søterritorium
i)
produkter, som er fremstillet på en parts fabriksskib udelukkende på grundlag af de i litra h) omhandlede produkter
j)
produkter, som er udvundet af havbunden eller undergrunden beliggende uden for søterritorierne, såfremt parten har rettigheder til at udnytte denne havbund eller undergrund
k)
affald og skrot, der hidrører fra produktionsvirksomhed, som udøves dér
l)
affald og skrot, der hidrører fra brugte produkter, som er indsamlet dér, forudsat at disse produkter kun er egnede til genindvinding af råmaterialer
m)
produkter, som er produceret dér udelukkende på grundlag af de i litra a)-l) nævnte produkter.
2.   Ved "en parts fartøj" og "en parts fabriksskib" i stk. 1, litra h) og i), forstås et fartøj og et fabriksskib, der:
a)
er registreret i en medlemsstat eller i Det Forenede Kongerige
b)
sejler under en medlemsstats eller Det Forenede Kongeriges flag og
c)
opfylder én af følgende betingelser:
i)
det er mindst 50 % ejet af statsborgere i en medlemsstat eller i Det Forenede Kongerige, eller
ii)
det ejes af virksomheder, som hver især:
A)
har hovedkontor og vigtigste forretningssted i Unionen eller Det Forenede Kongerige og
B)
er mindst 50 % ejet af offentlige enheder, statsborgere eller virksomheder i en medlemsstat eller i Det Forenede Kongerige.
Artikel 42
Tolerancer
1.   Hvis et produkt ikke opfylder kravene i bilag 3 som følge af anvendelsen af materialer uden oprindelsesstatus i produktionen, betragtes det pågældende produkt ikke desto mindre som et produkt med oprindelse i en part, forudsat at:
a)
den samlede vægt af materialer uden oprindelsesstatus, der anvendes til fremstilling af produkter henhørende under kapitel 2 og 4-24 i det harmoniserede system, bortset fra forarbejdede fiskevarer henhørende under kapitel 16, ikke overstiger 15 % af produktets vægt
b)
den samlede værdi af materialer uden oprindelsesstatus for alle andre produkter, undtagen produkter henhørende under kapitel 50-63 i det harmoniserede system, ikke overstiger 10 % af produktets pris ab fabrik, eller
c)
tolerancerne i note 7 og 8 i bilag 2 finder anvendelse for et produkt, der henhører under kapitel 50-63 i det harmoniserede system.
2.   Stk. 1 finder ikke anvendelse, hvis værdien eller vægten af materialer uden oprindelsesstatus, der anvendes i produktionen af et produkt, ikke overstiger procentsatserne for maksimumsværdien eller -vægten af materialer uden oprindelsesstatus, jf. kravene i bilag 3.
3.   Stk. 1 finder ikke anvendelse på produkter, der er fuldt ud fremstillet i en part i den i artikel 41 fastlagte betydning. Hvis det i bilag 3 kræves, at de materialer, der anvendes til produktionen af et produkt, er fuldt ud fremstillet, finder denne artikels stk. 1 og 2 anvendelse.
Artikel 43
Utilstrækkelig produktion
1.   Uanset artikel 39, stk. 1, litra c), anses en vare ikke for at have oprindelse i en part, hvis produktionen af varen i den pågældende part kun omfatter en eller flere af følgende aktiviteter udført på materialer uden oprindelsesstatus:
a)
bevarende behandlinger som f.eks. tørring, frysning, opbevaring i saltlage og andre lignende aktiviteter, hvis deres eneste formål er at sikre, at produktet forbliver i god stand under transport og oplagring 
(
2
)
b)
adskillelse eller samling af kolli
c)
vask, rensning, afstøvning, fjernelse af oxidlag, olie, maling eller andre belægninger
d)
strygning eller presning af tekstiler og tekstilartikler
e)
enkel maling og polering
f)
afskalning og hel eller delvis slibning af ris, polering og glasering af korn og ris, blegning af ris
g)
farvning af sukker, tilsætning af smagsstoffer til sukker eller formning af sukker i stykker, hel eller delvis formaling af sukker i fast form
h)
skrælning, udstening og afskalning/udbælgning af frugter, nødder og grøntsager
i)
hvæsning, enkel slibning eller enkel tilskæring
j)
sigtning, sortering, klassificering, tilpasning, herunder samling i sæt
k)
enkel aftapning på flasker, påfyldning af dåser, flakoner, anbringelse i sække, kasser, æsker, på bræt, plader eller bakker samt alle andre enkle emballeringsarbejder
l)
anbringelse eller trykning af mærker, etiketter, logoer og andre lignende kendetegn på selve produkterne eller deres emballage
m)
enkel blanding af produkter, også af forskellig art, blanding af sukker med ethvert materiale
n)
enkel tilsætning af vand eller fortynding med vand eller et andet stof, der ikke væsentligt ændrer produktets egenskaber eller dehydrering eller denaturering af produkter
o)
enkel samling af dele for at kunne danne et komplet produkt eller adskillelse af produkter i dele
p)
slagtning af dyr.
2.   I forbindelse med stk. 1 anses aktiviteter for at være enkle, når der hverken kræves særlige færdigheder eller maskiner, apparater eller udstyr, som er specielt produceret eller installeret til gennemførelsen deraf.
Artikel 44
Kvalificerende enhed
1.   Med henblik på dette kapitel er den kvalificerende enhed det produkt, der anses for at være basisenheden ved tarifering i det harmoniserede system.
2.   For sendinger bestående af et antal identiske produkter, der tariferes under samme position i det harmoniserede system, tages hvert enkelt produkt i betragtning ved anvendelsen af bestemmelserne i dette kapitel.
Artikel 45
Emballeringsmateriale og beholdere til forsendelse
Emballeringsmateriale og beholdere til forsendelse, som beskytter et produkt under transporten, lades ude af betragtning ved bestemmelse af, om produktet har oprindelsesstatus.
Artikel 46
Emballeringsmateriale og beholdere til detailsalg
Hvis emballeringsmateriale eller beholdere, hvori et produkt er pakket til detailsalg, tariferes sammen med produktet, lades sådant materiale eller sådanne beholdere ude af betragtning ved bestemmelse af produktets oprindelse, undtagen ved beregningen af værdien af materialer uden oprindelsesstatus, hvis et produkt er omfattet af reglen om maksimumsværdien af materialer uden oprindelsesstatus, jf. bilag 3.
Artikel 47
Tilbehør, reservedele og værktøj
1.   Tilbehør, reservedele, værktøjer og instruktions- eller andet informationsmateriale betragtes som værende en del af dette materiel eller disse maskiner, apparater eller køretøjer, hvis det:
a)
tariferes og leveres med, men ikke faktureres særskilt fra produktet, og
b)
typerne, mængderne og værdierne er sædvanlige for det pågældende produkt.
2.   Tilbehør, reservedele, værktøj og instruktions- eller andet informationsmateriale som omhandlet i stk. 1 lades ude af betragtning ved bestemmelse af produktets oprindelse, undtagen ved beregningen af maksimumsværdien af materialer uden oprindelsesstatus, hvis et produkt er omfattet af reglen om maksimumsværdien af materialer uden oprindelsesstatus i bilag 3.
Artikel 48
Sæt
Sæt som defineret i punkt 3 i de almindelige tariferingsbestemmelser vedrørende det harmoniserede system betragtes som produkter med oprindelsesstatus i en part, hvis alle deres komponenter har oprindelsesstatus. Hvis et sæt består af komponenter med og uden oprindelsesstatus, anses sættet som helhed for at have oprindelsesstatus i en part, hvis værdien af de komponenter, der ikke har oprindelsesstatus, ikke overstiger 15 % af sættets pris ab fabrik.
Artikel 49
Neutrale elementer
Ved bestemmelse af, om et produkt har oprindelsesstatus i en part, er det ikke nødvendigt at undersøge, om følgende elementer, som kan anvendes ved dets produktion, har oprindelsesstatus:
a)
brændstof, energi, katalysatorer og opløsninger
b)
anlæg, udstyr, reservedele og materialer, der anvendes til vedligeholdelse af udstyr og bygninger
c)
maskiner, værktøj, matricer og forme
d)
smøremidler, fedtstoffer, kompositmaterialer og andre materialer, der anvendes i produktionen eller i forbindelse med drift af udstyr og bygninger
e)
handsker, briller, fodtøj, beklædning, sikkerhedsudstyr og tilbehør
f)
udstyr, anordninger og tilbehør til test eller inspektion af produktet og
g)
andre materialer, der anvendes i produktionen og ikke indgår eller ikke er bestemt til at indgå i produktets endelige sammensætning.
Artikel 50
Regnskabsmæssig adskillelse
1.   Fungible materialer med og uden oprindelsesstatus eller fungible produkter skal være fysisk adskilt under oplagringen for at bevare deres oprindelsesstatus og oprindelsesstatus.
2.   Med henblik på stk. 1 forstås ved "fungible materialer" eller "fungible produkter" materialer eller produkter af samme art og kommercielle kvalitet med samme tekniske og fysiske egenskaber, som ikke kan skelnes fra hinanden med hensyn til oprindelse.
3.   Uanset stk. 1 kan fungible materialer med og uden oprindelsesstatus anvendes ved produktionen af et produkt uden at være fysisk adskilt under oplagringen, hvis en metode med regnskabsmæssig adskillelse anvendes.
4.   Uanset stk. 1 kan fungible produkter med og uden oprindelsesstatus, der henhører under kapitel 10, 15, 27, 28, 29, position 32.01-32.07 eller position 39.01-39.14 i det harmoniserede system, opbevares i en part før eksport til den anden part uden fysisk adskillelse, forudsat at der anvendes en metode med regnskabsmæssig adskillelse.
5.   Den i stk. 3 og 4 nævnte metode med regnskabsmæssig adskillelse anvendes i overensstemmelse med en lagerstyringsmetode i henhold til regnskabsprincipper, som er generelt accepteret i den pågældende part.
6.   Metoden med regnskabsmæssig adskillelse er enhver metode, som sikrer, at der til enhver tid ikke er flere materialer eller produkter, der får oprindelsesstatus, end det ville have været tilfælde, hvis materialerne eller produkterne havde været fysisk adskilt.
7.   En part kan under de betingelser, der er fastlagt i egne love eller forskrifter, kræve, at anvendelsen af metoden med regnskabsmæssig adskillelse er betinget af en forudgående tilladelse fra toldmyndighederne i den pågældende part. Partens toldmyndigheder overvåger brugen af sådanne tilladelser og kan tilbagekalde en tilladelse, såfremt indehaveren af tilladelsen anvender metoden med regnskabsmæssig adskillelse ukorrekt eller ikke opfylder de øvrige betingelser, der er fastsat i dette kapitel.
Artikel 51
Returnerede produkter
Hvis et produkt med oprindelse i en part, der er eksporteret fra denne part til et tredjeland, returnerer til denne part, anses det som værende uden oprindelsesstatus, medmindre det kan godtgøres over for toldmyndighederne i den pågældende part, at det returnerede produkt:
a)
er det samme som det eksporterede og
b)
ikke har undergået nogen behandling, ud over hvad der var nødvendigt for dets bevarelse, mens det befandt sig i det pågældende land eller blev eksporteret.
Artikel 52
Uændret tilstand
1.   Et produkt med oprindelsesstatus, som angives til frit forbrug i den importerende part, må ikke efter eksporten, og før det angives til frit forbrug, være blevet ændret eller omdannet på nogen måde eller have været genstand for andre aktiviteter end dem, som har til formål at bevare det i god stand eller at anbringe mærker, etiketter, segl eller anden dokumentation for at sikre overholdelse af specifikke nationale krav i den importerende part.
2.   Oplagring eller udstilling af et produkt kan finde sted i et tredjeland, forudsat at produktet forbliver under toldmyndighedernes tilsyn i det pågældende tredjeland.
3.   Opdelingen af sendinger kan finde sted i et tredjeland, hvis den foretages af eksportøren eller under eksportørens ansvar, og forudsat at sendingerne forbliver under toldtilsyn i det pågældende tredjeland.
4.   Hvis der er tvivl om, hvorvidt kravene i stk. 1-3 er overholdt, kan toldmyndigheden i den importerende part kræve, at importøren godtgør overholdelsen af disse krav, hvilket kan gøres ved hjælp af ethvert middel, herunder kontraktmæssige transportdokumenter som f.eks. konnossementer eller faktuelle eller konkrete beviser på grundlag af mærkning eller nummerering af kolli eller enhver form for bevis med tilknytning til selve produktet.
Artikel 53
Revision af toldgodtgørelse eller -fritagelse
Tidligst to år efter denne aftales ikrafttræden reviderer Handelsspecialudvalget vedrørende Toldsamarbejde og Oprindelsesregler på anmodning af en af parterne parternes respektive toldgodtgørelses- og forædlingsordninger. Med henblik herpå forelægger den anden part efter anmodning af en part senest 60 dage efter denne anmodning den anmodende part tilgængelige oplysninger og detaljerede statistikker, der dækker perioden fra denne aftales ikrafttræden, eller de foregående fem år, hvis denne periode er kortere, om anvendelsen af toldgodtgørelsesordningen og ordningen for aktiv forædling. På baggrund af denne gennemgang kan Handelsspecialudvalget vedrørende Toldsamarbejde og Oprindelsesregler fremsætte henstillinger til Partnerskabsrådet om ændring af bestemmelserne i dette kapitel og bilagene hertil med henblik på at indføre begrænsninger eller restriktioner med hensyn til godtgørelse af eller fritagelse for told.
AFDELING 2
OPRINDELSESPROCEDURER
Artikel 54
Anmodning om præferencetoldbehandling
1.   Den importerende part indrømmer ved import præferencetoldbehandling til en vare med oprindelse i den anden part som omhandlet i dette kapitel på grundlag af importørens anmodning om præferencetoldbehandling. Importøren er ansvarlig for rigtigheden af anmodningen om præferencetoldbehandling og overholdelse af de krav, der er fastsat i dette kapitel.
2.   En anmodning om præferencetoldbehandling baseres på:
a)
en af eksportøren udfærdiget udtalelse om oprindelse, hvoraf det fremgår, at produktet har oprindelsesstatus, eller
b)
importørens kendskab til, at produktet har oprindelsesstatus.
3.   En importør, der fremsætter en anmodning om præferencetoldbehandling på grundlag af en udtalelse om oprindelse som omhandlet i stk. 2, litra a), opbevarer udtalelsen om oprindelse og, hvis det kræves af den importerende parts toldmyndighed, forelægger en kopi heraf til den pågældende toldmyndighed.
Artikel 55
Tidspunkt for anmodning om præferencetoldbehandling
1.   Anmodningen om præferencetoldbehandling og grundlaget for anmodningen som omhandlet i artikel 54, stk. 2, medtages i toldimportangivelsen i overensstemmelse med den importerende parts love og forskrifter.
2.   Uanset stk. 1 indrømmer den importerende part, selv om importøren ikke har fremsat en anmodning om præferencetoldbehandling på importtidspunktet, toldpræferencebehandling og yder godtgørelse af eller fritagelse for overskydende told, forudsat at:
a)
anmodningen om præferencetoldbehandling fremsættes senest tre år efter datoen for importen eller en længere periode som fastsat i den importerende parts love og administrative bestemmelser
b)
importøren tilvejebringer grundlaget for anmodningen som omhandlet i artikel 54, stk. 2, og
c)
produktet ville være blevet betragtet som et produkt med oprindelsesstatus og ville have opfyldt alle andre gældende krav som omhandlet i afdeling 1, hvis importøren havde fremsat anmodningen på importtidspunktet.
Importørens øvrige forpligtelser i henhold til artikel 54 er uændrede.
Artikel 56
Udtalelse om oprindelse
1.   En udtalelse om oprindelse udfærdiges af en eksportør af et produkt på grundlag af oplysninger, der dokumenterer, at produktet har oprindelsesstatus, herunder oplysninger om oprindelsesstatus for de materialer, der er anvendt ved produktionen af produktet. Eksportøren er ansvarlig for rigtigheden af udtalelsen om oprindelse og de fremlagte oplysninger.
2.   Udtalelsen om oprindelse udfærdiges ved anvendelse af en af de sproglige udgaver af teksten i bilag 7 på en faktura eller ethvert andet handelsdokument, som beskriver produktet med oprindelsesstatus tilstrækkelig detaljeret til, at det pågældende produkt kan identificeres. Eksportøren er ansvarlig for at give tilstrækkelige oplysninger til, at produktet med oprindelsesstatus kan identificeres. Den importerende part må ikke kræve, at importøren fremlægger en oversættelse af udtalelsen om oprindelse.
3.   En udtalelse om oprindelse er gyldig i 12 måneder fra den dato, hvor den blev udfærdiget, eller i en længere periode som fastsat af den importerende part på højst 24 måneder.
4.   En udtalelse om oprindelse kan anvendes til:
a)
en enkelt forsendelse af et eller flere produkter, der importeres til en part, eller
b)
flere forsendelser af identiske produkter, der er importeret af en part i den periode, der er anført i udtalelsen om oprindelse, og som ikke overstiger 12 måneder.
5.   Hvis ikkesamlede eller adskilte produkter i den i punkt 2 a) i de almindelige tariferingsbestemmelser vedrørende det harmoniserede system omhandlede betydning og henhørende under afdeling XV-XXI i det harmoniserede system importeres i delforsendelser efter importøres anmodning, kan der anvendes en enkelt udtalelse om oprindelse for sådanne produkter i overensstemmelse med de krav, der er fastsat af den importerende parts toldmyndighed.
Artikel 57
Uoverensstemmelser
Den importerende parts toldmyndighed må ikke afvise en ansøgning om præferencetoldbehandling på grund af mindre fejl eller uoverensstemmelser i udtalelsen om oprindelse eller alene af den grund, at en faktura blev udstedt i et tredjeland.
Artikel 58
Importørens kendskab
1.   Med henblik på en ansøgning om præferencetoldbehandling, der indgives i henhold til artikel 54, stk. 2, litra b), skal importørens kendskab til, at et produkt har oprindelse i den eksporterende part, baseres på oplysninger, der dokumenterer, at produktet har oprindelsesstatus og opfylder de krav, der er fastsat i dette kapitel.
2.   Hvis en importør ikke er i stand til at indhente de i denne artikels stk. 1 omhandlede oplysninger som følge af, at eksportøren anser disse oplysninger for at være fortrolige, eller af andre årsager, kan eksportøren, inden han anmoder om præferencebehandling, fremlægge en udtalelse om oprindelse, således at importøren kan anmode om præferencetoldbehandling på grundlag af artikel 54, stk. 2, litra a).
Artikel 59
Krav vedrørende opbevaring af optegnelser
1.   En importør, der anmoder om præferencetoldbehandling for et produkt, der importeres til den importerende part, opbevarer i mindst tre år efter datoen for importen af produktet:
a)
hvis anmodningen var baseret på en udtalelse om oprindelse, den udtalelse om oprindelse, som eksportøren har udfærdiget, eller
b)
hvis anmodningen var baseret på importørens kendskab, al dokumentation for, at et produkt opfylder kravene for at opnå oprindelsesstatus.
2.   En eksportør, der har udfærdiget en udtalelse om oprindelse, opbevarer i en periode på mindst fire år efter, at denne udtalelse om oprindelse blev udfærdiget, en kopi af udtalelsen om oprindelse og alle andre dokumenter, som godtgør, at produktet opfylder kravene for at opnå oprindelsesstatus.
3.   De fortegnelser, der skal opbevares i henhold til denne artikel, kan opbevares i elektronisk form.
Artikel 60
Mindre forsendelser
1.   Uanset artikel 54-58 indrømmer den importerende part, forudsat at det erklæres, at produktet opfylder kravene i dette kapitel, og toldmyndigheden i den importerende part ikke er i tvivl om denne erklærings rigtighed, præferencetoldbehandling til:
a)
produkter, der indgår i småforsendelser fra private afsendere til private modtagere
b)
produkter, der indgår i en rejsendes personlige bagage, og
c)
for så vidt angår Det Forenede Kongerige, i tillæg til denne artikels litra a) og b), andre forsendelser af ringe værdi.
2.   Følgende produkter er ikke omfattet af denne artikels stk. 1:
a)
produkter, der importeres som led i en række importtransaktioner, der med rimelighed kan anses for at være blevet foretaget særskilt for at undgå kravene i artikel 54
b)
for Unionen:
i)
produkter, der importeres i erhvervsmæssigt øjemed, som import helt uden erhvervsmæssig karakter anses lejlighedsvis import, der udelukkende består af produkter bestemt til personlig brug for modtagerne eller de rejsende eller deres familie, og hvis beskaffenhed og mængde ikke giver anledning til tvivl om, at importen sker i ikkeerhvervsmæssigt øjemed, og
ii)
produkter, hvis samlede værdi overstiger 500 EUR for produkter, der sendes i småforsendelser, eller 1 200 EUR for produkter, der indgår i den rejsendes personlige bagage. De beløb, der skal benyttes i en given national valuta, er modværdien i den pågældende nationale valuta af de i euro udtrykte beløb på den første hverdag i oktober. Den Europæiske Centralbank offentliggør vekselkursbeløbene for den pågældende dag, medmindre et andet beløb er meddelt Europa-Kommissionen senest den 15. oktober, og anvendes fra den 1. januar det følgende år. Europa-Kommissionen underretter Det Forenede Kongerige om de pågældende beløb. Unionen kan fastsætte andre begrænsninger, som den vil meddele Det Forenede Kongerige, og
c)
for Det Forenede Kongerige, produkter, hvis samlede værdi overstiger de grænser, der er fastsat i Det Forenede Kongeriges nationale lovgivning. Det Forenede Kongerige meddeler Unionen disse begrænsninger.
3.   Importøren er ansvarlig for erklæringens rigtighed og overholdelsen af de krav, der er fastsat i dette kapitel. Registreringsforpligtelserne i artikel 59 finder ikke anvendelse på importøren i henhold til denne artikel.
Artikel 61
Verifikation
1.   Den importerende parts toldmyndighed kan foretage en verifikation af, om et produkt har oprindelsesstatus, eller om de andre krav i dette kapitel er opfyldt, på grundlag af risikovurderingsmetoder, som kan omfatte stikprøver. En sådan verifikation kan foretages ved hjælp af en anmodning om oplysninger fra den importør, som fremsatte anmodningen i artikel 54, på tidspunktet for importangivelsen, før frigivelsen af produkterne eller efter frigivelsen af produkterne.
2.   De oplysninger, der anmodes om i henhold til stk. 1, omfatter højst følgende elementer:
a)
hvis anmodningen var baseret på en udtalelse om oprindelse, den pågældende udtalelse om oprindelse, og
b)
oplysninger vedrørende opfyldelse af oprindelseskriterier, som er følgende:
i)
hvis oprindelseskriteriet er "fuldt opfyldt", den relevante kategori (f.eks. høst, minedrift, fiskeri og produktionssted) og produktionssted
ii)
hvis oprindelseskriteriet er baseret på en ændring af tariferingen, en liste over alle materialerne uden oprindelsesstatus, herunder deres tarifering (format med 2, 4 eller 6 cifre alt afhængigt af oprindelseskriterierne)
iii)
hvis oprindelseskriteriet er baseret på en værdimetode, det færdige produkts værdi samt værdien af alle ved produktionen anvendte materialer uden oprindelsesstatus
iv)
hvis oprindelseskriteriet er baseret på vægt, det færdige produkts vægt samt vægten af alle ved produktionen anvendte relevante materialer uden oprindelsesstatus
v)
hvis oprindelseskriteriet er baseret på en specifik produktionsproces, en specifik beskrivelse af denne proces.
3.   Ved forelæggelse af de oplysninger, der anmodes om, kan importøren tilføje eventuelle andre oplysninger, som han skønner relevante med henblik på verifikation.
4.   Hvis anmodningen om præferencetoldbehandling er baseret på en udtalelse om oprindelse, tilvejebringer importøren denne udtalelse, men kan meddele den importerende parts toldmyndighed, at han ikke er i stand til at fremlægge de oplysninger, der er omhandlet i stk. 2, litra b).
5.   Hvis anmodningen om præferencetoldbehandling er baseret på importørens kendskab, kan toldmyndigheden i den importerende part, der gennemfører verifikationen, efter først at have anmodet om oplysninger i henhold til stk. 1, anmode om supplerende oplysninger fra importøren, hvis den pågældende toldmyndighed finder, at der er behov for supplerende oplysninger med henblik på at verificere produktets oprindelsesstatus eller opfyldelsen af de andre krav i dette kapitel. Den importerende parts toldmyndighed kan anmode importøren om særlig dokumentation og information, hvis det er relevant.
6.   Hvis den importerende parts toldmyndighed træffer afgørelse om at suspendere præferencetoldbehandlingen af det pågældende produkt, mens den afventer resultatet af verifikationen, tilbyder den at frigive produktet til importøren med forbehold af passende forsigtighedsforanstaltninger, herunder garantier. Enhver suspension af præferencetoldbehandlingen ophæves hurtigst muligt, efter at det pågældende produkts oprindelsesstatus eller opfyldelsen af de øvrige betingelser i dette kapitel er blevet fastslået af den importerende parts toldmyndighed.
Artikel 62
Administrativt samarbejde
1.   For at sikre en korrekt anvendelse af dette kapitel samarbejder parterne gennem toldmyndighederne i hver part ved at verificere, om et produkt har oprindelsesstatus og overholder de øvrige krav, der er fastsat i dette kapitel.
2.   Hvis anmodningen om præferencetoldbehandling var baseret på en udtalelse om oprindelse, kan toldmyndigheden i den importerende part, der foretager verifikationen, efter først at have anmodet om oplysninger i henhold til artikel 61, stk. 1, og på grundlag af svaret fra importøren også anmode om oplysninger fra den eksporterende parts toldmyndighed inden for en periode på to år efter importen af produkterne eller fra det tidspunkt, hvor anmodningen fremsættes i henhold til artikel 55, stk. 2, litra a), hvis toldmyndigheden i den importerende part, der gennemfører verifikationen, finder, at der er behov for supplerende oplysninger med henblik på at verificere produktets oprindelsesstatus eller opfyldelsen af de andre krav i dette kapitel. Anmodningen om oplysninger skal indeholde følgende:
a)
udtalelsen om oprindelse
b)
identiteten på den toldmyndighed, der fremsætter anmodningen
c)
eksportørens navn
d)
verifikationens emne og omfang og
e)
al relevant dokumentation.
Den importerende parts toldmyndighed kan desuden anmode den eksporterende parts toldmyndighed om specifik dokumentation og oplysninger, hvis det er relevant.
3.   Den eksporterende parts toldmyndighed kan i overensstemmelse med sine love og forskrifter anmode om dokumentation eller undersøgelse ved at kræve enhver form for oplysninger eller ved at aflægge besøg hos eksportøren for at gennemgå registre og inspicere de anlæg, der anvendes ved produktionen af produktet.
4.   Med forbehold af stk. 5 forelægger den eksporterende parts toldmyndighed, der modtager en anmodning som omhandlet i stk. 2, den importerende parts toldmyndighed følgende oplysninger:
a)
de ønskede oplysninger, hvis de er til rådighed
b)
en udtalelse om produktets oprindelsesstatus
c)
en beskrivelse af det produkt, der er genstand for undersøgelsen, og den tarifering, som er relevant for anvendelsen af dette kapitel
d)
en beskrivelse af og en redegørelse for produktionsprocessen, der er tilstrækkelig til at underbygge produktets oprindelsesstatus
e)
information om den måde, hvorpå kontrollen af produktet blev foretaget, og
f)
eventuelt supplerende dokumentation.
5.   Den eksporterende parts toldmyndighed må ikke videregive de i stk. 4, litra a), d) og f), omhandlede oplysninger til den importerende parts toldmyndighed, hvis disse oplysninger anses for at være fortrolige af eksportøren.
6.   Hver part giver den anden part kontaktoplysninger for toldmyndighederne og underretter den anden part om alle ændringer af disse kontaktoplysninger inden for 30 dage efter datoen for ændringen.
Artikel 63
Afslag på anmodninger om præferencetoldbehandling
1.   Med forbehold af stk. 3 kan den importerende parts toldmyndighed give afslag på anmodninger om præferencetoldbehandling, hvis:
a)
senest tre måneder efter datoen for anmodningen om oplysninger i henhold til artikel 61, stk. 1:
i)
der ikke er kommet noget svar fra importøren
ii)
der ikke er afgivet nogen udtalelse om oprindelse, såfremt anmodningen om præferencetoldbehandling var baseret på en udtalelse om oprindelse, eller
iii)
oplysningerne fra importøren, såfremt anmodningen om præferencetoldbehandling var baseret på importørens kendskab, er utilstrækkelige til at bekræfte, at det pågældende produkt har oprindelsesstatus
b)
senest tre måneder efter datoen for anmodningen om supplerende oplysninger i henhold til artikel 61, stk. 5:
i)
der ikke er kommet noget svar fra importøren, eller
ii)
de afgivne oplysninger fra importøren er utilstrækkelige til at bekræfte, at det pågældende produkt har oprindelsesstatus
c)
senest 10 måneder 
(
3
)
 efter datoen for anmodningen om oplysninger i henhold til artikel 62, stk. 2:
i)
der ikke er kommet noget svar fra den eksporterende parts toldmyndighed, eller
ii)
de afgivne oplysninger fra den eksporterende parts toldmyndighed er utilstrækkelige til at bekræfte, at det pågældende produkt har oprindelsesstatus.
2.   Den importerende parts toldmyndighed kan give afslag på en anmodning om præferencetoldbehandling for et produkt, for hvilket en importør anmoder om præferencetoldbehandling, hvis importøren ikke opfylder andre krav i dette kapitel end kravene vedrørende produkternes oprindelsesstatus.
3.   Hvis den importerende parts toldmyndighed har tilstrækkelig begrundelse for at give afslag på en anmodning om præferencetoldbehandling i henhold til stk. 1 i tilfælde, hvor den eksporterende parts toldmyndighed har afgivet en udtalelse i henhold til artikel 62, stk. 4, litra b), som bekræfter, at produkterne har oprindelsesstatus, underretter den importerende parts toldmyndighed den eksporterende parts toldmyndighed om sin hensigt om at give afslag på anmodningen om præferencetoldbehandling senest to måneder efter modtagelsen af den pågældende udtalelse.
Hvis en sådan underretning finder sted, skal der afholdes konsultationer efter anmodning fra en af parterne senest tre måneder efter datoen for underretningen. Perioden for konsultation kan forlænges afhængigt af den konkrete sag efter aftale mellem parternes toldmyndigheder. Konsultationen kan finde sted i overensstemmelse med den procedure, der er fastlagt af Handelsspecialudvalget vedrørende Toldsamarbejde og Oprindelsesregler.
Efter udløbet af perioden for konsultation kan den importerende parts toldmyndighed, hvis den ikke kan bekræfte, at produktet har oprindelsesstatus, give afslag på anmodningen om præferencetoldbehandling, hvis der er tilstrækkelig begrundelse herfor og efter at have indrømmet importøren ret til at blive hørt. Når den eksporterende parts toldmyndighed bekræfter produkternes oprindelsesstatus og begrunder en sådan konklusion, må den importerende parts toldmyndighed imidlertid ikke give afslag på en anmodning om præferencetoldbehandling af et produkt alene af den grund, at artikel 62, stk. 5, er blevet anvendt.
4.   Under alle omstændigheder bilægges meningsforskelle mellem importøren og den importerende parts toldmyndighed i henhold til den importerende parts lovgivning.
Artikel 64
Fortrolighed
1.   Hver part behandler i overensstemmelse med sine love og forskrifter enhver oplysning, som den har modtaget fra den anden part i henhold til dette kapitel, fortroligt og beskytter disse oplysninger mod videregivelse.
2.   Uanset artikel 62, stk. 5, hvis fortrolige forretningsoplysninger er blevet indhentet fra eksportøren af toldmyndigheden i den eksporterende part eller den importerende part gennem anvendelse af artikel 61 og 62, må de pågældende oplysninger ikke videregives.
3.   Hver part sikrer, at de fortrolige oplysninger, der er indhentet i henhold til dette kapitel, ikke anvendes til andre formål end administration og håndhævelse af afgørelser og bestemmelse af oprindelse og toldspørgsmål, undtagen med tilladelse fra den person eller part, som har afgivet de fortrolige oplysninger.
4.   Uanset stk. 3 kan en part tillade, at oplysninger, der indhentes i henhold til dette kapitel, anvendes til administrative, retslige eller kvasiretslige procedurer, som indledes på grund af manglende overholdelse af toldrelateret lovgivning til gennemførelse af dette kapitel. En part underretter den person eller part, der afgav oplysningerne, forud for en sådan anvendelse.
Artikel 65
Administrative foranstaltninger og sanktioner
Hver part sikrer en effektiv håndhævelse af dette kapitel. Hver part sikrer, at de kompetente myndigheder kan pålægge administrative foranstaltninger og i givet fald sanktioner i overensstemmelse med sine love og forskrifter på enhver person, som udfærdiger et dokument eller forårsager et dokument udfærdiget, som indeholder urigtige oplysninger afgivet med henblik på opnåelse af præferencetoldbehandling for et produkt, der ikke er i overensstemmelse med kravene i artikel 59, eller som ikke fremlægger de beviser eller nægter de besøg, der er omhandlet i artikel 62, stk. 3.
AFDELING 3
ANDRE BESTEMMELSER
Artikel 66
Ceuta og Melilla
1.   Med henblik på denne protokol omfatter for så vidt angår Unionen udtrykket "part" ikke Ceuta og Melilla.
2.   Når produkter med oprindelse i Det Forenede Kongerige importeres til Ceuta og Melilla, indrømmes de i enhver henseende samme toldbehandling i henhold til denne aftale, som indrømmes produkter med oprindelse i Unionens toldområde i henhold til protokol nr. 2 til akten vedrørende Kongeriget Spaniens og Republikken Portugals tiltrædelse af Den Europæiske Union. Det Forenede Kongerige indrømmer ved import af produkter, der er omfattet af denne aftale og har oprindelse i Ceuta og Melilla, den samme toldbehandling, som indrømmes produkter, der importeres fra og har oprindelse i Unionen.
3.   Oprindelsesreglerne og oprindelsesprocedurerne i henhold til dette kapitel finder, med de fornødne ændringer, anvendelse på produkter, der eksporteres fra Det Forenede Kongerige til Ceuta og Melilla, og på produkter, der eksporteres fra Ceuta og Melilla til Det Forenede Kongerige.
4.   Ceuta og Melilla betragtes som et enkelt område.
5.   Artikel 40 finder anvendelse på import og eksport af produkter mellem Unionen, Det Forenede Kongerige og Ceuta og Melilla.
6.   Eksportørerne angiver "Det Forenede Kongerige" eller "Ceuta og Melilla" i felt 3 i udtalelsen om oprindelse, afhængigt af produktets oprindelse.
7.   Toldmyndigheden i Kongeriget Spanien er ansvarlig for anvendelsen og gennemførelsen af dette kapital i Ceuta og Melilla.
Artikel 67
Overgangsbestemmelser for varer under forsendelse eller oplagring
Bestemmelserne i denne aftale kan anvendes på varer, der er i overensstemmelse med bestemmelserne i dette kapitel, og som på datoen for denne aftales ikrafttræden enten er i transit fra den eksporterende part til den importerende part eller under toldkontrol i den importerende part uden betaling af importafgifter og skatter, forudsat at der fremsættes en anmodning om præferencetoldbehandling som omhandlet i artikel 54 til den importerende parts toldmyndighed senest 12 måneder efter den nævnte dato.
Artikel 68
Ændringer af dette kapitel og bilagene hertil
Partnerskabsrådet kan ændre dette kapitel og bilagene hertil.
KAPITEL 3
SUNDHEDS- OG PLANTESUNDHEDSMÆSSIGE FORANSTALTNINGER
Artikel 69
Formål
Formålene med dette kapitel er:
a)
at beskytte menneskers, dyrs og planters liv eller sundhed på parternes områder og samtidig lette samhandelen mellem parterne
b)
at fremme gennemførelsen af SPS-aftalen
c)
at sikre, at parternes sundheds- og plantesundhedsforanstaltninger ("SPS-foranstaltninger") ikke skaber unødvendige handelshindringer
d)
at fremme større gennemsigtighed af og forståelse for anvendelsen af hver parts SPS-foranstaltninger
e)
at styrke samarbejdet mellem parterne om bekæmpelse af antimikrobiel resistens, fremme af bæredygtige fødevaresystemer, beskyttelse af dyrevelfærd og elektronisk certificering
f)
at styrke samarbejdet i de relevante internationale organisationer med henblik på at udvikle internationale standarder, retningslinjer og anbefalinger vedrørende dyresundhed, fødevaresikkerhed og plantesundhed og
g)
at fremme begge parters gennemførelse af internationale standarder, retningslinjer og anbefalinger.
Artikel 70
Anvendelsesområde
1.   Dette kapitel finder anvendelse på alle en parts SPS-foranstaltninger, der direkte eller indirekte kan påvirke handelen mellem parterne.
2.   I dette kapitel fastsættes også særskilte bestemmelser vedrørende samarbejde om dyrevelfærd, antimikrobiel resistens og bæredygtige fødevaresystemer.
Artikel 71
Definitioner
1.   I dette kapitel forstås ved:
a)
definitionerne i bilag A til SPS-aftalen
b)
de definitioner, der er vedtaget inden for rammerne af Codex Alimentarius-Kommissionen ("Codex")
c)
de definitioner, der er vedtaget inden for rammerne af Verdensorganisationen for Dyresundhed ("OIE"), og
d)
de definitioner, der er vedtaget inden for rammerne af den internationale plantebeskyttelseskonvention ("IPPC").
2.   I dette kapitel forstås ved:
a)
"importbetingelser": alle SPS-foranstaltninger, der skal opfyldes for import af produkter, og
b)
"beskyttet zone" for en bestemt reguleret skadegører: et formelt afgrænset geografisk område, hvor den pågældende regulerede skadegører ikke er etableret på trods af gunstige betingelser, og dens tilstedeværelse i andre dele af partens område, hvor den pågældende skadegører ikke må indføres.
3.   Handelsspecialudvalget vedrørende Sundheds- og Plantesundhedsforanstaltninger kan vedtage andre definitioner med henblik på dette kapitel under hensyntagen til glossarer og definitioner udarbejdet af relevante internationale organisationer, f.eks. Codex, OIE og IPPC.
4.   Definitionerne i SPS-aftalen har forrang, i det omfang der er uoverensstemmelse mellem de definitioner, der er vedtaget af Handelsspecialudvalget vedrørende Sundheds- og Plantesundhedsforanstaltninger eller inden for rammerne af Codex, OIE eller IPPC, og definitionerne i SPS-aftalen. I tilfælde af uoverensstemmelse mellem de definitioner, der er vedtaget af Handelsspecialudvalget vedrørende Sundheds- og Plantesundhedsforanstaltninger, og definitionerne i Codex, OIE eller IPPC, gælder definitionerne i Codex, OIE eller IPPC.
Artikel 72
Rettigheder og forpligtelser
Parterne bekræfter deres rettigheder og forpligtelser i henhold til SPS-aftalen. Dette omfatter retten til at vedtage foranstaltninger i henhold til SPS-aftalens artikel 5, stk. 7.
Artikel 73
Almindelige principper
1.   Parterne anvender SPS-foranstaltninger til at opnå et passende beskyttelsesniveau baseret på risikovurdering i overensstemmelse med de relevante bestemmelser, herunder artikel 5 i SPS-aftalen.
2.   Parterne må ikke anvende SPS-foranstaltninger til at skabe uberettigede handelshindringer.
3.   For så vidt angår handelsrelaterede SPS-procedurer og godkendelser i henhold til dette kapitel sikrer hver part, at disse procedurer og relaterede SPS-foranstaltninger:
a)
iværksættes og afsluttes uden unødig forsinkelse
b)
ikke indeholder unødvendige, videnskabeligt og teknisk ubegrundede eller urimeligt byrdefulde anmodninger om oplysninger, der kan forsinke adgangen til hinandens markeder
c)
ikke anvendes på en måde, der udgør en vilkårlig eller uberettiget forskelsbehandling af den anden parts område eller dele af den anden parts område, hvor de samme eller tilsvarende SPS-forhold gør sig gældende, og
d)
står i et rimeligt forhold til de konstaterede risici og ikke er mere handelsbegrænsende end nødvendigt for, at parten kan opnå et passende beskyttelsesniveau.
4.   Parterne må ikke anvende de i stk. 3 omhandlede procedurer eller anmode om yderligere oplysninger for at forhale adgangen til deres respektive markeder uden videnskabelig eller teknisk begrundelse.
5.   Hver part sikrer, at alle krævede administrative procedurer vedrørende importbetingelserne for fødevaresikkerhed, dyresundhed og plantesundhed ikke er mere belastende eller handelsbegrænsende end nødvendigt for at forsikre den importerende part om, at disse betingelser er opfyldt. Parterne sikrer, at de negative handelsmæssige virkninger af administrative procedurer minimeres, og at toldbehandlingen er enkel og hurtig, idet den importerende parts betingelser samtidig opfyldes.
6.   Den importerende part må ikke indføre yderligere administrative systemer eller procedurer, der hæmmer handelen unødigt.
Artikel 74
Officiel certificering
1.   Hvis den importerende part kræver officielle certifikater, skal standardcertifikaterne:
a)
baseres på principperne i de internationale standarder fra Codex, IPPC og OIE og
b)
finde anvendelse på import fra hele den eksporterende parts område.
2.   Handelsspecialudvalget vedrørende Sundheds- og Plantesundhedsforanstaltninger kan enes om specifikke situationer, hvor standardcertifikaterne i stk. 1 kun finder anvendelse på en del eller dele af den eksporterende parts område. Parterne fremmer indførelsen af elektroniske certifikater og andre teknologier til at fremme handelen.
Artikel 75
Importbetingelser og -procedurer
1.   Uden at det berører parternes rettigheder og forpligtelser i henhold til SPS-aftalen og dette kapitel, finder den importerende parts importbetingelser anvendelse på hele den eksporterende parts område på en konsekvent måde.
2.   Den eksporterende part sikrer, at de produkter, der eksporteres til den anden part, såsom dyr og animalske produkter, planter og planteprodukter eller andre hertil relaterede genstande, opfylder den importerende parts SPS-krav.
3.   Den importerende part kan kræve, at der skal gives tilladelse til import af bestemte produkter. En sådan tilladelse gives, hvis den relevante kompetente myndighed i den eksporterende part fremsætter en anmodning, som objektivt til den importerende parts tilfredshed godtgør, at den importerende parts godkendelseskrav er opfyldt. Den relevante kompetente myndighed i den eksporterende part kan anmode om tilladelse for hele den eksporterende parts område. Den importerende part imødekommer sådanne anmodninger på dette grundlag, hvis de opfylder den importerende parts godkendelseskrav som fastsat i dette stykke.
4.   Den importerende part må ikke indføre godkendelseskrav ud over dem, der gælder ved overgangsperiodens udløb, medmindre anvendelsen af sådanne krav på yderligere produkter er berettiget for at mindske en betydelig risiko for menneskers, dyrs eller planters sundhed.
5.   Den importerende part fastsætter importbetingelser for alle produkter og giver den anden part meddelelse herom. Den importerende part sikrer, at dens importbetingelser anvendes på en forholdsmæssig og ikkediskriminerende måde.
6.   Uden af det berører de foreløbige foranstaltninger i SPS-aftalens artikel 5, stk. 7, begrænses importbetingelserne for produkter eller andre tilknyttede genstande, for hvilke der består et plantesundhedsmæssigt problem, til foranstaltninger, som sikrer fravær af regulerede skadegørere i den importerende part, og de finder anvendelse på hele den eksportende parts område.
7.   Uanset stk. 1 og 3 går den importerende part i tilfælde af anmodninger om importtilladelse for et specifikt produkt, hvor den eksporterende part kun har anmodet om tilladelse for en del af eller visse dele af sit område (for Unionens vedkommende de enkelte medlemsstater), straks i gang med behandlingen af den pågældende anmodning og meddelelse af tilladelse. Hvis den importerende part modtager anmodninger vedrørende det specifikke produkt fra mere end én del af den eksporterende part, eller hvis der modtages yderligere anmodninger vedrørende et produkt, der allerede er godkendt, fremskynder den importerende part afslutningen af godkendelsesproceduren under hensyntagen til den identiske eller lignende SPS-ordning, der gælder i de forskellige dele af den eksporterende part.
8.   Hver part sikrer, at alle SPS-kontrol-, inspektions- og godkendelsesprocedurer iværksættes og afsluttes uden unødig forsinkelse. Oplysningskravene begrænses til, hvad der er nødvendigt for, at der i godkendelsesproceduren kan gøres brug af allerede tilgængelige oplysninger i den importerende part, f.eks. vedrørende den eksporterende parts lovgivningsrammer og revisionsrapporter.
9.   Undtagen i behørigt begrundede tilfælde relateret til partens beskyttelsesniveau sikrer hver part, at der er en rimelig frist mellem offentliggørelsen af eventuelle ændringer af dens godkendelsesprocedurer og deres anvendelse, for at give den anden part mulighed for at blive fortrolig med og tilpasse sig sådanne ændringer. Parterne må ikke unødigt forlænge godkendelsesprocessen for ansøgninger indgivet før offentliggørelsen af ændringerne.
10.   I forbindelse med proceduren i stk. 3-8 træffes følgende foranstaltninger:
a)
Så snart den importerende part har afsluttet sin vurdering med et tilfredsstillende udfald, træffer den straks alle nødvendige lovgivningsmæssige og administrative foranstaltninger for at give mulighed for handel uden unødigt ophold.
b)
Den eksporterende part:
i)
giver alle relevante oplysninger, som den importerende part anmoder om, og
ii)
giver den importerende part rimelig adgang til at foretage audit og andre relevante procedurer.
c)
Den importerende part udarbejder en liste over regulerede skadegørere for produkter eller andre tilknyttede genstand, hvis der er plantesundhedsmæssige problemer. Denne liste skal indeholde:
i)
de skadegørere, som ikke vides at forekomme i nogen del af partens eget område
ii)
de skadegørere, som vides at forekomme på partens eget område og er under offentlig kontrol
iii)
de skadegørere, som vides at forekomme på dele af partens eget område, og for hvilke der er fastsat skadegørerfrie områder eller beskyttede zoner, og
iv)
ikkekarantæneskadegørere, som vides at forekomme på partens eget område og er under offentlig kontrol for bestemt plantemateriale.
11.   Den importerende part accepterer forsendelser uden at kræve, at den importerende part kontrollerer, at de pågældende forsendelser overholder reglerne, inden de forlader den eksporterende part.
12.   En part kan opkræve gebyr for omkostningerne ved specifik SPS-grænsekontrol, der ikke overstiger de faktiske omkostninger.
13.   Den importerende part har ret til at foretage importkontrol af produkter importeret fra den eksporterende part med henblik på at sikre, at dens SPS-importkrav overholdes.
14.   Importkontrollen af de varer, der importeres fra den eksporterende part, afhænger af den SPS-risiko, der er forbundet med den pågældende import. Importkontrol foretages kun, i det omfang det er nødvendigt for at beskytte menneskers, dyrs eller planters liv og sundhed, og uden unødig forsinkelse, og den skal foretages uden unødig forsinkelse og påvirke handelen mellem parterne mindst muligt.
15.   Den importerende part stiller på den eksporterende parts anmodning oplysninger til rådighed om andelen af produkter fra den eksporterende part, der kontrolleres ved import.
16.   Afslører importkontrollen, at de relevante importbetingelser ikke er opfyldt, skal de foranstaltninger, der træffes af den importerende part, være baseret på en vurdering af de pågældende risici, og de må ikke være mere handelsbegrænsende end nødvendigt for, at parten kan opnå et passende SPS-beskyttelsesniveau.
Artikel 76
Lister over godkendte virksomheder
1.   Den importerende part kan, når det er berettiget, opretholde en liste over godkendte virksomheder, der opfylder dens importkrav, som en betingelse for at tillade import af animalske produkter fra disse virksomheder.
2.   Medmindre det er begrundet med henblik på at afbøde en væsentlig risiko for menneskers eller dyrs sundhed, stilles der kun krav om lister over godkendte virksomheder for de produkter, hvor de var et krav ved overgangsperiodens udløb.
3.   Den eksporterende part underretter den importerende part om sin liste over virksomheder, der opfylder den importerende parts betingelser, som er baseret på den eksporterende parts garantier.
4.   Den importerende part godkender på den eksporterende parts anmodning virksomheder, som er etableret i den eksporterende parts område, baseret på den eksporterende parts garantier og uden forudgående inspektion af de enkelte virksomheder.
5.   Medmindre den importerende part anmoder om yderligere oplysninger og betinget af den eksporterende parts garantier, træffer den importerende part i overensstemmelse med sine gældende retlige procedurer de nødvendige lovgivningsmæssige og administrative foranstaltninger for at tillade import fra disse virksomheder uden unødigt ophold.
6.   Listen over godkendte virksomheder offentliggøres af den importerende part.
7.   Hvis den importerende part beslutter at afslå den eksporterende parts anmodning om at tilføje en virksomhed til listen over godkendte virksomheder, underretter den straks den eksporterende part herom og fremsender et svar, herunder oplysninger om den manglende overensstemmelse, der bevirkede, at virksomheden ikke blev godkendt.
Artikel 77
Gennemsigtighed og udveksling af oplysninger
1.   Hver part tilstræber gennemsigtighed, hvad angår SPS-foranstaltninger på handelsområdet, og vil med henblik herpå:
a)
straks underrette den anden part om eventuelle ændringer af dens SPS-foranstaltninger og godkendelsesprocedurer, herunder ændringer, der kan berøre dens mulighed for at opfylde den anden parts SPS-importkrav for visse varer
b)
styrke den gensidige forståelse af dens SPS-foranstaltninger og disses anvendelse
c)
udveksle oplysninger med den anden part om spørgsmål vedrørende udviklingen og anvendelsen af SPS-foranstaltninger, herunder nye videnskabelige beviser, som påvirker eller kan påvirke handelen mellem parterne, med henblik på at minimere negative virkninger for samhandelen
d)
efter anmodning fra den anden part meddele de betingelser, der gælder for import af specifikke produkter, inden for 20 arbejdsdage
e)
efter anmodning fra den anden part oplyse om status for proceduren for godkendelse af specifikke produkter inden for 20 arbejdsdage
f)
meddele den anden part enhver væsentlig ændring af en parts kompetente myndigheds struktur eller organisation
g)
efter anmodning meddele resultaterne af en parts officielle kontrol og en rapport om resultaterne af den kontrol, der er foretaget
h)
efter anmodning meddele resultaterne af en importkontrol, der er fastsat i tilfælde af en afvist sending eller en sending, der ikke opfylder kravene, og
i)
efter anmodning hurtigst muligt fremsende en risikovurdering eller videnskabelig udtalelse, der er udarbejdet af en part, og som er relevant for dette kapitel.
2.   Har en part gjort oplysningerne i stk. 1 tilgængelige ved notifikation til WTO's centralregister for notifikationer eller til det relevante internationale standardiseringsorgan i overensstemmelse med dets relevante regler, er kravene i stk. 1 opfyldt for så vidt angår disse oplysninger.
Artikel 78
Tilpasning til regionale forhold
1.   Parterne anerkender begrebet zoneinddeling, herunder parasit- eller sygdomsfrie områder, beskyttede zoner og områder med lav forekomst af parasitter eller sygdomme og anvender dette begreb i deres samhandel i overensstemmelse med SPS-aftalen, herunder retningslinjerne, for at fremme den praktiske gennemførelse af SPS-aftalens artikel 6 (WTO/SPS Committee Decision G/SPS/48) og de relevante OIE- og IPPC-standarder, -retningslinjer og -anbefalinger. Handelsspecialudvalget vedrørende Sundheds- og Plantesundhedsforanstaltninger kan fastlægge nærmere detaljer for disse procedurer under hensyntagen til SPS-aftalen og relevante OIE- og IPPC-standarder, -retningslinjer og -anbefalinger.
2.   Parterne kan også enes om at samarbejde om begrebet opdeling af segmenter som omhandlet i kapitel 4.4 og 4.5 i OIE's sundhedskodeks for landdyr og kapitel 4.1 og 4.2 i OIE's sundhedskodeks for akvatiske dyr.
3.   Ved oprettelse eller opretholdelse af de i stk. 1 omhandlede zoner tager parterne hensyn til faktorer såsom geografisk beliggenhed, økosystemer, epidemiologisk overvågning og SPS-kontrollens effektivitet.
4.   Med hensyn til dyr og animalske produkter anerkender den importerende part ved fastsættelsen eller opretholdelsen af importbetingelser efter anmodning fra den eksporterende part de sygdomsfrie områder, der er fastsat af den eksporterende part som grundlag for afgørelsen om at tillade eller fortsætte importen, uden at dette berører stk. 8 og 9.
5.   Den eksporterende part udpeger de dele af sit område, som er omhandlet i stk. 4, og forelægger efter anmodning en fuldstændig redegørelse og dokumentation, som er baseret OIE-standarderne eller på andre måder fastlagt af Handelsspecialudvalget vedrørende Sundheds- og Plantesundhedsforanstaltninger på grundlag af den viden, der er erhvervet gennem de erfaringer, som den eksporterende parts relevante myndigheder har opnået.
6.   Med hensyn til planter, planteprodukter og andre tilknyttede genstande anerkender den importerende part ved fastsættelsen eller opretholdelsen af plantesundhedsmæssige importbetingelser efter anmodning fra den eksporterende part de skadegørerfrie områder, skadegørerfrie produktionssteder, skadegørerfrie lokaliteter, områder med lav prævalens og beskyttede zoner, der er fastsat af den eksporterende part som grundlag for afgørelsen om at tillade eller fortsætte importen, uden at dette berører stk. 8 og 9.
7.   Den eksporterende part udpeger sine skadegørerfrie områder, skadegørerfrie produktionssteder, skadegørerfrie lokaliteter og områder med lav prævalens eller beskyttede zoner. Hvis den importerende part anmoder herom, forelægger den eksporterende part en fuldstændig redegørelse og dokumentation, som er baseret på de internationale standarder for plantesundhedsforanstaltninger udarbejdet under IPPC eller på andre måder fastlagt af Handelsspecialudvalget vedrørende Sundheds- og Plantesundhedsforanstaltninger på grundlag af den viden, der er erhvervet gennem de erfaringer, som den eksporterende parts myndigheder har opnået.
8.   Parterne anerkender hinandens sygdomsfrie områder og beskyttede zoner ved overgangsperiodens udløb.
9.   Stk. 8 finder også anvendelse på efterfølgende tilpasninger af de sygdomsfrie områder og beskyttede zoner (for så vidt angår Det Forenede Kongeriges skadegørerfrie områder), undtagen i tilfælde af betydelige ændringer i sygdomssituationen eller skadegørersituationen.
10.   Parterne kan foretage audit og kontroller i henhold til artikel 79 for at gennemføre denne artikels stk. 4-9.
11.   Parterne etablerer et tæt samarbejde med det formål at skabe tillid til procedurerne for bestemmelse af parasit- eller sygdomsfrie områder, skadegørerfrie produktionssteder, skadegørerfrie lokaliteter og områder med lav forekomst af parasitter eller sygdomme og beskyttede zoner med henblik på at minimere handelsforstyrrelser.
12.   Den importerende part baserer sin bestemmelse af dyrs eller planters sundhedsstatus i den eksporterende part eller dele heraf på oplysninger afgivet af den eksporterende part i overensstemmelse med SPS-aftalen samt OIE- og IPPC-standarder og tager hensyn til den eksporterende parts bestemmelse heraf.
13.   Accepterer den importerende part ikke den eksporterende parts bestemmelse som omhandlet i denne artikels stk. 12, skal den importerende part objektivt begrunde og forklare den eksporterende part årsagerne til afvisningen og på anmodning afholde samråd, jf. artikel 80, stk. 2.
14.   Hver part sikrer, at de forpligtelser, der er fastsat i stk. 4-9 og stk. 12 og 13, gennemføres uden unødigt ophold. Den importerende part fremskynder anerkendelsen af sygdommen eller skadegøreren, når statussen er genoprettet efter et udbrud.
15.   Hvis en part finder, at en bestemt region har en særlig status med hensyn til en bestemt sygdom, og som opfylder kriterierne i OIE's sundhedskodeks for terrestriske dyr, kapitel 1.2, eller OIE's sundhedskodeks for akvatiske dyr, kapitel 1.2, kan den anmode om anerkendelse af denne status. Den importerende part kan kræve yderligere garantier i forbindelse med import af levende dyr og animalske produkter alt efter den aftalte status.
Artikel 79
Audit og verifikationer
1.   Den importerende part kan foretage audit af følgende:
a)
hele eller dele af den anden parts myndigheders ordning for inspektion og udstedelse af certifikater
b)
resultaterne af de kontroller, der er udført under den eksporterende parts ordning for inspektion og udstedelse af certifikater.
2.   Parterne gennemfører disse audit og verifikationer i overensstemmelse med SPS-aftalen, under hensyntagen til de relevante internationale standarder, retningslinjer og anbefalinger fra Codex, OIE eller IPPC.
3.   Den importerende part kan med henblik på disse audit og verifikationer foretage audit og verifikationer ved at anmode om oplysninger fra den eksporterende part eller ved at aflægge den eksporterende part audit- og verifikationsbesøg, som kan omfatte:
a)
en vurdering af hele eller en del af de ansvarlige myndigheders samlede kontrolprogram, herunder i givet fald gennemgang af lovgivningsmæssige audit- og inspektionsaktiviteter
b)
kontrol på stedet og
c)
indsamling af oplysninger og data med henblik på at vurdere årsagerne til tilbagevendende eller nye problemer i forbindelse med eksport af dyr og varer.
4.   Den importerende part deler resultaterne og konklusionerne af de audit og verifikationer, der foretages i medfør af stk. 1, med den eksporterende part. Den importerende part kan offentliggøre disse resultater.
5.   Inden en audit eller verifikation påbegyndes, drøfter parterne audittens eller verifikationens formål og omfang, de kriterier eller krav, som den eksporterende part vil blive vurderet i forhold til, og den rute og de procedurer for gennemførelse af revisionen eller verifikationen, som fastsættes i en revisions- eller verifikationsplan. Medmindre parterne aftaler andet, forelægger den importerende part den eksporterende part en revisions- eller verifikationsplan mindst 30 dage, før auditten eller verifikationen påbegyndes.
6.   Den importerende part giver den eksporterende part mulighed for at fremsætte et udkast til audit- eller verifikationsrapport. Den importerende part forelægger normalt den eksporterende part en endelig skriftlig rapport senest to måneder efter modtagelsen af disse bemærkninger.
7.   Hver af parterne afholder sine egne omkostninger i forbindelse med denne audit.
Artikel 80
Underretning og konsultationer
1.   En part underretter hurtigst muligt den anden part om:
a)
væsentlige ændringer i status for skadegørere og sygdomsstatus
b)
fremkomsten af en ny dyresygdom
c)
konstateringer af epidemiologisk betydning i forbindelse med dyresygdomme
d)
væsentlige fødevaresikkerhedsspørgsmål identificeret af en part
e)
eventuelle supplerende foranstaltninger ud over basiskravene i deres respektive SPS-foranstaltninger, som er truffet til bekæmpelse eller udryddelse af dyresygdomme eller til beskyttelse af menneskers sundhed, og om eventuelle ændringer af den sygdomsforebyggende politik, herunder vaccinationspolitikken
f)
efter anmodning resultaterne af en parts officielle kontrol og en rapport om resultaterne af den kontrol, der er foretaget, og
g)
eventuelle væsentlige ændringer af et systems eller en databases funktioner.
2.   Har en part et væsentligt problem med hensyn til fødevaresikkerhed, plantesundhed eller dyresundhed eller en SPS-foranstaltning, som den anden part har foreslået eller gennemført, kan parten anmode om tekniske konsultationer med den anden part. Den part, der modtager anmodningen, bør besvare denne hurtigst muligt. Hver part tilstræber at tilvejebringe de oplysninger, der er nødvendige for at undgå handelsforstyrrelser og i givet fald nå frem til en gensidigt acceptabel løsning.
3.   De konsultationer, der er omhandlet i stk. 2, kan foregå via telefonkonference, videokonference eller andre kommunikationsmidler, som parterne aftaler i fællesskab.
Artikel 81
Hasteforanstaltninger
1.   Hvis den importerende part mener, at der er en alvorlig risiko for menneskers, dyrs eller planters liv og sundhed, kan den uden forudgående underretning træffe de nødvendige foranstaltninger til beskyttelse af menneskers, dyrs eller planters liv og sundhed. For sendinger, der er i transit mellem parterne, søger den importerende part den bedst egnede og forholdsmæssigt bedst afpassede løsning for at undgå unødvendige handelsforstyrrelser.
2.   Den part, der træffer foranstaltningerne, underretter den anden part om SPS-hasteforanstaltningen så hurtigt som muligt efter sin afgørelse om at gennemføre foranstaltningen og senest 24 timer efter, at afgørelsen er truffet. Anmoder en part om tekniske konsultationer vedrørende en SPS-hasteforanstaltning, afholdes de tekniske konsultationer senest ti dage efter underretningen om SPS-hasteforanstaltningen. Parterne tager alle oplysninger, der kommer frem under de tekniske konsultationer, i betragtning. Disse konsultationer gennemføres med henblik på at undgå unødvendige handelsforstyrrelser. Parterne kan overveje muligheder for at lette gennemførelsen af foranstaltningerne eller deres udskiftning med andre foranstaltninger.
3.   Den importerende part tager rettidigt hensyn til de oplysninger, som den eksporterende part har fremlagt, når den træffer afgørelse om sendinger, som på tidspunktet for vedtagelsen af den hastende SPS-foranstaltning transporteres mellem parterne for at undgå unødige forstyrrelser i samhandelen.
4.   Den importerende part sikrer, at enhver hasteforanstaltning, der træffes af de grunde, der er nævnt i denne artikels stk. 1, ikke opretholdes uden videnskabelig dokumentation eller, i tilfælde, hvor den videnskabelige dokumentation er utilstrækkelig, vedtages i overensstemmelse med SPS-aftalens artikel 5, stk. 7.
Artikel 82
Multilaterale internationale fora
Parterne er enige om at samarbejde i multilaterale internationale fora om udviklingen af internationale standarder, retningslinjer og anbefalinger på de områder, der er omfattet af dette kapitel.
Artikel 83
Gennemførelse og kompetente myndigheder
1.   Med henblik på gennemførelsen af dette kapitel tager hver part hensyn til følgende:
a)
afgørelser truffet af WTO's SPS-udvalg
b)
arbejdet i de relevante internationale standardiseringsorganer
c)
sin viden og tidligere erfaringer med handel med den eksporterende part og
d)
oplysninger fra den anden part.
2.   Parterne giver hurtigst muligt hinanden en beskrivelse af parternes kompetente myndigheder med henblik på gennemførelsen af dette kapitel. Parterne underretter hinanden om enhver ændring af disse kompetente myndigheder.
3.   Hver part sikrer, at dens kompetente myndigheder har de nødvendige ressourcer til at gennemføre dette kapitel effektivt.
Artikel 84
Samarbejde om dyrevelfærd
1.   Parterne anerkender dyr som følende væsener. De anerkender også sammenhængen mellem bedre dyrevelfærd og bæredygtige fødevareproduktionssystemer.
2.   Parterne forpligter sig til at samarbejde i internationale fora for at fremme udviklingen af den bedst mulige praksis for dyrevelfærd og gennemførelsen heraf. Parterne samarbejder navnlig om at styrke og udvide anvendelsesområdet for OIE's dyrevelfærdsstandarder og gennemførelsen heraf med fokus på opdrættede dyr.
3.   Parterne udveksler oplysninger, ekspertviden og erfaringer på dyrevelfærdsområdet, navnlig vedrørende avl, hold, håndtering, transport og slagtning af dyr bestemt til fødevareproduktion.
4.   Parterne styrker deres samarbejde om forskning i dyrevelfærd vedrørende dyreavl og behandling af dyr på bedrifter, under transport og ved slagtning.
Artikel 85
Samarbejde om antimikrobiel resistens
1.   Parterne tilvejebringer en ramme for dialog og samarbejde med henblik på at styrke bekæmpelsen af antimikrobiel resistens.
2.   Parterne anerkender, at antimikrobiel resistens udgør en alvorlig trussel mod menneskers og dyrs sundhed. Misbrug af antimikrobielle stoffer inden for animalsk produktion, herunder ikketerapeutisk anvendelse, kan bidrage til antimikrobiel resistens, som kan udgøre en risiko for menneskers liv. Parterne erkender, at truslens art kræver, at der anlægges en tværnational One Health-tilgang.
3.   Med henblik på at bekæmpe antimikrobiel resistens bestræber parterne sig på at samarbejde internationalt med regionale eller multilaterale arbejdsprogrammer med henblik på at reducere unødvendig anvendelse af antibiotika i animalsk produktion og internationalt arbejde hen imod ophør af anvendelsen af antibiotika som vækstfremmere med det formål at bekæmpe antimikrobiel resistens i overensstemmelse med One Health-tilgangen og den globale handlingsplan.
4.   Parterne samarbejder om udarbejdelsen af internationale retningslinjer, standarder, anbefalinger og tiltag i relevante internationale organisationer med sigte på at fremme en fornuftig og ansvarlig anvendelse af antibiotika i husdyrhold og veterinærpraksis.
5.   Den i stk. 1 nævnte dialog skal blandt andet omfatte:
a)
samarbejde om opfølgning af eksisterende og fremtidige retningslinjer, standarder, anbefalinger og tiltag udviklet i relevante internationale organisationer og eksisterende og fremtidige initiativer og nationale planer med sigte på at fremme en fornuftig og ansvarlig anvendelse af antibiotika i animalsk produktion og veterinærpraksis
b)
samarbejde om gennemførelsen af anbefalingerne fra OIE, WHO og Codex, særlig CAC-RCP61/2005
c)
udveksling af oplysninger om god landbrugspraksis
d)
fremme af forskning, innovation og udvikling
e)
fremme af tværfaglige tilgange til bekæmpelse af antimikrobiel resistens, herunder One Health-tilgangen i WHO, OIE og Codex.
Artikel 86
Bæredygtige fødevaresystemer
Hver part tilskynder sine tjenester inden for fødevaresikkerhed og dyre- og plantesundhed til at samarbejde med deres modparter i den anden part med henblik på at fremme bæredygtige fødevareproduktionsmetoder og fødevaresystemer.
Artikel 87
Handelsspecialudvalget vedrørende Sundheds- og Plantesundhedsforanstaltninger
Handelsspecialudvalget vedrørende Sundheds- og Plantesundhedsforanstaltninger overvåger gennemførelsen og anvendelsen af dette kapitel og har følgende opgaver:
a)
omgående at afklare og behandle ethvert spørgsmål, der rejses af en part vedrørende udarbejdelse, vedtagelse eller anvendelse af sundheds- og plantesundhedsmæssige krav, standarder og henstillinger i henhold til dette kapitel eller SPS-aftalen
b)
at drøfte igangværende processer vedrørende udarbejdelse af nye regler
c)
så hurtigt som muligt at drøfte betænkeligheder, som en part har givet udtryk for med hensyn til de SPS-importbetingelser og -procedurer, som den anden part anvender
d)
regelmæssigt at gennemgå parternes SPS-foranstaltninger, herunder certificeringskrav og grænsegodkendelsesprocesser, og deres anvendelse for at lette handelen mellem parterne i overensstemmelse med principperne, målene og procedurerne i SPS-aftalens artikel 5. Hver part angiver eventuelle passende foranstaltninger, den træffer, herunder med hensyn til hyppigheden af identitetskontrol og fysisk kontrol, under hensyntagen til resultaterne af denne gennemgang og på grundlag af de kriterier, der er fastsat i bilag 10 til denne aftale
e)
udveksling af synspunkter, oplysninger og erfaringer med hensyn til samarbejdsaktiviteterne vedrørende beskyttelse af dyrevelfærd og bekæmpelse af antimikrobiel resistens, der gennemføres i henhold til artikel 84 og 85
f)
på anmodning af en part at overveje, hvad der udgør en væsentlig ændring i sygdoms- eller skadegørersituationen som omhandlet i artikel 78, stk. 9
g)
at træffe beslutninger med henblik på:
i)
at tilføje de i artikel 71 omhandlede definitioner
ii)
at definere de særlige tilfælde, der er omhandlet i artikel 74, stk. 2
iii)
at definere de nærmere detaljer for de procedurer, der er omhandlet i artikel 78, stk. 1
iv)
at fastlægge andre måder at understøtte de forklaringer på, der er omhandlet i artikel 78, stk. 5 og 7.
KAPITEL 4
TEKNISKE HANDELSHINDRINGER
Artikel 88
Formål
Formålet med dette kapitel er at lette varehandelen mellem parterne ved at forebygge, afdække og fjerne unødvendige tekniske handelshindringer.
Artikel 89
Anvendelsesområde
1.   Dette kapitel finder anvendelse på udarbejdelse, vedtagelse og anvendelse af alle standarder, tekniske forskrifter og overensstemmelsesvurderingsprocedurer, som kan påvirke varehandelen mellem parterne.
2.   Dette kapitel finder ikke anvendelse på:
a)
specifikationer vedrørende indkøb udarbejdet af statslige organer med henblik på egen produktion eller eget forbrug eller
b)
SPS-foranstaltninger, der er omfattet af anvendelsesområdet for dette afsnits kapitel 3.
3.   I tillæg til dette kapitel finder bilagene til dette kapitelanvendelse på produkter, der er omfattet af disse bilags anvendelsesområde. Enhver bestemmelse i et bilag til dette kapitel om, at en international standard eller et internationalt organ eller en international organisation skal betragtes som eller anerkendes som relevant, er ikke til hinder for, at en standard, der er udviklet af et andet organ eller en anden organisation, betragtes som en relevant international standard i henhold til artikel 91, stk. 4 og 5.
Artikel 90
Forholdet til TBT-aftalen
1.   Artikel 2-9 i og bilag 1 og 3 til TBT-aftalen indarbejdes og gøres til en tilsvarende del af nærværende aftale.
2.   De udtryk, der er omhandlet i dette kapitel og i bilagene hertil, har samme betydning som i TBT-aftalen.
Artikel 91
Tekniske forskrifter
1.   Hver part foretager i overensstemmelse med sine respektive regler og procedurer en konsekvensanalyse af de planlagte tekniske forskrifter. De regler og procedurer, der er omhandlet i dette stykke og i stk. 8, kan indeholde undtagelser.
2.   Hver part vurderer de tilgængelige reguleringsmæssige og ikkereguleringsmæssige alternativer til den foreslåede tekniske forskrift, som kan opfylde partens legitime mål i henhold til TBT-aftalens artikel 2.2.
3.   Hver part bruger relevante internationale standarder som grundlag for sine tekniske forskrifter, undtagen hvor den kan påvise, at sådanne internationale standarder ville være et ineffektivt eller uegnet middel til at realisere de legitime mål, der forfølges.
4.   Internationale standarder udarbejdet af Den Internationale Standardiseringsorganisation (ISO), Den Internationale Elektrotekniske Kommission (IEC), Den Internationale Telekommunikationsunion (ITU) og Codex Alimentarius-Kommissionen (Codex) er de relevante internationale standarder som omhandlet i artikel 2 og 5 i og bilag 3 til TBT-aftalen.
5.   En standard udviklet af andre internationale organisationer kan også betragtes som en relevant international standard i henhold til artikel 2 og 5 i og bilag 3 til TBT-aftalen, forudsat at:
a)
den er udviklet af et standardiseringsorgan, der søger at opnå konsensus enten:
i)
blandt de deltagende WTO-medlemmers nationale delegationer, der repræsenterer alle de nationale standardiseringsorganer i deres område, som har vedtaget eller forventer at vedtage standarder om det emneområde, som den internationale standardiseringsaktivitet vedrører, eller
ii)
blandt de deltagende WTO-medlemmers statslige organer, og
b)
den er blevet udviklet i overensstemmelse med beslutningen om principper for udvikling af internationale standarder, vejledninger og anbefalinger med hensyn til artikel 2 og 5 i og bilag 3 til TBT-aftalen, som WTO-udvalget for tekniske handelshindringer har truffet 
(
4
)
.
6.   Når en part ikke benytter internationale standarder som grundlag for dens tekniske forskrifter, udpeger den efter anmodning fra den anden part enhver væsentlig afvigelse fra de relevante internationale standarder og redegør for, hvorfor disse standarder blev fundet uegnede eller ineffektive i forhold til det tilstræbte mål, og forelægger den videnskabelige eller tekniske dokumentation, som denne vurdering er baseret på.
7.   Hver part gennemgår sine tekniske forskrifter med henblik på at øge deres konvergens med relevante internationale standarder og tager bl.a. hensyn til enhver ny udvikling i de relevante internationale standarder eller enhver ændring af de omstændigheder, der har medført forskelle i forhold til andre relevante internationale standarder.
8.   I overensstemmelse med sine respektive regler og procedurer og med forbehold af denne sektions afsnit X sikrer hver part ved udarbejdelsen af tekniske forskrifter, som kan få væsentlig indflydelse på handelen, at der er indført procedurer, som gør det muligt at give udtryk for sin holdning ved en offentlig høring, medmindre hastende problemer med hensyn til sikkerhed, sundhed, miljø eller national sikkerhed opstår eller truer med at opstå. Hver part giver personer fra den anden part tilladelse til at deltage i sådanne høringer på betingelser, der ikke er mindre gunstige end dem, der indrømmes dens egne statsborgere, og offentliggør resultaterne af denne høring.
Artikel 92
Standarder
1.   Parterne tilskynder de standardiseringsorganer, der er etableret på deres område, samt de regionale standardiseringsorganer, som en part eller de standardiseringsorganer, der er etableret på deres område, er medlemmer af, til:
a)
inden for rammerne af deres ressourcer at deltage i udarbejdelsen af internationale standarder ved relevante internationale standardiseringsorganisationer
b)
at anvende relevante internationale standarder som grundlag for de standarder, de udarbejder, undtagen i tilfælde, hvor sådanne internationale standarder ville være ineffektive eller uhensigtsmæssige f.eks. på grund af et utilstrækkeligt beskyttelsesniveau, væsentlige klimatiske eller geografiske faktorer eller grundlæggende teknologiske problemer
c)
at undgå gentagelse af eller overlapninger med arbejde i internationale standardiseringsorganer
d)
at revidere nationale og regionale standarder, som ikke er baseret på relevante internationale standarder, med passende mellemrum med henblik på at øge deres konvergens med relevante internationale standarder
e)
at samarbejde med den anden parts relevante standardiseringsorganer om internationale standardiseringsaktiviteter, herunder gennem samarbejde i internationale standardiseringsorganer eller på regionalt plan
f)
at fremme bilateralt samarbejde mellem dem og den anden parts standardiseringsorganer og
g)
at udveksle oplysninger mellem standardiseringsorganer.
2.   Parterne udveksler oplysninger om:
a)
deres respektive anvendelse af standarder til støtte for tekniske forskrifter og
b)
deres respektive standardiseringsprocesser og det omfang, i hvilket de anvender internationale, regionale eller subregionale standarder som grundlag for deres nationale standarder.
3.   Hvis overensstemmelsen med en standard er påkrævet gennem indarbejdning eller henvisning i et udkast til teknisk forskrift eller en overensstemmelsesvurderingsprocedure, finder forpligtelsen til gennemsigtighed som fastsat i artikel 94 og i TBT-aftalens artikel 2 eller 5 anvendelse.
Artikel 93
Overensstemmelsesvurdering
1.   Artikel 91 om udarbejdelse, vedtagelse og anvendelse af tekniske forskrifter finder tilsvarende anvendelse på overensstemmelsesvurderingsprocedurer.
2.   Hvis en part kræver en overensstemmelsesvurdering som en udtrykkelig bekræftelse af et produkts overensstemmelse med en teknisk forskrift, skal den:
a)
udvælge overensstemmelsesvurderingsprocedurer, der står i rimeligt forhold til den pågældende risiko, som afdækket i en risikovurdering
b)
betragte leverandørens overensstemmelseserklæring som bevis for overensstemmelse med tekniske forskrifter, dvs. en overensstemmelseserklæring udstedt af fabrikanten alene på dennes eget ansvar uden obligatorisk overensstemmelsesvurdering foretaget af tredjepart, som bekræftelse af overensstemmelse blandt mulighederne for påvisning af overensstemmelse med tekniske forskrifter
c)
efter anmodning fra den anden part give oplysninger om de kriterier, der anvendes til at udvælge overensstemmelsesvurderingsprocedurer for specifikke produkter.
3.   Hvis en part kræver en tredjemandsoverensstemmelsesvurdering som en udtrykkelig bekræftelse af et produkts overensstemmelse med en teknisk forskrift og ikke har overdraget denne opgave til en statslig myndighed som omhandlet i stk. 4, skal den:
a)
anvende akkreditering, hvis det er relevant, som et middel til at godtgøre deres tekniske kompetence til at godkende overensstemmelsesvurderingsorganer. Uden at det berører dens ret til at fastsætte krav til overensstemmelsesvurderingsorganer, anerkender hver part den værdifulde rolle, som akkreditering, der udføres med bemyndigelse fra staten og på ikkekommercielt grundlag, kan spille i forbindelse med overensstemmelsesvurderingsorganers kvalifikationer
b)
anvende relevante internationale standarder for akkreditering og overensstemmelsesvurdering
c)
opfordre akkrediteringsorganer og overensstemmelsesvurderingsorganer, der er etableret på dens område, til at tilslutte sig internationale operative ordninger eller aftaler, som har til formål at lette harmonisering og accept af overensstemmelsesvurderingsresultater
d)
hvis en part har godkendt to eller flere overensstemmelsesvurderingsorganer til at gennemføre de overensstemmelsesvurderingsprocedurer, der er nødvendige for at markedsføre et produkt, sikre, at de økonomiske aktører kan vælge mellem de overensstemmelsesvurderingsorganer, som myndighederne i en part har udpeget for et bestemt produkt eller sæt af produkter
e)
sikre, at overensstemmelsesvurderingsorganerne er uafhængige af fabrikanter, importører og erhvervsdrivende generelt, og at der ikke er nogen interessekonflikter mellem akkrediteringsorganerne og overensstemmelsesvurderingsorganerne
f)
tillade, at overensstemmelsesvurderingsorganer anvender underleverandører til at udføre test eller inspektioner i forbindelse med overensstemmelsesvurderingen, herunder underleverandører, der er etableret på den anden parts område, og kræve, at underleverandører opfylder de samme krav, som overensstemmelsesvurderingsorganet skal opfylde for at kunne udføre en sådan test eller inspektion selv, og
g)
på et fælles websted offentliggøre en liste over de organer, parten har udpeget til at foretage en sådan overensstemmelsesvurdering, og de relevante oplysninger om omfanget af udpegelsen af de enkelte organer.
4.   Intet i denne artikel er til hinder for, at en part kan kræve, at overensstemmelsesvurderingen i forbindelse med specifikke produkter udføres af dens specifikke statslige myndigheder. Hvis en part kræver, at overensstemmelsesvurderingen foretages af dens angivne statslige myndigheder, skal den pågældende part:
a)
begrænse gebyrerne for overensstemmelsesvurdering til de anslåede omkostninger ved de ydede tjenester og på anmodning af en ansøger om overensstemmelsesvurdering redegøre for, hvordan de gebyrer, den pålægger for en sådan overensstemmelsesvurdering, er begrænset til de anslåede omkostninger ved de ydede tjenester, og
b)
gøre gebyrerne for overensstemmelsesvurdering offentligt tilgængelige.
5.   Uanset stk. 2-4 accepterer parten fortsat leverandørens overensstemmelseserklæring som bevis for overensstemmelse med dens tekniske forskrifter på de produktområder, når den gør dette på datoen for dennes aftales ikrafttræden.
6.   Hver part offentliggør og fører en liste over de produktområder, der er omhandlet i stk. 5, med angivelse af henvisningerne til de gældende tekniske forskrifter til orientering.
7.   Uanset stk. 5 kan hver af parterne indføre krav om obligatorisk tredjepartstest eller -certificering for de produktområder, der er omhandlet i nævnte stykke, forudsat at sådanne krav er begrundet i legitime mål og står i et rimeligt forhold til formålet om at give den importerende part tilstrækkelig tillid til, at produkterne er i overensstemmelse med de gældende tekniske forskrifter eller standarder under hensyn til de risici, som manglende overensstemmelse ville medføre.
8.   Den part, der foreslår at indføre de i stk. 7 omhandlede overensstemmelsesvurderingsprocedurer, underretter på et tidligt tidspunkt den anden part herom og tager hensyn til den anden parts bemærkninger ved udformningen af en sådan overensstemmelsesvurderingsprocedure.
Artikel 94
Gennemsigtighed
1.   Medmindre hastende problemer med hensyn til sikkerhed, sundhed, miljøbeskyttelse eller national sikkerhed opstår eller truer med at opstå, bestræber hver af parterne sig på at give en frist på mindst 60 dage efter fremsendelsen til WTO's centralregister for notifikationer af foreslåede tekniske forskrifter og procedurer for overensstemmelsesvurdering, således at den anden part har mulighed for at fremsætte skriftlige bemærkninger. Parterne overvejer velvilligt en rimelig anmodning om forlængelse af denne frist for fremsættelse af bemærkninger.
2.   Hver part forelægger den elektroniske udgave af den fulde tekst sammen med underretningen. Hvis den tekst, der er foretaget underretning om, ikke er affattet på et af WTO's officielle sprog, giver den underrettende part en detaljeret og udtømmende beskrivelse af indholdet af den pågældende retsakt i WTO-meddelelsesformat.
3.   Modtager en part bemærkninger til sin foreslåede tekniske forskrift eller procedure for overensstemmelsesvurdering fra den anden part, skal den:
a)
hvis den anden part anmoder herom, drøfte de skriftlige bemærkninger med deltagelse af dens kompetente tilsynsmyndighed på et tidspunkt, hvor de kan tages i betragtning, og
b)
skriftligt besvare bemærkningerne senest på datoen for offentliggørelse af den tekniske forskrift eller overensstemmelsesvurderingsproceduren.
4.   Hver part offentliggør bestræber sig på senest på datoen for offentliggørelsen af den vedtagne tekniske forskrift eller overensstemmelsesvurderingsprocedure sine svar på de bemærkninger, som den modtager efter den i stk. 1 nævnte underretning, på et websted.
5.   Hver part giver efter anmodning fra den anden part oplysninger om formålet med samt retsgrundlaget og begrundelsen for en teknisk forskrift eller en overensstemmelsesvurderingsprocedure, som parten har vedtaget eller agter at vedtage.
6.   Hver part sikrer, at de tekniske forskrifter og overensstemmelsesvurderingsprocedurer, den har vedtaget, er gratis tilgængelige på et websted.
7.   Hver part giver oplysninger om vedtagelsen og ikrafttrædelsen af tekniske forskrifter eller overensstemmelsesvurderingsprocedurer og de vedtagne endelige tekster i form af et tillæg til den oprindelige meddelelse til WTO.
8.   Hver part afsætter tilstrækkelig lang tid mellem offentliggørelsen af tekniske forskrifter og datoen for deres ikrafttræden, således at den anden parts økonomiske aktører har tilstrækkelig tid til at tilpasse sig. Ved "tilstrækkelig lang tid" forstås en periode på mindst seks måneder, medmindre dette ville være uegnet til opfyldelsen af de forfulgte legitime mål.
9.   En part overvejer velvilligt en rimelig anmodning fra den anden part, der er modtaget inden udløbet af den i stk. 1 fastsatte frist for fremsættelse af bemærkninger, om at forlænge tidsrummet mellem vedtagelsen af den tekniske forskrift og datoen for dens ikrafttræden, medmindre forlængelsen ikke gør det muligt at opfylde de forfulgte legitime mål.
10.   Hver part sikrer, at de kontaktpunker, der er oprettet i overensstemmelse med TBT-aftalens artikel 10, giver oplysninger og svar på et af WTO's officielle sprog på rimelige forespørgsler fra den anden part eller fra interesserede personer fra den anden part om vedtagne tekniske forskrifter og overensstemmelsesvurderingsprocedurer.
Artikel 95
Mærkning og etikettering
1.   En parts tekniske forskrifter kan omfatte eller udelukkende vedrøre obligatoriske krav til mærkning eller etikettering. I så fald finder principperne i TBT-aftalens artikel 2.2 anvendelse på disse tekniske forskrifter.
2.   Hvis en part kræver obligatorisk mærkning eller etikettering af produkter, finder alle følgende betingelser anvendelse:
a)
parten må kun kræve de oplysninger, som er relevante for forbrugerne eller brugerne af produktet eller oplysningerne, eller som angiver, at produktet er i overensstemmelse med de obligatoriske tekniske krav
b)
parten må ikke stille krav om forhåndsgodkendelse, registrering eller certificering af etiketter eller mærker eller om betaling af gebyrer som en forudsætning for markedsføring af produkter, som ellers er i overensstemmelse med de obligatoriske tekniske krav, medmindre det er nødvendigt for at opfylde legitime mål
c)
hvis parten kræver, at økonomiske operatører anvender et unikt identifikationsnummer, udsteder parten et sådant nummer til den anden parts økonomiske operatører uden unødigt ophold og uden forskelsbehandling
d)
medmindre de oplysninger, der er anført i nr. i), ii) eller iii), ville være vildledende, modstridende eller forvirrende i forhold til de oplysninger, der kræves i den importerende part, tillader den importerende part:
i)
oplysninger på andre sprog ud over det sprog, der kræves i den importerende part
ii)
internationalt anerkendte nomenklaturer, piktogrammer, symboler eller grafiske billeder og
iii)
oplysninger ud over dem, der kræves i den importerende part
e)
parten accepterer, at etikettering, herunder supplerende etikettering eller rettelser til etiketteringen, finder sted i toldlagre eller andre udpegede områder i importlandet som et alternativ til etikettering i oprindelseslandet, medmindre en sådan etikettering skal foretages af godkendte personer af hensyn til den offentlige sundhed eller sikkerhed, og
f)
parten tilstræber, medmindre den finder, at det anfægter legitime mål, at acceptere brugen af ikkepermanente eller aftagelige etiketter eller mærkning eller etikettering, der fremgår af ledsagedokumenterne, i stedet for at kræve, at etiketter eller mærkning skal være fysisk anbragt på produktet.
Artikel 96
Samarbejde om markedsovervågning, nonfoodproduktsikkerhed og overholdelse
1.   Parterne anerkender betydningen af samarbejde om markedsovervågning, overholdelse og nonfoodproduktsikkerhed med henblik på at lette handelen, beskytte forbrugere og andre brugere og betydningen af at opbygge gensidig tillid på grundlag af delte oplysninger.
2.   For at sikre en uafhængig og upartisk markedsovervågning skal parterne sikre:
a)
at markedsovervågningsarbejdet er uafhængigt af overensstemmelsesvurderingsarbejdet, og
b)
at der ikke er nogen interesser, der kan påvirke markedsovervågningsmyndighedernes upartiskhed i kontrollen eller tilsynet med de økonomiske aktører.
3.   Parterne samarbejder og udveksler oplysninger om nonfoodproduktsikkerhed og overholdelse, som navnlig kan vedrøre:
a)
markedsovervågnings- og håndhævelsesaktiviteter og -foranstaltninger
b)
risikovurderingsmetoder og produkttest
c)
koordinerede produkttilbagekaldelser eller andre lignende aktioner
d)
videnskabelige, tekniske og reguleringsmæssige spørgsmål for at fremme nonfoodproduktsikkerhed og overholdelse
e)
nye spørgsmål af væsentlig sundheds- og sikkerhedsrelevans
f)
standardiseringsrelaterede aktiviteter
g)
udveksling af tjenestemænd.
4.   Partnerskabsrådet bestræber sig bedst muligt på i bilag 16 snarest muligt og helst senest seks måneder efter denne aftales ikrafttræden at etablere en ordning for regelmæssig udveksling af oplysninger mellem systemet for hurtig varsling vedrørende nonfoodprodukter (RAPEX) eller dets efterfølger og den database vedrørende markedsovervågning og produktsikkerhed, der er oprettet i henhold til General Product Safety Regulations 2005, eller dets efterfølger, vedrørende sikkerheden ved nonfoodprodukter og tilknyttede forebyggende, restriktive og korrigerende foranstaltninger.
Der fastsættes nærmere bestemmelser for ordningen, i henhold til hvilke:
a)
Unionen skal give Det Forenede Kongerige udvalgte oplysninger fra sit RAPEX-varslingssystem eller dets efterfølger, jf. Europa-Parlamentets og Rådets direktiv 2001/95/EF af 3. december 2001 om produktsikkerhed i almindelighed eller dets efterfølger
b)
Det Forenede Kongerige skal give Unionen udvalgte oplysninger fra sin database vedrørende markedsovervågning og produktsikkerhed, der er oprettet i henhold til General Product Safety Regulations 2005 eller dennes efterfølger, og
c)
parterne underretter hinanden om eventuelle opfølgende foranstaltninger og foranstaltninger, der træffes som reaktion på de udvekslede oplysninger.
5.   Partnerskabsrådet kan i bilag 17 indføre en ordning for regelmæssig udveksling af oplysninger, herunder elektronisk udveksling af oplysninger, om andre foranstaltninger, der er truffet vedrørende andre ikkeoverensstemmende nonfoodprodukter, end dem, der er omfattet af stk. 4.
6.   Hver part anvender de oplysninger, der er indhentet i henhold til stk. 3, 4 og 5, udelukkende med henblik på at beskytte forbrugerne, sundheden, sikkerheden eller miljøet.
7.   Hver part behandler de oplysninger, der indhentes i henhold til stk. 3, 4 og 5, som fortrolige oplysninger.
8.   Det præciseres i de i stk. 4 og 5 omhandlede ordninger, hvilken type oplysninger der skal udveksles, betingelserne for udvekslingen og anvendelsen af regler om fortrolighed og beskyttelse af personoplysninger. Partnerskabsrådet har beføjelse til at vedtage afgørelser med henblik på at fastlægge eller ændre ordningerne i bilag 16 og 17.
9.   Med henblik på denne artikel forstås ved "markedsovervågning" aktiviteter, der gennemføres, og foranstaltninger, der træffes af markedsovervågnings- og håndhævelsesmyndigheder, herunder dem, der gennemføres i samarbejde med økonomiske operatører, på grundlag af en parts procedurer, således at den pågældende part får mulighed for at overvåge eller behandle spørgsmål vedrørende produktsikkerhed og produkters overholdelse af de krav, der er fastsat i partens love og forskrifter.
10.   Hver part sikrer, at enhver foranstaltning, der træffes af dens markedsovervågningsmyndigheder eller retshåndhævende myndigheder for at trække eller kalde produktet tilbage fra sit marked eller for at forbyde eller begrænse tilgængeliggørelsen på sit marked af et produkt, der importeres fra den anden parts område, på grund af manglende overholdelse af den gældende lovgivning, er forholdsmæssig, angiver de nøjagtige grunde, som foranstaltningen er baseret på, og straks meddeles den relevante erhvervsdrivende.
Artikel 97
Tekniske drøftelser
1.   Hvis en part mener, at et udkast til eller en foreslået teknisk forskrift eller overensstemmelsesvurdering fra den anden part kan have en væsentlig indvirkning på handelen mellem parterne, kan den anmode om tekniske drøftelser herom. Anmodningen forelægges skriftligt for den anden part og skal angive:
a)
den anfægtede foranstaltning
b)
bestemmelserne i dette kapitel eller i et bilag til dette kapitel, som betænkelighederne vedrører, og
c)
begrundelsen for anmodningen, herunder en redegørelse for den anmodende parts betænkeligheder ved foranstaltningen.
2.   Parten indgiver sin anmodning til kontaktpunktet for den anden part, der er udpeget i henhold til artikel 99.
3.   På anmodning af en af parterne mødes parterne for at drøfte de betænkeligheder, der er rejst i anmodningen, enten personligt eller via video- eller telekonference senest 60 dage efter datoen for indgivelsen af anmodningen, og de bestræber sig på at løse spørgsmålet så hurtigt som muligt. Hvis en anmodende part mener, at sagen haster, kan den anmode om, at møderne afholdes inden for en kortere frist. I sådanne tilfælde overvejer den besvarende part velvilligt en sådan anmodning.
Artikel 98
Samarbejde
1.   Parterne samarbejder om tekniske forskrifter, standarder og overensstemmelsesvurderingsprocedurer, når det er i deres gensidige interesse, og uden at dette berører deres respektive beslutningers og retsordeners autonomi. Handelsspecialudvalget vedrørende Tekniske Handelshindringer kan udveksle synspunkter om samarbejdsaktiviteterne i henhold til denne artikel eller bilagene til dette kapitel.
2.   Med henblik på stk. 1 søger parterne at identificere, udvikle og fremme samarbejdsaktiviteter af fælles interesse. Disse aktiviteter kan navnlig vedrøre:
a)
udveksling af oplysninger, erfaringer og data vedrørende tekniske forskrifter, standarder og overensstemmelsesvurderingsprocedurer
b)
sikring af effektiv interaktion og samarbejde mellem deres respektive regulerende myndigheder på internationalt, regionalt eller nationalt plan
c)
udveksling af oplysninger, så vidt muligt, om internationale aftaler og ordninger vedrørende tekniske handelshindringer, som en eller begge parter deltager i, og
d)
etablering af eller deltagelse i handelsfremmende initiativer.
3.   Med henblik på denne artikel og bestemmelserne om samarbejde i bilagene til dette kapitel handler Europa-Kommissionen på Unionens vegne.
Artikel 99
Kontaktpunkter
1.   Når denne aftale træder i kraft, udpeger hver part et kontaktpunkt for gennemførelsen af dette kapitel og underretter den anden part om kontaktpunktets kontaktoplysninger, herunder oplysninger om de relevante embedsmænd. Parterne underretter straks hinanden om enhver ændring af disse kontaktoplysninger.
2.   Kontaktpunktet fremlægger alle oplysninger eller forklaringer, som den anden parts kontaktpunkt måtte anmode om vedrørende gennemførelsen af dette kapitel, inden for en rimelig frist og om muligt senest 60 dage efter modtagelsen af anmodningen.
Artikel 100
Handelsspecialudvalget vedrørende Tekniske Handelshindringer
Handelsspecialudvalget vedrørende Tekniske Handelshindringer overvåger gennemførelsen og anvendelsen af dette kapitel og bilagene hertil og afklarer og behandler omgående ethvert spørgsmål, der rejses af en part vedrørende udarbejdelse, vedtagelse eller anvendelse af tekniske forskrifter, standarder og overensstemmelsesvurderingsprocedurer i henhold til dette kapitel eller TBT-aftalen.
KAPITEL 5
TOLD OG HANDELSLETTELSER
Artikel 101
Formål
Formålene med dette kapitel er:
a)
at styrke samarbejdet mellem parterne inden for told og handelslettelser og, hvis det er relevant, at støtte eller opretholde passende kompatibilitetsniveauer for deres toldlovgivning og -praksis med henblik på at sikre, at relevant lovgivning og procedurer samt de relevante administrationers administrative kapacitet opfylder målene om at fremme handelslettelser, samtidig med at der sikres effektiv toldkontrol og effektiv håndhævelse af toldlovgivningen og handelsrelaterede love og bestemmelser, behørig beskyttelse af borgernes sikkerhed og beskyttelse og overholdelse af forbud og restriktioner samt parternes finansielle interesser
b)
at styrke det administrative samarbejde mellem parterne på området moms og gensidig bistand med henblik på inddrivelse af fordringer i forbindelse med skatter og afgifter
c)
at sikre, at parternes respektive lovgivning er ikkediskriminerende, og at toldprocedurerne er baseret på moderne metoder og effektiv kontrol for at bekæmpe svig og fremme lovlig handel, og
d)
at sikre, at de legitime mål for den offentlige politik, herunder målene vedrørende sikkerhed og bekæmpelse af svig, ikke anfægtes på nogen måde.
Artikel 102
Definitioner
I dette kapitel og bilag 18 og protokollen om gensidig administrativ bistand i toldspørgsmål og protokollen om administrativt samarbejde og bekæmpelse af svig vedrørende merværdiafgift og om gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter forstås ved:
a)
"aftalen om inspektion før afsendelse": aftalen om inspektion før afsendelse i bilag 1A til WTO-overenskomsten
b)
"ATA- og Istanbulkonventionerne": toldkonventionen vedrørende ATA-carnet for midlertidig indførsel af varer, udfærdiget den 6. december 1961 i Bruxelles, eller Istanbulkonventionen om midlertidig indførsel, udfærdiget den 26. juni 1990
c)
"konventionen om fælles forsendelse": konventionen af 20. maj 1987 om en fælles forsendelsesprocedure
d)
"WCO's tolddatamodel": biblioteket med datakomponenter og elektroniske skabeloner til udveksling af forretningsdata og indsamling af internationale standarder for data og oplysninger, der anvendes i forbindelse med anvendelsen af lovgivningsmæssige lempelser og kontroller i den globale handel, som fra tid til anden offentliggøres af WCO Data Model Project Team
e)
"toldlovgivning": alle gældende love eller administrative bestemmelser på en af parternes område vedrørende indførsel eller import af varer, udførsel eller eksport af varer, transit af varer og henførsel af varer under en hvilken som helst anden toldordning eller -procedure, herunder forbuds-, begrænsnings- og kontrolforanstaltninger
f)
"oplysninger": alle data, dokumenter, billeder, rapporter, meddelelser eller attesterede kopier uanset format, herunder elektronisk, uanset om de er behandlede eller analyserede eller ikke
g)
"person": enhver person som defineret i artikel 512, litra l) 
(
5
)
h)
"SAFE-rammen": SAFE's Framework of Standards to Secure and Facilitate Global Trade, der blev vedtaget på mødet i Verdenstoldorganisationen i juni 2005 i Bruxelles og ajourført fra tid til anden, og
i)
"WTO-aftalen om handelslettelser": aftalen om handelslettelser, der er knyttet som bilag til protokollen om ændring af WTO-overenskomsten (afgørelse af 27. november 2014).
Artikel 103
Toldsamarbejde
1.   Parternes relevante myndigheder samarbejder om toldspørgsmål for at støtte målene i artikel 101 under hensyntagen til deres respektive myndigheders ressourcer. Med henblik på dette afsnit finder konventionen af 20. maj 1987 om forenkling af formaliteterne i samhandelen anvendelse.
2.   Parterne udvikler deres samarbejde, herunder på følgende områder:
a)
udveksling af oplysninger om toldlovgivningen, gennemførelsen af toldlovgivningen og toldprocedurerne navnlig på følgende områder:
i)
forenkling og modernisering af toldprocedurer
ii)
lettelse af transitforsendelser og omladning
iii)
forbindelser med erhvervslivet og
iv)
forsyningskædesikkerhed og risikostyring
b)
samarbejde om de toldrelaterede aspekter af sikring og fremme af den internationale handelsforsyningskæde i overensstemmelse med SAFE-rammen
c)
overvejelser om udvikling af fælles initiativer vedrørende import-, eksport- og andre toldprocedurer, herunder teknisk bistand, med henblik på at sikre en effektiv service til erhvervslivet
d)
styrkelse af samarbejdet på toldområdet i internationale organisationer såsom WTO og WCO og udveksling af oplysninger og/eller drøftelser med henblik på om muligt at indtage fælles holdninger i disse internationale organisationer og i UNCTAD/UNECE
e)
bestræbelser på at harmonisere datakrav vedrørende import-, eksport- og andre toldprocedurer ved at gennemføre fælles standarder og dataelementer i overensstemmelse med Verdenstoldorganisationens (WCO) datamodel
f)
styrkelse af samarbejdet om risikostyringsteknikker, herunder udveksling af bedste praksis og, hvis det er relevant, oplysninger om risici og kontrolresultater. Når det er relevant og hensigtsmæssigt, skal parterne også overveje gensidig anerkendelse af risikostyringsteknikker, risikostandarder og kontrol- og toldsikkerhedsforanstaltninger; når det er relevant og hensigtsmæssigt, kan parterne også overveje at udvikle kompatible risikokriterier og -standarder, kontrolforanstaltninger og prioriterede kontrolområder
g)
etablering af gensidig anerkendelse af programmer for autoriserede økonomiske operatører for at sikre og lette handelen
h)
fremme af samarbejdet mellem toldmyndighederne og andre statslige myndigheder eller organer i forbindelse med programmer for autoriserede økonomiske operatører, hvilket bl.a. kan opnås ved at nå til enighed om de højeste standarder, lette adgangen til fordele og minimere unødvendig overlapning
i)
toldmyndighedernes håndhævelse af intellektuelle ejendomsrettigheder, herunder udveksling af oplysninger og bedste praksis i forbindelse med toldoperationer med særlig fokus på håndhævelse af intellektuelle ejendomsrettigheder
j)
opretholdelse af forenelige toldprocedurer, hvor det er hensigtsmæssigt og praktisk muligt, herunder anvendelse af et administrativt enhedsdokument til toldangivelse, og
k)
når det er relevant og hensigtsmæssigt og i henhold til ordninger, der skal aftales, udveksling af visse kategorier af toldrelaterede oplysninger mellem parternes toldmyndigheder gennem struktureret og periodisk kommunikation med henblik på at forbedre risikostyringen og effektiviteten af toldkontrollen, målrette de varer, der er i fare, med hensyn til opkrævning af indtægter eller sikkerhed og fremme lovlig handel; sådanne udvekslinger kan omfatte eksport- og importangivelsesdata om handel mellem parterne med mulighed for gennem pilotinitiativer at undersøge udviklingen af interoperable mekanismer for at undgå overlapning i forbindelse med indgivelse af sådanne oplysninger. Udvekslinger i henhold til dette litra berører ikke udveksling af oplysninger mellem parterne i henhold til protokollen om gensidig administrativ bistand i toldspørgsmål.
3.   Parternes toldmyndigheder yder hinanden administrativ bistand i toldspørgsmål efter bestemmelserne i protokollen om gensidig administrativ bistand i anliggender, der er omfattet af dette kapitel, uden at dette indskrænker de øvrige former for samarbejde, der er omhandlet i denne aftale.
4.   Enhver udveksling af oplysninger mellem parterne i henhold til dette kapitel er underlagt den fortrolighed og beskyttelse af oplysninger, der er omhandlet i artikel 12 i protokollen om gensidig administrativ bistand i toldspørgsmål, med de fornødne ændringer, samt af eventuelle fortrolighedskrav i parternes lovgivning.
Artikel 104
Told- og anden handelslovgivning og -procedurer
1.   Hver part sikrer, at dens toldbestemmelser og -procedurer:
a)
er i overensstemmelse med de internationale instrumenter og standarder, der gælder på told- og handelsområdet, herunder WTO-aftalen om handelslettelser, de væsentlige elementer i den reviderede Kyotokonvention om forenkling og harmonisering af toldprocedurerne, den internationale konvention om det harmoniserede varebeskrivelses- og varenomenklatursystem og WCO's rammestandarder for at sikre og fremme den globale samhandel og WCO's tolddatamodel
b)
beskytter og fremmer lovlig handel under hensyntagen til udviklingen i handelspraksis gennem effektiv håndhævelse, herunder i tilfælde af tilsidesættelser af deres love og forskrifter og toldunddragelse og smugleri, og ved at sikre overholdelsen af lovkrav
c)
er baseret på lovgivning, der er forholdsmæssigt afpasset og ikkediskriminerende, forhindrer unødvendige byrder for de erhvervsdrivende, giver mulighed for yderligere lettelser for operatører med et højt niveau af overholdelse, herunder en fordelagtig behandling for så vidt angår toldkontrol inden varernes frigivelse, og sikrer beskyttelsesforanstaltninger mod svig og ulovlige eller skadevoldende aktiviteter, samtidig med at der sikres et højt niveau af beskyttelse af borgernes sikkerhed og overholdelse af forbud og restriktioner og beskyttelse af parternes finansielle interesser, og
d)
indeholder regler, der sikrer, at enhver sanktion, der pålægges for overtrædelse af toldbestemmelser eller procedurekrav, er forholdsmæssig og ikkediskriminerende, og at pålæggelse af sådanne sanktioner ikke medfører uberettigede forsinkelser.
Hver part bør regelmæssigt revidere sin lovgivning og sine toldprocedurer. Toldprocedurerne bør også anvendes på en forudsigelig, konsekvent og gennemsigtig måde.
2.   For at forbedre arbejdsmetoderne og sikre ikkeforskelsbehandling, gennemsigtighed, effektivitet, integritet og ansvarlighed i forbindelse med operationer skal hver part:
a)
så vidt muligt at forenkle og revidere krav og formaliteter med henblik på at sikre hurtig frigivelse og fortoldning af varer
b)
arbejde hen imod yderligere forenkling og standardisering af de data og den dokumentation, der kræves af toldmyndighederne og andre organer, og
c)
fremme koordineringen mellem alle grænsemyndigheder, både internt og på tværs af grænserne, for at lette grænsepassageprocesser og forbedre kontrollen under hensyntagen til fælles grænsekontrol, når det er muligt og hensigtsmæssigt.
Artikel 105
Frigivelse af varer
1.   Hver part indfører eller opretholder toldprocedurer, som:
a)
muliggør hurtig frigivelse af varer inden for et tidsrum, der ikke er længere end nødvendigt til at sikre overholdelse af deres love og forskrifter
b)
sikrer forudgående elektronisk indgivelse og behandling af dokumentation og alle andre krævede oplysninger forud for varernes ankomst, således at varerne kan frigives straks ved ankomsten, hvis der ikke er konstateret nogen risiko gennem risikoanalyse, eller hvis der ikke skal foretages stikprøvekontrol eller anden kontrol
c)
når det er relevant, og hvis de nødvendige betingelser er opfyldt, giver mulighed for at frigive varer til fri omsætning på det første ankomststed og
d)
muliggør frigivelse af varer før den endelige fastsættelse af told, skatter, gebyrer og afgifter, hvis en sådan fastsættelse ikke sker før eller ved ankomsten eller så hurtigt som muligt efter ankomsten, og forudsat at alle andre forskrifter er opfyldt.
2.   Som en betingelse for denne frigivelse kan hver part kræve en garanti for ethvert beløb, der endnu ikke er fastsat, i form af en kaution, et depositum eller et andet egnet middel, der er fastsat i partens love og administrative bestemmelser. En sådan garanti må ikke overstige det beløb, den pågældende part kræver for at sikre betaling af den told samt de skatter, gebyrer og afgifter, som i sidste ende skal betales for de varer, der er omfattet af garantien. Garantien frigives, når den ikke længere er påkrævet.
3.   Parterne sikrer, at toldmyndighederne og andre myndigheder med ansvar for grænsekontrol og procedurer for import, eksport og transit af varer samarbejder med hinanden og koordinerer deres aktiviteter for at lette handelen og fremskynde frigivelsen af varer.
Artikel 106
Forenklede toldprocedurer
1.   Hver part arbejder hen imod en forenkling af betingelser og formaliteter for toldprocedurer for at reducere den tid og de omkostninger, der er forbundet hermed for erhvervsdrivende, herunder små og mellemstore virksomheder.
2.   Hver part indfører eller opretholder foranstaltninger, der tillader erhvervsdrivende, der opfylder de kriterier, der er fastsat i partens love og forskrifter, at drage fordel af yderligere forenkling af toldprocedurerne. Sådanne foranstaltninger kan bl.a. omfatte:
a)
toldangivelser med et reduceret sæt data eller dokumentation
b)
periodiske toldangivelser med henblik på fastsættelse og betaling af told og skatter, der dækker flere importtransaktioner inden for et bestemt tidsrum, efter frigivelsen af disse importerede varer
c)
selvangivelse og henstand med betalingen af told og afgifter indtil frigivelsen af de pågældende indførte varer og
d)
anvendelse af en sikkerhedsstillelse med et nedsat beløb eller fritagelse for forpligtelsen til at stille sikkerhed.
3.   Hvis en part vælger at indføre en af disse foranstaltninger, vil den, hvis parten finder det hensigtsmæssigt og praktisk muligt og i overensstemmelse med sine love og forskrifter, tilbyde disse forenklinger til alle erhvervsdrivende, der opfylder de relevante kriterier.
Artikel 107
Forsendelse og omladning
1.   Med henblik på artikel 20 finder konventionen om en fælles forsendelsesprocedure anvendelse.
2.   Hver part sikrer, at omladning og transit gennem deres respektive områder lettes og kontrolleres effektivt.
3.   Hver part fremmer og gennemfører regionale transitordninger med henblik på at lette handelen i overensstemmelse med konventionen om en fælles forsendelsesprocedure.
4.   Hver part sikrer samarbejde og koordinering mellem alle berørte myndigheder og agenturer på deres respektive områder for at lette transittrafikken.
5.   Hver part tillader, at varer bestemt til import forsendes på dets område under toldkontrol fra et indgangstoldsted til et andet toldsted på medlemmets område, hvorfra varerne frigives eller fortoldes.
Artikel 108
Risikostyring
1.   Hver part indfører eller opretholder et risikostyringssystem for toldkontrol med henblik på at mindske sandsynligheden for og virkningen af en hændelse, som ville forhindre korrekt anvendelse af toldlovgivningen, bringe parternes økonomiske interesser i fare og udgøre en trussel mod parternes og deres borgeres sikkerhed, mod folkesundheden og dyre- eller plantesundheden, mod miljøet eller mod forbrugerne.
2.   Anden toldkontrol end stikprøvekontrol baseres hovedsagelig på risikoanalyse ved hjælp af elektroniske databehandlingsteknikker.
3.   Hvert part udformer og anvender risikostyring således, at vilkårlig eller uberettiget forskelsbehandling eller skjulte hindringer af den internationale handel undgås.
4.   Hver part fokuserer toldkontrollen og anden relevant grænsekontrol på højrisikoforsendelser og fremskynder frigivelsen af lavrisikoforsendelser. Hver part kan også udtage vilkårligt udvalgte sendinger til en sådan kontrol som led i sin risikostyring.
5.   Hver part baserer sin risikostyring på en risikovurdering, der foretages ved hjælp af passende udvælgelseskriterier.
Artikel 109
Efterfølgende kontrol af toldbehandlingen
1.   For at fremskynde frigivelsen af varer indfører eller opretholder hver part efterfølgende kontrol af toldbehandlingen for at sikre overholdelsen af toldbestemmelserne og andre dermed forbundne love og bestemmelser.
2.   Hver part udvælger personer og sendinger til efterfølgende kontrol af toldbehandlingen på grundlag af en risikovurdering, hvilket kan omfatte anvendelse af passende udvælgelseskriterier. Hver part foretager en gennemsigtig efterfølgende kontrol af toldbehandlingen. Når en person er involveret i kontrolprocessen; og der er opnået afgørende resultater, underretter parten uden unødigt ophold den pågældende person, hvis registre er blevet underlagt kontrol, om resultaterne, personens rettigheder og forpligtelser og baggrunden for resultaterne.
3.   De oplysninger, der indhentes ved efterfølgende kontrol af toldbehandlingen, kan anvendes i forbindelse med yderligere administrative eller retslige procedurer.
4.   Parterne anvender, når det er praktisk muligt, resultaterne af efterfølgende kontrol af toldbehandlingen til risikostyringsformål.
Artikel 110
Autoriserede økonomiske operatører
1.   Hver part opretholder et partnerskabsprogram for erhvervsdrivende, der opfylder kriterierne i bilag 18.
2.   Parterne anerkender deres respektive programmer for autoriserede økonomiske operatører i overensstemmelse med bilag 18.
Artikel 111
Offentliggørelse af og adgang til oplysninger
1.   Hver part sikrer, at toldlovgivningen og andre handelsrelaterede love og forskrifter samt de generelle administrative procedurer og relevant, generel information vedrørende handel offentliggøres og er lettilgængelig for enhver interesseret person, herunder i givet fald via internettet.
2.   Hver part offentliggør straks ny lovgivning og generelle procedurer vedrørende told og handelslettelser så tidligt som muligt, inden en sådan lovgivning eller procedure træder i kraft, og offentliggør straks eventuelle ændringer og fortolkninger af sådan lovgivning og sådanne procedurer. En sådan offentliggørelse skal omfatte:
a)
relevante administrative meddelelser
b)
import-, eksport- og transitprocedurer (herunder procedurer ved havn, lufthavn og andre indgangssteder) samt krævede formularer og dokumenter
c)
anvendte told- og afgiftssatser af enhver art, der pålægges i forbindelse med import eller eksport
d)
gebyrer og afgifter pålagt af eller på vegne af offentlige organer ved eller i forbindelse med import, eksport eller transit
e)
regler for klassificering eller værdiansættelse af varer med henblik på fortoldning
f)
almengyldige love og administrative bestemmelser vedrørende oprindelsesregler
g)
import-, eksport- eller transitbegrænsninger eller -forbud
h)
bestemmelser om sanktioner for overtrædelse af reglerne vedrørende import, eksport eller transit
i)
klageprocedurer
j)
aftaler eller dele deraf med alle lande med hensyn til import, eksport eller transit
k)
procedurer vedrørende forvaltning af toldkontingenter
l)
åbningstider og arbejdsprocedurer for toldsteder i havne og ved grænseovergangssteder og
m)
informationskontorer.
3.   Hver part sikrer, at der er en rimelig frist mellem offentliggørelsen af nye eller ændrede retsforskrifter, procedurer, gebyrer eller afgifter og deres ikrafttræden.
4.   Hver part stiller følgende til rådighed via internettet:
a)
en beskrivelse af sine procedurer for import, eksport og transit, herunder klageprocedurer, med oplysninger om de praktiske skridt, der er nødvendige ved import og eksport og transit
b)
de skemaer og dokumenter, der er nødvendige ved import til, eksport fra eller transit gennem den pågældende parts område, og
c)
kontaktoplysninger for kontaktpunkter.
Hver part sikrer, at de beskrivelser, formularer, dokumenter og oplysninger, der er omhandlet i første afsnit, litra a), b) og c), holdes ajour.
5.   Hver part opretter eller opretholder et eller flere kontaktpunkter, som inden for en rimelig frist kan besvare forespørgsler fra offentlige myndigheder, virksomheder og andre interesserede parter om toldanliggender og andre handelsrelaterede anliggender. Parterne kræver ikke et gebyr for besvarelse af forespørgsler.
Artikel 112
Forhåndsafgørelser
1.   Hver part udsteder på de økonomiske operatørers anmodning gennem sine toldmyndigheder forhåndsafgørelser, som beskriver den behandling, de pågældende varer skal have. Sådanne afgørelser udstedes skriftligt eller i elektronisk format inden for en bindende frist, og de skal indeholde alle nødvendige oplysninger i overensstemmelse med den udstedende parts lovgivning.
2.   Forhåndsafgørelser er gyldige i en periode på mindst tre år fra gyldighedsperiodens startdato, medmindre afgørelsen ikke længere er i overensstemmelse med loven eller de forhold eller omstændigheder, der ligger til grund for den oprindelige afgørelse, har ændret sig.
3.   En part kan afvise at udstede en forhåndsafgørelse, hvis det spørgsmål, der rejses i ansøgningen, er genstand for administrativ eller retslig prøvelse, eller hvis ansøgningen ikke vedrører en påtænkt anvendelse af forhåndsafgørelsen eller en påtænkt anvendelse af en toldprocedure. Afviser en part at udstede en forhåndsafgørelse, underrettes ansøgeren straks herom skriftligt med angivelse af relevante kendsgerninger og grundlaget for afgørelsen.
4.   Hver part offentliggør som minimum:
a)
kravene til en ansøgning om forhåndsafgørelser, herunder oplysninger, der skal forelægges, og formatet
b)
fristen for udstedelse af en forhåndsafgørelse og
c)
forhåndsafgørelsens gyldighedsperiode.
5.   Hvis en part tilbagekalder, ændrer, ophæver gyldigheden af eller annullerer en forhåndsafgørelse, meddeles ansøgeren dette skriftligt med angivelse af de relevante faktiske omstændigheder og grundlaget for afgørelsen. En part kan kun tilbagekalde, ændre, ugyldiggøre eller annullere en forhåndsafgørelse med tilbagevirkende kraft, hvis kendelsen var baseret på ufuldstændige, ukorrekte, urigtige eller vildledende oplysninger.
6.   En parts forhåndsafgørelse er bindende for den pågældende part, for så vidt angår den ansøger, som anmodede om den. Parten kan bestemme, at forhåndsafgørelsen er bindende for ansøgeren.
7.   Hver part forelægger efter skriftlig anmodning fra indehaveren en revision af en forhåndsafgørelse eller en afgørelse om tilbagekaldelse, ændring eller ugyldiggørelse af en forhåndsafgørelse.
8.   Hver part offentliggør oplysninger om forhåndsafgørelser under hensyntagen til behovet for at beskytte personoplysninger og fortrolige forretningsoplysninger.
9.   Der udstedes forhåndsafgørelser om:
a)
tarifering af varer
b)
varers oprindelse og
c)
alle andre spørgsmål, som parterne måtte blive enige om.
Artikel 113
Toldklarerere
En parts toldbestemmelser og -procedurer kræver ikke obligatorisk anvendelse af toldklarerere eller andre agenter. Hver part giver meddelelse om og offentliggør sine foranstaltninger vedrørende anvendelse af toldklarerere. Hver part anvender gennemsigtige, ikkediskriminerende og forholdsmæssigt afpassede regler, hvis og når de godkender toldklarerere.
Artikel 114
Inspektion før afsendelse
En part må ikke kræve obligatorisk inspektion før afsendelse som defineret i WTO-aftalen om inspektion før afsendelse eller enhver anden inspektionsaktivitet udført på bestemmelsesstedet af private virksomheder før toldklarering.
Artikel 115
Anke og appel
1.   Hver part indfører effektive, hurtige, ikkediskriminerende og lettilgængelige procedurer, der sikrer retten til at klage over toldmyndighedernes eller andre kompetente myndigheders administrative handlinger og afgørelser, som påvirker import eller eksport af varer eller varer i transit.
2.   Procedurerne i stk. 1 omfatter:
a)
en administrativ appel eller anke til en administrativ myndighed, som står over eller er uafhængig af den embedsmand eller det organ, som udstedte afgørelsen, og
b)
retslig appel eller anke af afgørelsen.
3.   Hver part sikrer, at i tilfælde, hvor afgørelsen om klage eller prøvelse i henhold til stk. 2, litra a), ikke træffes inden for den frist, der er fastsat i dens love og forskrifter, eller ikke træffes uden unødig forsinkelse, har andrageren ret til yderligere administrativ eller retslig appel eller anke eller enhver anden form for judiciel prøvelse i overensstemmelse med den pågældende parts love og forskrifter.
4.   Hver part sørger for, at andrageren gives en begrundelse for den administrative afgørelse, således at den pågældende kan appellere eller anke om nødvendigt.
Artikel 116
Forbindelser med erhvervslivet
1.   Hver part afholder rettidige og regelmæssige konsultationer med repræsentanter for erhvervslivet om lovgivningsforslag og generelle procedurer vedrørende told og handelslettelser. Med henblik herpå opretholder hver part de relevante konsultationer mellem myndighederne og erhvervslivet.
2.   Hver part sikrer, at dens toldkrav og dermed forbundne krav og procedurer fortsat opfylder erhvervslivets behov, følger bedste praksis og begrænser handelen så lidt som muligt.
Artikel 117
Midlertidig indførsel
1.   Med henblik på denne artikel forstås ved "midlertidig indførsel" den toldprocedure, hvorunder visse varer, herunder transportmidler, kan føres ind i et toldområde med betinget fritagelse for importafgifter og -afgifter og uden anvendelse af importforbud eller -restriktioner af økonomisk art, forudsat at varerne indføres til et bestemt formål og er bestemt til genudførsel inden for en bestemt periode uden at have undergået nogen ændring bortset fra normal værdiforringelse som følge af anvendelsen af disse varer.
2.   Hver part bevilger midlertidig indførsel med fuldstændig suspension af told og afgifter ved indførsel og uden anvendelse af importrestriktioner eller -forbud af økonomisk karakter, som fastsat i dens love og forskrifter, for følgende varer:
a)
varer til forevisning eller benyttelse på udstillinger, messer, kongresser eller lignende arrangementer (varer, der skal udstilles eller demonstreres ved et arrangement, varer, der er bestemt til anvendelse i forbindelse med udstilling af udenlandske produkter ved et arrangement, udstyr, herunder tolkeanlæg, lyd- og videooptagere og film af undervisningsmæssig, videnskabelig eller kulturel karakter, bestemt til anvendelse ved internationale møder, konferencer og kongresser), varer, der fremstilles under arrangementet af midlertidigt indførte varer som resultat af demonstration af udstillede maskiner eller apparater
b)
professionelt udstyr (udstyr til brug for presse, radio og fjernsyn, som er nødvendigt for repræsentanter for presse, radio og fjernsyn, der indrejser på et andet lands område for at producere reportager, optagelser eller udsendelser som led i bestemte programmer, kinematografisk udstyr, som er nødvendigt for en person, der indrejser på et andet lands område, for at producere en eller flere bestemte film, alt andet udstyr, som er nødvendigt, for at en person, der indrejser på et andet lands område, kan løse en bestemt opgave, kan udøve sit erhverv eller fag, i det omfang det ikke skal anvendes til industriel fremstilling eller pakning af varer, samt (medmindre der er tale om håndværktøj) udstyr til udvinding af naturressourcer, til opførelse, reparation eller vedligeholdelse af bygninger, til udførelse af jordarbejder eller lignende, apparater og andet tilbehør til ovennævnte udstyr), reservedele, der indføres med henblik på reparation af fagligt udstyr, som er indført midlertidigt
c)
varer af enhver art, der indføres i forbindelse med en handelstransaktion, uden at indførslen heraf i sig selv udgør en handelstransaktion (emballage, som indføres fyldt med henblik på genudførsel fyldt eller tom, eller som indføres tom med henblik på genudførsel fyldt, containere, hvad enten disse er lastet med varer eller ej, og tilbehør og udstyr til containere, der er indført midlertidigt, og som enten indføres sammen med en container med henblik på at blive genudført separat eller med en anden container, eller som indføres separat med henblik på at blive genudført sammen med en container, og reservedele, der indføres til reparation af containere, som henført under proceduren for midlertidig indførsel, paller, vareprøver, reklamefilm, varer af enhver art, der indføres i forbindelse med en handelstransaktion)
d)
varer, der indføres som led i en produktionsproces (matricer, klicheer, modeller, tegninger, projekter, mønstre og lignende genstande, måle-, kontrol- og testinstrumenter samt lignende genstande, specialværktøj og -instrumenter, som indføres med henblik på anvendelse i en fremstillingsproces), erstatningsproduktionsmidler (instrumenter, apparater og maskiner, som efter omstændighederne stilles til en kundes rådighed af en leverandør eller en reparatør, indtil levering eller reparation af lignende varer har fundet sted)
e)
varer, der udelukkende indføres i uddannelsesmæssigt, videnskabeligt eller kulturelt øjemed (videnskabeligt udstyr, undervisningsmateriale, velfærdsmateriel for søfolk og alle andre varer, der indføres som led i en uddannelsesmæssig, videnskabelig eller kulturel aktivitet), reservedele til videnskabeligt udstyr og undervisningsmateriale, der er indført midlertidigt, samt værktøj, der specielt er fremstillet til vedligeholdelse, kontrol, justering eller reparation af det nævnte udstyr og materiale
f)
personlige effekter (alle nye eller brugte genstande, som en rejsende med rimelighed kan have behov for til personlig brug under rejsen under hensyntagen til samtlige foreliggende omstændigheder ved denne, men ikke indbefattet varer af nogen art, der indføres i erhvervsmæssigt øjemed), varer, der indføres i sportsøjemed (sportsudstyr og andre genstande til den rejsendes brug ved sportskonkurrencer, sportsopvisninger eller træning på det område, hvor den midlertidige indførsel har fundet sted)
g)
turistmateriale (varer, der har til formål at tilskynde offentligheden til at besøge et andet fremmed land, bl.a. for dér at deltage i møder og arrangementer af kulturel, religiøs, turist- og sportsmæssig eller faglig art)
h)
varer, der indføres til humanitære formål (medicinsk-kirurgisk udstyr og laboratorieudstyr samt nødhjælpsforsyninger såsom køretøjer eller andre transportmidler, tæpper, telte, præfabrikerede huse eller andre nødvendige artikler, der sendes for at hjælpe ofre for naturkatastrofer eller lignende), og
i)
dyr indført til et bestemt formål (dressur, træning, avl, skoning eller vejning, veterinær behandling, afprøvning (f.eks. i forbindelse med køb), deltagelse i offentlige arrangementer, udstillinger, stævner, konkurrencer eller opvisninger, forestillinger (cirkusdyr osv.), turistrejser (herunder dyr, der ledsager rejsende), udøvelse af virksomhed (politihunde eller -heste, sporhunde, førerhunde osv.), redningsoperationer, flytning til højereliggende græsgange eller græsning, udførelse af en arbejds- eller transportopgave, medicinsk brug (produktion af gift osv.).
3.   Hver part accepterer for så vidt angår midlertidig indførsel af de i stk. 2 omhandlede varer, uanset deres oprindelse, et carnet som foreskrevet i ATA- og Istanbulkonventionen, der er udstedt i den anden part, og som er påtegnet dér og garanteret af en sammenslutning, der indgår i den internationale garantikæde, og som er attesteret af de kompetente myndigheder og gyldigt på den importerende parts toldområde.
Artikel 118
Kvikskranke
Hver part bestræber sig på at etablere et enkelt kontaktpunkt, der gør det muligt for erhvervsdrivende at indsende dokumentation eller data, der er nødvendige for import, eksport eller transit af varer gennem et enkelt kontaktpunkt, til de deltagende myndigheder eller agenturer.
Artikel 119
Lettelse af roll-on/roll-off trafik
1.   I erkendelse af den store mængde søovergange og navnlig den store mængde roll on/roll off-trafik, der foregår mellem deres respektive toldområder, er parterne enige om at samarbejde for at lette denne trafik og andre alternative trafikformer.
2.   Parterne anerkender:
a)
hver parts ret til at indføre handelsfremmende toldformaliteter og -procedurer for trafik mellem parterne inden for deres respektive retlige rammer og
b)
havnenes, havnemyndighedernes og operatørernes ret til inden for deres respektive parters retsorden at handle i overensstemmelse med deres regler og deres drifts- og forretningsmodeller.
3.   Med henblik herpå skal parterne:
a)
indføre eller opretholde procedurer, der gør det muligt at indgive importdokumentation og andre nødvendige oplysninger, herunder manifester, med henblik på at påbegynde forarbejdningen inden varernes ankomst med henblik på at fremskynde frigivelsen af varerne ved ankomsten og
b)
forpligte sig til at lette de erhvervsdrivendes anvendelse af transitproceduren, herunder forenklinger af transitproceduren i henhold til konventionen om en fælles forsendelsesprocedure.
4.   Parterne er enige om at fremme samarbejdet mellem deres respektive toldmyndigheder om bilaterale søruter og udveksle oplysninger om, hvordan de havne, der håndterer trafik, fungerer indbyrdes, og om de gældende regler og procedurer. De vil offentliggøre og fremme operatørernes viden om de foranstaltninger, de har indført, og de processer, som havnene har indført for at lette denne trafik.
Artikel 120
Administrativt samarbejde på momsområdet og gensidig bistand  ved inddrivelse af skatter og afgifter
Parternes kompetente myndigheder samarbejder for at sikre overholdelsen af momslovgivningen og om inddrivelse af fordringer i forbindelse med skatter og afgifter i overensstemmelse med protokollen om administrativt samarbejde og bekæmpelse af svig på momsområdet og om gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter.
Artikel 121
Handelsspecialudvalget vedrørende Toldsamarbejde og Oprindelsesregler
1.   Handelsspecialudvalget vedrørende Toldsamarbejde og Oprindelsesregler:
a)
afholder regelmæssige konsultationer og
b)
i forbindelse med revisionen af bestemmelserne i bilag 18:
i)
validerer i fællesskab programmedlemmerne for at identificere styrker og svagheder i gennemførelsen af bilag 18 og
ii)
udveksler synspunkter om data, der skal udveksles, og behandling af operatører.
2.   Handelsspecialudvalget vedrørende Toldsamarbejde og Oprindelsesregler kan træffe afgørelser eller vedtage henstillinger:
a)
om udveksling af toldrelaterede oplysninger, om gensidig anerkendelse af risikostyringsteknikker, risikostandarder og -kontrol, toldsikkerhedsforanstaltninger, om forhåndsafgørelser, om fælles tilgange til toldværdiansættelse og om andre spørgsmål i forbindelse med gennemførelsen af dette kapitel
b)
om ordningerne vedrørende automatisk udveksling af oplysninger som omhandlet i artikel 10 i protokollen om gensidig administrativ bistand i toldspørgsmål og om andre spørgsmål i forbindelse med gennemførelsen af nævnte protokol
c)
spørgsmål vedrørende gennemførelsen af bilag 18 og
d)
om de konsultationsprocedurer, der er fastsat ved artikel 63, og om tekniske eller administrative spørgsmål i forbindelse med gennemførelsen af dette afsnits kapitel 2, herunder om fortolkende bemærkninger, der har til formål at sikre en ensartet forvaltning af oprindelsesreglerne.
Artikel 122
Ændringer
1.   Partnerskabsrådet kan ændre:
a)
bilag 18, protokollen om gensidig administrativ bistand i toldspørgsmål og listen over varer i artikel 117, stk. 2, og
b)
protokollen om administrativt samarbejde og bekæmpelse af svig vedrørende merværdiafgift og om gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter.
2.   Handelsspecialudvalget vedrørende Administrativt Samarbejde i forbindelse med Moms og Inddrivelse af Skatter og Afgifter kan ændre den værdi, der er omhandlet i artikel 33, stk. 4, i protokollen om administrativt samarbejde og bekæmpelse af svig vedrørende merværdiafgift og om gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter.
AFSNIT II
TJENESTEYDELSER OG INVESTERINGER
KAPITEL 1
ALMINDELIGE BESTEMMELSER
Artikel 123
Mål og anvendelsesområde
1.   Parterne bekræfter deres vilje til at skabe et gunstigt klima for udviklingen af handel og investeringer mellem parterne.
2.   Parterne bekræfter på ny deres ret til inden for deres område at regulere med henblik på at nå legitime politiske mål, såsom beskyttelsen af folkesundheden, sociale tjenesteydelser, offentlig uddannelse, sikkerhed, miljøet, herunder klimaændringer, beskyttelse af den offentlige moral, social beskyttelse eller forbrugerbeskyttelse, privatlivets fred og databeskyttelse eller fremme og beskyttelse af kulturel mangfoldighed.
3.   Dette afsnit finder ikke anvendelse på foranstaltninger, som vedrører fysiske personer, der søger adgang til arbejdsmarkedet i en af parterne, eller på foranstaltninger vedrørende nationalitet, statsborgerskab, bopæl eller fast beskæftigelse.
4.   Dette afsnit er ikke til hinder for, at en part anvender foranstaltninger til at regulere fysiske personers indrejse i eller midlertidige ophold på dens område, herunder foranstaltninger, som er nødvendige for at beskytte dens grænsers integritet og sikre en ordnet grænsepassage for fysiske personer, forudsat at disse foranstaltninger ikke anvendes på en sådan måde, at de ophæver eller forringer fordelene for den anden part i henhold til dette afsnit. Den omstændighed, at der stilles krav om visum for fysiske personer fra bestemte lande og ikke for andre, anses ikke i sig selv for at ophæve eller forringe fordelene i henhold til dette afsnit.
5.   Dette afsnit finder ikke anvendelse på:
a)
luftfartstjenesteydelser eller tilknyttede tjenesteydelser til støtte for luftfartstjenesteydelser 
(
6
)
, bortset fra:
i)
tjenester i forbindelse med reparation og vedligeholdelse af flyvemaskiner
ii)
tjenesteydelser i forbindelse med EDB-reservationssystemer
iii)
groundhandlingydelser
iv)
følgende tjenester, der leveres med et bemandet luftfartøj, med forbehold af overholdelsen af parternes respektive love og forskrifter vedrørende luftfartøjers indflyvning i, operationer i eller udflyvning fra deres område: brandbekæmpelse fra luften, flyvetræning, sprøjtning, landmåling, kortlægning, fotografering og andre luftbårne landbrugs-, industri- og tilsynstjenester og
v)
salg og markedsføring af lufttransporttjenesteydelser
b)
audiovisuelle tjenesteydelser
c)
national cabotagesejlads 
(
7
)
 og
d)
transport ad indre vandveje.
6.   Dette afsnit finder ikke anvendelse på en parts foranstaltninger i forbindelse med offentlige indkøb af en vare eller en tjenesteydelse til statslig brug og uden sigte på kommercielt videresalg og ej heller med sigte på anvendelse i forbindelse med levering af en vare eller en tjenesteydelse til kommercielt salg, uanset om dette offentlige udbud er et "omfattet udbud" som omhandlet i artikel 277.
7.   Med undtagelse af artikel 132 finder dette afsnit ikke anvendelse på subsidier eller tilskud, der ydes af parterne, herunder statsstøttede lån, garantier og forsikringer.
Artikel 124
Definitioner
I dette afsnit forstås ved:
a)
"aktiviteter, der udføres under udøvelse af offentlig myndighed": aktiviteter, som ikke udføres, herunder tjenesteydelser, som ikke leveres, på et kommercielt grundlag eller i konkurrence med en eller flere økonomiske aktører 
(
8
)
b)
"tjenesteydelser i forbindelse med reparation og vedligeholdelse af luftfartøjer": aktiviteter, der udføres på et luftfartøj eller en del heraf, mens det er taget ud af drift, og som ikke omfatter såkaldt linjevedligeholdelse
c)
"tjenesteydelser i forbindelse med EDB-reservationssystemer (CRS)": tjenesteydelser leveret af computersystemer, som indeholder oplysninger om flyselskabers fartplaner, disponibilitet, priser og prisregler, og gennem hvilke der kan foretages reservationer eller udstedes billetter
d)
"omfattet virksomhed": en virksomhed, der på en parts område er etableret i overensstemmelse med litra h) af en investor fra den anden part, og som eksisterede på datoen for denne aftales ikrafttræden eller blev etableret derefter, i overensstemmelse med den gældende lovgivning
e)
"grænseoverskridende handel med tjenesteydelser": levering af en tjenesteydelse:
i)
fra den ene parts område til den anden parts område eller
ii)
på den ene parts område til den anden parts forbruger af tjenesteydelsen
f)
"økonomisk aktivitet": al virksomhed inden for industri, handel eller liberale erhverv samt håndværk, herunder levering af tjenesteydelser, undtagen aktiviteter, der udføres under udøvelse af offentlig myndighed
g)
"virksomhed": en juridisk person eller en juridisk persons filial eller repræsentationskontor
h)
"etablering": oprettelse eller erhvervelse af en juridisk person, herunder gennem kapitalandele, eller oprettelse af en filial eller et repræsentationskontor på en parts område med henblik på at etablere eller opretholde varige økonomiske forbindelser
i)
"groundhandlingydelser": en lufthavns levering af følgende tjenesteydelser på honorar- eller kontraktbasis: luftfartsselskabets repræsentation, administration og overvågning, passagerbetjening, bagagehåndtering, forpladshandling, catering, håndtering af fragt og post, påfyldning af brændstof, flyserviceydelser og rengøring, overfladetransport, flyveoperation, administration af flybesætning og planlægning af flyvning; groundhandlingydelser omfatter ikke: selvservicering, sikkerhed, reparation og vedligeholdelse af flyvemaskiner eller ledelse og drift af væsentlig centraliseret lufthavnsinfrastrukturer som f.eks. afisningsfaciliteter, brændstofdistributionssystemer, bagagehåndteringssystemer og faste transportsystemer inden for lufthavnen
j)
"investor fra en part": en fysisk eller juridisk person fra en part, der søger at etablere, er ved at etablere eller har etableret en virksomhed i overensstemmelse med litra h) på den anden parts område
k)
"juridisk person fra en part" 
(
9
)
:
i)
for Unionen:
A)
en juridisk person, der er stiftet eller organiseret efter lovgivningen i Unionen eller en af dens medlemsstater og har væsentlige forretningsaktiviteter på Unionens område, ligestillet af Unionen i overensstemmelse med meddelelse om traktaten om oprettelse af Det Europæiske Fællesskab til WTO (dok. WT/REG39/1) med begrebet "reel og vedvarende forbindelse" med en medlemsstats økonomi, jf. artikel 54 i traktaten om Den Europæiske Unions funktionsmåde (TEUF), og
B)
rederier, der er etableret uden for Unionen og kontrolleres af fysiske personer i en EU-medlemsstat, hvis fartøjer er registreret i en EU-medlemsstat og fører en EU-medlemsstats flag
ii)
for Det Forenede Kongerige:
A)
en juridisk person, der er stiftet eller organiseret i henhold til lovgivningen i Det Forenede Kongerige og har væsentlige forretningsaktiviteter på Det Forenede Kongerige Storbritannien og Nordirlands område, og
B)
rederier, der er etableret uden for Det Forenede Kongerige, og som kontrolleres af fysiske personer fra Det Forenede Kongerige, og hvis skibe er registreret i Det Forenede Kongerige og fører Det Forenede Kongeriges flag
l)
"drift": ledelse, administration, vedligeholdelse, anvendelse, udnyttelse, salg eller andre former for afhændelse af en virksomhed
m)
"erhvervskvalifikationer: kvalifikationer, der attesteres ved et uddannelsesbevis, erhvervserfaring eller et andet kompetencebevis
n)
"salg og markedsføring af lufttransportydelser": det pågældende luftfartsselskabs muligheder for frit at sælge og markedsføre sine lufttransportydelser, herunder alle aspekter af markedsføring såsom markedsanalyse, annoncering og distribution, men uden at dette omfatter prisfastsættelse for lufttransportydelser eller de gældende betingelser
o)
"tjenesteydelse": alle tjenesteydelser i alle sektorer, bortset fra tjenesteydelser, der leveres under udøvelse af offentlig myndighed
p)
"aktiviteter, der udføres under udøvelse af offentlig myndighed": aktiviteter, der ikke udføres, herunder tjenesteydelser, som ikke leveres, på et kommercielt grundlag eller i konkurrence med en eller flere tjenesteydere
q)
"tjenesteyder": enhver fysisk eller juridisk person, der søger at levere eller leverer en tjenesteydelse
r)
"tjenesteyder fra en part": enhver fysisk eller juridisk person fra en part, der søger at levere eller leverer en tjenesteydelse.
Artikel 125
Nægtelse af fordele
1.   En part kan nægte en investor eller en tjenesteyder fra den anden part eller en omfattet virksomhed fordelene i henhold til dette afsnit og denne sektions afsnit IV eller en omfattet virksomhed, hvis den part, der giver afslag, indfører eller opretholder foranstaltninger vedrørende opretholdelse af international fred og sikkerhed, herunder beskyttelse af menneskerettighederne, som:
a)
forbyder transaktioner med den pågældende investor, tjenesteyder eller den omfattede virksomhed eller
b)
ville føre til tilsidesættelse eller omgåelse, hvis fordelene i medfør af dette afsnit og denne sektions afsnit IV blev tildelt den pågældende investor, tjenesteyder eller omfattede virksomhed, herunder foranstaltninger, der forbyder transaktioner med en fysisk eller juridisk person, som ejer eller kontrollerer en af dem.
2.   Det præciseres, at stk. 1 finder anvendelse på denne sektions afsnit IV, for så vidt som de vedrører tjenesteydelser eller investeringer, for hvilke en part har nægtet at drage fordel af dette afsnit.
Artikel 126
Revision
1.   Med henblik på at indføre eventuelle forbedringer af bestemmelserne i dette kapitel og i overensstemmelse med deres forpligtelser i henhold til internationale aftaler, reviderer parterne deres retlige rammer for handel med tjenesteydelser og investeringer, herunder denne aftale, jf. artikel 776.
2.   Hvis det er relevant, bestræber parterne sig på at revidere de foranstaltninger og forbehold, der ikke er i overensstemmelse med bestemmelserne i bilag 19, 20, 21 og 22, og aktiviteter for forretningsrejsende på kortvarigt ophold som fastsat i bilag 21 med henblik på at enes om mulige forbedringer af gensidig interesse.
3.   Denne artikel finder ikke anvendelse på finansielle tjenesteydelser.
KAPITEL 2
LIBERALISERING AF INVESTERINGER
Artikel 127
Anvendelsesområde
Dette kapitel finder anvendelse på foranstaltninger truffet af en part, som påvirker etableringen af en virksomhed, som udøver økonomiske aktiviteter, og driften af en sådan virksomhed foretaget af:
a)
investorer fra den anden part
b)
omfattede virksomheder og
c)
for så vidt angår artikel 132 enhver virksomhed på partens område, som indfører eller opretholder foranstaltningen.
Artikel 128
Markedsadgang
En part må ikke indføre eller opretholde foranstaltninger for så vidt angår etablering af en virksomhed foretaget af en investor fra den anden part eller af en omfattet virksomhed eller drift af en omfattet virksomhed, hverken på grundlag af hele dens område eller på grundlag af en territorial underopdeling, der
a)
medfører en begrænsning af:
i)
antallet af virksomheder, der kan udføre en bestemt økonomisk aktivitet, enten i form af specifikke numeriske kvoter, monopoler, eksklusive rettigheder eller krav om en økonomisk behovsprøve
ii)
den samlede værdi af transaktioner eller aktiver i form af numeriske kvoter eller krav om en økonomisk behovsprøve
iii)
det samlede antal transaktioner eller den samlede produktion udtrykt som specifikke numeriske enheder i form af kvoter eller krav om en økonomisk behovsprøve 
(
10
)
 
(
11
)
iv)
deltagelsen af udenlandsk kapital udtrykt i maksimumsgrænser for andelen af udenlandsk ejede aktier eller den samlede værdi af individuelle eller samlede udenlandske investeringer eller
v)
det samlede antal fysiske personer, der kan være beskæftiget i en bestemt sektor, eller som en virksomhed må beskæftige, og som er nødvendige for og direkte forbundet med udøvelsen af en økonomisk aktivitet, i form af numeriske kvoter eller krav om en økonomisk behovsprøve, eller
b)
begrænser eller stiller krav om specifikke former for retlige enheder eller joint ventures, gennem hvilke en investor fra den anden part kan udøve erhvervsvirksomhed.
Artikel 129
National behandling
1.   Hver part indrømmer den anden parts investorer og omfattede virksomheder en behandling, der ikke er mindre gunstig end den, parten i tilsvarende situationer indrømmer sine egne investorer og deres virksomheder, for så vidt angår deres etablering og drift på dens område.
2.   Ved den behandling, der indrømmes af en part i henhold til stk. 1, forstås:
a)
for så vidt angår Det Forenede Kongeriges regionale eller lokale forvaltningsniveau, en behandling, der ikke er mindre gunstig end den mest gunstige behandling, som det pågældende forvaltningsniveau i lignende situationer indrømmer investorer fra Det Forenede Kongerige på sit område og disse investorers virksomheder, og
b)
for så vidt angår en regering i eller inden for en EU-medlemsstat, en behandling, der ikke er mindre gunstig end den mest gunstige behandling, som den pågældende regering i lignende situationer indrømmer egne investorer og egne virksomheder på sit område.
Artikel 130
Mestbegunstigelsesbehandling
1.   Hver part indrømmer den anden parts investorer og omfattede virksomheder en behandling, der ikke er mindre gunstig end den, parten i tilsvarende situationer indrømmer investorer fra tredjelande og deres virksomheder, for så vidt angår etablering på dens område.
2.   Hver part indrømmer den anden parts investorer og omfattede virksomheder en behandling, der ikke er mindre gunstig end den, parten i tilsvarende situationer indrømmer investorer fra tredjelande og deres virksomheder, for så vidt angår forretningsaktiviteter på dens område.
3.   Stk. 1 og 2 må ikke fortolkes således, at det forpligter en part til at lade investorer fra den anden part og omfattede virksomheder være omfattet af en behandling, som følger af:
a)
en international aftale om undgåelse af dobbeltbeskatning eller en anden international aftale eller ordning, som udelukkende eller hovedsagelig vedrører beskatning, eller
b)
foranstaltninger vedrørende anerkendelse, herunder af standarderne eller kriterierne for meddelelse af tilladelse, licens eller certificering af en fysisk person eller en virksomhed med henblik på udøvelse af en økonomisk aktivitet eller af tilsynsforanstaltninger som omhandlet i stk. 3 i GATS-bilaget om finansielle tjenesteydelser.
4.   Det præciseres, at den i stk. 1 og 2 omhandlede behandling ikke omfatter procedurer for tvistbilæggelse mellem investorer og stater, som andre internationale aftaler indeholder bestemmelser om.
5.   Det præciseres, at materielle bestemmelser i andre internationale aftaler indgået af en part med et tredjeland eller den rent formelle gennemførelse af disse bestemmelser i national ret, i det omfang det er nødvendigt for at indarbejde dem i den nationale retsorden, ikke i sig selv udgør den "behandling", der er omhandlet i stk. 1 og 2. En parts foranstaltninger i henhold til disse bestemmelser kan udgøre en sådan behandling og dermed give anledning til en overtrædelse af denne artikel.
Artikel 131
Øverste ledelse og bestyrelse
En part må ikke kræve, at en omfattet virksomhed udnævner fysiske personer af en bestemt nationalitet som direktører, ledere eller medlemmer af bestyrelser.
Artikel 132
Præstationskrav
1.   En part må ikke indføre eller håndhæve krav eller gennemtvinge et tilsagn eller en forpligtelse i forbindelse med etablering eller drift af en virksomhed på sit område med henblik på:
a)
at eksportere en bestemt mængde eller en bestemt procentdel af varer eller tjenesteydelser
b)
at opnå en bestemt mængde eller en bestemt procentdel af indenlandsk indhold
c)
at købe, anvende eller indrømme en fortrinsstilling til varer produceret eller tjenesteydelser leveret på sit område eller til at købe varer eller tjenesteydelser fra fysiske eller juridiske personer eller enhver anden enhed på sit område
d)
på nogen måde at sætte mængden eller værdien af importen op mod mængden eller værdien af eksporten eller mængden af udenlandsk valutaindstrømning i forbindelse med en sådan virksomhed
e)
at begrænse salget af varer eller tjenesteydelser, som en sådan virksomhed producerer eller leverer, på dens område ved på nogen måde at sætte salget op mod mængden eller værdien dens eksport eller udenlandsk valutaindstrømning
f)
at give adgang til eller overføre teknologi, en produktionsproces eller anden ejendomsretligt beskyttet viden til en fysisk eller en juridisk person eller enhver anden enhed på dens område 
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12
)
g)
fra partens område udelukkende at levere en vare fremstillet eller en tjenesteydelse leveret af virksomheden til et specifikt regionalt marked eller verdensmarkedet
h)
at placere en sådan virksomheds hovedsæde for en specifik region i verden, der er større end partens område, eller verdensmarkedet på dens område
i)
at beskæftige et bestemt antal eller en bestemt procentdel af fysiske personer i den pågældende part
j)
at nå en bestemt mængde eller værdi af forskning og udvikling på dens område
k)
at begrænse eksport eller salg til eksport eller
l)
med hensyn til enhver licensaftale, der eksisterede på det tidspunkt, hvor kravet indføres eller håndhæves, eller en forpligtelse eller et tilsagn håndhæves, eller med hensyn til eventuelle senere licensaftaler, der frit indgås mellem virksomheden og en fysisk eller juridisk person eller enhver anden enhed på dens område, eller hvis kravet indføres eller håndhæves, eller forpligtelsen eller tilsagnet håndhæves på en måde, der udgør et direkte indgreb i den pågældende licensaftale gennem udøvelse af en ikkejudiciel myndighed i en part, at vedtage:
i)
en andel eller størrelse af royalties under et bestemt niveau eller
ii)
en given varighed af en licensaftale.
Dette litra finder ikke anvendelse, hvis licensaftalen er indgået mellem virksomheden og parten. Med henblik på dette litra forstås ved "licensaftale" enhver aftale om licens på teknologi, produktionsproces eller anden ejendomsretligt beskyttet viden.
2.   En part må ikke gøre tildelingen eller den fortsatte tildeling af en fordel i forbindelse med etablering eller drift af en virksomhed på sit område betinget af overholdelsen af nogen af følgende krav:
a)
at opnå en bestemt mængde eller en bestemt procentdel af indenlandsk indhold
b)
at købe, anvende eller indrømme en fortrinsstilling til varer produceret eller tjenesteydelser leveret på dens område eller til at købe varer eller tjenesteydelser fra fysiske eller juridiske personer eller enhver anden enhed på dens område
c)
på nogen måde at sætte mængden eller værdien af importen op mod mængden eller værdien af eksporten eller mængden af udenlandsk valutaindstrømning i forbindelse med den pågældende virksomhed
d)
at begrænse salget af varer eller tjenesteydelser, som en sådan virksomhed producerer eller leverer, på dens område ved på nogen måde at sætte salget op mod mængden eller værdien dens eksport eller udenlandsk valutaindstrømning eller
e)
at begrænse eksporten eller salget til eksport.
3.   Stk. 2 må ikke fortolkes således, at det hindrer en part i at gøre tildeling eller fortsat tildeling af en fordel i forbindelse med enhver virksomhed på dens område betinget af opfyldelsen af et krav om at placere produktionen, levere en tjenesteydelse, uddanne eller ansætte arbejdstagere, opføre eller udvide særlige faciliteter eller udføre forskning og udvikling på sit område.
4.   Denne artikels stk. 1, litra f) og l), finder ikke anvendelse, hvis:
a)
kravet pålægges eller håndhæves, eller forpligtelsen eller tilsagnet håndhæves af en domstol eller en forvaltningsdomstol eller af en konkurrencemyndighed i henhold til en parts konkurrencelovgivning for at forhindre eller afhjælpe en begrænsning eller fordrejning af konkurrencen, eller
b)
en part tillader anvendelsen af en intellektuel ejendomsrettighed i henhold til TRIPS-aftalens artikel 31 eller 31a eller indfører eller opretholder foranstaltninger, der kræver videregivelse af data eller fortrolige oplysninger, som er omfattet af og er i overensstemmelse med TRIPS-aftalens artikel 39, stk. 3.
5.   Stk. 1, litra a)-c), og stk. 2, litra a) og b), finder ikke anvendelse på kvalifikationskrav for varer eller tjenesteydelser i forbindelse med deltagelsen i programmer for eksportfremme og udenlandsk bistand.
6.   Det præciseres, at denne artikel ikke udelukker, at en parts kompetente myndigheder kan håndhæve enhver forpligtelse eller tilsagn, der er indgået mellem andre personer end en part, og som ikke direkte eller indirekte er blevet pålagt eller krævet af den pågældende part.
7.   Det præciseres, at stk. 2, litra a) og b), ikke finder anvendelse på krav, som en importerende part pålægger vedrørende indholdet af varer for at være berettiget til toldpræferencer eller præferentielle toldkontingenter.
8.   Stk. 1, litra l), finder ikke anvendelse, hvis kravet indføres eller håndhæves, eller forpligtelsen eller tilsagnet håndhæves af en domstol som et rimeligt vederlag i henhold til den pågældende parts lovgivning om ophavsret.
9.   En part må hverken indføre eller håndhæve foranstaltninger, der er uforenelige med dens forpligtelser i henhold til aftalen om handelsrelaterede investeringsforanstaltninger, heller ikke selv om en sådan foranstaltning er opført af den pågældende part i bilag 19 eller 20.
10.   Det præciseres, at denne artikel ikke må fortolkes således, at den kræver, at en part tillader, at en bestemt tjenesteydelse leveres på tværs af grænserne, hvis den pågældende part indfører eller opretholder restriktioner eller forbud mod en sådan levering af tjenesteydelser, som er i overensstemmelse med de forbehold, betingelser eller kvalifikationer, der er fastsat for en sektor, delsektor eller aktivitet, der er opført i bilag 19 eller 20.
11.   En betingelse for tildeling eller fortsat tildeling af en fordel som omhandlet i stk. 2 udgør ikke et krav eller et tilsagn eller en forpligtelse med henblik på anvendelsen af stk. 1.
Artikel 133
Ikkeforenelige foranstaltninger og undtagelser
1.   Artikel 128, 129, 130, 131 og 132 finder ikke anvendelse på:
a)
nogen eksisterende ikkeforenelig foranstaltning, som opretholdes af en part på:
i)
for Unionen:
A)
Unionen, jf. Unionens liste i bilag 19
B)
en medlemsstats centrale forvaltningsniveau, jf. Unionens liste i bilag 19
C)
et regionalt forvaltningsniveau i en medlemsstat, jf. Unionens liste i bilag 19, eller
D)
et lokalt forvaltningsniveau, bortset fra det i litra C) omhandlede niveau, og
ii)
for Det Forenede Kongerige:
A)
det centrale forvaltningsniveau, jf. Det Forenede Kongeriges liste i bilag 19
B)
et regionalt forvaltningsniveau, jf. Det Forenede Kongeriges liste i bilag 19,
eller
C)
et lokalt forvaltningsniveau
b)
fortsat anvendelse eller omgående fornyelse af en ikkeforenelig foranstaltning som omhandlet i litra a), eller
c)
en ændring af enhver ikkeforenelig foranstaltning som omhandlet i dette stykkes litra a) og b), i det omfang den ikke mindsker foranstaltningens overensstemmelse, som den forelå umiddelbart før ændringen, med artikel 128, 129, 130, 131 eller 132.
2.   Artikel 128, 129, 130, 131 og 132 finder ikke anvendelse på en parts foranstaltning, som er i overensstemmelse med de forbehold, betingelser eller kvalifikationer, der er fastsat for en sektor, delsektor eller aktivitet, der er opført i bilag 20.
3.   Denne aftales artikel 129 og 130 finder ikke anvendelse på en foranstaltning, som udgør en undtagelse til eller en fravigelse fra TRIPS-aftalens artikel 3 eller 4, jf. de specifikke bestemmelser i nævnte aftales artikel 3-5.
4.   Det præciseres, at artikel 129 og 130 ikke må fortolkes således, at det hindrer en part i at fastsætte oplysningskrav, herunder til statistiske formål, i forbindelse med etablering eller drift foretaget af investorer fra den anden part eller af omfattede virksomheder, forudsat at det ikke udgør et middel til at omgå den pågældende parts forpligtelser i henhold til disse artikler.
KAPITEL 3
GRÆNSEOVERSKRIDENDE HANDEL MED TJENESTEYDELSER
Artikel 134
Anvendelsesområde
Dette kapitel finder anvendelse på foranstaltninger, som træffes af en part og påvirker den grænseoverskridende handel med tjenesteydelser fra tjenesteydere fra den anden part.
Artikel 135
Markedsadgang
En part må ikke, hverken på hele sit område eller på regionalt plan, indføre eller opretholde foranstaltninger, der:
a)
medfører en begrænsning af:
i)
antallet af tjenesteydere, som kan levere en specifik tjenesteydelse, hvad enten det er i form af numeriske kvoter, monopoler, tjenesteydere med eksklusive rettigheder eller krav om en økonomisk behovsprøve
ii)
den samlede værdi af tjenesteydelsestransaktioner eller aktiver i form af numeriske kvoter eller krav om en økonomisk behovsprøve eller
iii)
det samlede antal tjenesteydelsesoperationer eller den samlede produktion af tjenesteydelser udtrykt som specifikke numeriske enheder i form af kvoter eller krav om en økonomisk behovsprøve 
(
13
)
 eller
b)
begrænser eller kræver specifikke former for juridiske enheder eller joint ventures, gennem hvilke en tjenesteleverandør kan levere en tjenesteydelse.
Artikel 136
Lokal tilstedeværelse
En part må ikke kræve, at en tjenesteyder fra den anden part etablerer eller opretholder en virksomhed eller er hjemmehørende på dens område som en betingelse for grænseoverskridende levering af en tjenesteydelse.
Artikel 137
National behandling
1.   Hver part indrømmer tjenesteydelser og tjenesteydere fra den anden part en behandling, der ikke er mindre gunstig end den, den pågældende part indrømmer sine egne tjenesteydelser og tjenesteydere i lignende situationer.
2.   En part kan opfylde kravet i stk. 1 ved at indrømme tjenesteydelser og tjenesteydere fra den anden part en behandling, der enten er formelt identisk med eller formelt forskellig fra den behandling, den indrømmer sine egne tjenesteydelser og tjenesteydere.
3.   En formelt identisk eller formelt forskellig behandling betragtes som mindre gunstig, hvis den ændrer konkurrencevilkårene til fordel for partens tjenesteydelser eller tjenesteydere i forhold til den anden parts tjenesteydelser eller tjenesteydere.
4.   Intet i denne artikel må fortolkes således, at det kræves af en af parterne, at den skal kompensere for iboende konkurrencemæssige ulemper, der følger af, at de pågældende tjenesteydelser eller tjenesteydere er udenlandske.
Artikel 138
Mestbegunstigelsesbehandling
1.   Hver part indrømmer tjenesteydelser og tjenesteydere fra den anden part en behandling, der ikke er mindre gunstig end den, den i tilsvarende situationer indrømmer tjenesteydelser og tjenesteydere fra et tredjeland.
2.   Stk. 1 må ikke fortolkes således, at det forpligter en part til at lade tjenesteydelser og tjenesteydere fra den anden part være omfattet af behandling, som følger af:
a)
en international aftale om undgåelse af dobbeltbeskatning eller en anden international aftale eller ordning, som udelukkende eller hovedsagelig vedrører beskatning, eller
b)
foranstaltninger vedrørende anerkendelse, herunder af standarderne eller kriterierne for meddelelse af tilladelse, licens eller certificering af en fysisk person eller en virksomhed med henblik på udøvelse af en økonomisk aktivitet eller af tilsynsforanstaltninger som omhandlet i stk. 3 i GATS-bilaget om finansielle tjenesteydelser.
3.   Det præciseres, at materielle bestemmelser i andre internationale aftaler indgået af en part med et tredjeland eller en rent formel gennemførelse af disse bestemmelser i national ret, i det omfang det er nødvendigt for at indarbejde dem i den nationale retsorden, ikke i sig selv udgør den "behandling", der er omhandlet i stk. 1. En parts foranstaltninger i henhold til disse bestemmelser kan udgøre en sådan behandling og dermed give anledning til en overtrædelse af denne artikel.
Artikel 139
Ikkeforenelige foranstaltninger
1.   Artikel 135, 136, 137 og 138 finder ikke anvendelse på:
a)
nogen eksisterende ikkeforenelig foranstaltning, som opretholdes af en part på:
i)
for Unionen:
A)
Unionen, jf. Unionens liste i bilag 19
B)
en medlemsstats centrale forvaltningsniveau, jf. Unionens liste i bilag 19
C)
et regionalt forvaltningsniveau i en medlemsstat, jf. Unionens liste i bilag 19, eller
D)
et lokalt forvaltningsniveau, bortset fra det i litra C) omhandlede niveau, og
ii)
for Det Forenede Kongerige:
A)
det centrale forvaltningsniveau, jf. Det Forenede Kongeriges liste i bilag 19
B)
et regionalt forvaltningsniveau, jf. Det Forenede Kongeriges liste i bilag 19, eller
C)
et lokalt forvaltningsniveau
b)
fortsat anvendelse eller omgående fornyelse af en ikkeforenelig foranstaltning som omhandlet i litra a), eller
c)
en ændring af enhver ikkeforenelig foranstaltning som omhandlet i dette stykkes litra a) og b), i det omfang den ikke mindsker foranstaltningens overensstemmelse, som den forelå umiddelbart før ændringen, med artikel 135, 136, 137 eller 138.
2.   Artikel 135, 136, 137 og 138 finder ikke anvendelse på en parts foranstaltning, som er i overensstemmelse med de forbehold, betingelser eller kvalifikationer, der er fastsat for en sektor, delsektor eller aktivitet, der er opført i bilag 20.
KAPITEL 4
FYSISKE PERSONERS INDREJSE OG MIDLERTIDIGE OPHOLD  I FORRETNINGSØJEMED
Artikel 140
Anvendelsesområde og definitioner
1.   Dette kapitel finder anvendelse på en parts foranstaltninger, der påvirker indrejse i den pågældende part foretaget af fysiske personer fra den anden part, som er forretningsrejsende i etableringsøjemed, virksomhedsinternt udstationerede, investorer, leverandører af kontraktbaserede tjenesteydelser, selvstændige erhvervsdrivende og besøgende på kortvarigt forretningsbesøg.
2.   I det omfang parterne ikke påtager sig forpligtelser i henhold til dette kapitel, finder alle krav i en parts lovgivning vedrørende fysiske personers indrejse og midlertidigt ophold fortsat anvendelse, herunder også love og forskrifter vedrørende opholdsperiode.
3.   Uanset bestemmelserne i dette kapitel finder alle krav i en parts lovgivning vedrørende arbejde og socialsikringsforanstaltninger fortsat anvendelse, herunder love og forskrifter om mindsteløn og kollektive lønoverenskomster.
4.   Forpligtelser vedrørende tilladelse til indrejse og midlertidigt ophold for fysiske personer i forretningsøjemed finder ikke anvendelse i tilfælde, hvor hensigten eller virkningen af midlertidig indrejse og ophold er at gribe ind i eller på anden måde påvirke resultatet af en arbejds- eller ledelseskonflikt eller -forhandling eller beskæftigelsen af fysiske personer, som er involveret i denne konflikt.
5.   I dette kapitel forstås ved:
a)
"forretningsrejsende i etableringsøjemed": fysiske personer i en overordnet stilling i en juridisk person i en part, som:
i)
er ansvarlige for oprettelse af en sådan juridisk persons virksomhed på den anden parts område
ii)
ikke tilbyder eller leverer tjenesteydelser, ikke udøver nogen økonomisk aktivitet, bortset fra hvad der er nødvendigt i etableringsøjemed, og
iii)
ikke modtager vederlag fra en kilde beliggende i den anden part
b)
"leverandører af kontraktbaserede tjenesteydelser": fysiske personer, som er ansat i en juridisk person i en part (på anden måde end gennem et personaleformidlingsbureau), som ikke er etableret på den anden parts område og i god tro har indgået en kontrakt på højst 12 måneder om levering af tjenesteydelser til en endelig forbruger i den anden part, der kræver midlertidig tilstedeværelse af dens ansatte, som:
i)
har tilbudt den samme type tjenester som ansatte i den juridiske person i mindst et år umiddelbart forud for datoen for ansøgningen om indrejse og midlertidigt ophold
ii)
på denne dato har mindst tre års erhvervserfaring, opnået efter at have nået myndighedsalderen, i den sektor, der er genstand for kontrakten, en universitetsgrad eller et kompetencegivende bevis for viden på et tilsvarende niveau og de faglige kvalifikationer, der kræves for at kunne udøve denne aktivitet på den anden parts område 
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, og
iii)
ikke modtager vederlag fra en kilde beliggende i den anden part
c)
"selvstændige erhvervsdrivende": fysiske personer, som er involveret i leveringen af en tjenesteydelse og er etableret som selvstændige på en parts område, som:
i)
ikke er etableret på den anden parts område
ii)
i god tro har indgået en kontrakt (på anden måde end gennem et personaleformidlingsbureau) på højst 12 måneder om levering af tjenesteydelser til en endelig forbruger i den anden part, hvilket kræver deres midlertidige tilstedeværelse, og
iii)
på datoen for deres ansøgning om indrejse og ophold har mindst seks års relevant erhvervserfaring, en universitetsgrad eller et kompetencegivende bevis for viden på et tilsvarende niveau og de faglige kvalifikationer, der kræves for at kunne udøve denne aktivitet på den anden parts område 
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d)
"virksomhedsinternt udstationerede": fysiske personer, som:
i)
har været ansat af en juridisk person i en part eller har været partnere heri i en periode, der ligger umiddelbart forud for datoen for den virksomhedsinterne udstationering, på mindst et år for ledere og specialister og på mindst seks måneder for traineeansatte
ii)
på tidspunktet for ansøgningen opholder sig uden for den anden parts område
iii)
midlertidigt er overflyttet til en virksomhed på den anden parts område, som er en del af den samme gruppe som førstnævnte juridiske person, herunder dens repræsentationskontor, datterselskab, filial eller hovedselskab 
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, og
iv)
tilhører en af følgende kategorier:
A)
ledere 
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B)
specialister eller
C)
traineeansatte
e)
"leder": en fysisk person i en overordnet stilling, som primært leder virksomhedens ledelse i den anden part, og som i generel tilsyns- eller ledelsesmæssig henseende først og fremmest sorterer under virksomhedens bestyrelse eller aktionærer eller tilsvarende, og hvis ansvarsområder omfatter:
i)
der leder virksomheden eller en afdeling eller underafdeling heraf
ii)
der fører tilsyn og kontrol med andre tilsyns-, fag- eller ledelsesmedarbejderes arbejde, og
iii)
der har beføjelse til at ansætte og afskedige eller anbefale ansættelse og afskedigelse eller andre personalerelaterede dispositioner
f)
"specialister": fysiske personer, som besidder en specialiseret viden af væsentlig betydning for virksomhedens aktivitetsområder, teknikker eller ledelse, hvor der ved bedømmelsen ikke blot tages hensyn til viden, der er specifik for virksomheden, men også til, om den fysiske person har et højt kvalifikationsniveau med hensyn til en type arbejde eller aktivitet, der kræver specifik teknisk viden, herunder medlemskab af en anerkendt faggruppe, og
g)
"traineeansat": en fysisk person med en universitetsgrad, der midlertidigt overføres med henblik på karriereudvikling eller uddannelse i forretningsteknikker eller -metoder, og som aflønnes i udstationeringsperioden 
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6.   Den i stk. 5, litra b) og c), omhandlede tjenesteydelseskontrakt skal opfylde de retlige krav i den part, hvor kontrakten udføres.
Artikel 141
Virksomhedsinternt udstationerede og forretningsrejsende i etableringsøjemed
1.   Med forbehold af de relevante betingelser og kvalifikationer angivet i bilag 21:
a)
hver part tillader:
i)
indrejse og midlertidigt ophold for virksomhedsinternt udstationerede
ii)
indrejse og midlertidigt ophold for forretningsrejsende i etableringsøjemed, uden at der kræves en arbejdstilladelse eller anden forudgående godkendelsesprocedure af tilsvarende hensigt, og
iii)
beskæftigelse på sit område for virksomhedsinternt udstationerede fra den anden part
b)
en part må ikke, hverken på grundlag af en territorial underinddeling eller på hele sit område, indføre eller opretholde begrænsninger i form af numeriske kvoter eller krav om en økonomisk behovsprøve af det samlede antal fysiske personer, der har tilladelse til indrejse som forretningsrejsende i etableringsøjemed, eller som en investor må beskæftige som virksomhedsinternt udstationerede, i en specifik sektor, og
c)
hver part indrømmer virksomhedsinternt udstationerede og forretningsrejsende i etableringsøjemed fra den anden part en behandling, der ikke er mindre gunstig end den, parten i tilsvarende situationer indrømmer sine egne fysiske personer, under deres midlertidige ophold på dens område.
2.   Den tilladte opholdsperiode er op til tre år for ledere og specialister, op til et år for traineeansatte og op til 90 dage over en periode på seks måneder for forretningsrejsende i etableringsøjemed.
Artikel 142
Forretningsrejsende på kortvarigt ophold
1.   Med forbehold af de relevante betingelser og kvalifikationer anført i bilag 21 tillader hver part indrejse og midlertidigt ophold for forretningsrejsende på kortvarigt ophold fra den anden part med henblik på at udføre de aktiviteter, der er anført i bilag 21, på følgende betingelser:
a)
forretningsrejsende på kortvarigt ophold sælger ikke deres varer og leverer ikke deres tjenesteydelser til den brede offentlighed
b)
forretningsrejsende på kortvarigt ophold modtager ikke på egne vegne vederlag inden for den part, hvor de opholder sig midlertidigt, og
c)
forretningsrejsende på kortvarigt ophold er ikke beskæftiget med levering af en tjenesteydelse inden for rammerne af en kontrakt indgået mellem en juridisk person, der ikke har etableret sig på den parts område, hvor de midlertidigt opholder sig, og en forbruger der, medmindre andet er fastsat i bilag 21.
2.   Medmindre andet er angivet i bilag 21, tillader en part indrejse for forretningsrejsende på kortvarigt ophold uden krav om arbejdstilladelse, økonomisk behovsprøve eller andre forudgående godkendelsesprocedurer af tilsvarende hensigt.
3.   Hvis forretningsrejsende på kort sigt fra en part er involveret i levering af en tjenesteydelse til en forbruger på den parts område, hvor de midlertidigt opholder sig i overensstemmelse med bilag 21, indrømmer den pågældende part dem en behandling med hensyn til levering af denne tjenesteydelse, der ikke er mindre gunstig end den, den i lignende situationer indrømmer sine egne tjenesteydere.
4.   Det tilladte ophold er på op til 90 dage inden for en periode på seks måneder.
Artikel 143
Leverandører af kontraktbaserede tjenesteydelser og selvstændige erhvervsdrivende
1.   I de sektorer, delsektorer og aktiviteter, der er anført i bilag 22, og på de relevante betingelser og kvalifikationer, der er anført deri:
a)
tillader parten indrejse og midlertidigt ophold for leverandører af kontraktbaserede tjenesteydelser og selvstændige erhvervsdrivende på dens område
b)
må ingen af parterne indføre eller opretholde begrænsninger af det samlede antal leverandører af kontraktbaserede tjenesteydelser og selvstændige erhvervsdrivende fra den anden part, der tillades midlertidig indrejse, i form af numeriske kvoter eller en økonomisk behovsprøve, og
c)
hver part indrømmer leverandører af kontraktbaserede tjenesteydelser og selvstændige erhvervsdrivende fra den anden part en behandling, der ikke er mindre gunstig end den, den pågældende part indrømmer sine egne tjenesteydere i lignende situationer, med hensyn til levering af deres tjenesteydelser på partens område.
2.   Adgang, der indrømmes i henhold til denne artikel, vedrører kun den tjenesteydelse, der er genstand for kontrakten, og giver ikke ret til at benytte den faglige titel, der anvendes i den part, hvor tjenesteydelsen leveres.
3.   Antallet af personer, der er omfattet af tjenesteydelseskontrakten, må ikke være større end nødvendigt for at kunne opfylde kontrakten, sådan som det kan være fastsat i lovgivningen i den part, hvor tjenesteydelsen leveres.
4.   Den tilladte opholdsperiode er en samlet periode på højst 12 måneder eller kontraktens varighed, afhængigt af hvad der er kortest.
Artikel 144
Ikkeforenelige foranstaltninger
I det omfang den relevante foranstaltning påvirker fysiske personers midlertidige ophold i forretningsøjemed, finder artikel 141, stk. 1, litra b) og c), artikel 142, stk. 3, og artikel 143, stk. 1, litra b) og c), ikke anvendelse på:
a)
nogen eksisterende ikkeforenelig foranstaltning, som opretholdes af en part på:
i)
for Unionen:
A)
Unionen, jf. Unionens liste i bilag 19
B)
en medlemsstats centrale forvaltningsniveau, jf. Unionens liste i bilag 19
C)
et regionalt forvaltningsniveau i en medlemsstat, jf. Unionens liste i bilag 19, eller
D)
et lokalt forvaltningsniveau, bortset fra det i litra C) omhandlede niveau, og
ii)
for Det Forenede Kongerige:
A)
det centrale forvaltningsniveau, jf. Det Forenede Kongeriges liste i bilag 19
B)
et regionalt forvaltningsniveau, jf. Det Forenede Kongeriges liste i bilag 19, eller
C)
et lokalt forvaltningsniveau
b)
fortsat anvendelse eller omgående fornyelse af en ikkeforenelig foranstaltning som omhandlet i litra a)
c)
en ændring af enhver ikkeforenelig foranstaltning som omhandlet i litra a) og b), i det omfang den ikke mindsker foranstaltningens overensstemmelse, som den forelå umiddelbart før ændringen, med artikel 141, stk. 1, litra b) og c), artikel 142, stk. 3, og artikel 143, stk. 1, litra b) og c), eller
d)
enhver foranstaltning truffet af en part i overensstemmelse med en betingelse eller kvalifikation, der er anført i bilag 20.
Artikel 145
Gennemsigtighed
1.   Hver part offentliggør oplysninger om relevante foranstaltninger vedrørende indrejse og midlertidigt ophold for fysiske personer fra den anden part som omhandlet i artikel 140, stk. 1.
2.   De i stk. 1 omhandlede oplysninger skal så vidt muligt indeholde følgende oplysninger vedrørende fysiske personers indrejse og midlertidige ophold:
a)
kategorier af visum, opholdstilladelser eller tilsvarende tilladelser vedrørende indrejse og midlertidigt ophold
b)
krævet dokumentation og betingelser, der skal opfyldes
c)
metode for indgivelse af en ansøgning og forskellige muligheder for indgivelse, såsom til konsulære kontorer eller online
d)
ansøgningsgebyrer og en vejledende tidsplan for behandling af en ansøgning
e)
den maksimale opholdsperiode i henhold til hver type af tilladelse, der er omhandlet i litra a)
f)
betingelserne for eventuel forlængelse eller fornyelse
g)
regler vedrørende forsørgelsesberettigede ledsagere
h)
adgang til prøvelse eller klage og
i)
relevante almengyldige love vedrørende indrejse og midlertidigt ophold for fysiske personer i forretningsøjemed.
3.   For så vidt angår de i stk. 1 og 2 omhandlede oplysninger, skal hver part tilstræbe straks at underrette den anden part om indførelsen af nye krav og procedurer eller ændringer i krav og procedurer, som påvirker den reelle anvendelse af bestemmelser om indrømmelse af indrejse, midlertidigt ophold og i givet fald arbejdstilladelse i førstnævnte part.
KAPITEL 5
LOVRAMME
AFDELING 1
INTERN REGULERING
Artikel 146
Anvendelsesområde og definitioner
1.   Denne afdeling finder anvendelse på parternes foranstaltninger vedrørende licenskrav og -procedurer, kvalifikationskrav og -procedurer samt tekniske standarder, der påvirker:
a)
grænseoverskridende handel med tjenesteydelser
b)
etablering eller drift eller
c)
levering af en tjenesteydelse gennem tilstedeværelse af en fysisk person fra en part på den anden parts område, jf. artikel 140.
For så vidt angår foranstaltninger vedrørende tekniske standarder, præciseres det, at denne underafdeling kun finder anvendelse på sådanne foranstaltninger, som påvirker handelen med tjenesteydelser. I denne afdeling omfatter udtrykket "tekniske standarder" ikke reguleringsmæssige eller gennemførelsesmæssige tekniske standarder for finansielle tjenesteydelser.
2.   Denne afdeling finder ikke anvendelse på licenskrav og -procedurer, kvalifikationskrav og -procedurer og tekniske standarder i medfør af en foranstaltning:
a)
som ikke er i overensstemmelse med artikel 128 eller 129 og er omhandlet i artikel 133, stk. 1, litra a)-c), eller som ikke er i overensstemmelse med artikel 135, 136 eller 137 og er omhandlet i artikel 139, stk. 1, litra a)-c), eller som ikke er i overensstemmelse med artikel 141, stk. 1, litra b) og c), eller artikel 142, stk. 3, eller som ikke er i overensstemmelse med artikel 143, stk. 1, litra b) og c), og er omhandlet i artikel 144, eller
b)
som er omhandlet i artikel 133, stk. 2, eller artikel 139, stk. 2.
3.   I denne afdeling forstås ved:
a)
"tilladelse": tilladelse til at udføre en af de aktiviteter, der er omhandlet i stk. 1, litra a)-c), og som er resultatet af en procedure, og som en fysisk eller juridisk person skal overholde for at påvise overholdelse af licenskrav, kvalifikationskrav, tekniske standarder eller formaliteter med henblik på at opnå, opretholde eller forny denne tilladelse, og
b)
"kompetent myndighed": en central, regional eller lokal forvaltning eller myndighed eller et ikkestatsligt organ, der under udøvelse af beføjelser, som er delegeret af centrale, regionale eller lokale forvaltninger eller myndigheder, træffer en afgørelse om tilladelsen som omhandlet i litra a).
Artikel 147
Indgivelse af ansøgninger
Parterne sørger i videst muligt omfang for, at ansøgeren kun skal rette henvendelse til én kompetent myndighed for hver ansøgning om tilladelse. Hvis en aktivitet, for hvilken der ansøges om tilladelse, henhører under flere kompetente myndigheders kompetence, kan det være nødvendigt at indgive flere ansøgninger om tilladelse.
Artikel 148
Ansøgningsfrister
En part, der kræver tilladelse, sikrer, at dens kompetente myndigheder i videst muligt omfang giver mulighed for indgivelse af ansøgninger på et hvilket som helst tidspunkt i løbet af året. Er der en specifik frist for ansøgning om tilladelse, sikrer parten, at de kompetente myndigheder giver ansøgeren en rimelig frist for indgivelse af en ansøgning.
Artikel 149
Elektroniske ansøgninger og accept af kopier
En part, der kræver en tilladelse, sikrer, at dens kompetente myndigheder:
a)
i det omfang det er muligt, giver mulighed for, at ansøgninger kan udfyldes elektronisk, herunder fra den anden parts område, og
b)
accepterer kopier af dokumenter, der er bekræftet i overensstemmelse med partens nationale lovgivning, i stedet for originaldokumenter, medmindre de kompetente myndigheder kræver originale dokumenter for at beskytte godkendelsesprocessens integritet.
Artikel 150
Behandling af ansøgninger
1.   En part, der kræver en tilladelse, sikrer, at dens kompetente myndigheder:
a)
behandler ansøgninger i løbet af året. Hvis det ikke er muligt, bør disse oplysninger offentliggøres på forhånd, i det omfang det er praktisk muligt
b)
så vidt muligt fastsætter en vejledende tidsramme for behandlingen af en ansøgning. Denne tidsramme skal være rimelig, i det omfang det er praktisk muligt
c)
efter anmodning fra en ansøger uden unødig forsinkelse giver oplysninger om ansøgningens status
d)
så vidt muligt og uden unødigt ophold bekræfter, om ansøgningen er fuldstændig med henblik på behandling i henhold til partens nationale love og forskrifter
e)
hvis de vurderer, at en ansøgning er fuldstændig med henblik på behandling i henhold til partens nationale love og forskrifter 
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, inden for en rimelig frist efter indgivelsen af ansøgningen sikrer:
i)
at behandlingen af ansøgningen afsluttes, og
ii)
at ansøgeren underrettes om afgørelsen om ansøgningen skriftligt, i det omfang det er muligt 
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f)
hvis de vurderer, at en ansøgning er ufuldstændig med henblik på behandling i henhold til partens nationale love og forskrifter, inden for en rimelig frist efter indgivelsen af ansøgningen så vidt muligt:
i)
underretter ansøgeren om, at ansøgningen er ufuldstændig
ii)
på anmodning af ansøgeren afklarer, hvilke yderligere oplysninger der er nødvendige for, at ansøgningen anses for fuldstændig, eller giver ansøgeren anden vejledning om, hvorfor ansøgningen anses for at være ufuldstændig, og
iii)
giver ansøgeren mulighed for at fremlægge de yderligere oplysninger, der er nødvendige for at fuldstændiggøre ansøgningen 
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hvis ingen af de tiltag, der er omhandlet i nr. i), ii) og iii), imidlertid er praktisk mulige, og ansøgningen afvises, fordi den er ufuldstændig, sikrer de kompetente myndigheder, at ansøgeren underrettes inden for en rimelig tidsfrist, og
g)
hvis en ansøgning afvises, enten på partens initiativ eller på ansøgerens anmodning, oplyses ansøgeren om årsagerne til afvisningen og om fristen for at klage over denne afgørelse og, hvis det er relevant, om procedurerne for fornyet indgivelse af en ansøgning. Ansøgeren må ikke forhindres i at indgive en ny ansøgning alene på grundlag af en tidligere afvist ansøgning.
2.   Parterne sikrer, at deres kompetente myndighed udsteder en tilladelse, så snart det ved en passende undersøgelse er fastslået, at ansøgeren opfylder betingelserne for at få den.
3.   Parterne sikrer, at en udstedt tilladelse får virkning uden unødigt ophold på gældende vilkår og betingelser 
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.
Artikel 151
Gebyrer
1.   For alle andre økonomiske aktiviteter end finansielle tjenesteydelser sikrer hver part, at de gebyrer for udstedelse af tilladelser, som dens kompetente myndigheder opkræver, er rimelige og gennemsigtige og ikke i sig selv begrænser leveringen af den relevante tjenesteydelse eller udøvelsen af enhver anden økonomisk aktivitet. I betragtning af omkostningerne og den administrative byrde opfordres hver part til at acceptere betaling af tilladelsesgebyrer ad elektronisk vej.
2.   For finansielle tjenesteydelser sikrer hver part, at dens kompetente myndigheder med hensyn til de gebyrer for udstedelse af tilladelser, som de opkræver, sender ansøgerne en gebyrfortegnelse eller oplysninger om, hvordan gebyrbeløbene fastsættes, og ikke anvender gebyrer som et middel til at omgå partens tilsagn eller forpligtelser.
3.   Tilladelsesgebyrer omfatter ikke gebyrer for anvendelsen af naturressourcer, udgifter til auktioner, udbud eller andre ikkediskriminerende metoder til tildeling af koncessioner og ej heller obligatoriske bidrag til forsyningspligtydelser.
Artikel 152
Vurdering af kvalifikationer
Hvis en part kræver en eksamination for at vurdere en ansøgers kvalifikationer, sikrer den, at dens kompetente myndigheder afholder denne eksamination med forholdsvis hyppige intervaller og giver ansøgerne en rimelig frist for indgivelse af en anmodning om deltagelse i eksaminationen. Parterne accepterer så vidt muligt anmodninger i elektronisk format om deltagelse i sådanne eksaminationer og overvejer anvendelsen af elektroniske midler i andre aspekter af eksaminationen.
Artikel 153
Offentliggørelse og tilgængelige oplysninger
1.   Hvis en part kræver en tilladelse, offentliggør parten straks de oplysninger, der er nødvendige for personer, der udøver eller søger at udøve de aktiviteter, der er omhandlet i artikel 146, stk. 1, for hvilke tilladelsen skal opfylde kravene, de tekniske standarder og procedurerne for opnåelse, opretholdelse, ændring og fornyelse af en sådan tilladelse. Disse oplysninger skal, i det omfang de foreligger, omfatte:
a)
licens- og kvalifikationskrav og -procedurer og -formaliteter
b)
kontaktoplysninger for relevante kompetente myndigheder
c)
tilladelsesgebyrer
d)
gældende tekniske standarder
e)
procedurer for klage eller prøvelse af afgørelser vedrørende ansøgninger
f)
procedurer for overvågning eller håndhævelse af overholdelsen af vilkår og betingelser for licenser eller kvalifikationer
g)
muligheder for inddragelse af offentligheden, f.eks. gennem høringer eller kommentarer, og
h)
vejledende tidsfrist for behandlingen af en ansøgning.
I denne afdeling forstås ved at "offentliggøre" at medtage i en officiel publikation, f.eks. en officiel tidende eller et officielt websted. Parterne konsoliderer elektroniske publikationer i en enkelt onlineportal eller sikrer på anden måde, at de kompetente myndigheder gør dem let tilgængelige via alternative elektroniske midler.
2.   Hver part kræver, at hver af dens kompetente myndigheder besvarer enhver anmodning om oplysninger eller bistand, i det omfang det er praktisk muligt.
Artikel 154
Tekniske standarder
Hver part tilskynder sine kompetente myndigheder til at vedtage tekniske standarder, der er udviklet gennem åbne og gennemsigtige procedurer, når de vedtager sådanne standarder, og tilskynder ethvert organ, herunder relevante internationale organisationer, som er udpeget til at udarbejde tekniske standarder, til at gøre dette gennem åbne og gennemsigtige procedurer.
Artikel 155
Betingelser for tilladelse
1.   Hver part sikrer, at foranstaltninger vedrørende tilladelser er baseret på kriterier, der forhindrer de kompetente myndigheder i at udøve deres vurderingsbeføjelser vilkårligt, og kan bl.a. omfatte kompetence og evne til at levere en tjenesteydelse eller enhver anden økonomisk aktivitet, herunder at gøre dette i overensstemmelse med en parts forskriftsmæssige krav såsom sundheds- og miljøkrav. For at undgå tvivl er parterne enige om, at en kompetent myndighed, når den træffer afgørelser, kan afveje kriterierne.
2.   De i stk. 1 omhandlede kriterier skal være:
a)
klare og utvetydige
b)
objektive og gennemsigtige
c)
fastsat på forhånd
d)
offentliggjort på forhånd
e)
upartiske og
f)
let tilgængelige.
3.   Hvis en part indfører eller opretholder foranstaltninger vedrørende tilladelse, skal den sikre:
a)
at den berørte kompetente myndighed behandler ansøgninger, og når frem til og forvalter sine beslutninger, objektivt og upartisk og på en måde, der er uafhængig af uretmæssig påvirkning fra enhver person, der udøver den økonomiske aktivitet, for hvilken der kræves tilladelse, og
b)
at procedurerne ikke i sig selv uberettiget er til hinder for, at kravene opfyldes.
Artikel 156
Begrænset antal licenser
Hvis antallet af tilgængelige licenser for en given form for virksomhed er begrænset på grund af knappe naturlige ressourcer eller begrænset teknisk kapacitet, anvender parten en procedure for udvælgelse af ansøgere, der giver fuldt betryggende garantier for uvildighed, objektivitet og gennemsigtighed, bl.a. behørig offentliggørelse af indledningen, gennemførelsen og afslutningen af proceduren. Parterne kan ved fastlæggelsen af reglerne for udvælgelsesproceduren tage hensyn til legitime politiske mål, herunder sundhed, sikkerhed, beskyttelse af miljøet og bevarelse af kulturarven.
AFDELING 2
ALMENT GÆLDENDE BESTEMMELSER
Artikel 157
Klageprocedurer i forbindelse med administrative afgørelser
Hver part opretholder domstole, voldgiftsretter eller forvaltningsdomstole eller procedurer, der efter anmodning fra en berørt investor eller tjenesteyder giver mulighed for omgående prøvelse og i givet fald passende afhjælpning af administrative afgørelser, der påvirker etableringen eller driften, den grænseoverskridende handel med tjenesteydelser eller leveringen af en tjenesteydelse gennem fysiske personers tilstedeværelse på den anden parts område. I denne afdeling forstås ved "administrativ afgørelse" en afgørelse eller foranstaltning, der har retsvirkning for en bestemt person, vare eller tjenesteydelse i en konkret sag, og som omfatter undladelse af at træffe en administrativ afgørelse eller træffe en sådan foranstaltning, når dette kræves i en parts lovgivning. Er sådanne procedurer ikke uafhængige af den kompetente myndighed, som den pågældende administrative afgørelse er betroet, sikrer parten, at procedurerne faktisk fører til en objektiv og upartisk prøvelse.
Artikel 158
Erhvervskvalifikationer
1.   Intet i denne artikel er til hinder for, at en part kan kræve, at fysiske personer skal have de nødvendige erhvervskvalifikationer, der er angivet på det område, hvor aktiviteten udøves, for den pågældende sektor 
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.
2.   De erhvervsorganisationer eller myndigheder, der er relevante for den pågældende aktivitetssektor på deres respektive områder, kan udarbejde og fremsætte fælles anbefalinger til Partnerskabsrådet om anerkendelse af erhvervskvalifikationer. Sådanne fælles anbefalinger skal understøttes af en evidensbaseret vurdering af:
a)
den økonomiske værdi af en påtænkt ordning om anerkendelse af erhvervskvalifikationer og
b)
foreneligheden af de respektive ordninger, dvs. i hvilket omfang de krav, som hver part anvender i forbindelse med godkendelse, licens, drift og certificering, er forenelige.
3.   Når Partnerskabsrådet modtager en fælles anbefaling, undersøger det inden for en rimelig frist, om den er i overensstemmelse med dette afsnit. Partnerskabsrådet kan efter en sådan gennemgang udarbejde og vedtage en ordning om betingelserne for anerkendelse af erhvervskvalifikationer ved en afgørelse som bilag til denne aftale, der anses for at udgøre en integrerende del af dette afsnit 
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.
4.   En ordning som omhandlet i stk. 3 skal fastsætte betingelserne for anerkendelse af de erhvervskvalifikationer, der er erhvervet i Unionen, og erhvervskvalifikationer, der er erhvervet i Det Forenede Kongerige i forbindelse med en aktivitet, der er omfattet af dette afsnit og denne sektions afsnit III.
5.   Retningslinjerne for ordninger for anerkendelse af erhvervskvalifikationer i bilag 24 skal tages i betragtning ved udarbejdelsen af de fælles anbefalinger, der er omhandlet i denne artikels stk. 2, og af Partnerskabsrådet, når det vurderer, om der skal vedtages en sådan ordning, jf. denne artikels stk. 3.
AFDELING 3
LEVERINGSTJENESTER
Artikel 159
Anvendelsesområde og definitioner
1.   Denne afdeling finder anvendelse på en parts foranstaltninger, der påvirker leveringen af leveringstjenester ud over dette afsnits kapitel 1, 2, 3 og 4 og dette kapitels afdeling 1 og 2.
2.   I denne afdeling forstås ved:
a)
"leveringstjenester": post-, kurer- og eksprestjenester eller ekspresforsendelser, der omfatter følgende aktiviteter: indsamling, sortering, transport og omdeling af postforsendelser
b)
"eksprestjenester": hurtig og pålidelig indsamling, sortering, transport og omdeling af postforsendelser, der kan tilføre yderligere værdielementer som f.eks. indsamling fra oprindelsessted, personlig levering til modtageren, sporing, mulighed for ændring af bestemmelsessted og modtager under forsendelsen, bekræftelse af modtagelse
c)
"ekspresforsendelser": internationale eksprestjenester, der leveres gennem EMS Cooperative, som er en frivillig sammenslutning af udpegede postvirksomheder under Verdenspostforeningen (UPU)
d)
"licens": en tilladelse, som en parts uafhængige forvaltningsmyndighed kan kræve af en individuel leverandør, for at denne leverandør kan tilbyde post- og kurertjenester
e)
"postforsendelse": en forsendelse på op til 31,5 kg, som er adresseret i den endelige form, hvori den skal befordres af enhver type leverandør af leveringstjenester, offentlig eller privat, og kan omfatte forsendelser såsom et brev, en pakke, en avis eller et katalog
f)
"postmonopol": eneret til at levere bestemte leveringstjenester inden for en parts område eller en underinddeling heraf i henhold til den pågældende parts lovgivning og
g)
"forsyningspligtydelser": permanent udbud af leveringstjenester af nærmere fastlagt kvalitet overalt på partens område eller en underinddeling heraf til priser, der er overkommelige for alle brugere.
Artikel 160
Forsyningspligtydelser
1.   Hver part fastlægger selv den form for forsyningspligt, den ønsker at opretholde, og træffer selv afgørelse om omfanget og gennemførelsen. Enhver forsyningspligt skal forvaltes på en gennemsigtig, ikkediskriminerende og neutral måde over for alle leverandører, der er omfattet af pligten.
2.   Hvis en part stiller krav om, at indgående ekspresforsendelser omfattes af forsyningspligten, indrømmes denne tjeneste ikke præferencebehandling i forhold til andre internationale eksprestjenester.
Artikel 161
Finansiering af tjenester omfattet af forsyningspligten
En part må ikke opkræve gebyrer eller andre afgifter for leveringen af en leveringstjeneste, der ikke er omfattet af forsyningspligten, med henblik på at finansiere leveringen af en tjeneste omfattet af forsyningspligten. Denne artikel finder ikke anvendelse på almindelige skattemæssige foranstaltninger eller administrationsgebyrer.
Artikel 162
Forebyggelse af markedsforvridende praksis
Hver part sikrer, at udbydere af leveringstjenester omfattet af forsyningspligt eller postmonopoler ikke udøver markedsforvridende praksis såsom:
a)
at anvende indtægter fra leveringen af en tjeneste omfattet af forsyningspligt eller et postmonopol til at krydssubsidiere leveringen af en eksprestjeneste eller en leveringstjeneste, der ikke er omfattet af forsyningspligten, eller
b)
uberettiget at skelne mellem forbrugerne med hensyn til takster eller andre vilkår og betingelser for levering af en tjeneste, der er omfattet af befordringspligten eller et postmonopol.
Artikel 163
Licenser
1.   En part, der kræver en licens til levering af leveringstjenester, skal offentliggøre:
a)
alle licenskravene og den normale frist for at træffe en afgørelse vedrørende en licensansøgning og
b)
vilkår og betingelser for licenser.
2.   Licensprocedurerne, -forpligtelserne og -kravene skal være gennemsigtige, ikkediskriminerende og baseret på objektive kriterier.
3.   Hvis en licensansøgning afvises af den kompetente myndighed, underretter myndigheden skriftligt ansøgeren om årsagerne til afvisningen af licensansøgningen. Hver part indfører hver især en klageprocedure via en uafhængig instans, som er til rådighed for ansøgere, hvis licens er blevet afvist. Denne instans kan være en domstol.
Artikel 164
Reguleringsorganets uafhængighed
1.   Hver part opretter eller opretholder et reguleringsorgan, som skal være retligt adskilt og funktionelt uafhængigt af enhver udbyder af leveringstjenester. Hvis en part ejer eller kontrollerer en udbyder af leveringstjenester, sikrer den, at der er en reel organisatorisk adskillelse mellem myndighedernes tilsynsfunktion og aktiviteter, der er knyttet til ejerskab eller kontrol.
2.   Reguleringsorganerne skal udføre deres opgaver på en gennemsigtig og rettidig måde og have tilstrækkelige økonomiske og menneskelige ressourcer til at udføre de opgaver, de får pålagt. Deres afgørelser skal være upartiske over for alle markedsdeltagere.
AFDELING 4
TELEKOMMUNIKATIONSTJENESTER
Artikel 165
Anvendelsesområde
Denne afdeling finder anvendelse på en parts foranstaltninger, der påvirker leveringen af telekommunikationstjenester ud over dette afsnits kapitel 1, 2, 3 og 4 og dette kapitels afdeling 1 og 2.
Artikel 166
Definitioner
I denne afdeling forstås ved:
a)
"tilhørende faciliteter": tilhørende tjenester, fysisk infrastruktur og andre faciliteter eller elementer i tilknytning til et telekommunikationsnet eller en telekommunikationstjeneste, som muliggør eller understøtter levering af tjenesteydelser via dette net eller denne tjeneste eller giver mulighed for at gøre dette
b)
"slutbruger": en endelig forbruger af eller abonnent på offentlige telekommunikationstjeneste, herunder en tjenesteyder, som ikke er en leverandør af offentlige telekommunikationstjenester
c)
"væsentlige faciliteter": faciliteter i forbindelse med et offentligt telekommunikationsnet eller en offentlig telekommunikationstjeneste, som:
i)
udelukkende eller fortrinsvis stilles til rådighed af en enkelt eller et begrænset antal leverandører og
ii)
ikke økonomisk eller teknisk set kan erstattes med henblik på levering af en tjenesteydelse
d)
"sammenkobling": etablering af forbindelse mellem offentlige telekommunikationsnet, der benyttes af de samme eller forskellige leverandører af telekommunikationsnet eller telekommunikationstjenester, således at en leverandørs brugere kan kommunikere med den samme leverandørs eller en anden leverandørs brugere og få adgang til en anden leverandørs tjenesteydelser, uanset om disse tjenester leveres af de involverede leverandører eller af enhver anden leverandør, der har adgang til nettet
e)
"international roamingtjeneste": en kommerciel mobiltjeneste, der leveres i henhold til en forretningsaftale mellem leverandører af offentlige telekommunikationstjenesteydelser, der gør det muligt for en slutbruger at benytte sin mobiltelefon eller andre anordninger til stemme-, data- eller meddelelsestjenester, mens han befinder sig uden for det område, hvor slutbrugerens hjemlands offentlige telekommunikationsnet dækker
f)
"internetadgangstjeneste": en offentlig telekommunikationstjeneste, som leverer adgang til internettet og dermed konnektivitet til praktisk taget alle endepunkter på internettet, uanset den anvendte netteknologi og det anvendte terminaludstyr
g)
"lejet kredsløb": telekommunikationstjenester eller -faciliteter, herunder virtuelle faciliteter, der afsætter kapacitet til dedikeret brug af eller tilgængelighed for en bruger mellem to eller flere udpegede punkter
h)
"storleverandør": en leverandør af telekommunikationsnet eller telekommunikationstjenester, som i væsentlig grad kan påvirke betingelserne for deltagelse (med udgangspunkt i priser og forsyning) på det relevante marked for offentlige telekommunikationsnet eller telekommunikationstjenester som følge af kontrol over væsentlige faciliteter eller anvendelse af sin position på det pågældende marked
i)
"netværkselement": et anlæg eller udstyr, der anvendes til at levere en telekommunikationstjeneste, herunder funktioner og kapacitet, der stilles til rådighed ved hjælp af den pågældende facilitet eller det pågældende udstyr
j)
"nummerportabilitet": det forhold, at alle offentlige elektroniske kommunikationstjenesters abonnenter, der anmoder om det, kan beholde de samme telefonnumre på samme sted uden forringelse af kvalitet, pålidelighed eller komfort, når de skifter mellem samme kategori af leverandører af offentlige telekommunikationstjenester
k)
"offentligt telekommunikationsnet": ethvert telekommunikationsnet, der udelukkende eller hovedsagelig anvendes til levering af offentlige telekommunikationstjenester, og som støtter overførsel af oplysninger mellem nettermineringspunkter
l)
"offentlig telekommunikationstjeneste": enhver telekommunikationstjeneste, der udbydes til offentligheden generelt
m)
"abonnent": enhver fysisk eller juridisk person, som er part i en kontrakt med en leverandør af offentlige telekommunikationstjenester om levering af sådanne tjenesteydelser
n)
"telekommunikation": afsendelse og modtagelse af signaler med elektromagnetiske midler
o)
"telekommunikationsnet": transmissionssystemer og, hvis det er relevant, koblings- og dirigeringsudstyr og andre ressourcer, herunder netværkselementer, som ikke er aktive, og som gør det muligt at transmittere og modtage signaler ved hjælp af trådforbindelse, radiobølger, lyslederteknik eller andre elektromagnetiske midler
p)
"reguleringsmyndighed på telekommunikationsområdet": det eller de organer, der af en part har fået til opgave at regulere telekommunikationsnet og telekommunikationstjenester, der er omfattet af denne afdeling
q)
"telekommunikationstjeneste": en tjeneste, som udelukkende eller overvejende består i transmission og modtagelse af signaler, herunder radio- og fjernsynssignaler, via telekommunikationsnet, herunder dem, der anvendes til udsendelse, men ikke levering af eller udøvelse af redaktionel kontrol over indhold, der overføres via telekommunikationsnet og telekommunikationstjenester
r)
"forsyningspligtydelse": det minimum af tjenester af en bestemt kvalitet, som alle brugere eller en gruppe af brugere på en parts område eller et udsnit heraf skal have adgang til, uanset hvor de befinder sig geografisk, til overkommelige priser, og
s)
"bruger": enhver fysisk eller juridisk person, der anvender en offentlig telekommunikationstjeneste.
Artikel 167
Reguleringsmyndighed på telekommunikationsområdet
1.   Hver af parterne opretter eller opretholder en reguleringsmyndighed på telekommunikationsområdet, der:
a)
er retligt adskilt fra og operationelt uafhængig af leverandører af telekommunikationsnet, telekommunikationstjenester eller telekommunikationsudstyr
b)
anvender procedurer og træffer beslutninger, der er upartiske over for alle markedsdeltagere
c)
handler uafhængigt og ikke søger eller modtager instrukser fra andre organer i forbindelse med udførelsen af de opgaver, den er blevet pålagt ved lov med henblik på at håndhæve forpligtelserne i artikel 169, 170, 171, 173 og 174
d)
har den regulerende myndighed samt tilstrækkelige økonomiske og menneskelige ressourcer til at udføre de i denne artikels litra c) omhandlede opgaver
e)
har beføjelse til at sikre, at leverandører af telekommunikationsnet eller telekommunikationstjenester efter anmodning straks forelægger den alle de oplysninger 
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, herunder finansielle oplysninger, som er nødvendige for, at den kan udføre de i denne artikels litra c) omhandlede opgaver, og
f)
udøver sine beføjelser på en gennemsigtig og rettidig måde.
2.   Hver af parterne sikrer, at de opgaver, der pålægges reguleringsmyndigheden på telekommunikationsområdet, offentliggøres i en lettilgængelig og tydelig form, navnlig hvis disse opgaver er fordelt på flere organer.
3.   En part, som bevarer ejerskab til eller kontrol over en leverandør af offentlige telekommunikationsnet eller -tjenesteydelser, skal sikre, at der er reel strukturel adskillelse mellem myndighedernes tilsynsfunktion og de aktiviteter, der er knyttet til ejerskab eller kontrol.
4.   Hver af parterne sikrer, at en bruger eller leverandør af telekommunikationsnet eller telekommunikationstjenester, der berøres af en afgørelse fra reguleringsmyndigheden på telekommunikationsområdet, har ret til appel ved en appelinstans, der er uafhængig af reguleringsmyndigheden og andre berørte parter. Appelsagen har ikke opsættende virkning for afgørelsen, medmindre der træffes foreløbige foranstaltninger i overensstemmelse med partens lovgivning.
Artikel 168
Tilladelse til levering af telekommunikationsnet eller -tjenester
1.   Hver af parterne tillader levering af telekommunikationsnet eller telekommunikationstjenester uden forudgående formel godkendelse.
2.   Hver af parterne offentliggør alle kriterier, gældende procedurer og vilkår samt betingelser for, at leverandører kan levere telekommunikationsnet eller telekommunikationstjenester.
3.   Eventuelle godkendelseskriterier og gældende procedurer skal være så enkle som muligt, objektive, gennemsigtige, ikkediskriminerende og forholdsmæssigt afpassede. Alle forpligtelser og betingelser, der pålægges eller er knyttet til en tilladelse, skal være ikkediskriminerende, transparente og forholdsmæssige og vedrøre de tjenester eller net, der udbydes.
4.   Hver af parterne sikrer, at en ansøger om tilladelse modtager en skriftlig begrundelse for afslag på eller tilbagekaldelse af en tilladelse eller indførelse af leverandørspecifikke betingelser. I sådanne tilfælde kan ansøgeren indgive appel til en appelinstans.
5.   Administrative gebyrer, der pålægges leverandører, skal være objektive, gennemsigtige, ikkediskriminerende og stå i et rimeligt forhold til de administrative omkostninger, der med rimelighed er forbundet med forvaltning, kontrol og håndhævelse af forpligtelserne i denne afdeling 
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.
Artikel 169
Sammenkobling
Hver af parterne sikrer, at en leverandør af offentlige telekommunikationsnet eller offentlige telekommunikationstjenester har ret og, hvis en anden leverandør af offentlige telekommunikationsnet eller offentlige telekommunikationstjenester anmoder herom, pligt til at forhandle om sammenkobling med henblik på udbud af offentlige telekommunikationsnet eller offentlige telekommunikationstjenester.
Artikel 170
Adgang og anvendelse
1.   Hver af parterne sikrer, at enhver omfattet virksomhed eller tjenesteyder fra den anden part gives adgang til og mulighed for at benytte offentlige telekommunikationsnet eller offentlige telekommunikationstjenester på rimelige og ikkediskriminerende 
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 vilkår og betingelser. Denne forpligtelse finder bl.a. anvendelse på stk. 2-5.
2.   Hver af parterne sikrer, at omfattede virksomheder eller tjenesteydere fra den anden part har adgang til og kan benytte alle offentlige telekommunikationsnet eller offentlige telekommunikationstjenester, der tilbydes inden for eller på tværs af deres grænser, herunder private lejede kredsløb, og skal med henblik herpå og med forbehold af stk. 5 sikre, at disse virksomheder har adgang til:
a)
at købe eller leje og tilslutte terminaler eller andet udstyr, der har grænseflade til nettet, og som er nødvendigt for at udføre deres aktiviteter
b)
at forbinde private lejede eller ejede kredsløb med offentlige telekommunikationsnet eller med kredsløb, der lejes eller ejes af en anden virksomhed eller tjenesteyder, og
c)
at benytte betjeningsprotokoller efter deres eget valg ved levering af enhver tjenesteydelse bortset fra som nødvendigt for at sikre, at telekommunikationsnet og -tjenester er tilgængelige for den almindelige offentlighed.
3.   Parterne sikrer, at alle omfattede virksomheder eller tjenesteydere fra den anden part kan anvende offentlige telekommunikationsnet og offentlige telekommunikationstjenester til fremsendelse af oplysninger på deres område og på tværs af deres grænser, herunder deres virksomhedsinterne kommunikation, og til at få adgang til oplysninger, der er indeholdt i databaser eller på anden måde lagret i maskinlæsbar form på den ene eller den anden parts område.
4.   Uanset stk. 3 kan en part træffe de foranstaltninger, der er nødvendige for at sikre kommunikationens sikkerhed og fortrolighed, med forbehold af kravet om, at sådanne foranstaltninger ikke anvendes på en måde, der udgør en skjult begrænsning af handelen med tjenesteydelser eller en vilkårlig eller uberettiget forskelsbehandling eller ophævelse eller begrænsning af fordele ved ydelser i henhold til dette afsnit.
5.   Hver af parterne sikrer, at der ikke stilles andre betingelser for adgang til og anvendelse af offentlige telekommunikationsnet og ydelser end dem, der er nødvendige for:
a)
at varetage det ansvar for offentlige tjenester, der påhviler leverandører af offentlige telekommunikationsnet og offentlige telekommunikationstjenester, især deres evne til at gøre deres net eller tjenester tilgængelige for offentligheden i almindelighed, eller
b)
at beskytte offentlige telekommunikationsnets eller -tjenesters tekniske integritet.
Artikel 171
Bilæggelse af tvister på telekommunikationsområdet
1.   Hver af parterne sikrer i tilfælde af en tvist mellem leverandører af telekommunikationsnet eller telekommunikationstjenester i forbindelse med de rettigheder og forpligtelser, der følger af denne afdeling, og efter anmodning fra en af parterne, der er involveret i tvisten, at reguleringsmyndigheden på telekommunikationsområdet træffer en bindende afgørelse inden for en rimelig frist for at bilægge tvisten.
2.   Afgørelsen fra reguleringsmyndigheden på telekommunikationsområdet offentliggøres, idet der dog tages hensyn til bestemmelserne om fortroligholdelse af forretningshemmeligheder. De berørte parter skal have en fuldstændig begrundelse og have adgang til at klage som omhandlet i artikel 167, stk. 4.
3.   Proceduren i stk. 1 og 2 hindrer ikke nogen af de berørte parter i at indbringe sagen for de judicielle myndigheder.
Artikel 172
Konkurrencebeskyttelse over for storleverandører
Hver af parterne indfører eller opretholder passende foranstaltninger med henblik på at forhindre leverandører af telekommunikationsnet eller telekommunikationstjenester, som alene eller sammen udgør en storleverandør, i at påbegynde eller fortsætte en konkurrencebegrænsende praksis. Konkurrencebegrænsende praksis er navnlig:
a)
konkurrencebegrænsende krydssubsidiering
b)
udnyttelse af oplysninger fra konkurrenter til konkurrencebegrænsende formål og
c)
undladelse af rettidigt at give andre tjenesteydere tekniske oplysninger om væsentlige faciliteter og kommercielt relevante oplysninger, som de har brug for for at kunne levere tjenesteydelser.
Artikel 173
Sammenkobling med storleverandører
1.   Hver af parterne sikrer, at storleverandører af offentlige telekommunikationsnet eller offentlige telekommunikationstjenester leverer sammenkobling på et hvilket som helst teknisk muligt sted i nettet. En sådan sammenkobling skal gives:
a)
på ikkediskriminerende vilkår og betingelser (bl.a. hvad angår takster, tekniske standarder, specifikationer, kvalitet og vedligeholdelse) og med en kvalitet, der ikke er ringere end den, der tilbydes i forbindelse med storleverandørens egne tilsvarende tjenester eller dens datterselskabers eller andre tilknyttede selskabers tilsvarende tjenester
b)
rettidigt på vilkår og betingelser (bl.a. hvad angår takster, tekniske standarder, specifikationer, kvalitet og vedligeholdelse), som er gennemsigtige og rimelige under hensyntagen til de økonomiske muligheder og tilstrækkeligt ubundtede til, at leverandøren ikke er nødt til at betale for netværkselementer eller -faciliteter, som ikke er nødvendige for at kunne levere tjenesteydelsen, og
c)
efter anmodning ved yderligere punkter end de nettermineringspunkter, der tilbydes hovedparten af brugerne, mod en afgift, der afspejler omkostningerne ved oprettelsen af de nødvendige yderligere faciliteter.
2.   Procedurerne for sammenkobling med en storleverandør skal gøres offentligt tilgængelige.
3.   Storleverandører skal gøre deres sammenkoblingsaftaler eller deres standardtilbud på sammenkobling offentligt tilgængelige, hvis det er hensigtsmæssigt.
Artikel 174
Adgang til større leverandørers væsentlige faciliteter
Hver af parterne sikrer, at storleverandører på dens område stiller væsentlige faciliteter til rådighed for leverandører af telekommunikationsnet eller telekommunikationstjenester på rimelige og ikkediskriminerende vilkår og betingelser for levering af offentlige telekommunikationstjenester, undtagen når dette ikke er nødvendigt for at opnå en effektiv konkurrence på grundlag af de faktiske oplysninger, der indsamles, og den vurdering af markedet, som reguleringsmyndigheden på telekommunikationsområdet har foretaget. En storleverandørs væsentlige faciliteter kan omfatte netværkselementer, lejede kredsløbstjenester og tilhørende faciliteter.
Artikel 175
Knappe ressourcer
1.   Hver part sikrer, at tildelingen og meddelelsen af brugsrettigheder til knappe ressourcer, herunder radiofrekvenser, numre og anlægsrettigheder, sker på en åben, objektiv, rettidig, gennemsigtig, ikkediskriminerende og forholdsmæssig måde og under hensyntagen til mål af almen interesse. Procedurer og betingelser og forpligtelser knyttet til brugsrettigheder skal være baseret på objektive, gennemsigtige, ikkediskriminerende og forholdsmæssige kriterier.
2.   Den nuværende brug af tildelte frekvensbånd skal gøres offentligt tilgængelig, men det er ikke nødvendigt med en detaljeret identifikation af radiofrekvenser, der er allokeret til specifikke statslige anvendelser.
3.   Parterne kan benytte markedsbaserede metoder, såsom udbudsprocedurer, til at tildele frekvenser til kommerciel brug.
4.   Parterne er enige om, at en parts foranstaltninger til allokering og tildeling af frekvenser og frekvensforvaltning ikke i sig selv er uforenelige med artikel 128 og 135. Hver part bevarer retten til at indføre og anvende frekvens- og frekvensforvaltningsforanstaltninger, der kan begrænse antallet af leverandører af telekommunikationstjenester, forudsat at dette sker på en måde, der er i overensstemmelse med denne aftale. Dette omfatter muligheden for at tildele frekvensbånd under hensyntagen til nuværende og fremtidige behov og frekvensressourcer.
Artikel 176
Forsyningspligtydelser
1.   Hver af parterne kan hver især fastlægge den form for forsyningspligtydelser, de ønsker at opretholde, og træffe beslutning om deres anvendelsesområde og gennemførelse.
2.   Hver af parterne forvalter forsyningspligten på en forholdsmæssig, gennemsigtig, objektiv og ikkediskriminerende måde, som er neutral med hensyn til konkurrence, og som ikke er mere byrdefuld end nødvendigt for den form for forsyningspligtydelser, der er fastlagt af den pågældende part.
3.   Hver af parterne sikrer, at procedurerne for udpegelse af leverandører af forsyningspligtydelser er åbne for alle leverandører af offentlige telekommunikationsnet eller offentlige telekommunikationstjenester. Udpegelsen sker ved hjælp af en effektiv, gennemsigtig og ikkediskriminerende mekanisme.
4.   Hvis en part beslutter at yde kompensation til leverandørerne af forsyningspligtydelser, sikrer den, at en sådan kompensation ikke overstiger nettoomkostningerne ved forsyningspligten.
Artikel 177
Nummerportabilitet
Hver part sikrer, at leverandører af offentlige telekommunikationstjenester tilbyder nummerportabilitet på rimelige vilkår og betingelser.
Artikel 178
Åben internetadgang
1.   Hver part sikrer med forbehold af sine love og forskrifter, at leverandører af internetadgangstjenester giver brugerne af disse tjenester mulighed for:
a)
få adgang til og formidle oplysninger og indhold, anvende og levere applikationer og tjenester efter eget valg inden for rammerne af en ikkediskriminerende, rimelig, gennemsigtig og forholdsmæssig netforvaltning og
b)
anvende udstyr efter eget valg, forudsat at dette udstyr ikke skader andre enheders sikkerhed, det net eller de tjenester, der udbydes via nettet.
2.   Det præciseres, at intet i denne artikel er til hinder for, at parterne vedtager foranstaltninger med henblik på at beskytte den offentlige sikkerhed med hensyn til brugere online.
Artikel 179
Fortrolig behandling af oplysninger
1.   Hver af parterne sikrer, at leverandører, der får oplysninger fra en anden leverandør i forbindelse med forhandlinger om aftaler i henhold til artikel 169, 170, 173 og 174, udelukkende anvender disse oplysninger til det formål, hvortil de er givet, og til enhver tid respekterer, at de oplysninger, der fremsendes eller opbevares, skal behandles fortroligt.
2.   Hver af parterne sikrer fortroligheden af kommunikation og relaterede trafikdata, der videregives i forbindelse med brug af offentlige telekommunikationsnet eller offentlige telekommunikationstjenester, med forbehold af kravet om, at de foranstaltninger, der træffes med henblik herpå, ikke udgør et middel til vilkårlig eller uberettiget forskelsbehandling eller en skjult begrænsning af handelen med tjenesteydelser.
Artikel 180
Udenlandsk aktiebesiddelse
Med hensyn til levering af telekommunikationsnet eller telekommunikationstjenester gennem etablering og uanset artikel 133 må en part ikke pålægge joint ventures krav eller begrænse udenlandsk kapitals deltagelse udtrykt i maksimumsgrænser for procentvise andele af udenlandsk ejede aktier eller den samlede værdi af individuelle eller samlede udenlandske investeringer.
Artikel 181
Internationale roamingtjenester 
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1.   Parterne bestræber sig på at samarbejde om at fremme gennemsigtige og rimelige takster for internationale mobilroamingtjenester på en måde, der kan bidrage til at fremme væksten i handelen mellem parterne og øge forbrugernes velfærd.
2.   Parterne kan vælge at tage skridt til at øge gennemsigtigheden og konkurrencen med hensyn til internationale roamingtakster for mobiltelefoni og teknologiske alternativer til roamingtjenester, som f.eks.:
a)
sikring af, at oplysninger vedrørende detailtakster er let tilgængelige for forbrugerne, og
b)
minimering af hindringerne for udnyttelsen af teknologiske alternativer til roaming, hvor forbrugerne, når de besøger den ene parts område fra den anden parts område, kan få adgang til telekommunikationstjenester ved hjælp af en enhed efter eget valg.
3.   Hver part opfordrer leverandører af offentlige telekommunikationstjenester på dens område til at offentliggøre oplysninger om detailtakster for internationale roamingtjenester for taletelefoni, data og SMS'er, som tilbydes deres slutbrugere, når de besøger den anden parts område.
4.   Intet i denne artikel forpligter en part til at regulere takster eller vilkår for internationale roamingtjenester.
AFDELING 5
FINANSIELLE TJENESTEYDELSER
Artikel 182
Anvendelsesområde
1.   Denne afdeling finder anvendelse på en parts foranstaltninger, der påvirker leveringen af leveringstjenester ud over dette afsnits kapitel 1, 2, 3 og 4 og dette kapitels afdeling 1 og 2.
2.   I denne afdeling forstås ved "aktiviteter, der udføres under udøvelse af offentlig myndighed" som omhandlet i artikel 124, litra f), følgende 
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:
a)
aktiviteter, der gennemføres af en centralbank eller monetær myndighed eller enhver anden offentlig enhed som led i penge- eller valutakurspolitikker
b)
aktiviteter, der udgør en del af en lovmæssig ordning for social sikkerhed eller offentlige pensionsplaner, og
c)
andre aktiviteter, der udøves af en offentlig enhed for statens regning eller med dens garanti eller under anvendelse af partens eller dens offentlige enheders finansielle midler.
3.   Med henblik på anvendelsen af denne afdelings artikel 124, litra f), gælder det, at hvis en part tillader, at dens leverandør af finansielle tjenesteydelser udøver de aktiviteter, der er omhandlet i denne artikels stk. 2, litra b) eller c), i konkurrence med en offentlig enhed eller en leverandør af finansielle tjenesteydelser, omfatter "aktiviteter, der udføres under udøvelse af offentlig myndighed" ikke disse aktiviteter.
4.   Artikel 124, litra a), finder ikke anvendelse på tjenesteydelser, der er omfattet af denne afdeling.
Artikel 183
Definitioner
I dette afsnit forstås ved:
a)
"finansiel tjenesteydelse": enhver tjenesteydelse af finansiel art, der tilbydes af en leverandør af finansielle tjenesteydelser fra/i en part, og som omfatter følgende aktiviteter:
i)
forsikring og forsikringsrelaterede tjenesteydelser:
A)
direkte forsikring (inklusive coassurance):
aa)
livsforsikring
bb)
skadesforsikring
B)
genforsikring og retrocession
C)
forsikringsformidling såsom mæglervirksomhed og agentur og
D)
støttetjenester for forsikring såsom tjenester i forbindelse med rådgivning, forsikringsstatistik, risikovurdering og skadesgodtgørelse
ii)
bankmæssige og andre finansielle tjenesteydelser (eksklusive forsikring):
A)
modtagelse af indskud og andre tilbagebetalelige midler fra offentligheden
B)
långivning af alle typer, herunder forbrugslån, realkredit, factoring og finansiering af handelsmæssige transaktioner
C)
finansiel leasing
D)
alle betalings- og pengeoverførselstjenester, herunder kredit- og betalingskort, rejsechecks og bankchecks
E)
garantier og forpligtelser
F)
ved handel for egen eller kunders regning på børsen, markedet for unoterede værdipapirer eller på anden måde, med følgende:
aa)
pengemarkedsinstrumenter (herunder checks, veksler, indskudsbeviser)
bb)
valutaveksling
cc)
afledte produkter, herunder, men ikke begrænset til, terminsforretninger og optioner
dd)
valutakurs- og renteinstrumenter, herunder produkter såsom swaps og aftaler om fremtidig rentesikring
ee)
omsættelige værdipapirer og
ff)
andre negotiable dokumenter og finansielle aktiver, herunder umøntede ædelmetaller
G)
deltagelse i udstedelse af alle former for værdipapirer, herunder tegningsgaranti og salg som agent (såvel offentligt som privat) og tilvejebringelse af tjenesteydelser i forbindelse med sådanne udstedelser
H)
låneformidling på pengemarkedet
I)
forvaltning af aktiver såsom likviditets- og porteføljeforvaltning, alle former for kollektiv investeringspleje, administration af pensionsfonde, forvaring og forvaltning af betroede midler
J)
afregning og clearing i forbindelse med finansielle aktiver, herunder værdipapirer, derivatprodukter og andre omsætningspapirer
K)
tilvejebringelse og overførsel af finansielle oplysninger samt software til finansiel databehandling og dermed beslægtet software og
L)
rådgivning, formidling og andre finansielle hjælpetjenesteydelser i forbindelse med de under litra A)-K) nævnte aktiviteter, herunder kreditoplysning og -analyse, undersøgelser og rådgivning i tilknytning til investeringer og porteføljer, rådgivning om opkøb og om selskabsrekonstruktion og -strategi
b)
"leverandør af finansielle tjenesteydelser": enhver fysisk eller juridisk person i en part, der søger at levere eller leverer finansielle tjenesteydelser, og som ikke omfatter offentlige enheder
c)
"ny finansiel tjenesteydelse": en tjenesteydelse af finansiel art, herunder tjenesteydelser vedrørende eksisterende og nye produkter eller den måde, hvorpå produktet leveres, som ingen anden leverandør af finansielle tjenesteydelser leverer på en parts område, men som leveres på den anden parts område
d)
"offentlig enhed":
i)
en statslig enhed, en centralbank eller en monetær myndighed i en part, eller en enhed ejet eller kontrolleret af en part, der hovedsagelig udøver statslige funktioner eller aktiviteter med statsligt formål, men herunder ikke en enhed, der hovedsagelig beskæftiger sig med at levere finansielle tjenesteydelser på kommercielle vilkår, eller
ii)
en privat enhed, som udfører funktioner, der normalt udføres af en centralbank eller monetær myndighed, når den udfører disse funktioner
e)
"selvregulerende organisation": ethvert ikkestatsligt organ, herunder værdipapir- eller terminsbørser eller -markeder, clearingagentur eller en anden organisation eller sammenslutning, der i kraft af sin statut eller ved delegation fra centrale, regionale eller lokale myndigheder regulerer eller fører tilsyn med leverandører af finansielle tjenesteydelser, alt efter hvad der finder anvendelse.
Artikel 184
Tilsynsklausul
1.   Intet i denne aftale forhindrer en part i at indføre eller opretholde foranstaltninger af tilsynsmæssige årsager 
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, f.eks.:
a)
beskyttelse af investorer, indskydere, forsikringstagere eller personer, over for hvem en leverandør af finansielle tjenesteydelser har en tillidsforpligtelse, eller
b)
sikring af deres finansielle systems integritet og stabilitet.
2.   Når sådanne foranstaltninger ikke er i overensstemmelse med denne aftales bestemmelser, må parten ikke benytte dem til at unddrage sig sine indrømmelser og forpligtelser i henhold til denne aftale.
Artikel 185
Fortrolige oplysninger
Intet i denne aftale må fortolkes således, at det kræves af en part, at den skal videregive oplysninger om individuelle forbrugeres forhold og konti eller fortrolige eller ejendomsretligt beskyttede oplysninger, som offentlige enheder er i besiddelse af, jf. dog tredje del.
Artikel 186
Internationale standarder
Parterne bestræber sig så vidt mulig på at sikre, at de internationalt aftalte standarder i sektoren for finansielle tjenesteydelser til regulering og tilsyn, til bekæmpelse af hvidvask af penge og finansiering af terrorisme og til bekæmpelse af skattesvig og -unddragelse gennemføres og anvendes på deres område. Sådanne internationalt aftalte standarder er bl.a. dem, der er vedtaget af: G20, Rådet for Finansiel Stabilitet, Baselkomitéen for Banktilsyn, navnlig dens "hovedprincipper for effektivt banktilsyn", Den Internationale Forsikringstilsynsorganisation, navnlig dens "hovedprincipper for forsikring", Den Internationale Børstilsynsorganisation, navnlig dens "mål og principper for regulering af værdipapirer", Den Finansielle Aktionsgruppe og Det Globale Forum for Gennemsigtighed og Informationsudveksling på Skatteområdet under Organisationen for Økonomisk Samarbejde og Udvikling.
Artikel 187
Nye finansielle tjenesteydelser på en parts område
1.   Hver part tillader en leverandør af finansielle tjenesteydelser fra den anden part, der er etableret på dens område, at levere enhver ny finansiel tjenesteydelse, som den ville tillade sine egne leverandører af finansielle tjenesteydelser at levere i overensstemmelse med dens lovgivning i lignende situationer, forudsat at indførelsen af den nye finansielle tjenesteydelse ikke kræver vedtagelse af en ny lov eller ændring af en eksisterende lovgivning. Dette gælder ikke for den anden parts filialer, der er etableret på en parts område.
2.   En part kan bestemme den institutionelle og retlige form, gennem hvilken tjenesteydelsen kan leveres, og kan kræve, at der skal indhentes tilladelse til levering af tjenesteydelsen. Når en sådan tilladelse kræves, skal der træffes en afgørelse inden for en rimelig frist, og tilladelsen kan kun afslås af tilsynsmæssige årsager.
Artikel 188
Selvregulerende organisationer
Hvis en part kræver medlemskab af, deltagelse i eller adgang til en selvregulerende organisation for leverandører af finansielle tjenesteydelser fra den anden part som betingelse for at kunne levere finansielle tjenesteydelser på partens område, sikrer parten, at den selvregulerende organisation overholder bestemmelserne i artikel 129, 130, 137 og 138.
Artikel 189
Clearing- og betalingssystemer
Parterne indrømmer på vilkårene og betingelserne for national behandling af leverandører af finansielle tjenesteydelser fra den anden part, som er etableret på deres område, adgang til betalings- og clearingsystemer, der drives af offentlige enheder, og til offentlige finansierings- og genfinansieringsfaciliteter, der er til rådighed som led i den normale forretningsgang. Denne artikel giver ikke adgang til partens faciliteter som långiver i sidste instans.
AFDELING 6
INTERNATIONALE SØTRANSPORTTJENESTEYDELSER
Artikel 190
Anvendelsesområde og definitioner
1.   Denne afdeling finder anvendelse på foranstaltninger, der træffes af en part, og som påvirker leveringen af internationale søtransportydelser i tillæg til kapitel 1, 2, 3 og 4 og dette kapitels afdeling 1.
2.   I denne afdeling og i dette afsnits kapitel 1, 2, 3 og 4 forstås ved:
a)
"internationale søtransportydelser": transport af passagerer eller gods med søgående skibe mellem en havn i den ene part og en havn i den anden part eller et tredjeland eller mellem en havn i en medlemsstat og en havn i en anden medlemsstat samt direkte kontraktforhold med leverandører af andre transportydelser for at sikre dør til dør-transport eller multimodal transport i henhold til et gennemgående transportdokument, men ikke levering af sådanne andre transportydelser
b)
"dør til dør-transport eller multimodal transport": transport af gods, hvortil der anvendes mere end én transportform, herunder et internationalt søled, i henhold til et gennemgående transportdokument
c)
"international godstransport": transport af gods mellem en havn i den ene part og en havn i den anden part eller et tredjeland eller mellem havne i forskellige medlemsstater
d)
"søfartshjælpetjenesteydelser": håndtering af søgods, toldklarering, opbevaring og oplagring af fragt, tjenesteydelser vedrørende containerterminaler og oplagring, skibsagenturvirksomhed, maritim speditørvirksomhed og lager- og pakhusvirksomhed
e)
"håndtering af søgods": aktiviteter, der udføres af stevedorevirksomheder, herunder terminaloperatører, men ikke havnearbejderes aktiviteter som sådan, hvis disse arbejdere er organiseret uafhængigt af stevedorevirksomheder eller terminaloperatørvirksomheder; disse aktiviteter omfatter tilrettelæggelse af og tilsyn med:
i)
lastning eller losning af gods til eller fra et skib
ii)
surring eller afsurring af gods og
iii)
modtagelse eller levering og opbevaring af gods inden afsendelse eller efter losning
f)
"toldklareringstjenester": aktiviteter, der består i på vegne af en anden part at gennemføre toldformaliteter vedrørende import, eksport eller transport af gods, uanset om disse tjenesteydelser er tjenesteyderens hovedaktivitet eller et sædvanligt supplement til dennes hovedaktivitet
g)
"tjenesteydelser vedrørende containerterminaler og oplagring": aktiviteter i form af oplagring, fyldning, tømning eller reparation af containere og klargøring af containere med henblik på afskibning, såvel i havne som inde i landet
h)
"skibsagenturvirksomhed": aktiviteter, der består i som agent inden for et givet geografisk område at repræsentere et eller flere rederiers forretningsinteresser inden for følgende områder:
i)
markedsføring og salg af søtransport og dermed forbundne tjenesteydelser, fra udarbejdelse af tilbud til fakturering, udstedelse af konnossementer på vegne af linjerne eller selskaberne, erhvervelse og videresalg af de nødvendige tilknyttede tjenesteydelser, udarbejdelse af dokumentation og tilvejebringelse af forretningsoplysninger og
ii)
handlinger på virksomhedernes vegne, organisering af skibsanløb eller overtagelse af gods, når det er påkrævet
i)
"feeder-tjenesteydelser": med forbehold af omfanget af aktiviteter, der kan betragtes som cabotage i henhold til den relevante nationale lovgivning, forudgående og efterfølgende transport ad søvejen af international fragt, herunder i containere og som stykgods og tør og våd bulkfragt mellem havne på en parts område, forudsat at de pågældende internationale gods er "undervejs", dvs. er på vej mod et bestemmelsessted eller kommer fra en fragthavn uden for den pågældende parts område
j)
"maritime speditionstjenester"": aktiviteter, der består i at tilrettelægge og kontrollere forsendelsesoperationer på rederiernes vegne ved at tilrettelægge transportydelser og tilknyttede tjenesteydelser, udarbejde dokumentation og tilvejebringe forretningsoplysninger
k)
"havnetjenester": tjenester udført af en havns forvaltningsorgan, underleverandører eller andre tjenesteydere til støtte for transport af gods eller passagerer inden for en søhavns område eller på vandvejen, der giver adgang til dette område, og
l)
"lager- og pakhusvirksomhed": oplagring af frost- eller kølevarer, bulkgodslagring af væsker eller gasser og anden lager- eller pakhusvirksomhed.
Artikel 191
Forpligtelser
1.   Med forbehold af ikkeforenelige foranstaltninger eller andre foranstaltninger, der er omhandlet i artikel 133 og 139, anvender hver af parterne princippet om ubegrænset adgang til det internationale maritime marked og handel på et kommercielt og ikkediskriminerende grundlag ved:
a)
for skibe, der fører den anden parts flag, eller som drives af den anden parts leverandører af tjenesteydelser, en behandling, der ikke er mindre gunstig end den, de indrømmer egne skibe, bl.a. med hensyn til
i)
adgang til havne
ii)
anvendelse af havneinfrastruktur
iii)
anvendelse af hjælpetjenesteydelser inden for søtransport og
iv)
toldfaciliteter og tildeling af liggeplads og faciliteter til lastning og losning, herunder relaterede gebyrer og afgifter
b)
at stille følgende havnetjenester til rådighed for den anden parts leverandører af internationale søtransporttjenester på vilkår og betingelser, der både er rimelige og ikke mindre gunstige end dem, der gælder for dens egne leverandører eller fartøjer eller for fartøjer eller leverandører fra et tredjeland (herunder gebyrer og afgifter, specifikationer for og kvaliteten af den tjenesteydelse, der skal leveres): lodstjenester, slæbe- og bugserassistance, forsyning med proviant, brændstof og vand, affaldsindsamling og deponering af ballastaffald, skibsinspektørtjenester, navigationsassistance, nødreparationsfaciliteter, forankring, faciliteter ved ankomst til og afsejling fra liggeplads, kystbaserede operationelle tjenester, der er af betydning for skibsfarten, herunder kommunikation og leverance af vand og elektricitet
c)
godkendelse af, at leverandører af internationale søtransportydelser fra den anden part kan omrokere ejede eller lejede containere, der transporteres på et ikkeindtægtsgivende grundlag mellem havne i Det Forenede Kongerige eller mellem havne i en medlemsstat, forudsat at den kompetente myndighed i givet fald giver tilladelse hertil, og
d)
godkendelse af, at leverandører af internationale søtransportydelser fra den anden part kan levere feeder-tjenesteydelser mellem havne i Det Forenede Kongerige eller mellem havne i en medlemsstat, forudsat at den kompetente myndighed i givet fald giver tilladelse hertil.
2.   Ved anvendelsen af det i stk. 1 omhandlede princip skal parterne:
a)
undlade at indføre lastfordelingsaftaler i fremtidige aftaler med tredjelande om søtransportydelser, herunder transport af tør og flydende bulk og linjefart, og inden for en rimelig frist ophæve sådanne lastfordelingsaftaler, som måtte findes i tidligere aftaler,
b)
undlade at indføre eller opretholde en foranstaltning, der kræver, at hele eller en del af en international fragt skal transporteres udelukkende af skibe, der er registreret i den pågældende part, eller som ejes eller kontrolleres af fysiske personer i den pågældende part
c)
afskaffe og afholde sig fra at indføre ensidige foranstaltninger eller administrative, tekniske eller andre hindringer, der kan udgøre en skjult begrænsning eller have diskriminerende virkninger for den frie levering af internationale søtransporttjenester, og
d)
ikke forhindre leverandører af internationale søtransportydelser fra den anden part i direkte at indgå kontrakter med andre leverandører af transporttjenester til dør til dør-transport eller multimodal transport.
AFDELING 7
JURIDISKE TJENESTEYDELSER
Artikel 192
Anvendelsesområde
1.   Denne afdeling finder anvendelse på en parts foranstaltninger, der påvirker leveringen af leveringstjenester ud over dette afsnits kapitel 1, 2, 3 og 4 og dette kapitels afdeling 1 og 2.
2.   Intet i denne afdeling berører en parts ret til at regulere og føre tilsyn med leveringen af udpegede juridiske tjenesteydelser på dens område på en ikkediskriminerende måde.
Artikel 193
Definitioner
I denne afdeling forstås ved:
a)
"udpegede juridiske tjenesteydelser": juridiske tjenesteydelser i relation til lovgivningen om hjemstedskompetence og folkeretten, med undtagelse af EU-retten
b)
"hjemstedskompetence": jurisdiktionen (eller en del af jurisdiktionen) i den medlemsstat eller Det Forenede Kongerige, hvor en advokat har erhvervet sit hjemlands advokattitel, eller, hvis der er tale om en advokat, der har erhvervet en advokattitel i mere end én jurisdiktion, en af disse jurisdiktioner
c)
"lovgivning om hjemstedskompetence": loven i det land, hvor advokaten har sin egen jurisdiktion 
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d)
"hjemlandets advokattitel":
i)
for en advokat fra Unionen, en advokattitel, der er erhvervet i en medlemsstat, og som giver tilladelse til levering af juridiske tjenesteydelser i den pågældende medlemsstat, eller
ii)
for en advokat i Det Forenede Kongerige, advokattitlen, barrister eller solicitor, der giver tilladelse til levering af juridiske tjenesteydelser i en hvilken som helst del af Det Forenede Kongeriges jurisdiktion
e)
"advokat":
i)
en fysisk person fra Unionen, der i en medlemsstat har tilladelse til at levere juridiske tjenesteydelser inden for hjemlandets jurisdiktion, eller
ii)
en fysisk person fra Det Forenede Kongerige, der i enhver del af Det Forenede Kongeriges jurisdiktion har tilladelse til at levere juridiske tjenesteydelser under hjemlandets advokattitel
f)
"advokat fra den anden part":
i)
hvis "den anden part" er Unionen, en advokat som omhandlet i litra e), nr. i), eller
ii)
hvis "den anden part" er Det Forenede Kongerige, en advokat som omhandlet i litra e), nr. ii), og
g)
"juridiske tjenesteydelser": følgende tjenesteydelser:
i)
juridisk rådgivning og
ii)
juridisk voldgift, mægling og mægling (dog ikke sådanne ydelser, når de leveres af fysiske personer, jf. artikel 140). 
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"Juridiske tjenesteydelser" omfatter ikke juridisk repræsentation ved administrative organer, domstole og andre behørigt oprettede officielle retsinstanser i en part, juridisk rådgivning og juridisk godkendelse, dokumentation og certificering, der leveres af aktører i retsvæsenet, der har fået overdraget offentlige opgaver inden for retsplejen, såsom notarer, "huissiers de justice" eller andre "officiers publics et ministériels", og tjenesteydelser leveret af stævningsmænd, der er udpeget ved et officielt regeringsdokument.
Artikel 194
Forpligtelser
1.   En part tillader en advokat fra den anden part at levere bestemte juridiske tjenesteydelser på sit område under advokatens hjemlige jurisdiktion, jf. artikel 128, 129, 135, 137 og 143.
2.   Hvis en part ("værtsjurisdiktionen") kræver registrering på dens område som betingelse for, at en advokat fra den anden part kan levere udpegede juridiske tjenesteydelser i henhold til stk. 1, må kravene og proceduren for en sådan registrering ikke:
a)
være mindre gunstige end den, der gælder for en fysisk person fra et tredjeland, der leverer juridiske tjenesteydelser i forbindelse med tredjelandes lovgivning eller folkeretten under den pågældende persons advokattitel på værtsjurisdiktionens område, og
b)
udgøre eller svare til et krav om at omkvalificere sig til eller få adgang til advokatstanden i værtslandets jurisdiktion.
3.   Stk. 4 finder anvendelse på levering af udpegede juridiske tjenesteydelser i henhold til stk. 1 gennem etablering.
4.   En part tillader en juridisk person fra den anden part at oprette en filial på sit område, hvorigennem udpegede juridiske tjenesteydelser 
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 leveres i henhold til stk. 1, i overensstemmelse med og på de betingelser, der er fastsat i dette afsnits kapitel 2. Dette berører ikke krav om, at en vis procentdel af en juridisk persons aktionærer, ejere, partnere eller direktører skal være kvalificerede eller udøve et bestemt erhverv, f.eks. advokater eller revisorer.
Artikel 195
Ikkeforenelige foranstaltninger
1.   Artikel 194 finder ikke anvendelse på:
a)
enhver eksisterende ikkeforenelig foranstaltning truffet af en part på følgende niveau:
i)
for Unionen:
A)
Unionen, jf. Unionens liste i bilag 19
B)
en medlemsstats centrale forvaltningsniveau, jf. Unionens liste i bilag 19
C)
et regionalt forvaltningsniveau i en medlemsstat, jf. Unionens liste i bilag 19, eller
D)
et lokalt forvaltningsniveau, bortset fra det i litra C) omhandlede niveau, og
ii)
for Det Forenede Kongerige:
A)
det centrale forvaltningsniveau, jf. Det Forenede Kongeriges liste i bilag 19
B)
et regionalt forvaltningsniveau, jf. Det Forenede Kongeriges liste i bilag 19, eller
C)
et lokalt forvaltningsniveau
b)
fortsat anvendelse eller omgående fornyelse af en ikkeforenelig foranstaltning som omhandlet i dette stykkes litra a) eller
c)
en ændring af enhver ikkeforenelig foranstaltning som omhandlet i dette stykkes litra a) og b), i det omfang den ikke mindsker foranstaltningens overensstemmelse, som den forelå umiddelbart før ændringen, med artikel 194.
2.   Artikel 194 finder ikke anvendelse på en parts foranstaltning, som er i overensstemmelse med de forbehold, betingelser eller kvalifikationer, der er fastsat for en sektor, delsektor eller aktivitet, der er opført i bilag 20.
3.   Denne afdeling finder anvendelse, uden at det berører bilag 22.
AFSNIT III
DIGITAL HANDEL
KAPITEL 1
ALMINDELIGE BESTEMMELSER
Artikel 196
Formål
Formålet med dette afsnit er at lette den digitale handel, afskaffe uberettigede hindringer for handel med elektroniske midler og sikre et åbent, sikkert og pålideligt onlinemiljø for virksomheder og forbrugere.
Artikel 197
Anvendelsesområde
1.   Dette afsnit finder anvendelse på en parts foranstaltninger, der påvirker handel ved hjælp af elektroniske midler.
2.   Dette afsnit finder ikke anvendelse på audiovisuelle tjenesteydelser.
Artikel 198
Ret til at regulere
Parterne bekræfter på ny deres ret til inden for deres område at regulere med henblik på at nå legitime politiske mål, såsom beskyttelsen af folkesundheden, sociale tjenesteydelser, folkeoplysning, sikkerhed, miljøet, herunder klimaændringer, eller den offentlige sædelighed, social- eller forbrugerbeskyttelse, beskyttelse af privatlivets fred og databeskyttelse samt fremme og beskyttelse af den kulturelle mangfoldighed.
Artikel 199
Undtagelser
Det præciseres, at intet i dette afsnit forhindrer parterne i at vedtage eller opretholde foranstaltninger i overensstemmelse med artikel 184, 412 og 415 af hensyn til den almene interesse, der er anført deri.
Artikel 200
Definitioner
1.   Definitionerne i artikel 124 finder anvendelse på dette afsnit.
2.   I dette afsnit forstås ved:
a)
"forbruger": enhver fysisk person, der anvender en offentlig telekommunikationstjeneste til andet end erhvervsmæssige formål
b)
"direkte markedsføringsmeddelelse": enhver form for kommerciel reklame, hvorved en fysisk eller juridisk person formidler markedsføringsmeddelelser direkte til en bruger via en offentlig telekommunikationstjeneste og som minimum omfatter e-mail og tekst- og multimediebeskeder (SMS og MMS)
c)
"elektronisk autentifikation": en elektronisk proces, der gør det muligt at bekræfte:
i)
den elektroniske identifikation af en fysisk eller juridisk person, eller
ii)
elektroniske datas oprindelse og integritet
d)
"elektronisk registreret leveringstjeneste": en tjeneste, der gør det muligt at overføre data mellem tredjeparter ad elektronisk vej og dokumenterer håndteringen af de overførte data, herunder bevis for afsendelse og modtagelse af data, og som beskytter de overførte data mod risikoen for tab, tyveri, beskadigelse eller uautoriserede ændringer
e)
"elektronisk segl": data i elektronisk form, der anvendes af en juridisk person, og som er vedhæftet eller logisk tilknyttet andre data i elektronisk form, og som giver sikkerhed for disse tilknyttede datas oprindelse og integritet
f)
"elektronisk signatur": data i elektronisk form, der er vedhæftet eller logisk tilknyttet andre data i elektronisk form, som:
i)
anvendes af en fysisk person til at anerkende de data i elektronisk form, som den vedrører, og
ii)
er knyttet til de data i elektronisk form, som den vedrører, således at en eventuel senere ændring af dataene kan påvises
g)
"elektronisk tidsstempel": data i elektronisk form, der forbinder andre data i elektronisk form med et bestemt tidspunkt, der dokumenterer, at sidstnævnte data eksisterede på det pågældende tidspunkt
h)
"elektronisk tillidstjeneste": en elektronisk tjeneste, der består af:
i)
generering, kontrol og validering af elektroniske signaturer, elektroniske segl eller elektroniske tidsstempler, elektroniske registrerede leveringstjenester og certifikater relateret til disse tjenester, eller
ii)
generering, kontrol og validering af certifikater for webstedsautentifikation eller
iii)
bevaring af elektroniske signaturer, segl eller certifikater relateret til disse tjenester
i)
"regeringsdata": data, der ejes eller opbevares af et hvilket som helst forvaltningsniveau og af ikkestatslige organer under udøvelsen af beføjelser, som de er blevet tildelt af et hvilket som helst forvaltningsniveau
j)
"offentlig telekommunikationstjeneste": enhver telekommunikationstjeneste, der udbydes til offentligheden generelt
k)
"bruger": enhver fysisk eller juridisk person, der anvender en offentlig telekommunikationstjeneste.
KAPITEL 2
DATASTRØMME OG BESKYTTELSE AF PERSONOPLYSNINGER
Artikel 201
Grænseoverskridende datastrømme
1.   Parterne er fast besluttet på at sikre grænseoverskridende datastrømme for at lette handelen i den digitale økonomi. Med henblik herpå må grænseoverskridende datastrømme mellem parterne ikke begrænses af en part:
a)
som stiller krav om anvendelse af databehandlingsfaciliteter eller netelementer på partens område til behandling, herunder ved at kræve anvendelse af databehandlingsfaciliteter eller netelementer, der er certificeret eller godkendt på en parts område
b)
som stiller krav om lokalisering af data på partens område med henblik på lagring eller behandling
c)
som forbyder lagring eller behandling på den anden parts område, eller
d)
som gør grænseoverskridende overførsel af data betinget af brug af databehandlingsfaciliteter eller netelementer på parternes område eller af lokaliseringskrav på parternes område.
2.   Parterne overvåger gennemførelsen af denne bestemmelse og vurderer, hvordan den fungerer, senest tre år efter datoen for denne aftales ikrafttræden. En part kan til enhver tid foreslå den anden part at revidere listen over begrænsninger i stk. 1. En sådan anmodning skal tages velvilligt i betragtning.
Artikel 202
Beskyttelse af personoplysninger og privatlivets fred
1.   Hver part anerkender, at enkeltpersoner har ret til beskyttelse af personoplysninger og privatlivets fred, og at høje standarder i denne henseende bidrager til tilliden til den digitale økonomi og til udviklingen af handelen.
2.   Intet i denne aftale er til hinder for, at en part vedtager eller opretholder foranstaltninger til beskyttelse af personoplysninger og privatlivets fred, herunder i forbindelse med overførsel af oplysninger på tværs af grænserne, forudsat at partens lovgivning indeholder bestemmelser om instrumenter, der muliggør videregivelse på betingelser, der finder generel anvendelse 
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, med henblik på beskyttelse af de overførte oplysninger.
3.   Hver part underretter den anden part om enhver af de i stk. 2 omhandlede foranstaltninger, som den indfører eller opretholder.
KAPITEL 3
SÆRLIGE BESTEMMELSER
Artikel 203
Told på elektroniske overførsler
1.   Elektroniske overførsler betragtes som levering af en tjenesteydelse som omhandlet i denne sektions afsnit II.
2.   Parterne indfører ikke told på elektroniske overførsler.
Artikel 204
Ingen forhåndstilladelse
1.   En part må ikke kræve forudgående tilladelse til elektronisk levering af en tjenesteydelse alene med den begrundelse, at tjenesten leveres online, og må ikke indføre eller opretholde andre krav med tilsvarende virkning.
En tjeneste leveres online, når den leveres ad elektronisk vej, og uden at parterne er til stede samtidig.
2.   Stk. 1 finder ikke anvendelse på telekommunikationstjenester, radio- og fjernsynsspredningstjenester, spillevirksomhed, juridisk repræsentation eller tjenester ydet af notarer eller tilsvarende erhvervsdrivende, i det omfang de indebærer en direkte og specifik forbindelse med udøvelsen af offentlig myndighed.
Artikel 205
Indgåelse af aftaler ad elektronisk vej
1.   Hver af parterne sikrer, at kontrakter kan indgås elektronisk, og at dens lovgivning hverken skaber hindringer for brugen af elektroniske kontrakter eller medfører, at kontrakter ikke har retsvirkning og ikke er gyldige alene med den begrundelse, at aftalen er indgået ved hjælp af elektroniske midler.
2.   Stk. 1 finder ikke anvendelse på følgende:
a)
radio- og fjernsynsspredningstjenester
b)
spil
c)
juridisk repræsentation
d)
notarvirksomhed eller tilsvarende erhverv, der indebærer en direkte og specifik forbindelse med udøvelse af offentlig myndighed
e)
kontrakter, der kræver personligt fremmøde
f)
aftaler om etablering eller overdragelse af rettigheder i fast ejendom
g)
kontrakter, der ifølge loven kræver medvirken af domstole, offentlige myndigheder eller erhverv, som udøver offentlig myndighed
h)
kontrakter om kaution og om sikkerhedsstillelse fra personer, der handler uafhængigt af deres handelsmæssige eller erhvervsmæssige virksomhed, eller
i)
familieretlige og arveretlige aftaler.
Artikel 206
Elektronisk autentifikation og elektroniske tillidstjenester
1.   En part må ikke nægte retsvirkning og antagelighed som bevis under retssager af et elektronisk dokument, en elektronisk signatur, et elektronisk segl eller et elektronisk tidsstempel eller af oplysninger, der er sendt og modtaget ved hjælp af en elektronisk registreret kurértjeneste, udelukkende med den begrundelse, at det er i elektronisk form.
2.   En part må ikke indføre eller opretholde foranstaltninger, som ville:
a)
forbyde parterne i en elektronisk transaktion indbyrdes at fastlægge passende elektroniske autentifikationsmetoder for deres transaktion eller
b)
forhindre parterne i en elektronisk transaktion i over for de judicielle og administrative myndigheder at bevise, at anvendelsen af elektronisk autentifikation eller en elektronisk tillidstjeneste i den pågældende transaktion er i overensstemmelse med de gældende retlige krav.
3.   Uanset stk. 2 kan en part kræve, at metoden for elektronisk autentifikation eller elektroniske tillidstjenester for en bestemt kategori af transaktioner er certificeret af en myndighed, der er godkendt i overensstemmelse med dens lovgivning, eller som opfylder visse præstationsnormer, som skal være objektive, gennemsigtige og ikkediskriminerende og kun vedrøre de pågældende transaktioners specifikke egenskaber.
Artikel 207
Overførsel af eller adgang til kildekode
1.   En part må ikke kræve overførsel af eller adgang til kildekoden for software, der ejes af en fysisk eller juridisk person fra den anden part.
2.   Det præciseres:
a)
at de generelle undtagelser, sikkerhedsundtagelser og tilsynsklausuler, der er omhandlet i artikel 199, gælder for foranstaltninger truffet af en part, som er vedtaget eller opretholdt inden for rammerne af en certificeringsprocedure, og
b)
at stk. 1 ikke finder anvendelse på frivillig overførsel eller indrømmelse af adgang til kildekoden på et kommercielt grundlag foretaget af en fysisk eller juridisk person fra den anden part, f.eks. i forbindelse med en offentlig kontrakt eller en frit forhandlet kontrakt.
3.   Intet i denne artikel berører:
a)
et krav fra en domstol eller en forvaltningsdomstol eller et krav fra en konkurrencemyndighed i henhold til en parts konkurrencelovgivning om at forhindre eller afhjælpe en begrænsning eller fordrejning af konkurrencen
b)
et krav fra et tilsynsorgan i henhold til en parts love eller forskrifter vedrørende beskyttelse af den offentlige sikkerhed over for brugere online med forbehold af garantier mod uautoriseret videregivelse
c)
beskyttelse og håndhævelse af intellektuelle ejendomsrettigheder og
d)
en parts ret til at træffe foranstaltninger i overensstemmelse med artikel III i GPA som indarbejdet i nærværende aftales artikel 277.
Artikel 208
Forbrugertillid til internettet
1.   I erkendelse af betydningen af at styrke forbrugernes tillid til digital handel vedtager eller opretholder hver af parterne foranstaltninger til at sikre en effektiv beskyttelse af forbrugere, der foretager transaktioner i forbindelse med elektronisk handel, herunder, men ikke begrænset til, foranstaltninger, der:
a)
forbyder svigagtig og vildledende handelspraksis
b)
kræver, at leverandører af varer og tjenesteydelser handler i god tro og overholder retfærdig handelspraksis, herunder gennem forbud mod at pålægge forbrugerne at betale for uønskede varer og tjenesteydelser
c)
kræver, at leverandører af varer eller tjenesteydelser giver forbrugerne klare og detaljerede oplysninger, herunder når de handler gennem mellemliggende tjenesteydere, med hensyn til deres identitet og kontaktoplysninger, den pågældende transaktion, herunder varernes eller tjenesteydelsernes vigtigste karakteristika, og den fulde pris inklusive alle gældende afgifter, samt de gældende forbrugerrettigheder (for så vidt angår mellemliggende tjenesteydere omfatter dette også mulighed for, at leverandøren af varer eller tjenesteydelser kan stille sådanne oplysninger til rådighed), og
d)
giver forbrugerne klageadgang i tilfælde af krænkelse af deres rettigheder, herunder retten til retsmidler, hvis varer eller tjenesteydelser betales og ikke leveres eller stilles til rådighed som aftalt.
2.   Parterne anerkender betydningen af at overdrage passende håndhævelsesbeføjelser til deres forbrugerbeskyttelsesorganer eller andre relevante organer og betydningen af samarbejde mellem disse organer for at beskytte forbrugerne og øge forbrugernes tillid på internettet.
Artikel 209
Uanmodede direkte markedsføringsmeddelelser
1.   Hver af parterne sikrer, at brugerne beskyttes effektivt mod uopfordrede direkte markedsføringsmeddelelser.
2.   Hver af parterne sikrer, at direkte markedsføringsmeddelelser ikke sendes til brugere, der er fysiske personer, medmindre de har givet deres samtykke hertil i overensstemmelse med parternes lovgivning.
3.   Uanset stk. 2 tillader en part fysiske eller juridiske personer, der på betingelser fastsat i denne parts lovgivning har indsamlet kontaktoplysninger for en bruger i forbindelse med levering af varer eller tjenesteydelser, at sende direkte markedsføringsmeddelelser til denne bruger for deres egne tilsvarende varer eller tjenesteydelser.
4.   Hver af parterne sikrer, at direkte markedsføringsmeddelelser klart kan identificeres som sådan, tydeligt oplyser, på hvis vegne de er sendt, og indeholder de oplysninger, der er nødvendige for at sætte brugerne i stand til gratis og til enhver tid at anmode om standsning.
5.   Hver af parterne giver brugere adgang til at klage over leverandører af direkte markedsføringsmeddelelser, som ikke overholder de foranstaltninger, der er vedtaget eller opretholdt i henhold til stk. 1-4.
Artikel 210
Åbne offentlige data
1.   Parterne erkender, at fremme af offentlig adgang til og anvendelse af offentlige data bidrager til at stimulere økonomisk og social udvikling, konkurrenceevne, produktivitet og innovation.
2.   I det omfang en part vælger at gøre offentlige data tilgængelige for offentligheden, bestræber den sig på så vidt muligt at sikre, at dataene:
a)
er i et format, der gør det let at søge, hente, bruge, genbruge og omfordele den
b)
er i et maskinlæsbart og rumligt aktiveret format
c)
indeholder beskrivende metadata, som er så standardiserede som muligt
d)
stilles til rådighed via pålidelige, brugervenlige og frit tilgængelige API-grænseflader
e)
ajourføres regelmæssigt
f)
ikke er underlagt anvendelsesbetingelser, der er diskriminerende, eller som unødigt begrænser videreanvendelsen, og
g)
stilles til rådighed for videreanvendelse i fuld overensstemmelse med parternes respektive regler om beskyttelse af personoplysninger.
3.   Parterne bestræber sig på at samarbejde om at finde måder, hvorpå hver part kan udvide adgangen til og anvendelsen af offentlige data, som parten har offentliggjort, med henblik på at forbedre og skabe forretningsmuligheder ud over den offentlige sektors anvendelse heraf.
Artikel 211
Samarbejde om reguleringsmæssige spørgsmål vedrørende digital handel
1.   Parterne udveksler oplysninger om reguleringsspørgsmål i forbindelse med digital handel, som behandler følgende:
a)
anerkendelse og fremme af interoperable elektroniske autentificerings- og tillidstjenester
b)
behandlingen af direkte markedsføringsmeddelelser
c)
beskyttelse af forbrugerne og
d)
alle andre spørgsmål af relevans for udviklingen af digital handel, herunder nye teknologier.
2.   Stk. 1 finder ikke anvendelse på en parts regler og garantier for beskyttelse af personoplysninger og privatlivets fred, herunder om grænseoverskridende overførsel af personoplysninger.
Artikel 212
Aftale om computertjenesteydelser
1.   Parterne er enige om, at med henblik på at liberalisere handelen med tjenesteydelser og investeringer i overensstemmelse med denne sektions afsnit II betragtes følgende tjenesteydelser som computertjenesteydelser og tilknyttede tjenesteydelser, uanset om de leveres via et netværk, herunder internettet:
a)
rådgivning, tilpasning, strategiudvikling, analyse, planlægning, behovsspecifikation, design, udvikling, installation, implementering, integration, prøvning, fejlfinding, opdatering, support, faglig bistand og forvaltning af eller i forbindelse med computere og EDB-systemer
b)
EDB-programmer defineret som den række instruktioner, der er nødvendige for at få computere til at fungere og kommunikere (uden videre), samt rådgivning, strategiudvikling, analyse, planlægning, behovsspecifikation, design, udvikling, installation, implementering, integration, prøvning, fejlfinding, opdatering, tilpasning, vedligeholdelse, support, teknisk bistand og forvaltning eller anvendelse af eller vedrørende EDB-programmer
c)
databehandling, -lagring og -hosting og databasetjenester
d)
vedligeholdelse og reparation af kontormaskiner og -udstyr, herunder computere, og
e)
uddannelse af kunders personale i forbindelse med EDB-programmer, computere og EDB-systemer i.a.n.
2.   Det præciseres, at tjenesteydelser, der muliggøres af computertjenesteydelser og tilknyttede tjenesteydelser, men som ikke er anført i stk. 1, ikke betragtes som computertjenesteydelser og tilknyttede tjenesteydelser.
AFSNIT IV
KAPITALBEVÆGELSER, BETALINGER, OVERFØRSLER  OG MIDLERTIDIGE BESKYTTELSESFORANSTALTNINGER
Artikel 213
Formål
Formålet med dette afsnit er at muliggøre fri bevægelighed for kapital og betalinger i forbindelse med transaktioner, der liberaliseres i henhold til denne aftale.
Artikel 214
Løbende poster
Hver part tillader i frit konvertibel valuta og i overensstemmelse med vedtægterne for Den Internationale Valutafond alle betalinger og overførsler i forbindelse med transaktioner på betalingsbalancens løbende poster, der falder ind under denne aftales anvendelsesområde.
Artikel 215
Kapitalbevægelser
1.   Hver part tillader for så vidt angår transaktioner på betalingsbalancens kapitalposter og finansielle poster fri bevægelighed for kapital med henblik på liberalisering af investeringer og andre transaktioner som omhandlet i denne sektions afsnit II.
2.   Parterne konsulterer hinanden i Handelsspecialudvalget vedrørende Tjenesteydelser, Investeringer og Digital Handel for at lette kapitalbevægelserne mellem dem med henblik på at fremme handel og investeringer.
Artikel 216
Foranstaltninger, der påvirker kapitalbevægelser, betalinger eller overførsler
1.   Artikel 214 og 215 må ikke fortolkes således, at de hindrer en part i at anvende sine love og forskrifter vedrørende:
a)
konkurs, insolvens og beskyttelse af kreditorrettigheder
b)
udstedelse af, handel med eller handel med værdipapirer eller futures, optioner og andre finansielle instrumenter
c)
regnskabsaflæggelse for eller regnskabsføring af kapitalbevægelser, betalinger eller overførsler, når det er nødvendigt til støtte for de lovhåndhævende myndigheder eller finanstilsynsmyndighederne
d)
strafbare handlinger, vildledende eller svigagtig praksis
e)
sikring af efterlevelse af kendelser eller domme i retssager eller administrative sager eller
f)
social sikring, offentlige pensionsordninger eller obligatoriske opsparingsordninger.
2.   De love og forskrifter, der henvises til i stk. 1, må ikke anvendes på en vilkårlig eller diskriminerende måde eller på anden måde udgøre en skjult begrænsning af kapitalbevægelser, betalinger eller overførsler.
Artikel 217
Midlertidige beskyttelsesforanstaltninger
1.   I særlige tilfælde af alvorlige vanskeligheder for gennemførelsen af Unionens økonomiske og monetære union, eller trussel herom, kan Unionen indføre eller opretholde beskyttelsesforanstaltninger med hensyn til kapitalbevægelser, betalinger eller overførsler for en periode på højst seks måneder.
2.   De i stk. 1 omhandlede foranstaltninger begrænses til det strengt nødvendige.
Artikel 218
Restriktioner i tilfælde af betalingsbalanceproblemer og  udefra kommende finansielle vanskeligheder
1.   Er en part udsat for alvorlige betalingsbalanceproblemer eller udefra kommende finansielle vanskeligheder eller en trussel herom, kan den indføre eller opretholde restriktive foranstaltninger med hensyn til kapitalbevægelser, betalinger eller overførsler 
(
35
)
.
2.   De i stk. 1 omhandlede foranstaltninger:
a)
skal være i overensstemmelse med artiklerne i overenskomsten om Den Internationale Valutafond
b)
må ikke være mere vidtgående, end det er nødvendigt for at behandle de omstændigheder, der er beskrevet i stk. 1
c)
skal være midlertidige og afskaffes gradvis, efterhånden som den i stk. 1 angivne situation forbedres
d)
må ikke forårsage unødvendig skade på den anden parts handelsmæssige, økonomiske og finansielle interesser og
e)
skal være ikkediskriminerende i forhold til tredjelande i lignende situationer.
3.   Hver af parterne kan i tilfælde af varehandel indføre eller opretholde restriktive foranstaltninger for at beskytte dens finansielle stilling over for udlandet eller betalingsbalancen. Sådanne restriktive foranstaltninger skal være i overensstemmelse med GATT 1994 og forståelsen vedrørende betalingsbalancebestemmelserne i den almindelige overenskomst om told og udenrigshandel 1994.
4.   Hver af parterne kan i tilfælde af handel med tjenesteydelser indføre eller opretholde restriktive foranstaltninger for at beskytte dens finansielle stilling over for udlandet eller betalingsbalancen. Disse foranstaltninger skal være i overensstemmelse med artikel XII i GATS.
5.   En part, der opretholder eller har indført foranstaltninger som omhandlet i stk. 1 og 2, skal straks underrette den anden part herom.
6.   Hvis en part indfører eller opretholder restriktioner i henhold til denne artikel, afholder parterne straks konsultationer i Handelsspecialudvalget vedrørende Tjenesteydelser, Investeringer og Digital Handel, medmindre der afholdes konsultationer i andre fora. Dette udvalg vurderer det betalingsbalanceproblem eller den udefra kommende finansielle vanskeligheder, der førte til de respektive foranstaltninger, under hensyntagen til bl.a.:
a)
vanskelighedernes art og omfang
b)
det eksterne økonomiske og handelsmæssige miljø og
c)
alternative afhjælpende foranstaltninger, der kan tages i anvendelse.
7.   Ved samråd i henhold til stk. 6 undersøges de restriktive foranstaltningers forenelighed med stk. 1 og 2. Alle relevante resultater af statistisk eller faktuel art fremlagt af Den Internationale Valutafond accepteres, hvis de foreligger, og konklusionerne skal tage hensyn til Den Internationale Valutafonds vurdering af den pågældende parts betalingsbalance og eksterne finansielle situation.
AFSNIT V
INTELLEKTUEL EJENDOMSRET
KAPITEL 1
ALMINDELIGE BESTEMMELSER
Artikel 219
Formål
Formålet med dette afsnit er:
a)
at lette fremstillingen, udbuddet og markedsføringen af innovative og kreative produkter og tjenesteydelser mellem parterne ved at mindske forvridninger og hindringer for denne handel og derved bidrage til en mere bæredygtig og inkluderende økonomi og
b)
at sikre et passende og effektivt niveau for beskyttelse og håndhævelse af intellektuelle ejendomsrettigheder.
Artikel 220
Anvendelsesområde
1.   Dette afsnit supplerer og præciserer parternes indbyrdes rettigheder og forpligtelser i henhold til TRIPS-aftalen og andre internationale traktater om intellektuel ejendomsret, som de er part i.
2.   Dette afsnit udelukker ikke nogen af parterne fra at indføre en mere omfattende beskyttelse og håndhævelse af intellektuelle ejendomsrettigheder end krævet i henhold til dette afsnit, forudsat at en sådan beskyttelse og håndhævelse ikke er i strid med dette afsnit.
Artikel 221
Definitioner
I dette afsnit forstås ved:
a)
"Pariserkonventionen": Pariserkonventionen til beskyttelse af industriel ejendomsret af 20. marts 1883, som senest revideret og ændret den 14. juli 1967 i Stockholm
b)
"Bernerkonventionen": Bernerkonventionen til værn for litterære og kunstneriske værker af 9. september 1886, revideret i Paris den 24. juli 1971 og ændret den 28. september 1979
c)
"Romkonventionen": den internationale konvention om beskyttelse af udøvende kunstnere, fremstillere af fonogrammer samt radio- og fjernsynsforetagender, indgået den 26. oktober 1961 i Rom
d)
"WIPO": Verdensorganisationen for Intellektuel Ejendomsret
e)
"intellektuelle ejendomsrettigheder": alle kategorier af intellektuelle ejendomsrettigheder, der er omfattet af nærværende aftales artikel 225-255 eller af TRIPS-aftalens anden del, afdeling 1-7. Beskyttelsen af intellektuel ejendomsret omfatter beskyttelse mod illoyal konkurrence som omhandlet i Pariserkonventionens artikel 10a
f)
"statsborger": for så vidt angår den relevante intellektuelle ejendomsrettighed en person fra en part, som opfylder de kriterier for ret til beskyttelse, der er fastsat i TRIPS-aftalen og multilaterale aftaler, der indgås og forvaltes inden for rammerne af WIPO, og som en part er kontraherende part i.
Artikel 222
Internationale aftaler
1.   Parterne bekræfter deres forpligtelse til at overholde de internationale aftaler, som de er part i:
a)
TRIPS-aftalen
b)
Romkonventionen
c)
Bernerkonventionen
d)
WIPO's traktat om ophavsret, vedtaget den 20. december 1996 i Genève
e)
WIPO's traktat om fremførelser og fonogrammer, vedtaget den 20. december 1996 i Genève
f)
protokollen til Madridarrangementet om international registrering af varemærker, vedtaget den 27. juni 1989 i Madrid, senest ændret den 12. november 2007
g)
traktaten om varemærkeret, vedtaget den 27. oktober 1994 i Genève
h)
Marrakeshtraktaten om fremme af adgang til offentliggjorte værker for personer, der er blinde, synshæmmede eller på anden måde læsehandicappede, vedtaget den 27. juni 2013 i Marrakesh
i)
Genèveaftalen under Haagarrangementet vedrørende international registrering af industrielle design, vedtaget den 2. juli 1999 i Genève.
2.   Hver af parterne træffer alle rimelige foranstaltninger for at ratificere eller tiltræde følgende internationale aftaler:
a)
Beijingtraktaten om audiovisuelle fremførelser, vedtaget den 24. juni 2012 i Beijing
b)
Singaporetraktaten om varemærkeret, vedtaget den 27. marts 2006 i Singapore.
Artikel 223
Konsumption
Dette afsnit berører ikke parternes frihed til at bestemme, om og på hvilke betingelser konsumption af intellektuelle ejendomsrettigheder finder anvendelse.
Artikel 224
National behandling
1.   Hver af parterne indrømmer med hensyn til alle kategorier af intellektuel ejendomsret, der er omfattet af dette afsnit, statsborgere fra den anden part en behandling, der ikke er mindre gunstig end den behandling, som den giver sine egne statsborgere for så vidt angår beskyttelse af intellektuelle ejendomsrettigheder, jf. hvis det er relevant dog de undtagelser, der allerede er fastsat i Pariserkonventionen, Bernerkonventionen, Romkonventionen og traktaten om intellektuel ejendomsret i forbindelse med integrerede kredsløb, indgået den 26. maj 1989 i Washington. Hvad angår udøvende kunstnere, fremstillere af fonogrammer samt radio- og fjernsynsforetagender, gælder denne forpligtelse kun for de i denne aftale fastsatte rettigheder.
2.   Med henblik på denne artikels stk. 1 omfatter "beskyttelse" forhold, der påvirker de intellektuelle ejendomsrettigheders disponibilitet, erhvervelse, omfang, vedligeholdelse og håndhævelse, samt forhold, der påvirker brugen af intellektuelle ejendomsrettigheder, som specifikt er omhandlet i dette afsnit, herunder foranstaltninger til at hindre omgåelse af effektive tekniske foranstaltninger som omhandlet i artikel 234 samt foranstaltninger vedrørende oplysninger om forvaltning af intellektuelle ejendomsrettigheder som omhandlet i artikel 235.
3.   En part kan benytte sig af de undtagelser, der er tilladt i henhold til stk. 1, i forbindelse med dens retslige og administrative procedurer, herunder krav om, at en statsborger fra den anden part skal angive en adresse for forkyndelse på sit område eller udpege en repræsentant på dens område, hvis sådanne undtagelser er:
a)
nødvendige for at sikre overholdelse af partens love og administrative bestemmelser, som ikke er uforenelige med dette afsnit, eller
b)
ikke anvendes på en måde, der udgør en skjult begrænsning af samhandelen.
4.   Stk. 1 finder ikke anvendelse på procedurer i multilaterale aftaler, der er indgået inden for rammerne af WIPO vedrørende erhvervelse eller bevarelse af intellektuelle ejendomsrettigheder.
KAPITEL 2
STANDARDER VEDRØRENDE INTELLEKTUELLE EJENDOMSRETTIGHEDER
AFDELING 1
OPHAVSRET OG DERMED BESLÆGTEDE RETTIGHEDER
Artikel 225
Ophavsmænd
Parterne tillægger ophavsmænd eneret til at tillade eller forbyde:
a)
den direkte eller indirekte, midlertidige eller varige, hele eller delvise reproduktion af deres værker på en hvilken som helst måde og i en hvilken som helst form
b)
enhver form for spredning til almenheden ved salg eller på anden måde af deres originalværker eller eksemplarer heraf
c)
trådbunden eller trådløs overføring til almenheden af deres værker, herunder tilrådighedsstillelse af deres værker på en sådan måde, at almenheden får adgang til dem på et individuelt valgt sted og tidspunkt
d)
kommerciel udlejning af originalværker eller eksemplarer heraf til offentligheden. hver part kan fastsætte, at dette litra ikke finder anvendelse på bygninger eller anvendte kunstværker.
Artikel 226
Udøvende kunstnere
Parterne tillægger udøvende kunstnere eneret til at tillade eller forbyde:
a)
optagelse af deres fremførelser
b)
direkte eller indirekte, midlertidig eller varig, hel eller delvis reproduktion af optagelser af deres fremførelser på en hvilken som helst måde og i en hvilken som helst form
c)
formidling til almenheden af optagelser af deres fremførelser ved salg eller på anden måde
d)
trådbunden eller trådløs tilrådighedsstillelse for offentligheden af optagelser af deres fremførelser på en sådan måde, at offentligheden får adgang til dem på et individuelt valgt sted og tidspunkt
e)
udsendelse ved hjælp af radiobølger og kommunikation til offentligheden af deres fremførelser, medmindre fremførelsen i sig selv sker ved en radio- eller fjernsynsudsendelse eller på grundlag af en optagelse
f)
kommerciel udlejning til almenheden af optagelsen af deres fremførelser.
Artikel 227
Fremstillere af fonogrammer
Hver part tillægger fremstillere af fonogrammer eneret til at tillade eller forbyde:
a)
direkte eller indirekte, midlertidig eller varig, hel eller delvis reproduktion af deres fonogrammer på en hvilken som helst måde og i en hvilken som helst form
b)
spredning til offentligheden af deres fonogrammer, herunder eksemplarer heraf, ved salg eller på anden måde
c)
trådbunden eller trådløs tilrådighedsstillelse for offentligheden af deres fonogrammer på en sådan måde, at offentligheden får adgang til dem på et individuelt valgt sted og tidspunkt
d)
kommerciel udlejning af deres fonogrammer til offentligheden.
Artikel 228
Radio- og fjernsynsforetagender
Parterne tillægger radio- og fjernsynsforetagender eneret til at tillade eller forbyde:
a)
optagelse af deres udsendelser, hvad enten der er tale om trådbunden eller trådløs, herunder via kabel eller satellit
b)
den direkte eller indirekte, midlertidige eller varige, hele eller delvise reproduktion af optagelser af deres udsendelser på en hvilken som helst måde og i en hvilken som helst form, hvad enten der er tale om trådbunden eller trådløs, herunder via kabel eller satellit
c)
trådbunden eller trådløs tilrådighedsstillelse for offentligheden af optagelser af deres udsendelser, hvad enten disse udsendelser transmitteres trådbundet eller trådløst, på en sådan måde, at almenheden får adgang til dem på et individuelt valgt sted og tidspunkt
d)
spredning til offentligheden af optagelser af deres udsendelser ved salg eller på anden måde, hvad enten der er tale om trådbunden eller trådløs, herunder via kabel eller satellit
e)
viderespredning af deres udsendelser ved hjælp af radiobølger samt kommunikation til offentligheden af deres udsendelser, hvis denne foretages på steder, hvortil der er offentlig adgang mod betaling af entré.
Artikel 229
Radio- og fjernsynsudsendelse og kommunikation til  offentligheden af fonogrammer, der offentliggøres til kommercielle formål
1.   Hver af parterne tillægger udøvende kunstnere og fremstillere af fonogrammer ret til et enkelt rimeligt vederlag, der betales af brugeren, hvis et i kommercielt øjemed udgivet fonogram eller et udtryk for et sådant fonogram i en anden form anvendes til radio- eller fjernsynsudsendelse eller til kommunikation til offentligheden.
2.   Hver af parterne sikrer, at det enkelte rimelige vederlag deles mellem de relevante udøvende kunstnere og fremstillere af fonogrammer. Hver af parterne kan fastsætte retsforskrifter om, hvorledes den udøvende kunstner og fremstilleren af fonogrammet skal dele det enkelte rimelige vederlag, hvis der ikke mellem den udøvende kunstner og fremstilleren af fonogrammet er indgået aftale herom.
3.   Hver af parterne kan give mere vidtgående rettigheder med hensyn til udsendelse og kommunikation til offentligheden af fonogrammer, der offentliggøres i kommercielt øjemed, til udøvende kunstnere og fremstillere af fonogrammer.
Artikel 230
Beskyttelsens varighed
1.   Ophavsretten til litterære eller kunstneriske værker gælder i ophavsmandens levetid og i 70 år efter vedkommendes død, uanset på hvilket tidspunkt værket lovligt er blevet gjort tilgængeligt for offentligheden.
2.   Med henblik på gennemførelsen af stk. 1 kan hver part fastsætte særlige regler for beregning af beskyttelsestiden for musikalske sammensætninger med ord, værker af fælles ophavsmand samt filmværker eller audiovisuelle værker. Hver part kan fastsætte særlige regler for beregning af beskyttelsestiden for anonyme eller pseudonyme værker.
3.   Radio- og fjernsynsforetagenders rettigheder udløber 50 år efter første udsendelse, hvad enten udsendelsen sendes via tråd eller æteren, herunder via kabel eller satellit.
4.   Udøvende kunstneres rettigheder til fremførelser på anden måde end til fonogrammer udløber 50 år efter datoen for optagelsen af fremførelsen eller, hvis de udgives lovligt eller lovligt offentliggøres i løbet af denne periode, 50 år efter den første sådanne udgivelse eller overføring til almenheden, alt efter hvilken dato der kommer først.
5.   Udøvende kunstneres rettigheder til deres fremførelser, der er optaget på fonogrammer, udløber 50 år efter datoen for optagelsen af fremførelsen eller, hvis den er lovligt udgivet eller offentliggjort lovligt i løbet af denne periode, 70 år efter denne handling, alt efter hvilken dato der indtræffer først.
6.   Fonogramfremstilleres rettigheder udløber 50 år efter optagelsen eller, hvis de offentliggøres lovligt i løbet af denne periode, 70 år efter en sådan udgivelse. I mangel af lovlig udgivelse, hvis fonogrammet lovligt er blevet offentliggjort i denne periode, er beskyttelsestiden 70 år fra denne overføring. Hver part kan træffe effektive foranstaltninger for at sikre, at den fortjeneste, der genereres i de 20 år med beskyttelse ud over 50 år, fordeles ligeligt mellem de udøvende kunstnere og fremstillerne af fonogrammer.
7.   De i denne artikel fastsatte beskyttelsesperioder beregnes fra den 1. januar i det år, der følger efter den begivenhed, der har affødt rettigheden.
8.   Hver af parterne kan fastsætte længere beskyttelsesperioder end dem, der er fastsat i denne artikel.
Artikel 231
Følgeret
1.   Parterne indfører for ophavsmanden til et originalt billedkunstværk en følgeret, som er en uoverdragelig og selv på forhånd ufrasigelig ret til et vederlag baseret på salgsprisen ved ethvert videresalg af det pågældende kunstværk efter ophavsmandens første afhændelse af det.
2.   Den i stk. 1 nævnte ret finder anvendelse på alt videresalg, hvor der som sælgere, købere eller formidlere deltager professionelle på kunstmarkedet, herunder auktionshuse, kunstgallerier og alle kunsthandlere i øvrigt.
3.   Hver af parterne kan bestemme, at den i stk. 1 nævnte ret ikke finder anvendelse på videresalg, såfremt sælgeren har erhvervet værket direkte fra ophavsmanden mindre end tre år inden videresalget, og videresalgsprisen ikke overstiger et vist mindstebeløb.
4.   Proceduren for opkrævning af vederlag og deres størrelse fastsættes af den enkelte parts lovgivning.
Artikel 232
Kollektiv forvaltning af rettigheder
1.   Parterne fremmer samarbejdet mellem deres respektive kollektive forvaltningsorganisationer med henblik på at fremme tilgængeligheden af værker og andre beskyttede frembringelser på deres respektive områder og overføre rettighedsindtægter mellem de respektive kollektive forvaltningsorganisationer for anvendelsen af sådanne værker eller andre beskyttede frembringelser.
2.   Parterne fremmer gennemsigtigheden af kollektive forvaltningsorganisationer, navnlig med hensyn til de rettighedsindtægter, de opkræver, de fradrag, de anvender på rettighedsindtægter, de opkræver, anvendelsen af de rettighedsindtægter, der opkræves, distributionspolitikken og deres repertoire.
3.   Parterne bestræber sig på at fremme ordninger mellem deres respektive kollektive forvaltningsorganisationer om ikkediskriminerende behandling af rettighedshavere, hvis rettigheder disse organisationer forvalter i henhold til repræsentationsaftaler.
4.   Hver af parterne sikrer, at kollektive forvaltningsorganisationer, der er etableret på dens område, og som repræsenterer en anden kollektiv forvaltningsorganisation, der er etableret på den anden parts område, ved en repræsentationsaftale nøjagtigt, regelmæssigt og omhyggeligt betaler skyldige beløb til de repræsenterede kollektive forvaltningsorganisationer samt giver den repræsenterede kollektive forvaltningsorganisation de oplysninger om de rettighedsindtægter, der er opkrævet på partens vegne, og om eventuelle fradrag i disse rettighedsindtægter.
Artikel 233
Undtagelser og indskrænkninger
Hver part begrænser indskrænkninger eller undtagelser fra de rettigheder, der er fastsat i artikel 225-229, til visse særlige tilfælde, der ikke strider mod en normal udnyttelse af værket eller andre frembringelser og ikke indebærer urimelig skade for rettighedshavernes legitime interesser.
Artikel 234
Beskyttelse af tekniske foranstaltninger
1.   Parterne indfører en passende retlig beskyttelse mod omgåelse af enhver form for effektive tekniske foranstaltninger, som den pågældende foretager, selv om vedkommende ved eller burde vide, at dette er formålet. Hver part kan indføre en særlig ordning for retlig beskyttelse af teknologiske foranstaltninger, der anvendes til beskyttelse af EDB-programmer.
2.   Parterne indfører en passende retlig beskyttelse mod fremstilling, import, spredning, salg, udlejning, reklame for salg og udlejning eller besiddelse i kommercielt øjemed af anordninger, produkter eller komponenter eller ydelse af tjenester, der:
a)
er genstand for salgsfremme, reklame eller markedsføring med henblik på omgåelse af
b)
kun i begrænset omfang har andet kommercielt formål eller anden kommerciel anvendelse end omgåelse af eller
c)
primært er udviklet, produceret, tilpasset eller ydet med henblik på at muliggøre eller befordre omgåelse af enhver effektiv teknologisk foranstaltning.
3.   I denne afdeling forstås ved "tekniske foranstaltninger" enhver teknologi, anordning eller komponent, der under sin normale funktion har til formål at forhindre eller begrænse handlinger i forbindelse med værker eller andre frembringelser, som indehaveren af ophavsrettigheder eller beslægtede rettigheder som er omfattet af denne afdeling, for en part ikke har givet tilladelse til. Tekniske foranstaltninger skal anses som "effektive", hvis anvendelsen af beskyttede værker eller andre frembringelser styres af rettighedshaveren ved anvendelse af en adgangskontrol- eller beskyttelsesforanstaltning, f.eks. kryptering, scrambling eller anden omdannelse af værket eller andre frembringelser eller en kopikontrolanordning, der opfylder beskyttelsesformålet.
4.   Uanset den retlige beskyttelse, der er omhandlet i stk. 1, kan hver af parterne træffe passende foranstaltninger for at sikre, at den retlige beskyttelse mod omgåelse af effektive tekniske foranstaltninger, der er fastsat i overensstemmelse med denne artikel, ikke er til hinder for, at de i henhold til artikel 233 kan nyde godt af sådanne undtagelser eller indskrænkninger.
Artikel 235
Forpligtelser vedrørende oplysninger om rettighedsforvaltning
1.   Parterne indfører en passende retlig beskyttelse mod enhver person, der bevidst og uden tilladelse udfører følgende handlinger:
a)
fjernelse eller ændring af elektroniske oplysninger om rettighedsforvaltning
b)
spredning, import med henblik på spredning, udsendelse i radio og fjernsyn, overføring til eller tilrådighedsstillelse for almenheden af værker eller andre frembringelser, der er beskyttet efter denne afdeling, og fra hvilke de elektroniske oplysninger om rettighedsforvaltning er blevet fjernet eller ændret uden tilladelse
vel vidende eller med rimelig grund til at vide, at sådanne handlinger foranlediger, muliggør, letter eller skjuler en krænkelse af ophavsrettigheder eller beslægtede rettigheder som fastsat i partens interne lovgivning.
2.   I denne artikel forstås ved "oplysninger om rettighedsforvaltning" alle oplysninger, der er leveret af rettighedshavere, og som identificerer et værk eller en anden frembringelse omhandlet i denne artikel, ophavsmanden eller enhver anden rettighedshaver, eller oplysninger om betingelserne for anvendelse af værket eller frembringelsen samt numre eller koder, der udgør sådanne oplysninger.
3.   Stk. 2 gælder, hvis en hvilken som helst af disse oplysninger anvendes i forbindelse med kopiering eller fremkommer i forbindelse med kommunikation til offentligheden af et værk eller en anden frembringelse, der er omhandlet i denne artikel.
AFDELING 2
VAREMÆRKER
Artikel 236
Varemærkeklassifikation
Hver af parterne opretholder et varemærkeklassifikationssystem, der er i overensstemmelse med Nicearrangementet vedrørende international klassificering af varer og tjenesteydelser til brug ved registrering af varemærker af 15. juni 1957, som ændret og revideret.
Artikel 237
Tegn, der kan udgøre et varemærke
Et varemærke kan bestå af alle tegn, navnlig ord, herunder personnavne, eller afbildninger, bogstaver, tal, farver, varens form eller vareemballagens form eller lyde, for så vidt disse er egnede til:
a)
at adskille en virksomheds varer eller tjenesteydelser fra andre virksomheders og
b)
at blive gengivet i parternes respektive varemærkeregistre på en måde, der gør det muligt for de kompetente myndigheder og offentligheden at fastslå den klare og præcise genstand for den beskyttelse, som indehaveren indrømmes.
Artikel 238
Rettigheder knyttet til et varemærke
1.   Hver af parterne fastsætter, at registreringen af et varemærke giver indehaveren en eneret. Indehaveren har ret til at forbyde tredjemand, der ikke har indehaverens samtykke, at gøre erhvervsmæssig brug af:
a)
et tegn, der er identisk med det registrerede varemærke, for varer eller tjenesteydelser af samme art som dem, for hvilke varemærket er registreret
b)
et tegn, der er identisk med eller ligner det registrerede varemærke, når de varer eller tjenesteydelser, der er dækket af dette varemærke, er af samme eller lignende art som dem, der er dækket af det pågældende tegn, og der som følge heraf i offentlighedens bevidsthed er risiko for forveksling, herunder at der er en forbindelse med det registrerede varemærke.
2.   Indehaveren af et registreret varemærke skal have ret til at forhindre, at tredjemand, i forbindelse med handel, fører varer ind i den part, hvor varemærket er registreret, uden at de overgår til fri omsætning der, når sådanne varer, herunder emballage, kommer fra tredjelande og uden tilladelse er forsynet med et varemærke, der er identisk med det varemærke, der er registreret for sådanne varer, eller som i sine væsentligste aspekter ikke kan sondres fra dette varemærke.
3.   Den ret, som varemærkeindehaveren har i henhold til stk. 2, bortfalder, hvis der under sagen, der skal fastlægge, om det registrerede varemærke er blevet krænket, fremlægges dokumentation af klarereren eller ihændehaveren af varerne for, at indehaveren af det registrerede varemærke ikke har ret til at forbyde markedsføring af varerne i det endelige bestemmelsesland.
Artikel 239
Registreringsprocedure
1.   Hver af parterne indfører en ordning for registrering af varemærker, hvori enhver endelig negativ afgørelse, herunder delvis afslag, der er truffet af den relevante varemærkeadministration, skal meddeles skriftligt til den pågældende part med behørig begrundelse og skal kunne appelleres.
2.   Hver af parterne giver tredjemand mulighed for at modsætte sig varemærkeansøgninger eller eventuelt varemærkeregistreringer. En sådan indsigelsesprocedure skal være kontradiktorisk.
3.   Hver af parterne sikrer, at der er adgang til en offentligt tilgængelig elektronisk database over varemærkeansøgninger og -registreringer.
4.   Hver part bestræber sig bedst muligt på at oprette et system til elektronisk ansøgning om og behandling, registrering og vedligeholdelse af varemærker.
Artikel 240
Vitterligt kendte varemærker
Med henblik på at sikre en effektiv beskyttelse af vitterligt kendte varemærker omhandlet i Pariserkonventionens artikel 6a og TRIPS-aftalens artikel 16, stk. 2 og 3, anvender hver af parterne den fælles henstilling vedrørende bestemmelser om beskyttelse af vitterligt kendte mærker, der blev vedtaget af Pariserunionen til Beskyttelse af Industriel Ejendomsret og WIPO's generalforsamling på 34. møderække i forsamlingerne af WIPO's medlemsstater den 20.-29. september 1999.
Artikel 241
Undtagelser fra de rettigheder, der er knyttet til et varemærke
1.   Hver af parterne tillader begrænsede undtagelser for de rettigheder, der er knyttet til et varemærke såsom en rimelig brug af deskriptive udtryk, herunder geografiske betegnelser, og kan tillade andre begrænsede undtagelser, forudsat at der ved disse undtagelser tages hensyn til varemærkeindehaverens og tredjemands legitime interesser.
2.   De til varemærket knyttede rettigheder giver ikke indehaveren ret til at forbyde tredjemand at gøre erhvervsmæssig brug af:
a)
tredjemandens navn eller adresse, hvis den pågældende tredjemand er en fysisk person
b)
tegn eller angivelser vedrørende varens eller tjenesteydelsens art, beskaffenhed, mængde, anvendelse, værdi, geografiske oprindelse, tidspunktet for varens fremstilling eller for præstationen af tjenesteydelsen eller andre egenskaber ved varen eller tjenesteydelsen eller
c)
varemærket for at identificere eller henvise til varer eller tjenesteydelser som tilhørende indehaveren af det pågældende varemærke, navnlig når anvendelsen af varemærket er nødvendig for at angive anvendelsen af en vare eller tjenesteydelse, navnlig som tilbehør eller reservedele
for så vidt tredjeparten anvender dem i overensstemmelse med god markedsføringsskik.
3.   De til et varemærke knyttede rettigheder giver ikke indehaveren ret til at forbyde tredjemand at gøre erhvervsmæssig brug af ældre rettigheder, som kun har lokalt afgrænset karakter, hvis rettighederne er anerkendt i den pågældende parts lovgivning og anvendes inden for grænserne af det område, hvor de er anerkendt.
Artikel 242
Fortabelsesgrunde
1.   Hver part fastsætter, at et varemærke kan fortabes, hvis indehaveren eller en anden med indehaverens samtykke ikke inden for en sammenhængende periode på fem år har gjort reel brug af det på en parts relevante område for de varer eller tjenesteydelser, for hvilke det er registreret, og der ikke er nogen rimelig grund til, at brug ikke har fundet sted.
2.   Hver part fastsætter også, at et varemærke kan fortabes, hvis indehaveren eller en anden med indehaverens samtykke ikke inden for fem år efter registreringsprocedurens afslutning har gjort reel brug heraf på det relevante område for de varer eller tjenesteydelser, for hvilke det er registreret, og der ikke er rimelig grund til, at brug ikke har fundet sted.
3.   Fortabelse af et varemærke kan dog ikke gøres gældende, dersom reel brug af varemærket påbegyndes eller genoptages i tiden mellem udløbet af femårsperioden og tidspunktet for indgivelse af begæring om fortabelse. Påbegyndelse eller genoptagelse af brugen inden for de sidste tre måneder forud for indgivelse af begæring om fortabelse, idet denne tremånedersperiode tidligst begynder ved udløbet af den sammenhængende periode på fem år, tages imidlertid ikke i betragtning, såfremt forberedelserne til påbegyndelse eller genoptagelse af brugen først indledes, når indehaveren har fået kendskab til, at der eventuelt vil blive indgivet begæring om fortabelse.
4.   Indehaveren af et varemærke kan også fortabe sine rettigheder, når varemærket efter den dato, på hvilken det blev registreret:
a)
på grund af indehaverens virksomhed eller passivitet er blevet en almindelig betegnelse inden for handelen for en vare eller tjenesteydelse, for hvilken det er registreret
b)
som følge af den brug, der af varemærkeindehaveren eller med indehaverens samtykke gøres af varemærket for de varer eller tjenesteydelser, for hvilke det er registreret, vil kunne vildlede offentligheden, især med hensyn til varernes eller tjenesteydelsernes art, beskaffenhed eller geografiske oprindelse.
Artikel 243
Retten til at forbyde forberedende handlinger vedrørende brug af emballage eller andre midler
Hvis der er risiko for, at emballage, etiketter, mærker, sikkerheds- eller ægthedskomponenter eller udstyr eller andre midler, hvorpå varemærket er anbragt, kan anvendes i forbindelse med varer eller tjenesteydelser, og denne anvendelse ville udgøre en krænkelse af varemærkeindehaverens rettigheder, har indehaveren af varemærket ret til at forbyde følgende handlinger, hvis de udføres i erhvervsmæssigt øjemed:
a)
at anbringe et tegn, der er identisk med eller ligner varemærket, på emballage, etiketter, mærker, sikkerheds- eller ægthedskomponenter eller udstyr eller andre midler, hvorpå mærket kan anbringes, eller
b)
at udbyde eller markedsføre eller oplagre med disse formål eller importere eller eksportere emballage, etiketter, mærker, sikkerheds- eller ægthedskomponenter eller udstyr eller andre midler, hvorpå mærket er anbragt.
Artikel 244
Ansøgninger i ond tro
Et varemærke kan erklæres ugyldigt, hvis ansøgeren har ansøgt om registrering af et varemærke i ond tro. Hver af parterne påser, at et sådant varemærke ikke registreres.
AFDELING 3
DESIGN
Artikel 245
Beskyttelse af registrerede design
1.   Hver af parterne træffer foranstaltninger til beskyttelse af uafhængigt frembragte design, der er nye og originale. Beskyttelsen ydes ved registrering og giver indehaverne eneret i overensstemmelse med denne afdeling.
I forbindelse med denne artikel kan en part anse et design med individuel karakter for at være originalt.
2.   Indehaveren af et registreret design har ret til som det mindste at forhindre, at tredjemand, der ikke har indehaverens samtykke, fremstiller, udbyder til salg, sælger, importerer, eksporterer og opbevarer det produkt, der bærer eller inkorporerer det beskyttede design, eller anvender varer, der bærer eller inkorporerer det beskyttede design, når sådanne handlinger udføres i erhvervsmæssigt øjemed.
3.   Et design, der finder anvendelse på eller indgår i et produkt, som udgør en komponent af et sammensat produkt, anses kun for at være nyt og originalt:
a)
hvis komponenten, efter at være blevet inkorporeret i det sammensatte produkt, fortsat er synlig under normal brug af dette produkt, og
b)
de synlige elementer af komponenten i sig selv opfylder kravene om nyhed og originalitet.
4.   Med henblik på stk. 3, litra a), forstås der ved "normal brug" den endelige brugers anvendelse, dog hverken vedligeholdelse eller reparation.
Artikel 246
Beskyttelsens varighed
Varigheden af beskyttelsen af registrerede design, herunder fornyelser af registrerede design, er på i alt 25 år regnet fra datoen for ansøgningens indgivelse 
(
36
)
.
Artikel 247
Beskyttelse af ikkeregistrerede design
1.   Hver af parterne giver indehavere af et ikkeregistreret design ret til at forhindre, at en tredjemand, der ikke har indehaverens samtykke, anvender et ikkeregistreret design, hvis den anfægtede brug skyldes kopiering af det ikkeregistrerede design på deres respektive områder 
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37
)
. En sådan anvendelse omfatter som minimum udbud til salg, bringe i omsætning, import eller eksport af det pågældende produkt.
2.   Beskyttelsen af det ikkeregistrerede design skal være af mindst tre års varighed regnet fra den dato, hvor designet først blev offentliggjort på en af parternes område.
Artikel 248
Undtagelser og udelukkelser
1.   Hver af parterne kan fastsætte begrænsede undtagelser fra beskyttelsen af design, herunder ikkeregistrerede design, forudsat at sådanne undtagelser ikke i urimeligt omfang strider mod den normale udnyttelse af design og ikke indebærer urimelig skade for de legitime interesser, som indehaveren af designet har, under hensyn til tredjemands legitime interesser.
2.   Beskyttelsen gælder ikke for design, der udelukkende er dikteret af tekniske eller funktionelle forhold. Et design kan ikke opretholdes for de elementer af et produkts udseende, der nødvendigvis må reproduceres i deres nøjagtige form og dimensioner, for at det produkt, som designet indgår i eller finder anvendelse på, rent mekanisk kan kobles til et andet produkt eller placeres i, på eller omkring et andet produkt eller bringes i kontakt med et andet produkt, således at begge produkter opfylder deres funktion.
3.   Uanset denne artikels stk. 2 skal et design i overensstemmelse med betingelserne i artikel 245, stk. 1, bestå i et design, der har til formål at muliggøre flerdobbelt samling eller sammenkobling af gensidigt udskiftelige produkter inden for et modulopbygget system.
Artikel 249
Forhold til ophavsret
Hver af parterne sikrer, at et design, herunder et ikkeregistreret design, også kan beskyttes i henhold til den pågældende parts lovgivning om ophavsret fra det tidspunkt, hvor designet blev frembragt eller fastlagt i en given form. Hver af parterne fastsætter, i hvilket omfang og under hvilke betingelser der opnås en sådan beskyttelse, herunder kravet til originalitet.
AFDELING 4
PATENTER
Artikel 250
Patenter og folkesundheden
1.   Parterne anerkender betydningen af erklæringen om TRIPS-aftalen og folkesundhed, der blev vedtaget den 14. november 2001 på WTO-ministerkonferencen i Doha ("Dohaerklæringen"). Ved fortolkningen og gennemførelsen af rettighederne og forpligtelserne i henhold til denne afdeling sikrer hver af parterne overensstemmelse med Dohaerklæringen.
2.   Hver part gennemfører TRIPS-aftalens artikel 31a samt bilaget til TRIPS-aftalen og tillægget til bilaget til TRIPS-aftalen.
Artikel 251
Forlængelse af den beskyttelsesperiode, der er knyttet til et patent på lægemidler  og plantebeskyttelsesmidler
1.   Parterne anerkender, at lægemidler og plantebeskyttelsesmidler 
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38
)
, der er beskyttet ved et patent på deres respektive områder, kan gøres til genstand for en administrativ tilladelsesprocedure, inden de markedsføres på deres respektive markeder. Parterne erkender, at den tid, der går mellem indgivelsen af patentansøgningen og den første tilladelse til markedsføring, som fastsat med henblik herpå i den relevante lovgivning, kan afkorte den effektive patentbeskyttelsesperiode.
2.   Hver af parterne skal i overensstemmelse med sine love og forskrifter sørge for yderligere beskyttelse af et produkt, der er patentbeskyttet, og som har været genstand for en administrativ godkendelsesprocedure som omhandlet i stk. 1, for at kompensere indehaveren af et patent for en reduktion af den effektive patentbeskyttelse. Vilkårene og betingelserne for en sådan yderligere beskyttelse, herunder dens længde, fastsættes i overensstemmelse med parternes love og forskrifter.
3.   I dette afsnit forstås ved lægemiddel:
a)
ethvert stof eller enhver sammensætning af stoffer, der præsenteres som et egnet middel til behandling eller forebyggelse af sygdomme hos mennesker eller dyr, eller
b)
ethvert stof eller enhver sammensætning af stoffer, der kan anvendes i eller gives til mennesker eller dyr med henblik på at genoprette, ændre eller påvirke fysiologiske funktioner ved at udøve en farmakologisk, immunologisk eller metabolisk virkning eller med henblik på at stille en medicinsk diagnose.
AFDELING 5
BESKYTTELSE AF IKKEFRIGIVNE OPLYSNINGER
Artikel 252
Beskyttelse af forretningshemmeligheder
1.   Parterne giver hver især enhver forretningshemmelighedshaver adgang til civilretlige procedurer og foranstaltninger for at forhindre eller opnå godtgørelse for erhvervelsen, brugen eller videregivelsen af en forretningshemmelighed, hvis det er foregået i strid med loyal erhvervspraksis.
2.   I denne afdeling forstås ved:
a)
"forretningshemmelighed": oplysninger, som opfylder følgende krav:
i)
de er hemmelige i den forstand, at de ikke i deres helhed eller i den præcise konfiguration eller sammensætning af deres komponenter er almindeligt kendt blandt eller umiddelbart tilgængelige for personer i de kredse, der normalt beskæftiger sig med den pågældende type oplysninger
ii)
de har handelsværdi, fordi de er hemmelige, og
iii)
de er af den person, som lovligt kontrollerer oplysningerne, under de givne omstændigheder blevet underkastet rimelige foranstaltninger til hemmeligholdelse
b)
"forretningshemmelighedshaver": enhver fysisk eller juridisk person, som lovligt kontrollerer en forretningshemmelighed.
3.   I forbindelse med denne afdeling betragtes som minimum den følgende adfærd som i strid med loyal erhvervspraksis:
a)
erhvervelse af en forretningshemmelighed uden forretningshemmelighedshaverens samtykke, hvis den erhverves ved uautoriseret adgang til, tilegnelse af eller kopiering af dokumenter, genstande, materialer, stoffer eller elektroniske filer, som lovligt kontrolleres af forretningshemmelighedshaveren, og som indeholder en forretningshemmelighed, eller som en forretningshemmelighed kan udledes af
b)
brug eller videregivelse af en forretningshemmelighed, hvis dette sker uden forretningshemmelighedshaverens samtykke af en person, som konstateres at opfylde en af følgende betingelser:
i)
vedkommende har erhvervet forretningshemmeligheden i henhold til litra a)
ii)
vedkommende har misligholdt en fortrolighedsaftale eller enhver anden pligt til at undlade at videregive forretningshemmeligheden, eller
iii)
vedkommende har misligholdt en kontraktlig forpligtelse eller enhver anden pligt til at begrænse forretningshemmelighedens brug
c)
erhvervelse, brug eller videregivelse af en forretningshemmelighed betragtes også som en ulovlig handling, når det foretages af en person, som på tidspunktet for erhvervelsen, brugen eller videregivelsen vidste eller under de givne omstændigheder burde have vidst, at forretningshemmeligheden var blevet erhvervet direkte eller indirekte fra en anden person, som brugte eller videregav forretningshemmeligheden ulovligt, jf. litra b).
4.   Intet i denne afdeling må fortolkes således, at en part er forpligtet til at betragte den følgende adfærd som i strid med loyal erhvervspraksis:
a)
uafhængig opdagelse eller skabelse
b)
reverse engineering af et produkt, der er gjort tilgængeligt for offentligheden, eller som på lovlig vis er i erhververen af oplysningernes besiddelse, hvis erhververen af oplysningerne er fritaget for enhver juridisk gyldig forpligtelse til at begrænse erhvervelsen af forretningshemmeligheden
c)
erhvervelsen, brugen eller videregivelsen af en forretningshemmelighed, som kræves eller tillades i henhold til den enkelte parts lovgivning
d)
udøvelsen af arbejdstageres eller arbejdstagerrepræsentanters ret til information og høring i overensstemmelse med den pågældende parts love og administrative bestemmelser.
5.   Intet i denne afdeling anses for at påvirke udøvelsen af ytrings- og informationsfriheden, herunder mediernes frihed og pluralisme, som er beskyttet i hver af parterne, begrænse arbejdstagernes mobilitet eller påvirke arbejdsmarkedets parters autonomi og deres ret til at indgå kollektive overenskomster i overensstemmelse med parternes love og forskrifter.
Artikel 253
Beskyttelse af data, der er forelagt med henblik på markedsføringstilladelse for et lægemiddel
1.   Hver af parterne beskytter kommercielt fortrolige oplysninger, der er forelagt med henblik på at opnå tilladelse til markedsføring af lægemidler ("markedsføringstilladelse"), mod videregivelse til tredjeparter, medmindre der tages skridt til at sikre, at oplysningerne beskyttes mod urimelig kommerciel anvendelse, eller videregivelsen er nødvendig af mere tungtvejende offentlige hensyn.
2.   Hver part sikrer, at den myndighed, der er ansvarlig for udstedelsen af en markedsføringstilladelse, i en begrænset periode, der fastsættes i dens nationale lovgivning og i overensstemmelse med de betingelser, der er fastsat i dens nationale lovgivning, ikke accepterer nogen efterfølgende ansøgning om markedsføringstilladelse, som bygger på resultaterne af prækliniske forsøg eller kliniske forsøg, der er indgivet i ansøgningen til den pågældende myndighed om den første markedsføringstilladelse, uden udtrykkeligt samtykke fra indehaveren af den første markedsføringstilladelse, medmindre andet er fastsat i internationale aftaler, som parterne begge er parter i.
3.   Hver part sikrer også, at et lægemiddel, som efterfølgende godkendes af den pågældende myndighed på grundlag af resultater af de prækliniske og kliniske forsøg, jf. stk. 2, i en begrænset periode, der fastsættes i dens nationale lovgivning og i overensstemmelse med de betingelser, der er fastsat i dens nationale lovgivning, ikke markedsføres uden udtrykkeligt samtykke fra indehaveren af den første markedsføringstilladelse, medmindre andet er fastsat i internationale aftaler, som parterne begge er parter i.
4.   Denne artikel berører ikke yderligere beskyttelsesperioder, som hver part måtte indføre i den pågældende parts lovgivning.
Artikel 254
Beskyttelse af oplysninger, der fremlægges med henblik på markedsføringstilladelse  for plantebeskyttelsesmidler eller biocidholdige produkter
1.   Hver af parterne anerkender en midlertidig ret for ejeren af en forsøgs- eller undersøgelsesrapport, der forelægges for første gang, til at opnå en markedsføringstilladelse vedrørende sikkerhed og virkning af et aktivstof, et plantebeskyttelsesmiddel eller et biocidholdigt produkt. I denne periode må forsøgs- eller undersøgelsesrapporten ikke anvendes til fordel for nogen anden person, der søger at opnå en markedsføringstilladelse for et aktivstof, et plantebeskyttelsesmiddel eller et biocidholdigt produkt, medmindre det er blevet bevist, at den første ejer har givet sit udtrykkelige samtykke. I denne artikel betegnes denne ret "databeskyttelse".
2.   Forsøgs- eller undersøgelsesrapporten, der forelægges med henblik på markedsføringstilladelse for et aktivstof eller et plantebeskyttelsesmiddel, skal opfylde følgende betingelser:
a)
den er nødvendig for, at tilladelsen kan gives eller ændres med henblik på at tillade anvendelse på andre afgrøder, og
b)
den er i overensstemmelse med principperne for god laboratoriepraksis eller god forsøgspraksis, og dette er bekræftet.
3.   Databeskyttelsesperioden skal være mindst ti år fra den første tilladelse fra en relevant myndighed på partens område.
4.   Hver af parterne sikrer, at de offentlige organer, der er ansvarlige for udstedelsen af en markedsføringstilladelse, ikke anvender de oplysninger, der er omhandlet i stk. 1 og 2, til fordel for en efterfølgende ansøger for enhver efterfølgende markedsføringstilladelse, uanset om den er offentliggjort eller ej.
5.   Hver af parterne fastsætter regler, der forebygger gentagne forsøg med hvirveldyr.
AFDELING 6
PLANTESORTER
Artikel 255
Beskyttelse af plantesortsrettigheder
Hver af parterne beskytter plantesortsrettigheder i overensstemmelse med den internationale konvention om beskyttelse af plantenyheder (UPOV), senest revideret den 19. marts 1991 i Genève. Parterne samarbejder om at fremme og håndhæve disse rettigheder.
KAPITEL 3
HÅNDHÆVELSE AF INTELLEKTUELLE EJENDOMSRETTIGHEDER
AFDELING 1
ALMINDELIGE BESTEMMELSER
Artikel 256
Generelle forpligtelser
1.   Hver af parterne sikrer, at der i henhold til dens relevante lovgivning vedrørende supplerende foranstaltninger foreligger procedurer og retsmidler, som er nødvendige for at sikre håndhævelsen af intellektuelle ejendomsrettigheder.
For så vidt angår afdeling 1, 2 og 4 i dette kapitel omfatter begrebet "intellektuelle ejendomsrettigheder" ikke rettigheder, der er omfattet af kapitel 2, afdeling 5.
2.   De i stk. 1 nævnte foranstaltninger, procedurer og retsmidler:
a)
skal være fair og rimelige
b)
må ikke være unødigt komplicerede eller udgiftskrævende eller indebære urimelige frister eller medføre ubegrundede forsinkelser
c)
skal være effektive, stå i et rimeligt forhold til overtrædelsens grovhed og have afskrækkende virkning
d)
skal anvendes på en sådan måde, at der ikke opstår hindringer for lovlig samhandel, og at der ydes garanti mod misbrug af dem.
Artikel 257
Personer berettiget til at anmode om anvendelse af foranstaltninger, procedurer og retsmidler
Hver af parterne giver adgang til at anmode om anvendelse af de i afdeling 2 og 4 omhandlede foranstaltninger, procedurer og retsmidler til:
a)
indehavere af intellektuelle ejendomsrettigheder i overensstemmelse med bestemmelserne i partens lovgivning
b)
alle andre personer, der har tilladelse til at anvende disse rettigheder, navnlig licenshavere, i det omfang det er muligt efter og i overensstemmelse med en parts lovgivning, og
c)
sammenslutninger og foreninger 
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39
)
, i det omfang det er muligt efter og i overensstemmelse med lovgivningen i en part.
AFDELING 2
CIVILRETLIG OG ADMINISTRATIV HÅNDHÆVELSE
Artikel 258
Foranstaltninger til sikring af bevismateriale
1.   Parterne sikrer, allerede inden behandlingen af en sag vedrørende realiteten påbegyndes, at de kompetente judicielle myndigheder på begæring af en part, der har fremført et rimeligt tilgængeligt bevismateriale til støtte for sin påstand om, at hans intellektuelle ejendomsret er blevet krænket eller vil blive krænket, træffer afgørelse om, at der omgående skal iværksættes effektive foreløbige foranstaltninger med henblik på at sikre det relevante bevismateriale i forbindelse med den påståede krænkelse, under forudsætning af passende sikkerhedsforanstaltninger og af, at fortrolige oplysninger beskyttes.
2.   Sådanne foranstaltninger kan omfatte en udførlig beskrivelse af de omtvistede varer med eller uden udtagning af prøver eller en beslaglæggelse af disse og, når det er hensigtsmæssigt, af de materialer og redskaber, der har været anvendt i fremstillingen og/eller distributionen af disse varer og af de hertil hørende dokumenter.
Artikel 259
Bevismateriale
1.   Parterne træffer de nødvendige foranstaltninger til, at de kompetente judicielle myndigheder skal være bemyndigede til, når en part har fremført et rimeligt tilgængeligt bevismateriale, der er tilstrækkeligt til at understøtte hans påstande, og til støtte for sine påstande har angivet bevismateriale, som modparten har kontrol over, at pålægge modparten at fremlægge det pågældende bevismateriale, under forudsætning af at fortrolige oplysninger beskyttes.
2.   Parterne træffer også de nødvendige foranstaltninger til, at de kompetente judicielle myndigheder, når der foreligger en krænkelse af en intellektuel ejendomsrettighed, der er begået i kommerciel målestok, på samme betingelser som i stk. 1 kan kræve, at modparten fremlægger bankoplysninger samt finansielle og kommercielle oplysninger, som modparten har kontrol over, med forbehold af beskyttelsen af fortrolige oplysninger.
Artikel 260
Ret til oplysninger
1.   Parterne sikrer, at de kompetente judicielle myndigheder i forbindelse med civile retssager om krænkelse af en intellektuel ejendomsrettighed og som svar på en velbegrundet og forholdsmæssigt afpasset begæring fra rekvirenten kan pålægge den krænkende part eller enhver anden person at give oplysninger om oprindelsen af og distributionskanalerne for de varer eller tjenesteydelser, der krænker en intellektuel ejendomsrettighed.
2.   I stk. 1 forstås ved "enhver anden person" en person, der:
a)
er fundet i besiddelse af de omtvistede varer i kommerciel målestok
b)
er fundet i færd med at anvende de omtvistede tjenesteydelser i kommerciel målestok
c)
er fundet i færd med at yde tjenesteydelser, der anvendes i de omtvistede aktiviteter, i kommerciel målestok eller
d)
er blevet identificeret af den i litra a), b) eller c) omhandlede person som indblandet i produktion, fremstilling eller distribution af sådanne varer eller levering af sådanne tjenesteydelser.
3.   De i stk. 1 nævnte oplysninger omfatter i givet fald:
a)
navn og adresse på producenter, fremstillere, distributører, leverandører og andre tidligere indehavere af varer eller tjenesteydelser samt på engros- og detailhandelsled
b)
oplysninger om producerede, fremstillede, leverede, modtagne eller bestilte mængder og om den pris, der er opnået for de pågældende varer eller tjenesteydelser.
4.   Stk. 1 og 2 finder anvendelse, jf. dog anden lovgivning i en part, som
a)
tillægger rettighedshaveren en mere vidtgående ret til information
b)
regulerer brugen af oplysninger meddelt i henhold til denne artikel i civilretlige sager
c)
omhandler erstatningsansvaret ved misbrug af retten til information
d)
danner grundlag for at nægte at meddele oplysninger, som ville tvinge den i stk. 1 omhandlede person til at indrømme, at vedkommende selv eller en nær slægtning har deltaget i en krænkelse af en intellektuel ejendomsrettighed
e)
omhandler beskyttelsen af fortrolige kilder til information eller behandlingen af personoplysninger.
Artikel 261
Midlertidige og retsbevarende foranstaltninger
1.   Hver af parterne sikrer, at de judicielle myndigheder på begæring af rekvirenten kan udstede et foreløbigt påbud over for den påståede krænkende part med henblik på at forhindre en nært forestående krænkelse af en intellektuel ejendomsrettighed eller midlertidigt, og hvis det er muligt i henhold til partens egen lovgivning, under trussel om tvangsbøder, forbyde en fortsættelse af den påståede krænkelse af den pågældende rettighed eller gøre denne fortsættelse betinget af, at der stilles sikkerhed for erstatning til rettighedshaveren. Et foreløbigt påbud kan på de samme betingelser udstedes til en mellemmand, hvis ydelser anvendes af tredjemand til krænkelse af en intellektuel ejendomsrettighed.
2.   Hver af parterne sikrer, at deres judicielle myndigheder på anmodning af rekvirenten har beføjelse til at kræve beslaglæggelse eller udlevering af varer, der mistænkes for at krænke en intellektuel ejendomsrettighed, for derved at forhindre, at de bringes i handelen eller omsættes.
3.   I tilfælde af påståede overtrædelser i kommerciel målestok sikrer hver part, at de judicielle myndigheder, hvis rekvirenten godtgør, at der foreligger omstændigheder, som kan vanskeliggøre inddrivelsen af erstatning, kan kræve arrest i den påståede krænkende parts løsøregenstande og faste ejendom, herunder indefrysning af vedkommendes bankkonti og andre aktiver. Med henblik herpå kan de kompetente myndigheder kræve fremlæggelse af dokumenter med bankoplysninger samt finansielle og kommercielle oplysninger eller passende adgang til de relevante oplysninger.
4.   Hver af parterne sikrer, at deres respektive judicielle myndigheder for så vidt angår de i stk. 1, 2 og 3 omhandlede foranstaltninger har beføjelse til at kræve, at rekvirenten fremlægger alt bevismateriale, som er rimeligt tilgængeligt, således at de med tilstrækkelig stor sikkerhed kan fastslå, at rekvirenten er rettighedshaveren, og at rettighedshaverens rettigheder krænkes, eller at en sådan krænkelse er nært forestående.
Artikel 262
Korrigerende foranstaltninger
1.   Parterne sikrer, at deres judicielle myndigheder på begæring af rekvirenten, uden at det berører den erstatning, der skal udredes til rettighedshaveren som følge af krænkelsen, og uden nogen form for godtgørelse kan kræve, at de varer, som de har fastslået krænker en intellektuel ejendomsrettighed, destrueres, eller at de pågældende varer i det mindste fjernes definitivt fra handelen. Hvis det er relevant, kan de judicielle myndigheder på de samme betingelser desuden kræve tilintetgørelse af de materialer og redskaber, der primært har været anvendt til at skabe eller fremstille de pågældende varer.
2.   Parternes judicielle myndigheder skal have beføjelse til at beordre disse foranstaltninger gennemført for den krænkende parts regning, medmindre særlige grunde taler herimod.
Artikel 263
Pålæg eller forbud
Parterne sikrer, at de judicielle myndigheder, når der er truffet en retsafgørelse, som fastslår en krænkelse af en intellektuel ejendomsrettighed, kan udstede et påbud til den krænkende part med henblik på at forhindre fortsat krænkelse. Hver af parterne sikrer også, at de judicielle myndigheder kan udstede et påbud til mellemmænd, hvis tjenester anvendes af tredjemand til at krænke en intellektuel ejendomsrettighed.
Artikel 264
Alternative foranstaltninger
Hver af parterne kan bestemme, at de judicielle myndigheder, når det er hensigtsmæssigt, og på begæring af den, der kan pålægges de i artikel 262 eller 263 nævnte foranstaltninger, kan beordre betaling til den forurettede af en kontant godtgørelse i stedet for anvendelse af foranstaltningerne i disse to artikler, hvis denne person har handlet uforsætligt og ikke har udvist uagtsomhed, hvis gennemførelsen af de pågældende foranstaltninger ville skade personen uforholdsmæssigt meget, og hvis en kontant godtgørelse til den forurettede forekommer rimeligt tilfredsstillende.
Artikel 265
Skadeserstatninger
1.   Hver af parterne sikrer, at dens judicielle myndigheder på begæring af den forurettede pålægger den krænkende part, der vidste eller med rimelighed burde vide, at dens aktiviteter medførte en krænkelse, at betale rettighedshaveren en erstatning, der står i rimeligt forhold til det tab, rettighedshaveren har lidt som følge af krænkelsen.
2.   Hver af parterne sikrer, at når dens judicielle myndigheder fastsætter erstatningen:
a)
tager de hensyn til alle relevante aspekter, såsom negative økonomiske konsekvenser, herunder den forurettedes tab af fortjeneste, den krænkende parts uberettigede fortjeneste og, når det er hensigtsmæssigt, andre elementer end de økonomiske, f.eks. den ikkeøkonomiske skade rettighedshaveren har lidt som følge af krænkelsen eller
b)
kan de, som et alternativ til litra a), når det er hensigtsmæssigt, fastsætte erstatningen til et fast beløb på grundlag af elementer, der som minimum svarer til størrelsen af de gebyrer eller afgifter, som den krænkende part skulle have betalt, hvis han havde anmodet om tilladelse til at anvende den pågældende intellektuelle ejendomsrettighed.
3.   I sager, hvor den krænkende part har krænket intellektuelle ejendomsrettigheder uden at vide det eller uden at have rimelig grund til at vide det, kan hver af parterne bestemme, at de judicielle myndigheder kan træffe beslutning om tilbagebetaling af et overskud eller om betaling af en erstatning, der kan være fastsat på forhånd.
Artikel 266
Sagsomkostninger
Hver af parterne sikrer, at rimelige og forholdsmæssigt afpassede sagsomkostninger og andre udgifter, som den part, der har vundet sagen, har afholdt, som generel regel bæres af den part, der har tabt sagen, medmindre billighedshensyn taler imod dette.
Artikel 267
Offentliggørelse af retsafgørelser
Hver af parterne sikrer, at de judicielle myndigheder i søgsmål vedrørende krænkelse af intellektuelle ejendomsrettigheder kan træffe afgørelse om, at der på begæring af rekvirenten og for den krænkende parts regning træffes passende foranstaltninger til formidling af information om afgørelsen, og at retsafgørelsen opslås og offentliggøres i sin helhed eller i uddrag.
Artikel 268
Formodning om ophavs- eller ejendomsret
Ved anvendelse af de i kapitel 3 omhandlede foranstaltninger, procedurer og retsmidler gælder følgende:
a)
for at ophavsmanden til et litterært eller kunstnerisk værk kan betragtes som ophavsmand og dermed være berettiget til at anlægge sag om krænkelse, indtil det modsatte er bevist, er tilstrækkeligt, at ophavsmandens navn er anført på værket på sædvanlig måde, og
b)
litra a) finder tilsvarende anvendelse på indehavere af ophavsretbeslægtede rettigheder for så vidt angår det beskyttede materiale.
Artikel 269
Administrative procedurer
I den udstrækning der kan træffes civilretlige foranstaltninger som følge af de administrative procedurer i forbindelse med en sag, skal disse procedurer stemme overens med principper, der indholdsmæssigt svarer til de i dette afsnit fastsatte.
AFDELING 3
CIVILRETLIGE PROCEDURER OG FORANSTALTNINGER  VEDRØRENDE FORRETNINGSHEMMELIGHEDER
Artikel 270
Civilretlige procedurer og foranstaltninger vedrørende forretningshemmeligheder
1.   Hver af parterne sikrer, at enhver person, som deltager i civilretlige sager jf. artikel 252, stk. 1, eller som har adgang til dokumenter, der indgår som led i disse retssager, ikke har tilladelse til at bruge eller videregive forretningshemmeligheder eller påståede forretningshemmeligheder, som de kompetente judicielle myndigheder som svar på en behørigt begrundet anmodning fra den interesserede part har identificeret som fortrolige, og som de er blevet bekendt med som følge af en sådan deltagelse eller adgang.
2.   Hver af parterne sikrer, at forpligtelsen i stk. 1 forbliver i kraft, efter at den civilretlige retssag er afsluttet, i relevant omfang.
3.   I de civilretlige sager jf. artikel 252, stk. 1, bestemmer hver part, at dens judicielle myndigheder har beføjelse til som minimum at:
a)
træffe afgørelse om midlertidige foranstaltninger i overensstemmelse med deres respektive love og administrative bestemmelser for at bringe brugen af eller videregivelsen af forretningshemmeligheden på en måde, der er i strid med redelig erhvervspraksis, til ophør
b)
i overensstemmelse med deres respektive love og administrative bestemmelser træffe afgørelse om foranstaltninger for at bringe brugen af eller videregivelsen af forretningshemmeligheden på en måde, der er i strid med redelig erhvervspraksis til ophør eller eventuelt forbyde denne brug eller videregivelse, til ophør
c)
i overensstemmelse med deres respektive love og administrative bestemmelser beordre enhver person, som har erhvervet, anvendt eller videregivet en forretningshemmelighed på en måde, der er i strid med redelig erhvervspraksis, og som vidste eller burde vide, at han eller hun erhvervede, brugte eller videregav en forretningshemmelighed på en måde, der er i strid med redelig erhvervspraksis, til at betale forretningshemmelighedshaveren en erstatning, der svarer til den faktiske skade, der er lidt som følge af en sådan erhvervelse, brug eller videregivelse af forretningshemmeligheden
d)
træffe særlige foranstaltninger, der er nødvendige for at bevare forretningshemmeligheder eller en påstået forretningshemmelighed, som anvendes, eller som der henvises til i de procedurer, der er omhandlet i artikel 252, stk. 1. Sådanne særlige foranstaltninger kan i overensstemmelse med hver af parternes respektive love og administrative bestemmelser, herunder retten til et forsvar, omfatte muligheden for helt eller delvist at begrænse adgangen til visse dokumenter, begrænse adgangen til retsmøder og de tilsvarende protokoller eller udskrifter og stille en ikkefortrolig udgave af en retsafgørelse til rådighed, hvori de afsnit, der indeholder forretningshemmeligheder, er fjernet eller gjort ulæselige
e)
pålægge sanktioner over for enhver person, der deltager i retssager, og som undlader eller nægter at efterkomme rettens påbud om beskyttelse af forretningshemmeligheder eller en påstået forretningshemmelighed.
4.   Hver af parterne sikrer i overensstemmelse med dens love og administrative bestemmelser, at en ansøgning om den foranstaltning, de procedurer eller retsmidler, der er omhandlet i denne artikel, afvises, hvis den påståede erhvervelse, brug eller videregivelse af en forretningshemmelighed i strid med redelig erhvervspraksis er blevet gennemført:
a)
for at afsløre fejl, forseelser eller ulovlige aktiviteter med det formål at beskytte almenhedens interesse
b)
som arbejdstageres videregivelse af oplysninger til deres repræsentanter som led i og som er nødvendig for disse repræsentanters legitime udøvelse af deres hverv
c)
for at beskytte legitime interesser, der er anerkendt i denne parts love og administrative bestemmelser.
AFDELING 4
GRÆNSEKONTROL
Artikel 271
Foranstaltninger ved grænsen
1.   For så vidt angår varer under toldkontrol indfører eller opretholder hver af parterne procedurer, som giver rettighedshaveren mulighed for at indgive anmodninger til en kompetent myndighed 
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)
 om at få suspenderet frigivelsen af eller få tilbageholdt varer, der mistænkes for at krænke en intellektuel ejendomsrettighed. I denne underafdeling forstås ved "varer, der mistænkes for at krænke en intellektuel ejendomsrettighed" varer, der mistænkes for at krænke varemærker, ophavsret og beslægtede rettigheder, geografiske betegnelser, patenter, brugsmodeller, industrielle design, integrerede kredsløbs topografi og sortsbeskyttelse.
2.   Hver af parterne skal råde over elektroniske systemer til toldbehandling af de ansøgninger, der er meddelt eller registreret.
3.   Hver af parterne sikrer, at dens kompetente myndigheder ikke opkræver et gebyr for at dække administrationsomkostningerne i forbindelse med behandlingen af en ansøgning eller en registrering.
4.   Hver af parterne sikrer, at dens kompetente myndigheder træffer afgørelse om imødekommelse eller registrering af ansøgninger inden for en rimelig frist.
5.   Hver af parterne sørger for, at de i stk. 1 omhandlede anmodninger gælder for flere forsendelser.
6.   For så vidt angår varer under toldkontrol sikrer hver af parterne, at dens toldmyndigheder på eget initiativ kan gribe ind for at suspendere frigivelsen af eller tilbageholde varer, der mistænkes for at krænke en intellektuel ejendomsrettighed.
7.   Hver af parterne sikrer, at dens toldmyndigheder anvender risikoanalyse til at identificere varer, der mistænkes for at krænke en intellektuel ejendomsrettighed.
8.   En part kan tillade, at dens toldmyndighed giver efter anmodning en rettighedshaver oplysninger om varer, herunder en beskrivelse og de faktiske eller skønnede mængder heraf, og hvis det er kendt, navn og adresse på afsender, importør, eksportør eller modtager, samt oprindelseslandet eller afsendelseslandet for de varer, hvis frigivelse er blevet suspenderet, eller som er blevet tilbageholdt.
9.   Hver af parterne skal have indført procedurer, der gør det muligt at tilintetgøre varer, der mistænkes for at krænke en intellektuel ejendomsrettighed, uden at der er behov for forudgående administrative sager eller retssager til den formelle konstatering af sådanne overtrædelser, hvis de berørte personer er enige eller ikke modsætter sig tilintetgørelsen. I tilfælde, hvor varer, der mistænkes for at krænke en intellektuel ejendomsrettighed, ikke tilintetgøres, skal hver part sikre, at sådanne varer undtagen i ekstraordinære tilfælde afhændes uden for handelsleddene på en sådan måde, at rettighedshaveren ikke skades.
10.   Hver af parterne skal have indført procedurer, der gør det muligt hurtigt at tilintetgøre varemærkeforfalskede og piratkopierede varer, der er fremsendt som post- eller ekspreskurérforsendelser.
11.   Hver part fastsætter, at indehaveren af den meddelte eller registrerede anmodning, hvis toldmyndighederne anmoder herom, er forpligtet til at godtgøre de omkostninger, som toldmyndighederne eller andre parter, der handler på toldmyndighedernes vegne, har pådraget sig fra det tidspunkt, hvor varerne tilbageholdes eller suspenderes, herunder oplagring, håndtering, og alle omkostninger i forbindelse med tilintetgørelsen eller bortskaffelsen af varerne.
12.   Hver af parterne kan beslutte ikke at anvende denne artikel på importen af varer, der udbydes på et andet lands marked af rettighedshaverne eller med deres samtykke. En part kan udelukke varer af ikkekommerciel karakter, der er indeholdt i rejsendes personlige bagage, fra anvendelsen af denne artikel.
13.   Hver af parterne tillader sine toldmyndigheder at opretholde en regelmæssig dialog og fremme samarbejdet med de relevante interessenter og med andre myndigheder, der er involveret i håndhævelsen af intellektuelle ejendomsrettigheder.
14.   Parterne samarbejder vedrørende international handel med varer, der mistænkes for at krænke en intellektuel ejendomsrettighed. Parterne udveksler navnlig, så vidt muligt, relevante oplysninger om handel med varer, der mistænkes for at krænke en intellektuel ejendomsrettighed, som berører den anden part.
15.   Med forbehold af andre former for samarbejde finder protokollen om gensidig administrativ bistand i toldspørgsmål anvendelse på overtrædelser af lovgivningen om intellektuel ejendomsret, som toldmyndighederne i en part har kompetence til at håndhæve i overensstemmelse med denne artikel.
Artikel 272
Overensstemmelse med GATT 1994 og TRIPS-aftalen
Parterne skal ved gennemførelsen af grænseforanstaltninger til toldmyndighedernes håndhævelse af intellektuelle ejendomsrettigheder, uanset om de er omfattet af denne afdeling, sikre overensstemmelse med deres forpligtelser i henhold til GATT 1994 og TRIPS-aftalen, særlig artikel V i GATT 1994 og artikel 41 og del III, afdeling 4, i TRIPS-aftalen.
KAPITEL 4
ANDRE BESTEMMELSER
Artikel 273
Samarbejde
1.   Parterne samarbejder med henblik på at støtte gennemførelsen af de tilsagn og forpligtelser, der indgås i henhold til dette afsnit.
2.   Samarbejdet omfatter, men er ikke begrænset til:
a)
udveksling af oplysninger om de retlige rammer for intellektuelle ejendomsrettigheder og relevante regler for beskyttelse og håndhævelse
b)
udveksling af erfaringer om lovgivningsmæssige fremskridt, håndhævelse af intellektuelle ejendomsrettigheder og håndhævelse på centralt og subcentralt niveau udført af toldvæsen og politi samt administrative og retslige organer
c)
samordning, også med andre lande, med henblik på at forhindre eksport af forfalskede varer
d)
teknisk bistand, kapacitetsopbygning, udveksling og uddannelse af personale
e)
beskyttelse og forsvar af intellektuelle ejendomsrettigheder samt udbredelse af oplysninger herom, bl.a. i erhvervslivet og civilsamfundet
f)
bevidstgørelse af forbrugere og rettighedshavere og
g)
styrkelse af institutionelt samarbejde, navnlig mellem parternes IPR-kontorer
h)
uddannelse og bevidstgørelse af offentligheden om politikker vedrørende beskyttelse og håndhævelse af intellektuelle ejendomsrettigheder
i)
fremme af beskyttelse og håndhævelse af intellektuelle ejendomsrettigheder gennem offentlig-privat samarbejde med deltagelse af små og mellemstore virksomheder
j)
udarbejdelse af effektive strategier med henblik på at udpege målgrupper og oplysningsprogrammer for at øge forbrugernes og mediernes bevidsthed om følgerne af krænkelser af intellektuelle ejendomsrettigheder, herunder risiciene for sundhed og sikkerhed og forbindelsen til den organiserede kriminalitet.
3.   Parterne holder, enten direkte eller gennem Handelsspecialudvalget vedrørende Intellektuel Ejendomsret, kontakt om alle spørgsmål vedrørende dette afsnits gennemførelse og funktion.
Artikel 274
Frivillige initiativer fra interesserede parter
Hver af parterne bestræber sig på at lette frivillige interessentinitiativer for at begrænse krænkelser af intellektuelle ejendomsrettigheder, herunder online og på andre markedspladser, ved at fokusere på konkrete problemer og søge praktiske løsninger, der er realistiske, afbalancerede, forholdsmæssige og rimelige for alle berørte parter, herunder på følgende måder:
a)
hver part bestræber sig på i fællesskab at indkalde interessenter på sit område for at fremme frivillige initiativer med henblik på at finde løsninger og afhjælpe forskelle med hensyn til beskyttelse og håndhævelse af intellektuelle ejendomsrettigheder samt begrænsning af overtrædelser
b)
parterne bestræber sig på at udveksle oplysninger indbyrdes om bestræbelserne på at lette frivillige interessentinitiativer på deres respektive områder, og
c)
parterne bestræber sig på at fremme en åben dialog og et åbent samarbejde mellem parternes interessenter og tilskynde parternes interessenter til i fællesskab at finde løsninger og afklare forskelle med hensyn til beskyttelse og håndhævelse af intellektuelle ejendomsrettigheder og begrænsning af overtrædelser.
Artikel 275
Revision i forbindelse med geografiske betegnelser
Under henvisning til de relevante bestemmelser i en tidligere bilateral aftale mellem Det Forenede Kongerige på den ene side og Den Europæiske Union og Det Europæiske Atomenergifællesskab på den anden side kan parterne i fællesskab gøre en rimelig indsats for at nå til enighed om regler for beskyttelse og effektiv national håndhævelse af deres geografiske betegnelser.
AFSNIT VI
OFFENTLIGE UDBUD
KAPITEL 1
ANVENDELSESOMRÅDE
Artikel 276
Formål
Formålet med dette afsnit er at sikre, at parternes leverandører har forbedrede muligheder for at deltage i offentlige udbudsprocedurer og øge gennemsigtigheden i offentlige udbudsprocedurer.
Artikel 277
Indarbejdelse af visse bestemmelser i GPA-aftalen og omfattede udbud
1.   Bestemmelserne i GPA-aftalen, der er specificeret i bilag 25, afdeling A, herunder bilagene for hver part til tillæg I til GPA-aftalen, indarbejdes i dette afsnit.
2.   I dette afsnit forstås ved "omfattede udbud" udbud, hvor GPA-aftalens artikel II finder anvendelse, og desuden udbud, der er anført i bilag 25, afdeling B.
3.   Med hensyn til de omfattede udbud anvender parterne med de fornødne ændringer bestemmelserne i den GPA, der er anført i bilag 25, afdeling A, på den anden parts leverandører, varer eller tjenesteydelser.
KAPITEL 2
SUPPLERENDE REGLER FOR OMFATTEDE UDBUD
Artikel 278
Anvendelse af elektroniske midler i udbud
1.   Hver af parterne sikrer, at deres ordregivende enheder så vidt muligt gennemfører omfattede udbud ved hjælp af elektroniske midler.
2.   En ordregivende enhed anses for at have gennemført omfattede udbud ved hjælp af elektroniske midler, hvis enheden anvender elektroniske informations- og kommunikationsmidler til:
a)
offentliggørelse af udbudsbekendtgørelser og udbudsmateriale i forbindelse med udbudsprocedurer og
b)
indgivelse af ansøgninger om deltagelse og bud.
3.   Med undtagelse af særlige situationer skal sådanne elektroniske informations- og kommunikationsmidler være ikkediskriminerende, almindeligt tilgængelige og funktionelt kompatible med almindeligt anvendte produkter inden for informations- og kommunikationsteknologi og ikke begrænse adgangen til udbudsproceduren.
4.   Hver af parterne sikrer, at dens ordregivende enheder modtager og behandler elektroniske fakturaer i overensstemmelse med dens lovgivning.
Artikel 279
Elektronisk offentliggørelse
Med hensyn til omfattede udbud skal alle udbudsmeddelelser, herunder bekendtgørelser om påtænkte udbud, sammendrag, bekendtgørelser om planlagte udbud og bekendtgørelser om indgåede kontrakter være direkte tilgængelige ad elektronisk vej og vederlagsfrit via et enkelt adgangspunkt på internettet.
Artikel 280
Dokumentation
Hver part sikrer, at de ordregivende enheder på tidspunktet for indgivelse af ansøgninger om deltagelse eller på tidspunktet for afgivelse af tilbud ikke kræver, at leverandører fremlægger fuld eller delvis dokumentation for, at de ikke befinder sig i en af de situationer, hvor en leverandør kan udelukkes, og at de opfylder betingelserne for deltagelse, medmindre dette er nødvendigt for at sikre en korrekt gennemførelse af udbuddet.
Artikel 281
Betingelser for deltagelse
Hver af parterne sikrer, når dens ordregivende enheder kræver, at en leverandør som en betingelse for deltagelse i et omfattet offentligt udbud dokumenterer tidligere erfaring, at de ikke kræver, at leverandøren har en sådan erfaring på den pågældende parts område.
Artikel 282
Registreringssystemer og kvalifikationsprocedurer
En part, som opretholder et leverandørregistreringssystem, skal sikre, at interesserede leverandører til enhver tid kan anmode om registrering. Enhver interesseret leverandør, der har indgivet en anmodning, skal inden for en rimelig frist underrettes om beslutningen om imødekommelse af eller afslag på denne anmodning.
Artikel 283
Begrænset udbud
Hver part sikrer, at en ordregivende enhed, hvis den anvender et begrænset udbud, sender en opfordring til at afgive tilbud til en række leverandører, som er tilstrækkelig til at sikre reel konkurrence, uden at det påvirker udbudssystemets operationelle effektivitet.
Artikel 284
Unormalt lave priser
Som følge af GPA-aftalens artikel XV, stk. 6, kan en ordregivende enhed, der modtager et tilbud med en pris, der er unormalt lavere end priserne i de andre indkomne tilbud, også kontrollere, om leverandøren ved prisfastsættelsen tager hensyn til eventuelle subsidier.
Artikel 285
Miljømæssige, sociale og arbejdsmarkedsmæssige forhold
Hver part sikrer, at dens ordregivende enheder kan tage hensyn til miljømæssige, arbejdsmarkedsmæssige og sociale forhold under hele udbudsproceduren, forudsat at disse hensyn er forenelige med de regler, der er fastsat i kapitel 1 og 2 og er anført i bekendtgørelsen om påtænkte udbud eller i en anden bekendtgørelse, der anvendes som bekendtgørelse om påtænkte udbud eller udbudsmateriale.
Artikel 286
Nationale klageprocedurer
1.   Hvis en part udpeger en upartisk forvaltningsmyndighed i henhold til GPA-aftalens artikel XVIII, stk. 4, skal denne part sørge for:
a)
at medlemmerne af den udpegede myndighed er uafhængige, upartiske og fri for udefrakommende indflydelse i deres mandatperiode
b)
at medlemmerne af den udpegede myndighed ikke afskediges mod deres vilje i løbet af deres mandatperiode, medmindre deres afskedigelse er påkrævet i henhold til bestemmelserne vedrørende den udpegede myndighed, og
c)
at formanden eller mindst ét andet medlem af den udpegede myndighed har retlige og faglige kvalifikationer svarende til dem, der kræves af dommere, advokater eller andre juridiske eksperter, der er kvalificerede i henhold til partens love og forskrifter.
2.   Hver af parterne skal indføre eller opretholde procedurer, der giver mulighed for hurtige foreløbige foranstaltninger for at bevare leverandørens mulighed for at deltage i udbudsforretningen. Sådanne foreløbige foranstaltninger, som er omhandlet i GPA-aftalens artikel XVIII, stk. 7, litra a), kan indebære suspension af udbudsproceduren eller, hvis den ordregivende enhed har indgået en kontrakt, og hvis en part har fastsat bestemmelser herom, suspension af kontraktens gennemførelse. Det kan i procedurerne fastsættes, at der ved afgørelsen om, hvorvidt sådanne foranstaltninger skal bringes i anvendelse, kan tages hensyn til overvejende negative konsekvenser for de involverede interesser, herunder offentlighedens interesser. Den legitime grund til at undlade at træffe foranstaltninger skal forelægges skriftligt.
3.   Hvis en interesseret eller deltagende leverandør har indgivet en protest til den udpegede myndighed, der er omhandlet i stk. 1, skal hver af parterne i princippet sikre, at en ordregivende enhed ikke indgår kontrakten, før denne myndighed har truffet en afgørelse eller afgivet en anbefaling om protesten med hensyn til foreløbige foranstaltninger, korrigerende foranstaltninger eller kompensation for tab eller skadeserstatning som omhandlet i stk. 2, 5 og 6 i overensstemmelse med deres regler, forskrifter og procedurer. Hver part kan fastsætte bestemmelser om, at kontrakten dog kan indgås, hvis der foreligger uafvendelige og behørigt begrundede omstændigheder.
4.   Hver part kan indføre bestemmelser, der giver mulighed for:
a)
en standstill-periode mellem beslutningen om kontrakttildeling og selve indgåelsen af kontrakten for at give de afviste leverandører tilstrækkelig tid til at vurdere, om det er hensigtsmæssigt at indlede en klageprocedure, eller
b)
en tilstrækkelig periode til, at en interesseret leverandør kan indgive en protest, som kan danne grundlag for suspension af kontraktens gennemførelse.
5.   En korrigerende foranstaltning i henhold til GPA-aftalens artikel XVIII, stk. 7, litra b), kan omfatte et eller flere af følgende:
a)
fjernelse af diskriminerende tekniske, økonomiske eller finansielle specifikationer i udbudsmaterialet, kontraktdokumenterne eller andre dokumenter, der vedrører udbudsproceduren og gennemførelsen af nye udbudsprocedurer
b)
gentagelse af udbudsproceduren uden at ændre betingelserne
c)
annullering af beslutningen om tildeling af kontrakten og vedtagelse af en ny beslutning om kontrakttildeling
d)
opsigelse af en kontrakt eller erklæring om, at den er uden virkning, eller
e)
vedtagelse af andre foranstaltninger med det formål at afhjælpe en overtrædelse af kapitel 1 og 2, f.eks. et påbud om at betale et bestemt beløb, indtil overtrædelsen er blevet afhjulpet.
6.   Hver af parterne kan i overensstemmelse med GPA-aftalens artikel XVIII, stk. 7, litra b), fastsætte bestemmelser om tildeling af kompensation for tab eller skade. Hvis en parts klageinstans ikke er en domstol, og en leverandør er af den opfattelse, at der er sket en overtrædelse af nationale love og forskrifter til gennemførelse af forpligtelserne i medfør af dette afsnits kapitel 1 og 2, kan leverandøren forelægge sagen for en domstol, herunder med henblik på at søge kompensation i overensstemmelse med partens retslige procedurer.
7.   Hver af parterne skal indføre eller opretholde de nødvendige procedurer til at sikre en effektiv gennemførelse af klageinstansers afgørelser eller anbefalinger eller en effektiv håndhævelse af retslige klageinstansers afgørelser.
KAPITEL 3
NATIONAL BEHANDLING UD OVER OMFATTEDE UDBUD
Artikel 287
Definitioner
1.   I dette kapitel forstås ved en parts behandling i henhold til dette kapitel:
a)
for så vidt angår Det Forenede Kongerige en behandling, der ikke er mindre gunstig end den gunstigste behandling, der i lignende situationer indrømmes leverandører i Det Forenede Kongerige, og
b)
for så vidt angår en medlemsstat, en behandling, der ikke er mindre gunstig end den gunstigste behandling, der i lignende situationer i den pågældende medlemsstat indrømmes leverandører fra den pågældende medlemsstat.
2.   I dette kapitel forstås ved en parts leverandør, som er en juridisk person:
a)
for så vidt angår Unionen, en juridisk person, der er stiftet eller organiseret efter EU-lovgivningen eller en af dens medlemsstater og har væsentlige forretningsaktiviteter, ligestillet af Unionen i overensstemmelse med anmeldelsen af traktaten om oprettelse af Det Europæiske Fællesskab til WTO (dok. WT/REG39/1) med begrebet "reel og vedvarende forbindelse" med en medlemsstats økonomi, jf. artikel 54 i TEUF, på Unionens område, og
b)
for så vidt angår Det Forenede Kongerige en juridisk person, der er stiftet eller organiseret i henhold til Det Forenede Kongeriges ret, og som udøver omfattende erhvervsaktivitet på Det Forenede Kongeriges område.
Artikel 288
National behandling af lokalt etablerede leverandører
1.   For så vidt angår udbud må en foranstaltning truffet af en part ikke medføre, at leverandører fra den anden part, der er etableret på dens område, gennem oprettelse, erhvervelse eller opretholdelse af en juridisk person behandles mindre gunstigt, end den pågældende part behandler sine egne tilsvarende leverandører 
(
41
)
.
2.   Anvendelsen af den i denne artikel omhandlede nationale forpligtelse til behandling er underlagt sikkerhedsrelaterede og generelle undtagelser som defineret i GPA-aftalens artikel III, selv om indkøbet ikke er omfattet af udbud i overensstemmelse med dette afsnit.
KAPITEL 4
ANDRE BESTEMMELSER
Artikel 289
Ændringer og berigtigelser af markedsadgangsforpligtelser
Hver af parterne kan ændre eller berigtige sine markedsadgangsforpligtelser i den respektive underafdeling i henhold til bilag 25, afdeling B, i overensstemmelse med de procedurer, der er fastsat i artikel 290-293.
Artikel 290
Ændringer
1.   En part, der agter at ændre en underafdeling i bilag 25, afdeling B, skal:
a)
meddele dette skriftligt til den anden part og
b)
i meddelelsen foreslå den anden part passende kompensationstilpasninger for at opretholde et niveau for markedsadgangsforpligtelser, der svarer til niveauet før ændringen.
2.   Uanset stk. 1, litra b), er en part ikke forpligtet til at foreslå den anden part kompensationstilpasninger, hvis den foreslåede ændring omfatter en ordregivende enhed, som parten faktisk har fjernet sin kontrol over eller indflydelse på for så vidt angår de omfattede udbud.
En parts kontrol over eller indflydelse på ordregivende enheders omfattede udbud formodes at være reelt fjernet, hvis den ordregivende enhed er udsat for konkurrence på markeder, hvortil adgangen er fri.
3.   Den anden part kan gøre indsigelse mod ændringen i stk. 1, litra a), hvis den anfægter, at:
a)
en kompensationstilpasning, der foreslås i henhold til stk. 1, litra b), er tilstrækkelig til at opretholde et sammenligneligt niveau af gensidigt acceptable markedsadgangsforpligtelser eller
b)
ændringen omfatter en ordregivende enhed, som parten faktisk har fjernet sin kontrol over eller indflydelse på, jf. stk. 2.
Den anden part skal gøre sin indsigelse gældende skriftligt senest 45 dage efter modtagelsen af den meddelelse, der er omhandlet i stk. 1, litra a), ellers anses den for at have accepteret kompensationstilpasningen eller -ændringen, herunder med henblik på sjette del, afsnit I.
Artikel 291
Berigtigelser
1.   En part, der agter at berigtige en underafdeling i henhold til bilag 25, afdeling B, underretter skriftligt den anden part herom.
Følgende ændringer af en underafdeling i bilag 25, afdeling B, betragtes som en berigtigelse, forudsat at de ikke berører de i dette afsnit omhandlede gensidigt aftalte markedsadgangsforpligtelser:
a)
en ændring af en ordregivende enheds navn
b)
en sammenlægning af to eller flere ordregivende enheder, der er opført i den pågældende underafdeling, og
c)
en opdeling af en ordregivende enhed, der er opført i den pågældende underafdeling, i to eller flere ordregivende enheder, der tilføjes til de ordregivende enheder, der er opført i samme underafdeling.
2.   En part kan gøre indsigelse over for den anden part mod en foreslået berigtigelse senest 45 dage efter at have modtaget meddelelsen. En part, der fremsætter en indsigelse, skal forklare, hvorfor den mener, at den foreslåede berigtigelse ikke udgør en ændring som omhandlet i stk. 1, og redegøre for den foreslåede berigtigelses indvirkninger på de indbyrdes aftalte markedsadgangsforpligtelser, der er fastsat i dette afsnit. Er der ikke fremsat en sådan skriftlig indsigelse senest 45 dage efter modtagelsen af meddelelsen, anses parten for at have accepteret den foreslåede berigtigelse.
Artikel 292
Konsultationer og tvistbilæggelse
Hvis en part gør indsigelse mod den foreslåede ændring eller de foreslåede kompensationstilpasninger som omhandlet i artikel 290 eller den foreslåede berigtigelse, jf. artikel 291, søger parterne at løse problemet gennem konsultationer. Hvis der ikke er indgået en aftale senest 60 dage efter modtagelsen af indsigelsen, kan den part, der ønsker at ændre eller berigtige sin underafdeling i bilag 25, afdeling B, henvise sagen til tvistbilæggelse i overensstemmelse med sjette del, afsnit I, for at afgøre, hvorvidt indsigelsen er berettiget.
Artikel 293
Ændring af bilag 25, afdeling B
Hvis en part ikke gør indsigelse mod ændringen i henhold til artikel 290, stk. 3, eller mod en berigtigelse i henhold til artikel 291, stk. 2, eller mod ændringer eller berigtigelser aftalt af parterne i forbindelse med de konsultationer som omhandlet i artikel 292, eller man har løst sagen endeligt i henhold til sjette del, afsnit I, ændrer Partnerskabsrådet den relevante underafdeling i bilag 25, afdeling B, så den afspejler de tilsvarende ændringer eller berigtigelser eller kompensationstilpasninger.
Artikel 294
Samarbejde
1.   Parterne anerkender de fordele, der kan opstå ved samarbejde på internationalt plan om gensidig liberalisering af markederne for offentlige udbud.
2.   Parterne stiller årlige statistikker vedrørende omfattede udbud til rådighed for hinanden, såfremt de tekniske muligheder tillader det.
AFSNIT VII
SMÅ OG MELLEMSTORE VIRKSOMHEDER
Artikel 295
Formål
Formålet med dette afsnit er at øge små og mellemstore virksomheders mulighed for at drage fordel af denne sektion.
Artikel 296
Udveksling af oplysninger
1.   Hver part opretter eller opretholder deres eget offentligt tilgængelige websted for små og mellemstore virksomheder med oplysninger om denne sektion, herunder:
a)
et sammendrag af denne sektion
b)
en beskrivelse af bestemmelserne i denne sektion, som hver part anser for at være relevante for begge parters små og mellemstore virksomheder, og
c)
eventuelle yderligere oplysninger, som hver part anser for at være nyttige for små og mellemstore virksomheder, der er interesserede i at drage fordel af denne sektion.
2.   Hver part indsætter et internetlink på det i stk. 1 omhandlede websted til:
a)
teksten til denne sektion
b)
den anden parts tilsvarende websted og
c)
egne myndigheders websteder, som efter partens mening kan give nyttige oplysninger til personer, der er interesserede i at handle og drive forretning på dens område.
3.   Hver part indsætter på det i stk. 1 omhandlede websted et internetlink til sine egne myndigheders websteder med oplysninger om følgende:
a)
toldlove og -bestemmelser, procedurer for import, eksport og transit samt relevante formularer, dokumenter og andre nødvendige oplysninger
b)
love, administrative bestemmelser og procedurer vedrørende intellektuel ejendomsret, herunder geografiske betegnelser
c)
tekniske love og forskrifter, herunder om nødvendigt obligatoriske procedurer for overensstemmelsesvurdering og links til lister over overensstemmelsesvurderingsorganer, i tilfælde hvor tredjepartsoverensstemmelsesvurdering er obligatorisk, jf. afsnit I, kapitel 4
d)
love og forskrifter vedrørende sundheds- og plantesundhedsforanstaltninger i forbindelse med import og eksport som omhandlet i afsnit I, kapitel 3
e)
love og forskrifter vedrørende offentlige udbud, fælles adgangspunkt på internettet til bekendtgørelser om offentlige udbud i henhold til afsnit VI og andre relevante bestemmelser i samme afsnit
f)
procedurer for registrering af virksomheder og
g)
andre oplysninger, som ifølge parten kan være til hjælp for små og mellemstore virksomheder.
4.   Hver part indsætter på det i stk. 1 omhandlede websted et internetlink til en database, hvori der kan søges elektronisk på toldnomenklaturkode, og som indeholder følgende oplysninger om adgang til dens marked:
a)
vedrørende toldmæssige foranstaltninger og takstrelaterede oplysninger:
i)
toldsatser og kvoter, herunder mestbegunstiget nation, satser for nationer, der ikke er mestbegunstigede, samt præferencetoldsatser og toldkontingenter
ii)
punktafgifter
iii)
afgifter (moms/omsætningsafgift)
iv)
told eller andre gebyrer, herunder andre produktspecifikke gebyrer
v)
oprindelsesregler som omhandlet i afsnit I, kapitel 2
vi)
toldgodtgørelse, udsættelse eller andre former for lempelse, der reducerer, refunderer eller giver afkald på told
vii)
kriterier, der anvendes til at fastlægge varens toldværdi, og
viii)
andre toldmæssige foranstaltninger
b)
i henseende til toldnomenklaturrelaterede ikketoldmæssige foranstaltninger:
i)
oplysninger, der er nødvendige for importprocedurer, og
ii)
oplysninger om ikketoldmæssige foranstaltninger.
5.   Hver part ajourfører regelmæssigt eller efter anmodning fra den anden part de oplysninger og links, der er omhandlet i stk. 1-4, og som den angiver på sit websted, for at sikre, at disse oplysninger og links er ajourførte og nøjagtige.
6.   Hver part sikrer, at de oplysninger og links, der er omhandlet i stk. 1-4, fremlægges på en hensigtsmæssig måde for små og mellemstore virksomheder. Parterne tilstræber at gøre oplysningerne tilgængelige på engelsk.
7.   Der opkræves ikke gebyr for adgang til de oplysninger, der gives i henhold til stk. 1-4, af en person fra en af parterne.
Artikel 297
Kontaktpunkter for små og mellemstore virksomheder
1.   Efter denne aftales ikrafttræden udpeger hver part et kontaktpunkt, der skal varetage de opgaver, som er anført i denne artikel, og underrette den anden part om sine kontaktoplysninger. Parterne underretter straks hinanden om enhver ændring af disse kontaktoplysninger.
2.   Parternes kontaktpunkter for små og mellemstore virksomheder:
a)
bestræber sig på at sikre, at der tages hensyn til små og mellemstore virksomheders behov i forbindelse med gennemførelsen af denne sektion, og at begge parters små og mellemstore virksomheder kan drage fordel af denne sektion
b)
overvejer måder til at styrke samarbejdet mellem parterne på områder af relevans for små og mellemstore virksomheder med henblik på at øge handels- og investeringsmulighederne for små og mellemstore virksomheder
c)
sikrer, at de oplysninger, der er omhandlet i artikel 296, er ajourførte, nøjagtige og relevante for små og mellemstore virksomheder. Hver part kan gennem kontaktpunktet for små og mellemstore virksomheder foreslå yderligere oplysninger, som den anden part kan medtage på sine websteder, der vedligeholdes i overensstemmelse med artikel 296
d)
undersøger alle forhold af relevans for små og mellemstore virksomheder i forbindelse med gennemførelsen af denne sektion, herunder:
i)
udveksler oplysninger for at bistå Partnerskabsrådet med sin overvågning og gennemførelse af de aspekter af denne sektion, der vedrører små og mellemstore virksomheder
ii)
bistår specialudvalg, fælles arbejdsgrupper og kontaktpunkter, der er oprettet ved denne aftale, med at behandle spørgsmål af relevans for små og mellemstore virksomheder
e)
aflægger regelmæssig rapport med henblik på drøftelse om deres aktiviteter, i fællesskab eller individuelt, til Partnerskabsrådet og
f)
behandler ethvert andet spørgsmål, der opstår i forbindelse med denne aftale og vedrører små og mellemstore virksomheder, som parterne måtte blive enige om.
3.   Parternes kontaktpunkter for små og mellemstore virksomheder udfører deres arbejde via de kommunikationskanaler, parterne har aftalt, og som kan omfatte elektronisk post, videokonferencer eller andre midler. De kan også mødes, alt efter hvad der er relevant.
4.   Små og mellemstore virksomheders kontaktpunkter kan samarbejde med eksperter og eksterne organisationer, hvis det er relevant, i forbindelse med udførelsen af deres aktiviteter.
Artikel 298
Forhold til sjette del
Sjette del, afsnit I, finder ikke anvendelse på dette afsnit.
AFSNIT VIII
ENERGI
KAPITEL 1
ALMINDELIGE BESTEMMELSER
Artikel 299
Formål
Formålene med dette afsnit er at lette handel og investeringer mellem parterne på energi- og råstofområdet samt at støtte forsyningssikkerheden og den miljømæssige bæredygtighed, navnlig ved at bidrage til bekæmpelsen af klimaændringer på disse områder.
Artikel 300
Definitioner
1.   I dette afsnit forstås ved:
a)
"Agenturet for Samarbejde mellem Energireguleringsmyndigheder": det agentur, der blev oprettet ved Europa-Parlamentets og Rådets forordning (EU) 2019/942 
(
42
)
b)
"tilladelse": en tilladelse, licens, koncession eller et tilsvarende administrativt eller kontraktmæssigt instrument, hvormed en parts kompetente myndighed giver en enhed ret til at udøve en bestemt økonomisk aktivitet på sit område
c)
"balancering":
i)
for så vidt angår elektricitetssystemer, alle aktiviteter og processer inden for alle tidsperioder, med hvilke eltransmissionssystemoperatørerne på en kontinuerlig måde sikrer opretholdelsen af systemfrekvensen inden for et forud fastsat stabilitetsinterval og overensstemmelse med den mængde af reserver, som er nødvendig af hensyn til den påkrævede kvalitet
ii)
for så vidt angår gassystemer, handlinger, som foretages af gastransmissionssystemoperatører for at ændre gasstrømmene ind i eller ud af transmissionsnettet, dog ikke handlinger i forbindelse med gas, der ikke er registreret som udtræk fra systemet, og gas, som transmissionssystemoperatøren bruger til systemets drift
d)
"distribution":
i)
i forbindelse med elektricitet: transport af elektricitet via høj-, mellem- eller lavspændingsdistributionssystemer med henblik på levering af elektricitet til kunder; omfatter ikke forsyning
ii)
i forbindelse med gas: transport af naturgas gennem lokale eller regionale ledningsnet med henblik på levering af naturgas til kunder, men omfatter ikke forsyning
e)
"distributionssystemoperatør": en fysisk eller juridisk person, der er ansvarlig for driften, vedligeholdelsen og om nødvendigt udbygningen af el eller gasdistributionssystemet i et givet område samt i givet fald dets samkøringsforbindelser med andre systemer og for at sikre, at systemet på lang sigt kan tilfredsstille en rimelig efterspørgsel efter distribution af elektricitet eller gas
f)
"elsamkøringslinje": transmissionslinje:
i)
mellem parterne, eksklusive alle sådanne linjer udelukkende inden for det indre marked for elektricitet i Irland og Nordirland
ii)
mellem Storbritannien og det indre marked for elektricitet i Irland og Nordirland, som falder uden for anvendelsesområdet for nr. i)
g)
"energiprodukter": produkter, fra hvilke der genereres energi, angivet ved den tilhørende HS-kode i bilag 26
h)
"enhed": enhver fysisk person, juridisk person eller virksomhed eller en gruppe heraf
i)
"gassamkøringslinje": transmissionslinje, der krydser eller spænder over grænsen mellem parterne
j)
"produktion": fremstilling af elektricitet
k)
"kulbrinter": de varer, der er angivet ved den tilhørende HS-kode i bilag 26
l)
"sammenkoblingspunkt": i forbindelse med gas et fysisk eller virtuelt punkt, der forbinder Unionens og Det Forenede Kongeriges entry- og exitsystemer eller forbinder et entry- og exitsystem med en samkøringslinje, for så vidt disse punkter er underlagt reservationsprocedurer fra netbrugernes side
m)
"råstoffer": de varer, der er angivet ved det tilhørende HS-kapitel i bilag 26
n)
"vedvarende energi": en type energi, herunder elektrisk energi, der er produceret af vedvarende ikkefossile kilder
o)
"standardkapacitetsprodukt": i forbindelse med gas en vis transportkapacitetsmængde i løbet af et givet tidsrum og i et specifikt sammenkoblingspunkt
p)
"transmission":
i)
i forbindelse med elektricitet, transport af elektricitet via systemet for meget høj spænding og højspænding med henblik på levering af elektricitet til kunder eller distributionsvirksomheder; omfatter ikke forsyning
ii)
i forbindelse med gas, transport af naturgas gennem net, der hovedsagelig består af højtryksrørledninger, bortset fra opstrømsrørledningsnet og bortset fra den del af højtryksrørledninger, der hovedsagelig anvendes i forbindelse med lokal distribution af naturgas, med henblik på levering af naturgas til kunder; omfatter ikke forsyning
q)
"transmissionssystemoperatør": en fysisk eller juridisk person, der varetager transmissionsopgaven eller er ansvarlig for driften, vedligeholdelsen og om nødvendigt udbygningen af el eller gastransmissionssystemet i et givet område samt i givet fald dets samkøringsforbindelser med andre systemer, og for at sikre, at systemet på lang sigt kan tilfredsstille en rimelig efterspørgsel efter transport af gas eller elektricitet
r)
"opstrømsrørledningsnet": enhver rørledning eller ethvert net af rørledninger, der drives eller er anlagt som en del af et olie- eller gasproduktionsanlæg eller anvendes til at lede naturgas fra et eller flere af sådanne anlæg til et behandlingsanlæg, en behandlingsterminal eller en endelig kystlandingsterminal
2.   I dette afsnit forstås ved "ikkediskriminerende" og "ikkeforskelsbehandling" mestbegunstigelsesbehandling som defineret i artikel 130 og 138 og national behandling som defineret i artikel 129 og 137 samt en behandling på vilkår og betingelser, der ikke er mindre gunstige end dem, der indrømmes enhver anden lignende enhed i lignende situationer.
Artikel 301
Forbindelse med andre afsnit
1.   Denne sektions afsnit II, kapitel 2 og 3, finder anvendelse på energi og råstoffer. I tilfælde af uoverensstemmelse mellem nærværende afsnit og denne sektions afsnit II og bilag 19-24 har denne sektions afsnit II og bilag 19-24 forrang.
2.   Med henblik på artikel 20, når en part opretholder eller gennemfører et system for virtuel handel med naturgas eller elektricitet ved hjælp af rørledninger eller elektricitetsnet, dvs. et system, der ikke kræver fysisk identifikation af den transiterede naturgas eller elektricitet, men er baseret på et system med nettinginput og -output, anses de ruter, der er mest hensigtsmæssige for international transit som omhandlet i nævnte artikel, for at omfatte en sådan virtuel handel.
3.   Ved anvendelse af denne sektions afsnit XI, kapitel 3, finder bilag 27 også anvendelse. Denne sektions afsnit XI, kapitel 3, finder anvendelse på bilag 27. Artikel 375 finder anvendelse på tvister mellem parterne vedrørende fortolkningen og anvendelsen af bilag 27.
Artikel 302
Principper
Hver part bevarer retten til at vedtage, opretholde og håndhæve de foranstaltninger, der er nødvendige for at forfølge legitime mål for den offentlige politik, såsom sikring af forsyningen af energiprodukter og råstoffer, beskyttelse af samfundet, miljøet, herunder bekæmpelse af klimaændringer, folkesundhed og forbrugere samt fremme af sikkerhed og sikring, i overensstemmelse med bestemmelserne i denne aftale.
KAPITEL 2
ELEKTRICITET OG GAS
AFDELING 1
KONKURRENCE PÅ EL- OG GASMARKEDER
Artikel 303
Konkurrence på markeder og ikkeforskelsbehandling
1.   Med henblik på at sikre fair konkurrence sikrer hver part, at dens regelsæt for produktion, transmission, distribution eller forsyning af elektricitet eller naturgaser ikkediskriminerende med hensyn til regler, gebyrer og behandling.
2.   Hver part sikrer, at kunderne frit kan vælge, eller skifte til, en el- eller gasleverandør efter eget valg på deres respektive detailmarkeder i overensstemmelse med gældende love og bestemmelser.
3.   Uden at det berører hver parts ret til at fastsætte kvalitetskrav, finder bestemmelserne i dette kapitel vedrørende naturgas også anvendelse på biogas og gas fra biomasse eller andre typer gas, for så vidt som gassen teknisk og sikkert kan lade det indgå i og transporteres gennem naturgassystemet.
4.   Denne artikel finder ikke anvendelse på grænseoverskridende handel og berører ikke parternes ret til at regulere med henblik på at nå legitime mål for den offentlige politik på grundlag af objektive og ikkediskriminerende kriterier.
Artikel 304
Bestemmelser vedrørende engrosmarkederne for elektricitet og gas
1.   Hver part sikrer, at engrospriserne for elektricitet og gas afspejler det faktiske udbud og den faktiske efterspørgsel. Med henblik herpå sikrer hver part, at markedsreglerne for engrossalg af elektricitet og gas:
a)
tilskynder til fri prisdannelse
b)
ikke fastsætter nogen tekniske begrænsninger for prisfastsættelsen, som begrænser handelen
c)
muliggør effektiv lastfordeling af elproduktionsaktiver, energilagring og prisfleksibelt elforbrug og effektiv udnyttelse af elektricitetssystemet
d)
muliggør en effektiv anvendelse af naturgassystemet og
e)
muliggør integration af elektricitet fra vedvarende energikilder og sikre en effektiv og sikker drift og udvikling af elektricitetssystemet.
2.   Hver part sikrer, at balancemarkederne organiseres på en sådan måde, at de sikrer:
a)
ikkeforskelsbehandling mellem deltagerne og ikkediskriminerende adgang for deltagerne
b)
at tjenesteydelserne defineres på en gennemsigtig måde
c)
at tjenesteydelserne indkøbes på en gennemsigtig markedsbaseret måde under hensyntagen til fremkomsten af nye teknologier, og
d)
at producenter af vedvarende energi indrømmes rimelige og ikkediskriminerende vilkår, når de køber produkter og tjenesteydelser.
En part kan beslutte ikke at anvende litra c), hvis der ikke er konkurrence på markedet for balanceringstjenester.
3.   Hver part sikrer, at enhver kapacitetsmekanisme på elektricitetsmarkederne er klart defineret, gennemsigtig, forholdsmæssig og ikkediskriminerende. Ingen af parterne er forpligtet til at tillade kapacitet på den anden parts område at deltage i kapacitetsmekanismer på dens elmarkeder.
4.   Hver part foretager en vurdering af, hvilke foranstaltninger der er nødvendige for at lette integrationen af gas fra vedvarende energikilder.
5.   Denne artikel berører ikke parternes ret til at regulere med henblik på at nå legitime mål for den offentlige politik på grundlag af objektive og ikkediskriminerende kriterier.
Artikel 305
Forbud mod markedsmisbrug på engrosmarkederne for elektricitet og gas
1.   Hver part forbyder markedsmanipulation og insiderhandel på engrosmarkederne for elektricitet og naturgas, herunder over-the-counter-markeder, elektricitets- og naturgasbørser og markeder for handel med elektricitet og naturgas, kapacitet, balancering og systemydelser inden for alle tidsrammer, herunder termins-, day-ahead- og intraday-markeder.
2.   Hver part overvåger handelsaktiviteten på de pågældende markeder med henblik på at afsløre og forhindre handel baseret på intern viden og markedsmanipulation.
3.   Parterne samarbejder, herunder i overensstemmelse med artikel 318, med henblik på at afsløre og forhindre handel baseret på intern viden og kursmanipulation og kan, hvor det er relevant, udveksle oplysninger, herunder om markedsovervågning og håndhævelsesaktiviteter.
Artikel 306
Tredjepartsadgang til transmissions- og distributionsnet
1.   Hver part drager omsorg for, at der indføres en ordning for tredjeparts adgang til deres transmissions- og distributionssystemer, som bygger på offentliggjorte takster, der anvendes objektivt og ikkediskriminerende.
2.   Med forbehold af artikel 302 sikrer parterne, at transmissions- og distributionssystemoperatørerne på deres område inden for en rimelig frist fra datoen for anmodningen om adgang giver enheder på den pågældende parts marked adgang til deres transmissions- eller distributionssystemer.
Hver part sikrer, at transmissionssystemoperatørerne behandler producenter af vedvarende energi på rimelige og ikkediskriminerende vilkår med hensyn til tilslutning til og brug af elektricitetsnettet.
En transmissions- eller distributionssystemoperatør kan nægte adgang, hvis systemet ikke har den nødvendige kapacitet. Ethvert sådant afslag skal være behørigt begrundet.
3.   Uden at det berører legitime mål for den offentlige politik, sikrer hver part, at afgifter, der af transmissions- og distributionssystemoperatører pålægges enheder på den pågældende parts marked for adgang til, tilslutning til eller brug af net, og, hvor det er relevant, afgifter for tilknyttede netforstærkninger, er tilstrækkeligt omkostningsægte og gennemsigtige. Hver part sørger for offentliggørelse af de vilkår, betingelser, takster og alle oplysninger, der måtte være nødvendige for en effektiv udøvelse af retten til adgang til og brug af transmissions- og distributionssystemer.
4.   Hver part sikrer, at de takster og afgifter, der er omhandlet i stk. 1 og 3, anvendes på en ikkediskriminerende måde over for enheder på den pågældende parts marked.
Artikel 307
Systemdrift og adskillelse af transmissionssystemoperatører
1.   Hver part sikrer, at transmissionssystemoperatører udøver deres funktioner på en gennemsigtig og ikkediskriminerende måde.
2.   Hver part indfører ordninger for transmissionssystemoperatører, som effektivt fjerner enhver interessekonflikt, der opstår som følge af, at den samme person udøver kontrol over en transmissionssystemoperatør og en producent eller leverandør.
Artikel 308
Mål for den offentlige politik for tredjeparters adgang og adskillelse af ejerskabsforhold
1.   Når det er nødvendigt for at opfylde et legitimt mål for den offentlige politik og baseret på objektive kriterier, kan en part beslutte ikke at anvende artikel 306 og 307 på følgende:
a)
markeder eller systemer under opbygning eller isolerede markeder eller systemer
b)
infrastruktur, som opfylder betingelserne i bilag 28.
2.   Når det er nødvendigt for at opfylde et legitimt mål for den offentlige politik og baseret på objektive kriterier, kan en part beslutte ikke at anvende artikel 303 og 304 på følgende:
a)
små eller isolerede elektricitetsmarkeder eller -systemer
b)
små eller isolerede naturgasmarkeder eller -systemer eller naturgasmarkeder eller -systemer under opbygning.
Artikel 309
Eksisterende fritagelser for samkøringslinjer
Hver part sikrer, at fritagelser, der er indrømmet for samkøringslinjer mellem Unionen og Det Forenede Kongerige i henhold til artikel 63 i Europa-Parlamentets og Rådets forordning (EU) 2019/943 
(
43
)
 og i henhold til den lovgivning, hvorved artikel 36 i Europa-Parlamentets og Rådets direktiv 2009/73/EF 
(
44
)
, gennemføres i deres respektive jurisdiktioner, og hvis vilkår rækker ud over overgangsperioden, fortsat anvendes i overensstemmelse med lovgivningen i deres respektive jurisdiktioner og på de gældende vilkår.
Artikel 310
Uafhængig reguleringsmyndighed
1.   Hver part sikrer, at der udpeges og opretholdes en eller flere operationelt uafhængige reguleringsmyndigheder for elektricitet og gas med følgende beføjelser og opgaver:
a)
at fastsætte eller godkende takster, afgifter og betingelser for adgang til de net, der er nævnt i artikel 306, eller de metoder, der ligger til grund herfor
b)
at sikre overholdelse af ordningerne i artikel 307 og 308
c)
at udstede bindende afgørelser som minimum i relation til litra a) og b)
d)
at indføre effektive retsmidler.
2.   Ved udførelsen af disse opgaver og udøvelsen af disse beføjelser handler den eller de uafhængige reguleringsmyndigheder upartisk og gennemsigtigt.
AFDELING 2
HANDEL VIA SAMKØRINGSLINJER
Artikel 311
Effektiv anvendelse af elsamkøringslinjer
1.   Med henblik på at sikre en effektiv anvendelse af elsamkøringslinjerne mellem Den Europæiske Union og Det Forenede Kongerige sikrer hver part følgende:
a)
kapacitetsfordelingen og håndteringen af kapacitetsbegrænsninger på elsamkøringslinjerne er markedsbaseret, gennemsigtig og ikkediskriminerende
b)
elektricitetssamkøringslinjernes maksimale kapacitetsniveau stilles til rådighed, idet der tages hensyn til
i)
behovet for at sikre sikker systemdrift og
ii)
den mest effektive anvendelse af systemerne
c)
elsammenkoblingskapaciteten må kun indskrænkes i nødsituationer, og enhver sådan indskrænkning skal finde sted på en ikkediskriminerende måde
d)
der offentliggøres oplysninger om kapacitetsberegning til støtte for målene i denne artikel
e)
der er ingen netafgifter på enkeltstående transaktioner vedrørende elsammenkoblinger, og der er ingen mindstepriser for anvendelse af elsammenkoblinger
f)
kapacitetstildeling og håndtering af kapacitetsbegrænsninger på tværs af elsammenkoblinger koordineres mellem de berørte transmissionssystemoperatører i Unionen og transmissionssystemoperatører i Det Forenede Kongerige denne koordinering skal omfatte udvikling af ordninger, der kan skabe solide og effektive resultater inden for alle relevante tidsrammer, dvs. forwardkontrakter, day-ahead-, intraday- og balanceringsordninger, og
g)
ordninger for kapacitetstildeling og håndtering af kapacitetsbegrænsninger skal bidrage til gunstige betingelser for udvikling af og investeringer i økonomisk effektiv elsammenkobling.
2.   Den koordinering og de ordninger, der er nævnt i stk. 1, litra f), omfatter eller indebærer ikke, at Det Forenede Kongeriges transmissionssystemoperatører deltager i Unionens procedurer for kapacitetstildeling og håndtering af kapacitetsbegrænsninger.
3.   Hver part tager de nødvendige skridt til hurtigst muligt at indgå en flerpartsaftale om kompensation for omkostningerne ved at huse grænseoverskridende elektricitetsstrømme mellem:
a)
transmissionssystemoperatører, der deltager i ordningen for kompensation mellem transmissionssystemoperatører, der blev indført ved Kommissionens forordning (EU) nr. 838/2010 
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, og
b)
Det Forenede Kongeriges transmissionssystemoperatører.
4.   Den i stk. 3 omhandlede flerpartsaftale har til formål at sikre:
a)
at Det Forenede Kongeriges transmissionssystemoperatører behandles på lige fod med transmissionssystemoperatører i et land, der deltager i ordningen for kompensation mellem transmissionssystemoperatørerne, og
b)
at behandlingen af Det Forenede Kongeriges transmissionssystemoperatører ikke er gunstigere end behandlingen af en transmissionssystemoperatør, der deltager i ordningen for kompensation mellem transmissionssystemoperatørerne.
5.   Uanset stk. 1, litra e), kan der, indtil den i stk. 3 omhandlede flerpartsaftale er indgået, opkræves gebyr for brug af transmissionssystemet for planlagt import og eksport mellem Unionen og Det Forenede Kongerige.
Artikel 312
Ordninger for handel med elektricitet på alle tidspunkter
1.   Med hensyn til kapacitetstildeling og håndtering af kapacitetsbegrænsninger i day-ahead-fasen træffer Specialudvalget om Energi som en prioritet de nødvendige foranstaltninger i overensstemmelse med artikel 317 for at sikre, at transmissionssystemoperatørerne udvikler ordninger med tekniske procedurer i overensstemmelse med bilag 29 inden for en bestemt tidsfrist.
2.   Hvis Specialudvalget om Energi ikke henstiller, at parterne gennemfører sådanne tekniske procedurer i overensstemmelse med artikel 317, stk. 4, træffer det om nødvendigt beslutninger og fremsætter henstillinger om tildeling af elsammenkoblingskapacitet inden for day-ahead-markedets tidsramme i overensstemmelse med bilag 29.
3.   Specialudvalget om Energi gennemgår løbende ordningerne for alle tidsrammer og navnlig for balancerings- og intraday-tidsrammerne og kan henstille, at hver part anmoder sine transmissionssystemoperatører om at udarbejde tekniske procedurer i overensstemmelse med artikel 317 for at forbedre ordningen for en bestemt tidsramme.
4.   Specialudvalget om Energi gennemgår løbende, om de tekniske procedurer, der er udviklet i henhold til stk. 1, fortsat opfylder kravene i bilag 29, og tager straks stilling til eventuelle problemer, der konstateres.
Artikel 313
Effektiv anvendelse af gassamkøringslinjer
1.   Med henblik på at sikre en effektiv anvendelse af gassamkøringslinjerne mellem Den Europæiske Union og Det Forenede Kongerige sikrer hver part følgende:
a)
det maksimale kapacitetsniveau for gassamkøringslinjer stilles til rådighed under overholdelse af princippet om ikkediskrimination og under hensyntagen til:
i)
behovet for at sikre sikker systemdrift og
ii)
den mest effektive anvendelse af systemerne
b)
mekanismerne for kapacitetstildeling og procedurerne for håndtering af kapacitetsbegrænsninger for gassamkøringslinjer er markedsbaserede, gennemsigtige og ikkediskriminerende, og der anvendes generelt auktioner til tildeling af kapacitet i sammenkoblingspunkter.
2.   Hver part tager de nødvendige skridt til at sikre, at:
a)
transmissionssystemoperatørerne bestræber sig på i fællesskab at tilbyde standardkapacitetsprodukter, der består af tilsvarende entry- og exitkapacitet på begge sider af et sammenkoblingspunkt
b)
transmissionssystemoperatørerne koordinerer procedurerne for brugen af gassamkøringslinjer mellem EU-transmissionssystemoperatører og Det Forenede Kongeriges transmissionssystemoperatører.
3.   Den i stk. 2, litra b), omhandlede koordinering omfatter eller indebærer ikke, at britiske transmissionssystemoperatører deltager i Unionens procedurer for brug af gassamkøringslinjer.
AFDELING 3
NETUDVIKLING OG FORSYNINGSSIKKERHED
Artikel 314
Netudvikling
1.   Parterne samarbejder om at lette den rettidige udvikling og interoperabiliteten af energiinfrastruktur, som forbinder deres områder.
2.   Hver part sikrer, at der udarbejdes netudviklingsplaner for el- og gastransmissionssystemerne, at de offentliggøres og at de ajourføres regelmæssigt.
Artikel 315
Samarbejde om forsyningssikkerhed
1.   Parterne samarbejder om forsyningssikkerheden for elektricitet og gas.
2.   Parterne udveksler rettidigt oplysninger om enhver risiko, der er konstateret i henhold til artikel 316.
3.   Parterne udveksler de planer, der er omhandlet i artikel 316. For Unionens vedkommende kan disse planer være på medlemsstatsniveau eller regionalt niveau.
4.   Parterne underretter straks hinanden, hvis der foreligger pålidelige oplysninger om, at der kan indtræffe en afbrydelse af eller en anden krise i forbindelse med leveringen af elektricitet eller naturgas samt om foranstaltninger, der er planlagt eller truffet.
5.   Parterne underretter straks hinanden i tilfælde af en faktisk afbrydelse eller en anden krise med henblik på eventuelle koordinerede afhjælpnings- og genopretningsforanstaltninger.
6.   Parterne udveksler bedste praksis vedrørende kortsigtede og sæsonbestemte tilstrækkelighedsvurderinger.
7.   Parterne udvikler passende rammer for samarbejde om forsyningssikkerhed for elektricitet og naturgas.
Artikel 316
Risikoberedskab og nødplaner
1.   Hver part skal vurdere risici, der påvirker forsyningssikkerheden for elektricitet eller naturgas, herunder sandsynligheden for og virkningerne af sådanne risici, inklusive grænseoverskridende risici.
2.   Hver part skal fastlægge og regelmæssigt ajourføre planer for imødegåelse af konstaterede risici, der påvirker forsyningssikkerheden for elektricitet eller naturgas. Sådanne planerne skal indeholde de foranstaltninger, der er nødvendige for at fjerne eller afbøde sandsynligheden for og virkningerne af enhver risiko, der er identificeret i henhold til stk. 1, samt foranstaltninger til forberedelse til og afbødning af virkningerne af en elektricitets- eller naturgaskrise.
3.   Foranstaltningerne i de i stk. 2 omhandlede planer:
a)
skal være klart definerede, gennemsigtige, forholdsmæssige ikkediskriminerende og kontrollerbare
b)
må ikke i væsentlig grad fordreje handelen mellem parterne og
c)
må ikke bringe den anden parts forsyningssikkerhed af elektricitet eller naturgas i fare.
I tilfælde af en krise må parterne kun iværksætte ikkemarkedsbaserede foranstaltninger som en sidste udvej.
AFDELING 4
TEKNISK SAMARBEJDE
Artikel 317
Samarbejde mellem transmissionssystemoperatører
1.   Hver part sikrer, at transmissionssystemoperatører udvikler arbejdsordninger, som er effektive og inkluderende, med henblik på at støtte planlægnings- og driftsopgaver i forbindelse med opfyldelsen af målene i dette afsnit, herunder, når Specialudvalget om Energi anbefaler det, udarbejdelse af tekniske procedurer til effektiv gennemførelse af bestemmelserne i artikel 311-315.
De i første afsnit omhandlede arbejdsordninger skal omfatte en ramme for samarbejde mellem på den ene side det europæiske net af elektricitetstransmissionssystemoperatører, der er oprettet i henhold til forordning (EU) 2019/943 ("ENTSO-E"), og det europæiske net af transmissionssystemoperatører for gas, der er oprettet i henhold til Europa-Parlamentets og Rådets forordning (EF) nr. 715/2009 
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 ("ENTSOG"), og på den anden side transmissionssystemoperatørerne for elektricitet og gas i Det Forenede Kongerige. Disse rammer skal mindst dække følgende områder:
a)
el- og gasmarkeder
b)
adgang til net
c)
el- og gasforsyningssikkerhed
d)
offshoreenergi
e)
infrastrukturplanlægning
f)
effektiv anvendelse af el- og gassammenkoblinger og
g)
dekarbonisering af gas og gaskvalitet.
Specialudvalget om Energi enes om retningslinjer for arbejdsgange og rammer for samarbejde med henblik på formidling til transmissionssystemoperatører, så snart det er praktisk muligt.
De samarbejdsrammer, der er omhandlet i andet afsnit, indebærer ikke eller giver ikke Det Forenede Kongeriges transmissionssystemoperatører en status svarende til medlemskab af ENTSO-E eller ENTSOG.
2.   Specialudvalget om Energi kan henstille, at hver part anmoder sine transmissionssystemoperatører om at udarbejde de i stk. 1, første afsnit, omhandlede tekniske procedurer.
3.   Hver part sikrer, at dens respektive transmissionssystemoperatører anmoder om udtalelse fra Agenturet for Samarbejde mellem Energireguleringsmyndigheder og i Det Forenede Kongerige reguleringsmyndigheden, der er udpeget i overensstemmelse med artikel 310, om de respektive tekniske procedurer, i tilfælde af uenighed og under alle omstændigheder inden færdiggørelsen af de pågældende tekniske procedurer. Parternes respektive transmissionssystemoperatører forelægger de pågældende udtalelser sammen med udkastet til tekniske procedurer for Specialudvalget om Energi.
4.   Specialudvalget om Energi gennemgår udkastet til tekniske procedurer og kan henstille, at parterne gennemfører sådanne procedurer i deres respektive nationale ordninger under behørig hensyntagen til udtalelserne fra Agenturet for Samarbejde mellem Energireguleringsmyndigheder og den reguleringsmyndighed i Det Forenede Kongerige, der er udpeget i overensstemmelse med artikel 310. Specialudvalget om Energi overvåger, at sådanne tekniske procedurer fungerer effektivt, og kan henstille, at de ajourføres.
Artikel 318
Samarbejde mellem reguleringsmyndighederne
1.   Parterne sikrer, at Agenturet for Samarbejde mellem Energireguleringsmyndigheder og den reguleringsmyndighed i Det Forenede Kongerige, der er udpeget i henhold til artikel 310, så hurtigt som muligt udvikler kontakter og indfører administrative ordninger for at fremme opfyldelsen af denne aftales mål. Kontakten og de administrative ordninger skal mindst omfatte følgende områder:
a)
el- og gasmarkeder
b)
adgang til net
c)
forebyggelse af markedsmisbrug på engrosmarkederne for elektricitet og gas
d)
el- og gasforsyningssikkerhed
e)
infrastrukturplanlægning
f)
offshoreenergi
g)
effektiv anvendelse af el- og gassammenkoblinger
h)
samarbejde mellem transmissionssystemoperatører og
i)
dekarbonisering af gas og gaskvalitet.
Specialudvalget om Energi aftaler retningslinjer for administrative ordninger for et sådant samarbejde med henblik på formidling til reguleringsmyndighederne, så snart det er praktisk muligt.
2.   De administrative ordninger, der er omhandlet i stk. 1, indebærer ikke og giver ikke den reguleringsmyndighed i Det Forenede Kongerige, der er udpeget i henhold til artikel 310, en status svarende til deltagelse i Agenturet for Samarbejde mellem Energireguleringsmyndigheder.
KAPITEL 3
SIKKER OG BÆREDYGTIG ENERGI
Artikel 319
Vedvarende energi og energieffektivitet
1.   Hver part skal fremme energieffektivitet og anvendelsen af energi fra vedvarende energikilder.
Hver part sikrer, at regler vedrørende licens eller tilsvarende foranstaltninger, der gælder for energi fra vedvarende energikilder, er nødvendige og forholdsmæssige.
2.   Unionen bekræfter på ny målet for andelen af det endelige bruttoenergiforbrug, der skal komme fra vedvarende energikilder i 2030, som fastsat i Europa-Parlamentets og Rådets direktiv (EU) 2018/2001 
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.
Unionen bekræfter på ny sine mål for energieffektivitet for 2030 som fastsat i Europa-Parlamentets og Rådets direktiv 2012/27/EU om energieffektivitet 
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.
3.   Det Forenede Kongerige bekræfter på ny:
a)
sin ambition om andelen af energi fra vedvarende energikilder i det endelige bruttoenergiforbrug i 2030 som fastsat i den nationale energi- og klimaplan
b)
sin ambition om det absolutte primære og endelige energiforbrug i 2030 som fastsat i den nationale energi- og klimaplan.
4.   Parterne holder hinanden underrettet om de spørgsmål, der er omhandlet i stk. 2 og 3.
Artikel 320
Støtte til vedvarende energi
1.   Hver part sikrer, at støtte til elektricitet fra vedvarende energikilder fremmer integration af elektricitet fra vedvarende energikilder på elektricitetsmarkedet.
2.   Biobrændstoffer, flydende biobrændsler og biomasse må kun støttes som vedvarende energi, hvis de opfylder solide kriterier for bæredygtighed og drivhusgasemissionsbesparelser, som er underlagt verifikation.
3.   Hver part definerer klart eventuelle tekniske specifikationer, som udstyr og systemer til vedvarende energi skal opfylde, for at de kan være omfattet af støtteordninger. Der skal i forbindelse med sådanne tekniske specifikationer tages hensyn til det samarbejde, der er udviklet i henhold til artikel 91, 92 og 323.
Artikel 321
Samarbejde om udvikling af vedvarende offshoreenergi
1.   Parterne samarbejder om udviklingen af vedvarende offshoreenergi ved at udveksle bedste praksis og om nødvendigt lette udviklingen af konkrete projekter.
2.   På grundlag af energisamarbejdet i Nordsøen skal parterne gøre det muligt at oprette et særligt forum for tekniske drøftelser mellem Europa-Kommissionen, ministerier og offentlige myndigheder i medlemsstaterne, ministerier og offentlige myndigheder i Det Forenede Kongerige, transmissionssystemoperatører og offshoreenergiindustrien og interessenter i bredere forstand i forbindelse med udviklingen af offshorenet og det store potentiale for vedvarende energi i Nordsøregionen. Dette samarbejde skal mindst omfatte følgende områder:
a)
hybridprojekter og fælles projekter
b)
maritim fysisk planlægning
c)
støtteramme og finansiering
d)
bedste praksis for planlægning af henholdsvis onshore-net og offshore-net
e)
udveksling af oplysninger om nye teknologier og
f)
udveksling af bedste praksis vedrørende relevante regler, forskrifter og tekniske standarder.
Artikel 322
Risiko og sikkerhed offshore
1.   Parterne samarbejder og udveksler oplysninger med henblik på at opretholde et højt sikkerheds- og miljøbeskyttelsesniveau for alle offshore olie- og gasaktiviteter.
2.   Parterne træffer passende foranstaltninger for at forhindre større uheld i forbindelse med offshore olie- og gasaktiviteter og begrænse følgerne af sådanne uheld.
3.   Parterne fremmer udveksling af bedste praksis mellem deres myndigheder, der har kompetence med hensyn til sikkerhed og miljøbeskyttelse i forbindelse med offshore olie- og gasaktiviteter. Reguleringen af sikkerheden og miljøbeskyttelsen i forbindelse med offshore olie- og gasaktiviteter skal være uafhængig af alle funktioner i forbindelse med udstedelse af licenser til offshore olie- og gasaktiviteter.
Artikel 323
Samarbejde om standarder
I henhold til artikel 92 og 98 fremmer parterne samarbejdet mellem de reguleringsmyndigheder og standardiseringsorganer, som befinder sig på deres respektive områder, for at fremme udviklingen af internationale standarder for energieffektivitet og vedvarende energi, med henblik på at bidrage til bæredygtig energi- og klimapolitik.
Artikel 324
Forskning, udvikling og innovation
Parterne fremmer forskning, udvikling og innovation inden for energieffektivitet og vedvarende energi.
KAPITEL 4
ENERGIPRODUKTER OG RÅSTOFFER
Artikel 325
Eksportprisfastsættelse
En part må ikke ved hjælp af nogen som helst foranstaltninger såsom licenser eller minimumskvalitetskrav pålægge en højere pris ved eksport af energiprodukter eller råstoffer til den anden part end den pris, der opkræves for disse energiprodukter eller råvarer, når de er bestemt til hjemmemarkedet.
Artikel 326
Reguleret prisfastsættelse
Hvis en part beslutter at regulere prisen på den indenlandske forsyning af elektricitet eller naturgas til forbrugere, må den kun gøre dette for at nå et offentligt politisk mål og kun ved at indføre en reguleret pris, der er klart defineret, gennemsigtig, ikkediskriminerende og forholdsmæssig.
Artikel 327
Tilladelse til efterforskning efter og produktion af kulbrinter og produktion af elektricitet
1.   Hvis en part kræver tilladelse til efterforskning efter eller produktion af kulbrinter eller produktion af elektricitet, udsteder den pågældende part sådanne tilladelser på grundlag af objektive og ikkediskriminerende kriterier, der udarbejdes og offentliggøres inden begyndelsen af perioden for indgivelse af ansøgninger i overensstemmelse med de generelle betingelser og procedurer, der er fastsat i denne sektions afdeling 1, kapitel 5, afsnit II.
2.   Uanset denne artikels stk. 1 og artikel 301 kan hver part give tilladelse til efterforskning efter eller produktion af kulbrinter uden at overholde betingelserne og procedurerne for offentliggørelse i artikel 153 på grundlag af behørigt begrundede fritagelser som fastsat i gældende lovgivning.
3.   Finansielle bidrag eller bidrag i naturalier fra enheder, der har fået tilladelse, må ikke gribe ind i sådanne enheders ledelses- og beslutningsproces.
4.   Hver part sikrer, at den, der ansøger om tilladelse, har ret til at påklage enhver afgørelse om godkendelse til en højere eller en af den myndighed, der har truffet afgørelsen, uafhængig myndighed eller til at anmode om, at en sådan højere eller uafhængig myndighed tager denne afgørelse op til fornyet overvejelse. Hver part sikrer, at ansøgeren får en begrundelse for den administrative afgørelse, for at ansøgeren kan gøre brug af klageprocedurer, hvis det er nødvendigt. Den gældende regel om klage offentliggøres.
Artikel 328
Sikkerheden og integriteten af energiudstyr og -infrastruktur
Dette afsnit må ikke fortolkes således, at det hindrer en part i at vedtage midlertidige foranstaltninger, der er nødvendige for at beskytte energiudstyrs eller infrastrukturs sikkerhed, forudsat at disse foranstaltninger ikke anvendes på en sådan måde, at de udgør en skjult begrænsning af samhandelen eller investeringerne mellem parterne.
KAPITEL 5
AFSLUTTENDE BESTEMMELSER
Artikel 329
Effektiv gennemførelse og ændringer
1.   Partnerskabsrådet kan ændre bilag 26 og 28. Partnerskabsrådet kan ajourføre bilag 27, i det omfang det er nødvendigt for at sikre, at nævnte bilag fungerer over tid.
2.   Specialudvalget om Energi kan ændre bilag 29.
3.   Specialudvalget om Energi fremsætter om nødvendigt henstillinger for at sikre en effektiv gennemførelse af de kapitler i dette afsnit, som det er ansvarligt for.
Artikel 330
Dialog
Parterne fører regelmæssigt dialog for at lette opfyldelsen af målene i dette afsnit.
Artikel 331
Dette afsnits ophør
1.   Dette afsnit ophører med at finde anvendelse den 30. juni 2026.
2.   Uanset stk. 1 kan Partnerskabsrådet i perioden fra den 1. juli 2026 til den 31. december 2026 beslutte, at dette afsnit skal finde anvendelse indtil den 31. marts 2027. I perioden fra den 1. april 2027 til den 31. december 2027 samt på et hvilket som helst tidspunkt i et efterfølgende år kan Partnerskabsrådet beslutte, at dette afsnit skal finde anvendelse indtil den 31. marts det følgende år.
3.   Denne artikel finder anvendelse, uden at det berører artikel 509, 521 og 779.
AFSNIT IX
GENNEMSIGTIGHED
Artikel 332
Mål
1.   Parterne anerkender de virkninger, som de respektive lovgivningsmæssige rammer kan have for handel og investeringer mellem dem, og det er deres mål at etablere forudsigelige lovgivningsmæssige rammer og effektive procedurer til gavn for de økonomiske aktører og effektive procedurer, navnlig til gavn for små og mellemstore virksomheder.
2.   Parterne bekræfter deres forpligtelser vedrørende gennemsigtighed i henhold til WTO-aftalen, og bestemmelserne i dette afsnit er baseret på disse forpligtelser.
Artikel 333
Definition
I dette afsnit forstås ved "administrativ afgørelse" en afgørelse eller foranstaltning, der har retsvirkning for en bestemt person, vare eller tjenesteydelse i en konkret sag, og som omfatter undladelse af at træffe en afgørelse eller træffe en sådan foranstaltning, når dette kræves i henhold til en parts lovgivning.
Artikel 334
Anvendelsesområde
Dette afsnit finder anvendelse på denne sektions afsnit I-VIII og afsnit X-XII og sektion seks.
Artikel 335
Offentliggørelse
1.   Hver part sikrer, at dens alment gældende love, forskrifter, procedurer og administrative afgørelser straks offentliggøres via et officielt udpeget medie eller, hvis det er muligt, elektroniske midler, eller stilles til rådighed på en sådan måde, at enhver kan få kendskab dertil.
2.   Hver part redegør i hensigtsmæssigt omfang for formålet med og begrundelsen for foranstaltninger som omhandlet i stk. 1.
3.   Hver part fastsætter en rimelig frist mellem offentliggørelsen af sine love og forskrifter og deres ikrafttræden, medmindre det ikke er muligt på grund af sagens hastende karakter.
Artikel 336
Forespørgsler
1.   Hver part indfører eller opretholder passende og forholdsmæssige mekanismer til at besvare spørgsmål fra personer vedrørende love og forskrifter.
2.   Hver part afgiver straks oplysninger og besvarer spørgsmål fra den anden part vedrørende enhver lov eller enhver forskrift, der er i kraft eller planlagt, medmindre der indføres en særlig mekanisme i en anden bestemmelse i denne aftale.
Artikel 337
Forvaltning af alment gældende foranstaltninger
1.   Hver part forvalter sine alment gældende love, forskrifter, procedurer og administrative afgørelser på en objektiv, upartisk og rimelig måde.
2.   Når der indledes en administrativ procedure vedrørende personer, varer eller tjenesteydelser fra den anden part vedrørende anvendelsen af love eller forskrifter, skal hver part:
a)
give personer, der er direkte berørt af den administrative procedure, et rimeligt varsel i overensstemmelse med deres love og forskrifter, herunder en beskrivelse af procedurens art, en angivelse af den retlige myndighed, under hvilken proceduren indledes, og en generel gennemgang af de omtvistede spørgsmål, og
b)
give sådanne berørte personer rimelig mulighed for at fremlægge oplysninger og argumenter til støtte for deres synspunkter forud for enhver endelig administrativ afgørelse, hvis det er muligt under hensyn til tidshorisont, sagens art og offentlighedens interesse.
Artikel 338
Anke og appel
1.   Hver part opretter eller opretholder domstole, voldgiftsretter eller forvaltningsdomstole og procedurer med henblik på omgående prøvelse og, hvis det er berettiget, korrektion af administrative afgørelser. Hver part sikrer, at procedurerne for appel eller anke ved disse instanser gennemføres på en ikkediskriminerende og upartisk måde. Disse instanser skal være upartiske og uafhængige af den myndighed, der har ansvaret for den administrative håndhævelse.
2.   Hver part sikrer, at parterne i den procedure, der er omhandlet i stk. 1, får rimelig mulighed for at underbygge eller forsvare deres respektive synspunkter.
3.   Hver part sikrer i overensstemmelse med sin lovgivning, at alle afgørelser, der træffes i forbindelse med den i stk. 1 omhandlede procedure, er baseret på bevismateriale og forelagte dokumenter eller, hvis det er påkrævet, den kompetente administrative myndigheds indsamlede dokumenter.
4.   Hver part sikrer, at de i stk. 3 omhandlede afgørelser, med forbehold af appel eller yderligere prøvelse som fastsat i dens lovgivning, gennemføres af den myndighed, der har ansvaret for den administrative håndhævelse.
Artikel 339
Forholdet til andre afsnit
Bestemmelserne i dette afsnit supplerer de særlige gennemsigtighedsregler, der er fastsat i de afsnit i denne sektion, som dette afsnit finder anvendelse på.
AFSNIT X
GOD REGULERINGSPRAKSIS OG REGULERINGSSAMARBEJDE
Artikel 340
Almindelige principper
1.   Hver part kan frit fastlægge sin tilgang til god reguleringspraksis i henhold til denne aftale på en måde, der er i overensstemmelse med dens egne retlige rammer, praksis, procedurer og grundlæggende principper 
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, som ligger til grund for dens reguleringssystem.
2.   Intet i dette afsnit må fortolkes således, at en part er forpligtet til:
a)
at afvige fra nationale procedurer for udarbejdelse og vedtagelse af reguleringsforanstaltninger
b)
at træffe foranstaltninger, der underminerer eller forhindrer rettidig vedtagelse af reguleringsforanstaltninger med henblik på at nå målene for sin offentlige politik, eller
c)
at opnå et bestemt reguleringsresultat.
3.   Intet i dette afsnit berører parternes ret til at fastsætte eller regulere deres egne beskyttelsesniveauer under gennemførelse eller fremme af målene for deres offentlige politik på områder som:
a)
folkesundheden
b)
menneskers, dyrs eller planters liv og sundhed
c)
sundhed og sikkerhed på arbejdspladsen
d)
arbejdsvilkår
e)
miljø, herunder klimaforandringer
f)
forbrugerbeskyttelse
g)
social beskyttelse og social sikring
h)
databeskyttelse og cybersikkerhed
i)
kulturel mangfoldighed
j)
det finansielle systems integritet og stabilitet og beskyttelsen af investorer
k)
energisikkerhed og
l)
bekæmpelse af hvidvask af penge.
Navnlig med henblik på første afsnit, litra c) og d), præciseres det, at de forskellige modeller for arbejdsmarkedsrelationer, herunder for arbejdsmarkedsparternes rolle og autonomi som fastsat i en parts lovgivning eller national praksis, fortsat er gældende, herunder lovgivning og praksis vedrørende kollektive forhandlinger og håndhævelse af kollektive overenskomster.
4.   Reguleringsforanstaltninger må ikke udgøre en skjult handelshindring.
Artikel 341
Definitioner
I dette afsnit forstås ved:
a)
"reguleringsmyndighed":
i)
for Unionen, Europa-Kommissionen og
ii)
for Det Forenede Kongerige, Her Majesty’s Government of the United Kingdom of Great Britain and Northern Ireland og Det Forenede Kongeriges decentrale forvaltninger.
b)
"reguleringsforanstaltninger":
i)
for Unionen:
A)
forordninger og direktiver som omhandlet i artikel 288 i TEUF og
B)
gennemførelsesretsakter og delegerede retsakter som omhandlet i henholdsvis artikel 290 og 291 i TEUF og
ii)
for Det Forenede Kongerige:
A)
primær lovgivning og
B)
sekundær lovgivning.
Artikel 342
Anvendelsesområde
1.   Dette afsnit finder anvendelse på reguleringsforanstaltninger foreslået eller udstedt, alt efter hvad der er relevant, af en parts reguleringsmyndighed vedrørende et hvilket som helst anliggende, der er omfattet af denne sektions afsnit I-IX, XI og XII og sektion seks.
2.   Artikel 351 og 352 finder også anvendelse på andre alment gældende foranstaltninger udstedt eller foreslået af en parts reguleringsmyndighed vedrørende et hvilket som helst anliggende, der er omfattet af de i denne artikels stk. 1 omhandlede afsnit, som er relevante for reguleringssamarbejdsaktiviteter såsom retningslinjer, politikdokumenter eller anbefalinger.
3.   Dette afsnit finder ikke anvendelse på reguleringsmyndigheder og reguleringsforanstaltninger, -praksis eller -tilgange i medlemsstaterne.
4.   Eventuelle særlige bestemmelser i de afsnit, der er omhandlet i denne artikels stk. 1, har forrang for bestemmelserne i dette afsnit, i det omfang det er nødvendigt for anvendelsen af disse særlige bestemmelser.
Artikel 343
Intern koordination
Hver part indfører interne procedurer eller mekanismer for koordinering og gennemgang af reguleringsforanstaltninger, som dens reguleringsmyndighed er i færd med at udarbejde. Sådanne procedurer eller mekanismer bør bl.a.:
a)
fremme god reguleringspraksis, herunder den praksis, der er fastsat i dette afsnit
b)
afdække og forhindre unødig overlapning og uoverensstemmende krav i partens egne reguleringsforanstaltninger
c)
sikre overholdelsen af partens internationale handels- og investeringsforpligtelser og
d)
fremme hensynet til virkningerne af reguleringsforanstaltninger under udarbejdelse, herunder i overensstemmelse med deres respektive regler og procedurer for små og mellemstore virksomheder 
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.
Artikel 344
Beskrivelse af processer og mekanismer
Hver part offentliggør beskrivelser af de processer og mekanismer, der anvendes af dens reguleringsmyndigheder til at udarbejde, vurdere, evaluere eller gennemgå reguleringsforanstaltninger. I disse beskrivelser henvises til de relevante regler, retningslinjer eller procedurer, herunder vedrørende offentlighedens muligheder for at fremsætte bemærkninger.
Artikel 345
Tidlig information om planlagte reguleringsforanstaltninger
1.   Hver part offentliggør i overensstemmelse med sine respektive regler og procedurer mindst en gang om året en liste over planlagte væsentlige 
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 reguleringsforanstaltninger, som dens reguleringsmyndighed med rimelighed forventer at foreslå eller indføre inden for et år. Hver parts reguleringsmyndighed kan afgøre, hvad der forstås ved større reguleringsforanstaltning med henblik på dens forpligtelser i henhold til dette afsnit.
2.   For de enkelte større reguleringsforanstaltninger, der er opført på den i stk. 1 omhandlede liste, bør hver part også hurtigst muligt offentliggøre følgende:
a)
en kort beskrivelse af dens anvendelsesområde og mål og
b)
hvis kendt, det anslåede tidspunkt for vedtagelse, herunder mulighederne for offentlig høring.
Artikel 346
Offentlig høring
1.   Ved udarbejdelsen af en større reguleringsforanstaltning sikrer hver part i overensstemmelse med sine respektive regler og procedurer, at dens reguleringsmyndighed:
a)
offentliggør enten udkastet til reguleringsforanstaltningen eller høringsdokumenter, der giver tilstrækkelige oplysninger om den reguleringsforanstaltning, der er under udarbejdelse, således at enhver person har mulighed for at vurdere, om og hvordan vedkommendes interesser vil blive væsentligt påvirket
b)
på et ikkediskriminerende grundlag giver enhver rimelig mulighed for at fremsætte bemærkninger og
c)
tager eventuelle bemærkninger behørigt i betragtning.
2.   Hver part sikrer, at dens reguleringsmyndighed bruger elektroniske kommunikationsmidler og søger at opretholde onlinetjenester, der er gratis tilgængelige for offentligheden, med henblik på offentliggørelse af relevante reguleringsforanstaltninger eller dokumenter af den type, der er omhandlet i stk. 1, litra a), og modtagelse af bemærkninger vedrørende offentlige høringer.
3.   Hver part sikrer, at dens reguleringsmyndighed i overensstemmelse med partens respektive regler og procedurer offentliggør et sammendrag af resultaterne af de offentlige høringer, der er omhandlet i denne artikel.
Artikel 347
Konsekvensanalyse
1.   Hver part bekræfter, at den har til hensigt at sikre, at dens reguleringsmyndighed i overensstemmelse med dens respektive regler og procedurer foretager konsekvensanalyser af større reguleringsforanstaltninger under udarbejdelse. Sådanne regler og procedurer kan indeholde undtagelser.
2.   Ved gennemførelsen af en konsekvensanalyse sikrer hver part, at dens reguleringsmyndighed har indført procedurer og mekanismer, der tager følgende i betragtning:
a)
behovet for den pågældende reguleringsforanstaltning, herunder arten og betydningen af det problem, som reguleringsforanstaltningen skal afhjælpe
b)
eventuelle gennemførlige og passende reguleringsmæssige eller ikkereguleringsmæssige muligheder, herunder muligheden for at undlade at regulere, som gør det muligt at nå partens mål for den offentlige politik
c)
i det omfang det er muligt og relevant, de mulige sociale, økonomiske og miljømæssige virkninger af disse muligheder, herunder virkningerne for den internationale handel og internationale investeringer og i overensstemmelse med partens respektive regler og procedurer for små og mellemstore virksomheder, og
d)
hvis det er relevant, hvilket forhold der er mellem de løsningsmodeller, der overvejes, og relevante internationale standarder, herunder årsagerne til eventuelle afvigelser.
3.   For så vidt angår den konsekvensanalyse, som reguleringsmyndigheden har foretaget af en reguleringsforanstaltning, sikrer hver part, at reguleringsmyndigheden udarbejder en endelig rapport med oplysninger om de faktorer, den har taget hensyn til i sin vurdering, og de relevante resultater. Hver part offentliggør så vidt muligt sådanne rapporter senest ved offentliggørelsen af forslaget til reguleringsforanstaltning som omhandlet i artikel 341, litra b), nr. i), A), eller litra b), nr. ii), A), eller i nævnte artikel, litra b), nr. i), B), eller litra b), nr. ii), B).
Artikel 348
Retrospektiv evaluering
1.   Hver part sikrer, at dens reguleringsmyndighed har indført procedurer eller mekanismer med henblik på regelmæssige retrospektive evalueringer af reguleringsforanstaltninger, hvis det er relevant.
2.   I forbindelse med den periodiske retrospektive evaluering bestræber hver part sig på at undersøge, om det er muligt at nå målene for deres offentlige politik og mindske unødvendige reguleringsmæssige byrder, herunder for små og mellemstore virksomheder, på en mere effektiv måde.
3.   Hver part sikrer, at dens reguleringsmyndighed offentliggør eksisterende planer for og resultaterne af sådanne retrospektive evalueringer.
Artikel 349
Reguleringsregister
Hver part sikrer, at gældende reguleringsforanstaltninger offentliggøres i et særligt register over reguleringsforanstaltninger, som er gratis tilgængeligt for offentligheden online. Der bør kunne søges efter reguleringsforanstaltninger i registret ved hjælp af henvisninger eller ord. Hver part ajourfører regelmæssigt sit register.
Artikel 350
Udveksling af oplysninger om god reguleringspraksis
Parterne bestræber sig på at udveksle oplysninger om god reguleringspraksis som fastsat i dette afsnit, herunder i Handelsspecialudvalget vedrørende Reguleringssamarbejde.
Artikel 351
Reguleringssamarbejdsaktiviteter
1.   Parterne kan deltage i reguleringssamarbejdsaktiviteter på frivillig basis, uden at dette berører deres beslutningsautonomi og respektive retsordener. En part kan nægte at deltage i eller kan trække sig fra reguleringssamarbejdsaktiviteter. En part, der nægter at deltage i eller trækker sig fra reguleringssamarbejdsaktiviteter, bør redegøre for grundene til sin beslutning over for den anden part.
2.   Hver part kan foreslå en reguleringssamarbejdsaktivitet til den anden part. Den fremsætter sit forslag via kontaktpunktet udpeget i henhold til artikel 353. Den anden part gennemgår det pågældende forslag inden for en rimelig frist og underretter den forslagsstillende part om, hvorvidt den finder den foreslåede aktivitet egnet til reguleringssamarbejde.
3.   For at finde egnede reguleringssamarbejdsaktiviteter gennemgår hver part:
a)
den liste, der er omhandlet i artikel 345, stk. 1, og
b)
forslag til reguleringssamarbejdsaktiviteter, der indsendes af personer fra en part, og som er begrundede og ledsaget af relevante oplysninger.
4.   Hvis parterne beslutter at indlede en reguleringssamarbejdsaktivitet, skal hver parts reguleringsmyndighed, hvis det er relevant:
a)
underrette den anden parts reguleringsmyndighed om udarbejdelsen af nye eller revisionen af eksisterende reguleringsforanstaltninger og andre alment gældende foranstaltninger som omhandlet i artikel 342, stk. 2, der er relevante for reguleringssamarbejdsaktiviteten
b)
på anmodning give oplysninger og drøfte reguleringsforanstaltninger og andre alment gældende foranstaltninger som omhandlet i artikel 342, stk. 2, der er relevante for reguleringssamarbejdsaktiviteten, og
c)
ved udarbejdelsen af nye eller ændring af eksisterende alment gældende reguleringsforanstaltninger eller andre foranstaltninger som omhandlet i artikel 342, stk. 2, i muligt omfang tage hensyn til den anden parts reguleringstilgang til samme eller beslægtede spørgsmål.
Artikel 352
Handelsspecialudvalget vedrørende Reguleringssamarbejde
1.   Handelsspecialudvalget vedrørende Reguleringssamarbejde har til opgave:
a)
at forbedre og fremme god reguleringspraksis og reguleringssamarbejdet mellem parterne
b)
at udveksle synspunkter om de samarbejdsaktiviteter, der er foreslået eller gennemført i henhold til artikel 351
c)
at fremme reguleringssamarbejde og -samordning i internationale fora, herunder i givet fald regelmæssige bilaterale udvekslinger af oplysninger om relevante igangværende eller planlagte aktiviteter.
2.   Handelsspecialudvalget vedrørende Reguleringssamarbejde kan opfordre de berørte personer til at deltage i dets møder.
Artikel 353
Kontaktpunkter
Senest en måned efter denne aftales ikrafttræden udpeger hver part et kontaktpunkt, der skal lette udvekslingen af oplysninger mellem parterne.
Artikel 354
Ikkeanvendelse af tvistbilæggelse
Sjette del, afsnit I, finder ikke anvendelse på tvister vedrørende fortolkningen og anvendelsen af dette afsnit.
AFSNIT XI
LIGE VILKÅR FOR ÅBEN OG FAIR KONKURRENCE  OG BÆREDYGTIG UDVIKLING
KAPITEL 1
ALMINDELIGE BESTEMMELSER
Artikel 355
Principper og mål
1.   Parterne anerkender, at samhandel og investeringer mellem Unionen og Det Forenede Kongerige på de i denne aftale fastsatte betingelser kræver forhold, der sikrer lige vilkår for åben og fair konkurrence mellem parterne, og som sikrer, at samhandelen og investeringerne gennemføres på en måde, der fremmer bæredygtig udvikling.
2.   Parterne anerkender, at bæredygtig udvikling omfatter økonomisk udvikling, social udvikling og miljøbeskyttelse, tre indbyrdes afhængige og gensidigt forstærkende komponenter, og bekræfter på ny deres engagement i at fremme udviklingen af international handel og investeringer på en måde, der bidrager til målet om bæredygtig udvikling.
3.   Hver part bekræfter sin ambition om at opnå klimaneutralitet i hele økonomien senest i 2050.
4.   Parterne bekræfter deres fælles forståelse af, at deres økonomiske forbindelser kun vil være gavnlige på en gensidigt tilfredsstillende måde, hvis forpligtelserne vedrørende lige vilkår for åben og fair konkurrence er langtidsholdbare, forhindrer handels- eller investeringforvridninger og bidrager til en bæredygtig udvikling. Parterne erkender dog, at formålet med dette afsnit ikke er at harmonisere parternes standarder. Parterne er fast besluttet på at opretholde og forbedre deres respektive høje standarder på de områder, der er omfattet af dette afsnit.
Artikel 356
Ret til at regulere, forsigtighedstilgang 
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 og videnskabelige og tekniske oplysninger
1.   Parterne bekræfter, at hver part har ret til at fastlægge politikker og prioriteter på de områder, der er omfattet af dette afsnit, til at fastlægge de beskyttelsesniveauer, som de finder passende, og til at vedtage eller ændre deres relevante lovgivning og politikker på en måde, der er i overensstemmelse med hver parts internationale forpligtelser, herunder deres forpligtelser i henhold til dette afsnit.
2.   Parterne erkender, at hvis der er rimelig grund til bekymring over, at der foreligger potentielle trusler om alvorlig eller uoprettelig skade på miljøet eller på menneskers sundhed må manglen på videnskabelig sikkerhed i overensstemmelse med forsigtighedstilgangen ikke bruges til at forhindre en part i at vedtage passende foranstaltninger for at forhindre en sådan skade.
3.   Når parterne udarbejder og gennemfører foranstaltninger, som har til formål at beskytte miljøet eller arbejdsmarkedsforholdene, og som kan påvirke handelen eller investeringerne, tager hver part hensyn til de relevante videnskabelige og tekniske oplysninger, internationale standarder, retningslinjer og anbefalinger, der er til rådighed.
Artikel 357
Tvistbilæggelse
Sjette del, afsnit I finder ikke anvendelse på dette kapitel, bortset fra artikel 356, stk. 2. Artikel 408 og 409 finder anvendelse på artikel 355, stk. 3.
KAPITEL 2
KONKURRENCEPOLITIK
Artikel 358
Principper og definitioner
1.   Parterne anerkender vigtigheden af fri og uhindret konkurrence i deres handels- og investeringsrelationer. Parterne erkender, at konkurrencebegrænsende forretningspraksis kan lægge hindringer i vejen for velfungerende markeder og underminere fordelene ved handelsliberalisering.
2.   Med henblik på dette kapitel forstås ved "økonomisk aktør" en enhed eller en gruppe af enheder, der udgør en enkelt økonomisk enhed uanset dens retlige status, og som udøver en økonomisk aktivitet ved at udbyde varer eller tjenesteydelser på et marked.
Artikel 359
Konkurrencelovgivning
1.   I anerkendelse af de principper, der er fastsat i artikel 358, skal hver part opretholde en konkurrencelovgivning, som på effektiv vis bekæmper følgende konkurrenceforvridende praksis:
a)
aftaler mellem økonomiske aktører, beslutninger truffet af sammenslutninger af økonomiske aktører og alle former for samordnet praksis, som har til formål eller følge at hindre, begrænse eller fordreje konkurrencen
b)
en eller flere økonomiske aktørers misbrug af en dominerende stilling og
c)
for Det Forenede Kongeriges vedkommende fusioner og overtagelser og for Unionens vedkommende fusioner mellem økonomiske aktører, som kan have betydelige konkurrencebegrænsende virkninger.
2.   Den konkurrencelovgivning, der er omhandlet i stk. 1, finder anvendelse på alle økonomiske aktører uanset nationalitet eller ejerskabsforhold.
3.   Hver part kan fastsætte undtagelser fra sin konkurrencelovgivning under forfølgelse af legitime mål for den offentlige politik, forudsat at sådanne undtagelser er gennemsigtige og står i et rimeligt forhold til disse mål.
Artikel 360
Håndhævelse
1.   Hver part træffer passende foranstaltninger til at håndhæve sin konkurrencelovgivning på sit område.
2.   Hver part opretholder en operationelt uafhængig myndighed eller operationelt uafhængige myndigheder, der er ansvarlig(e) for den effektive håndhævelse af konkurrencelovgivningen.
3.   Hver part anvender sin konkurrencelovgivning på en gennemsigtig og ikkediskriminerende måde under overholdelse af principperne om en retfærdig rettergang, herunder retten til forsvar for de berørte økonomiske aktører uanset nationalitet eller ejerskabsstatus.
Artikel 361
Samarbejde
1.   For at nå målene i dette kapitel og bidrage til en effektiv håndhævelse af deres respektive konkurrencelovgivning anerkender parterne betydningen af samarbejde mellem deres respektive konkurrencemyndigheder med hensyn til udviklingen i konkurrencepolitikken og håndhævelsesforanstaltninger.
2.   Med henblik på stk. 1 bestræber Europa-Kommissionen eller medlemsstaternes konkurrencemyndigheder på den ene side og Det Forenede Kongeriges konkurrencemyndighed(er) på den anden side sig på at samarbejde om og koordinere deres håndhævelsesaktiviteter vedrørende samme eller dermed forbunden adfærd eller dermed forbundne transaktioner, hvis det er muligt og hensigtsmæssigt.
3.   For at lette det samarbejde og den koordinering, der er omhandlet i stk. 1 og 2, kan Europa-Kommissionen og medlemsstaternes konkurrencemyndigheder på den ene side og Det Forenede Kongeriges konkurrencemyndighed(er) på den anden side udveksle oplysninger, i det omfang det er tilladt i henhold til hver parts love.
4.   For at nå målene i denne artikel kan parterne indgå en særskilt aftale om samarbejde og koordinering mellem Europa-Kommissionen, medlemsstaternes konkurrencemyndigheder og Det Forenede Kongeriges konkurrencemyndighed(er), som kan indeholde betingelser for udveksling og anvendelse af fortrolige oplysninger.
Artikel 362
Tvistbilæggelse
Dette kapitel er ikke omfattet af bestemmelserne om tvistbilæggelse i sjette del, afsnit I.
KAPITEL 3
KONTROL MED SUBSIDIER
Artikel 363
Definitioner
1.   I dette kapitel forstås ved:
a)
"økonomisk aktør": en enhed eller en gruppe af enheder, der udgør en enkelt økonomisk enhed uanset dens retlige status, og som udøver en økonomisk aktivitet ved at udbyde varer eller tjenesteydelser på et marked
b)
"subsidier": finansiel bistand, som:
i)
hidrører fra parternes ressourcer, herunder:
A)
direkte eller betinget overførsel af midler såsom direkte tilskud, lån eller lånegarantier
B)
afkald på indtægter, der ellers er forfaldne, eller
C)
levering af varer eller tjenesteydelser eller køb af varer eller tjenesteydelser
ii)
giver en eller flere økonomiske aktører en økonomisk fordel
iii)
er specifikke, for så vidt som de retligt eller faktisk er til fordel for visse økonomiske aktører i forhold til andre i forbindelse med produktionen af visse varer eller tjenesteydelser, og
iv)
har eller kunne have indvirkning på samhandelen eller investeringerne mellem parterne.
2.   Med henblik på stk. 1, litra b), nr. iii), gælder følgende:
a)
en skatteforanstaltning betragtes ikke som specifik, medmindre:
i)
visse økonomiske aktører opnår en nedsættelse af den skattebyrde, som de ellers ville have båret under den normale beskatningsordning, og
ii)
de pågældende økonomiske aktører behandles mere fordelagtigt end andre, der befinder sig i en sammenlignelig situation inden for den almindelige beskatningsordning; med henblik på dette litra defineres en normal beskatningsordning på grundlag af dens interne formål, dens kendetegn (f.eks. beskatningsgrundlaget, den skattepligtige person, den skattepligtige begivenhed eller skattesatsen) og af en myndighed, der er institutionelt, proceduremæssigt, økonomisk og finansielt uafhængig, og som har kompetence til at udforme skattesystemets karakteristika
b)
uanset litra a) anses subsidier ikke for specifikke, hvis de er begrundet i principper, der er iboende i udformningen af den generelle ordning; i forbindelse med skatteforanstaltninger er eksempler på sådanne iboende principper behovet for at bekæmpe skattesvig eller skatteunddragelse, administrative hensyn, undgåelse af dobbeltbeskatning, princippet om afgiftsneutralitet, den progressive karakter af indkomstskat og dens omfordelingsformål eller nødvendigheden af at respektere skatteydernes betalingsevne
c)
uanset litra a) anses afgifter med særligt formål ikke for specifikke, hvis deres udformning er påkrævet af ikkeøkonomiske hensyn til den offentlige politik, f.eks. behovet for at begrænse visse aktiviteters eller produkters negative indvirkning på miljøet eller menneskers sundhed, for så vidt som de offentlige politiske mål ikke er diskriminerende 
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.
Artikel 364
Anvendelsesområde og undtagelser
1.   Artikel 366, 367 og 374 finder ikke anvendelse på subsidier, der ydes for at kompensere for skader forårsaget af naturkatastrofer eller andre usædvanlige ikkeøkonomiske begivenheder.
2.   Intet i dette kapitel forhindrer parterne i at yde subsidier af social karakter, der er rettet mod de endelige forbrugere.
3.   Subsidier, der ydes på et midlertidigt grundlag som reaktion på en national eller global økonomisk nødsituation, skal være målrettede, stå i et rimeligt forhold til omstændighederne og være effektive med henblik på at afhjælpe denne nødsituation. Artikel 367 og 374 finder ikke anvendelse på sådanne subsidier.
4.   Dette kapitel finder ikke anvendelse på subsidier, hvor det samlede beløb, der ydes til en enkelt økonomisk aktør er på under 325 000 særlige trækningsrettigheder i løbet af en periode på tre regnskabsår. Partnerskabsrådet kan ændre denne tærskel.
5.   Dette kapitel finder ikke anvendelse på subsidier, der er omfattet af bestemmelserne i del IV eller bilag 2 til aftalen om landbrug, og subsidier i forbindelse med handel med fisk og fiskevarer.
6.   Dette kapitel finder ikke anvendelse på subsidier i forbindelse med den audiovisuelle tjenesteydelser.
7.   Artikel 371 finder ikke anvendelse på subsidier, der finansieres med en parts midler på overnationalt niveau.
8.   For så vidt angår subsidier til luftfartsselskaber læses enhver henvisning til "indvirkning på samhandelen eller investeringerne mellem parterne" i dette kapitel som "indvirkning på konkurrencen mellem parternes luftfartsselskaber for så vidt angår leveringen af lufttransporttjenester", herunder de lufttransporttjenester, der ikke er omfattet af afsnit I i sektion to.
Artikel 365
Tjenesteydelser af almindelig økonomisk interesse
1.   Subsidier ydet til økonomiske aktører, der har fået overdraget særlige opgaver af almen interesse, herunder offentlige serviceforpligtelser, er omfattet af artikel 366, for så vidt anvendelsen af de principper, der er fastsat i nævnte artikel, ikke retligt eller faktisk er til hinder for opfyldelsen af den særlige opgave, der er pålagt den pågældende økonomiske aktør. Opgaven tildeles på forhånd på en gennemsigtig måde.
2.   Parterne sikrer, at størrelsen af den kompensation, der ydes til en økonomisk aktør, der har fået overdraget en opgave af almen interesse, er begrænset til, hvad der er nødvendigt for helt eller delvis at dække de omkostninger, der er afholdt i forbindelse med udførelsen af denne opgave, idet der tages hensyn til de hermed forbundne indtægter og til en rimelig fortjeneste ved udførelsen af opgaven. Parterne sikrer, at den ydede kompensation ikke anvendes til krydssubsidiering af aktiviteter, der ikke er omfattet af den tildelte opgave. Kompensation på under 15 mio. særlige trækningsrettigheder pr. opgave er ikke omfattet af de forpligtelser, der er fastsat i artikel 369. Partnerskabsrådet kan ændre denne tærskel.
3.   Dette kapitel finder ikke anvendelse, hvis den samlede kompensation pr. økonomisk aktør, der udfører opgaver af almen interesse, er på under 750 000 særlige trækningsrettigheder over en periode på tre regnskabsår. Partnerskabsrådet kan ændre denne tærskel.
Artikel 366
Principper
1.   Med henblik på at sikre, at subsidierne ikke ydes, hvor de har eller kan have en væsentlig indvirkning på samhandelen eller investeringerne mellem parterne, skal hver af parterne have indført og opretholde en effektiv ordning for kontrol med subsidier, som sikrer, at ydelsen af subsidier overholder følgende principper:
a)
subsidierne forfølger et specifikt mål for den offentlige politik med henblik på at afhjælpe et konstateret markedssvigt eller et rimelighedsrationale såsom sociale vanskeligheder eller fordelingsproblemer ("målet")
b)
subsidierne står i rimeligt forhold til målet og er begrænset til, hvad der er nødvendigt for at nå målet
c)
subsidierne udformes således, at de medfører en ændring i modtagerens økonomiske adfærd, som bidrager til at nå målet, og som ikke ville blive opnået, hvis ikke der ydes subsidier
d)
subsidierne bør generelt ikke kompensere for de omkostninger, som modtageren ville have finansieret, hvis ikke der blev ydet subsidier
e)
subsidierne er et passende politisk instrument til at nå et mål for den offentlige politik, og dette mål kan ikke nås med andre mindre fordrejende midler
f)
subsidiernes positive bidrag til at nå målet opvejer eventuelle negative virkninger heraf, navnlig den negative indvirkning på samhandelen eller investeringerne mellem parterne.
2.   Uanset stk. 1 anvender hver part betingelserne i artikel 367, hvis det er relevant, hvis de pågældende subsidier har eller kan have en væsentlig indvirkning på samhandelen eller investeringerne mellem parterne.
3.   Det tilkommer hver part at bestemme, hvordan dens forpligtelser i henhold til stk. 1 og 2 gennemføres ved udformningen af dens subsidiekontrolordning i dens egen nationale lovgivning, forudsat at hver part sikrer, at forpligtelserne i henhold til stk. 1 og 2 gennemføres i deres lovgivning på en sådan måde, at lovligheden af individuelle subsidier afgøres efter principperne.
Artikel 367
Forbudte subsidier og subsidier på visse betingelser
1.   De kategorier af subsidier, der er omhandlet i artikel 366, stk. 2, og de betingelser, der finder anvendelse herpå, er som følger. Partnerskabsrådet kan ajourføre disse bestemmelser, i det omfang det er nødvendigt for at sikre, at denne artikel fungerer over tid.
Subsidier i form af ubegrænsede garantier
2.   Subsidier i form af en garanti for en økonomisk aktørs gæld eller passiver uden nogen begrænsning med hensyn til gældens og passivernes størrelse eller garantiens varighed er forbudt.
Redning og omstrukturering
3.   Subsidier til omstrukturering af en kriseramt eller insolvent økonomisk aktør, uden at den økonomiske aktør har udarbejdet en troværdig omstruktureringsplan er forbudt. Omstruktureringsplanen skal være baseret på realistiske antagelser med henblik på, inden for en rimelig frist, at sikre genoprettelse af den kriseramte eller insolvente økonomiske aktørs langsigtede levedygtighed. Under udarbejdelsen af omstruktureringsplanen kan den økonomiske aktør modtage midlertidig likviditetsstøtte i form af lån eller lånegarantier. Bortset fra små og mellemstore virksomheder skal en økonomisk aktør eller dens ejere, kreditorer eller nye investorer bidrage med betydelige midler eller aktiver til omstruktureringsomkostningerne. I dette stykke forstås ved en kriseramt eller insolvent økonomisk aktør en økonomisk aktør, der næsten med sikkerhed ville indstille sin virksomhed på kort til mellemlang sigt uden subsidierne.
4.   Bortset fra under ekstraordinære omstændigheder bør subsidier til redning og omstrukturering af insolvente eller kriseramte økonomiske aktører kun være tilladt, hvis de bidrager til et mål af almen interesse ved at undgå sociale problemer eller forebygge alvorligt markedssvigt, navnlig med hensyn til tab af arbejdspladser eller afbrydelse af en vigtig tjeneste, der er vanskelig at udføre. Undtagen i tilfælde af uforudseelige omstændigheder, som ikke skyldes modtageren af subsidier, bør de ikke ydes mere end én gang i en periode på fem år.
5.   Stk. 3 og 4 finder ikke anvendelse på subsidier til kriseramte eller insolvente banker, kreditinstitutter og forsikringsselskaber.
Banker, kreditinstitutter og forsikringsselskaber
6.   Uden at det berører bestemmelserne i artikel 184, kan der kun ydes subsidier til omstrukturering af banker, kreditinstitutter og forsikringsselskaber på grundlag af en troværdig omstruktureringsplan, der genskaber rentabiliteten på lang sigt. Hvis det ikke på troværdig vis kan godtgøres, at den langsigtede rentabilitet kan genoprettes, skal subsidier til banker, kreditinstitutter og forsikringsselskaber begrænses til, hvad der er nødvendigt for at sikre en velordnet afvikling og tilbagetrækning fra markedet, samtidig med at subsidiernes størrelse og negative indvirkning på samhandelen og investeringerne mellem parterne minimeres.
7.   Det sikres, at den subsidieydende myndighed modtager passende betaling for de subsidier, der ydes med henblik på omstrukturering, og at modtageren, dennes aktionærer, dennes kreditorer eller den koncern, som modtageren tilhører, bidrager væsentligt til omstrukturerings- eller afviklingsomkostningerne med egne midler. Subsidier, der ydes med henblik på at støtte afvikling, skal være midlertidige, må ikke anvendes til at absorbere tab og må ikke blive kapitalstøtte. Den subsidieydende myndighed modtager passende betaling for de subsidier, der ydes med henblik på at støtte likviditetstilførsler.
Eksportsubsidier
8.   Subsidier, der retligt eller faktisk 
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, udelukkende eller som en af flere andre betingelser, er betinget af eksportresultater vedrørende varer eller tjenesteydelser, bortset fra i forbindelse med:
a)
kortfristet kreditforsikring af ekstraordinære risici eller
b)
eksportkreditter og eksportkreditgaranti- eller forsikringsprogrammer, der er tilladt i overensstemmelse med SCM-aftalen, sammenholdt med eventuelle tilpasninger, der er nødvendige af hensyn konteksten.
9.   Med henblik på stk. 8, litra a), forstås ved "ordinær risiko" kommercielle og politiske risici med en maksimal risikoperiode på under to år på offentlige og ikkeoffentlige købere i lande med ordinære risici 
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. Et land kan betragtes som midlertidigt fjernet fra gruppen af lande med ordinære risici, hvis der er mangel på tilstrækkelig privat kapacitet på markedet som følge af:
a)
en betydelig nedgang i den private kreditforsikringskapacitet
b)
en betydelig forringelse af kreditvurderingerne af den offentlige sektor eller
c)
en betydelig forringelse af erhvervssektorens resultater.
10.   En sådan midlertidig fjernelse af et land med ordinære risici får virkning for en part i overensstemmelse med en afgørelse truffet af den pågældende part på grundlag af kriterierne i stk. 9, og kun hvis den pågældende part vedtager en sådan afgørelse. Offentliggørelsen af denne afgørelse anses for at udgøre underretning af den anden part om en sådan midlertidig fjernelse for så vidt angår førstnævnte part.
11.   Hvis et subsidieret forsikringsselskab yder eksportkreditforsikring, skal enhver forsikring mod ordinære risici ydes på et kommercielt grundlag. I sådanne tilfælde må forsikringsselskabet ikke direkte eller indirekte nyde godt af subsidier, der ydes med henblik på forsikring mod ordinære risici.
Subsidier betinget af anvendelse af indenlandsk indhold
12.   Uden at det berører artikel 132 og 133, er subsidier, der udelukkende eller som en af flere andre betingelser er betinget af anvendelsen af indenlandske frem for importerede varer eller tjenesteydelser, forbudt.
Store grænseoverskridende eller internationale samarbejdsprojekter
13.   Der kan ydes subsidier i forbindelse med store grænseoverskridende eller internationale samarbejdsprojekter, som f.eks. i forbindelse med transport, energi, miljø, forskning og udvikling og projekter vedrørende første anvendelse for at fremme udviklingen og anvendelsen af nye teknologier (undtagen fremstilling). Fordelene ved sådanne grænseoverskridende eller internationale samarbejdsprojekter må ikke være begrænset til de økonomiske aktører, til den relevante sektor eller til de stater, der deltager, men skal have en bredere fordel og relevans gennem spillovereffekt, som ikke udelukkende tilfalder den stat, der yder subsidierne, den relevante sektor og modtageren.
Energi og miljø
14.   Parterne anerkender betydningen af et sikkert, økonomisk overkommeligt og bæredygtigt energisystem og miljømæssig bæredygtighed, navnlig i forbindelse med bekæmpelsen af klimaændringer, som udgør en eksistentiel trussel mod menneskeheden. Uden at det berører artikel 366, skal subsidier vedrørende energi og miljø være rettet mod og tilskynde modtageren til at levere et sikkert, økonomisk overkommeligt og bæredygtigt energisystem og et velfungerende og konkurrencedygtigt energimarked eller øge miljøbeskyttelsesniveauet i forhold til det niveau, der ville være opnået uden subsidierne. Sådanne subsidier fritager ikke modtageren for forpligtelser, der følger af dennes ansvar som forurener i henhold til den relevante parts lovgivning.
Subsidier til luftfartsselskaber til drift af ruter
15.   Der ydes ikke subsidier til luftfartsselskaber 
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 til drift af ruter, undtagen:
a)
hvis der er tale om en forpligtelse til offentlig tjeneste i overensstemmelse artikel 365
b)
i særlige tilfælde, hvor denne finansiering er til gavn for samfundet som helhed, eller
c)
hvis der er tale om startstøtte til åbning af nye ruter til regionale lufthavne, forudsat at sådanne subsidier øger borgernes mobilitet og stimulerer udviklingen på regionalt plan.
Artikel 368
Anvendelse af subsidier
Hver part sikrer, at de økonomiske aktører anvender subsidier udelukkende til det særlige formål, hvortil de blev ydet.
Artikel 369
Gennemsigtighed
1.   Med hensyn til subsidier, der tildeles eller opretholdes inden for dens område, offentliggør hver part senest seks måneder efter tildelingen af subsidierne på et officielt websted eller i en offentlig database følgende oplysninger:
a)
det retlige grundlag og den politiske målsætning eller formålet med subsidierne
b)
subsidiemodtagerens navn, hvis kendt
c)
datoen for tildelingen af subsidierne, disses varighed og eventuelle andre frister, der er knyttet til dertil, og
d)
subsidiernes størrelse eller det beløb, der er budgetteret for subsidierne.
2.   For subsidier i form af skatteforanstaltninger offentliggøres oplysningerne senest et år efter udløbet af fristen for indgivelse af skatteangivelsen. De gennemsigtighedsforpligtelser, der gælder for subsidier i form af skatteforanstaltninger, omfatter de samme oplysninger som dem, der er anført i stk. 1, bortset fra de oplysninger, der kræves i henhold til nævnte stykkes litra d), som kan angives som et interval.
3.   I tillæg til den forpligtelse, der er fastsat i stk. 1, stiller parterne subsidieoplysninger til rådighed i overensstemmelse med stk. 4 eller 5.
4.   For Unionens vedkommende opfyldes forpligtelsen i denne artikels stk. 3, ved at der for så vidt angår subsidier, der tildeles eller opretholdes inden for dens område, senest seks måneder efter tildelingen af subsidierne stilles oplysninger til rådighed for offentligheden på et officielt websted eller i en offentlig database, som giver interesserede parter mulighed for at vurdere overholdelsen af principperne i artikel 366.
5.   For Det Forenede Kongeriges vedkommende opfyldes forpligtelsen i stk. 3, ved at Det Forenede Kongerige sikrer, at:
a)
hvis en interesseret part meddeler den subsidieydende myndighed, at vedkommende eventuelt vil anmode om prøvelse ved en domstol af
i)
en subsidieydende myndigheds ydelse af subsidier eller
ii)
enhver relevant afgørelse truffet af den subsidieydende myndighed eller det uafhængige organ eller den uafhængige myndighed
b)
sørger den subsidieydende myndighed, det uafhængige organ eller den uafhængige myndighed for senest 28 dage efter, at anmodningen er fremsat skriftligt, at give den interesserede part de oplysninger, der sætter den interesserede part i stand til at vurdere anvendelsen af principperne i artikel 366, med forbehold af eventuelle proportionelt afpassede berettigede begrænsninger, som f.eks. kommercielt følsomme oplysninger, fortrolighed eller retten til fortrolighed.
De oplysninger, der er omhandlet i første afsnit, litra b), meddeles den interesserede part med henblik på at sætte vedkommende i stand til at træffe en informeret beslutning om, hvorvidt denne vil anlægge søgsmål, eller til at forstå og på behørig vis udpege de omtvistede spørgsmål i det søgsmål, der er anlagt.
6.   Med henblik på denne artikel og artikel 372 og 373 forstås ved "interesseret part" en fysisk eller juridisk person, en økonomisk aktør eller en sammenslutning af økonomiske aktører, hvis interesser kunne blive berørt af ydelsen af subsidier, navnlig subsidiemodtageren, økonomiske aktører, der konkurrerer med modtageren, eller relevante erhvervsorganisationer.
7.   Forpligtelserne i denne artikel berører ikke parternes forpligtelser i henhold til deres respektive lovgivning vedrørende retten til at modtage og give oplysninger eller aktindsigt.
Artikel 370
Konsultationer og kontrol med subsidier
1.   Finder en part, at den anden part har tildelt subsidier, eller at der er tydelig dokumentation for, at den anden part har til hensigt at tildele subsidier, og at tildelingen af subsidierne har eller kan have en negativ indvirkning på samhandelen eller investeringerne mellem parterne, kan parten anmode den anden part om en beskrivelse af, hvordan principperne i artikel 366 er overholdt for så vidt angår de pågældende subsidier.
2.   En part kan også anmode om de oplysninger, der er anført i artikel 369, stk. 1, hvis de ikke allerede er gjort offentligt tilgængelige på et officielt websted eller en offentlig database i henhold til artikel 369, stk. 1, eller hvis de ikke er gjort tilgængelige på en klar og let tilgængelig måde.
3.   Den anden part fremlægger de ønskede oplysninger skriftligt senest 60 dage efter datoen for modtagelsen af anmodningen. Hvis de ønskede oplysninger ikke kan fremlægges, forklarer den pågældende part fraværet af sådanne oplysninger i sit skriftlige svar.
4.   Hvis den anmodende part efter at have modtaget de ønskede oplysninger stadig mener, at den anden parts tildelte eller påtænkte subsidier har eller kan få en negativ indvirkning på samhandelen eller investeringerne mellem parterne, kan den anmodende part anmode om konsultationer i Handelsspecialudvalget vedrørende Lige Vilkår for Åben og Fair Konkurrence og Bæredygtig Udvikling. Anmodningen fremsættes skriftligt og indeholder en redegørelse for den anmodende parts begrundelse for at anmode om konsultationer.
5.   Handelsspecialudvalget vedrørende Lige Vilkår for Åben og Fair Konkurrence og Bæredygtig Udvikling udfolder enhver bestræbelse på at finde en gensidigt tilfredsstillende løsning på spørgsmålet. Det holder sit første møde senest 30 dage efter anmodningen om konsultationer.
6.   De frister for afholdelsen af konsultationer, der er nævnt i stk. 3 og 5, kan forlænges efter aftale mellem parterne.
Artikel 371
Uafhængig myndighed eller uafhængigt organ og samarbejde
1.   Hver part opretter eller opretholder en operationelt uafhængig myndighed eller et operationelt uafhængigt organ, der spiller en passende rolle i partens ordning for kontrol med subsidier. Den uafhængige myndighed eller det uafhængige organ skal have de nødvendige garantier for uafhængighed under udøvelsen af sine operationelle funktioner og skal handle upartisk.
2.   Parterne tilskynder deres respektive uafhængige myndigheder eller organer til at samarbejde om spørgsmål af fælles interesse inden for deres respektive funktioner, herunder anvendelsen af artikel 363-369, alt efter hvad der er relevant, inden for de grænser, der er fastsat i deres respektive retlige rammer. Parterne eller deres respektive uafhængige myndigheder kan aftale en særskilt ramme for samarbejdet mellem disse uafhængige myndigheder.
Artikel 372
Retsinstanser
1.   Hver part sikrer i overensstemmelse med sine almindelige og forfatningsmæssige love og procedurer, at dens domstole er kompetente til:
a)
at efterprøve afgørelser om subsidier truffet af en subsidieydende myndighed eller, hvis det er relevant, den uafhængige myndighed eller det uafhængige organ, for overholdelse af den pågældende parts lovgivning til gennemførelse af artikel 366
b)
at efterprøve alle andre relevante afgørelser truffet af den uafhængige myndighed eller det uafhængige organ og enhver relevant form for manglende handling
c)
at pålægge afhjælpende foranstaltninger, som er effektive med henblik på litra a) eller b), herunder for så vidt angår den subsidieydende myndighed suspension, nedlæggelse af forbud eller krav om handling, tilkendelse af erstatning og tilbagesøgning af subsidier fra modtageren, hvis og i det omfang disse afhjælpende foranstaltninger er mulige i henhold til parternes respektive lovgivning på datoen for denne aftales ikrafttræden
d)
høre krav fra interesserede parter vedrørende subsidier, der er omfattet af dette kapitel, hvis en interesseret part har søgsmålsinteresse med hensyn til subsidier i henhold til den pågældende parts lovgivning.
2.   Hver part har, om nødvendigt med den pågældende retsinstans tilladelse, ret til at intervenere i de i stk. omhandlede sager, i overensstemmelse med den anden parts almindelige love og procedurer.
3.   Uden at dette berører forpligtelserne til at opretholde, eller hvis det er nødvendigt, fastlægge kompetencer, afhjælpende foranstaltninger og ret til at intervenere, jf. denne artikels stk. 1 og 2, og artikel 373, er der intet i denne artikel, der kræver, at parterne skaber søgsmålsret, indfører afhjælpende foranstaltninger, procedurer eller udvider omfanget af prøvelsen eller prøvelsesgrundene i forhold til afgørelser truffet af deres respektive offentlige myndigheder, ud over dem, der finder anvendelse i henhold til deres lovgivning på datoen for denne aftales ikrafttræden.
4.   Intet i denne artikel forpligter nogen af parterne til at udvide omfanget af deres retsinstansers prøvelse eller prøvelsesgrundene i forhold til retsakter vedtaget af Det Forenede Kongeriges parlament, retsakter vedtaget af Europa-Parlamentet og Rådet for Den Europæiske Union, eller retsakter vedtaget af Rådet for Den Europæiske Union, ud over dem, der finder anvendelse i henhold til deres lovgivning på datoen for denne aftales ikrafttræden. 
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Artikel 373
Tilbagesøgning
1.   Hver part indfører en effektiv mekanisme til tilbagesøgning af subsidier i overensstemmelse med følgende bestemmelser, uden at dette berører andre afhjælpende foranstaltninger i henhold til den pågældende parts lovgivning 
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.
2.   Hver part sikrer, at der, forudsat at den berørte part som defineret i artikel 369 har anfægtet en afgørelse om ydelse af subsidier ved en domstol inden for den frist, der er fastsat i denne artikels stk. 3, kan udstedes en ordre om tilbagesøgning, hvis en parts domstol konstaterer en væsentlig retlig fejl, for så vidt:
a)
en foranstaltning, der udgør subsidier, ikke blev behandlet som subsidier af den subsidieydende myndighed
b)
den subsidieydende myndighed ikke har anvendt principperne i artikel 366 som gennemført i den pågældende parts lovgivning eller anvendt dem på en måde, som ikke opfylder den gældende standard for prøvelse i henhold til den pågældende parts lovgivning, eller
c)
den subsidieydende myndighed ved sin beslutning om at yde de pågældende subsidier har handlet uden for rammerne af sine beføjelser eller misbrugt sine beføjelser for så vidt angår principperne i artikel 366, som gennemført i den pågældende parts lovgivning.
3.   Med henblik på denne artikel fastsættes fristen som følger:
a)
for Unionen løber fristen fra den dato, hvorpå de oplysninger, der er specificeret i artikel 369, stk. 1, 2 og 4, blev gjort tilgængelige på det officielle websted eller den offentlige database, og den varer i mindst en måned
b)
for Det Forenede Kongerige:
i)
den løber fra den dato, hvorpå de oplysninger, der er specificeret i artikel 369, stk. 1 og 2, blev gjort tilgængelige på det officielle websted eller den offentlige database
ii)
den slutter en måned senere, medmindre den berørte part forud for denne dato har anmodet om oplysninger i henhold til den proces, der er specificeret i artikel 369, stk. 5
iii)
når den interesserede part har modtaget de oplysninger, der er fastsat i artikel 369, stk. 5, litra b), og som er tilstrækkelige til de formål, der er fastsat i artikel 369, stk. 5, løber fristen i en yderligere periode på en måned
iv)
datoen for modtagelse af oplysningerne i nr. iii) er den dato, hvorpå den subsidieydende myndighed bekræfter, at den har meddelt de oplysninger, der er fastsat i artikel 369, stk. 5, litra b), og som er tilstrækkelige til de nævnte formål, uanset om der finder yderligere forklarende korrespondance sted efter denne dato
v)
de frister, der er fastsat i nr. i), ii) og iii), kan forlænges ved lov.
4.   Med henblik på stk. 3, litra b), begynder fristen for så vidt angår ordninger, når oplysningerne i nærværende stykkes litra b) offentliggøres, ikke når de efterfølgende betalinger foretages, hvis:
a)
subsidierne tydeligvis ydes i overensstemmelse med de betingelser, der gælder for en ordning
b)
den, der har udformet ordningen, har offentliggjort de oplysninger vedrørende ordningen, der skal offentliggøres i henhold til artikel 369, stk. 1 og 2, og
c)
de oplysninger, der er fremlagt om ordningen i henhold til dette stykkes litra b), indeholder oplysninger om subsidierne, som sætter en interesseret part i stand til at afgøre, om vedkommende vil blive berørt af ordningen, idet disse oplysninger som minimum skal omfatte formålet med subsidierne, modtagerkategorierne, betingelserne for at modtage subsidierne og grundlaget for beregningen af subsidierne (herunder eventuelle relevante betingelser vedrørende subsidiesatser eller beløb).
5.   Med henblik på denne artikel er tilbagesøgning af subsidier ikke påkrævet, hvis de ydes på grundlag af en retsakt udstedt af Det Forenede Kongeriges parlament, en retsakt udstedt af Europa-Parlamentet og Rådet for Den Europæiske Union eller en retsakt udstedt af Rådet for Den Europæiske Union.
6.   Intet i denne artikel er til hinder for, at en part i overensstemmelse med sin lovgivning kan vælge at fastsætte yderligere situationer, hvor tilbagesøgning kan bruges som et retsmiddel, ud over dem, der er fastsat i denne artikel.
7.   Parterne erkender, at tilbagesøgning er en vigtig afhjælpende foranstaltning i enhver ordning for kontrol med subsidier. Parterne overvejer på anmodning af den anden part inden for rammerne af Partnerskabsrådet yderligere eller alternative tilbagesøgningsmekanismer samt tilsvarende ændringer af denne artikel. Hver part kan i Partnerskabsrådet fremsætte forslag til ændringer for at give mulighed for forskellige ordninger for deres respektive tilbagesøgningsmekanismer. En part skal overveje et forslag, som den anden part har fremsat i god tro, og tilslutte sig det, forudsat at den pågældende part finder, at det indeholder ordninger, der er mindst lige så effektive med hensyn til at sikre tilbagesøgning som den anden parts eksisterende mekanismer. Partnerskabsrådet kan derefter foretage tilsvarende ændringer af denne artikel 
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Artikel 374
Afhjælpende foranstaltninger
1.   En part kan forelægge den anden part en skriftlig anmodning om oplysninger og konsultationer vedrørende subsidier, som den anser for at have eller for at udgøre en risiko for at få en væsentlig negativ indvirkning på samhandelen eller investeringerne mellem parterne. Den anmodende part bør i sin anmodning fremlægge alle relevante oplysninger for at sætte parterne i stand til at finde en gensidigt acceptabel løsning, herunder en beskrivelse af subsidierne og de bekymringer, som den anmodende part gør sig vedrørende subsidiernes indvirkning på samhandelen eller investeringerne.
2.   Senest 30 dage efter indgivelsen af anmodningen skal den anmodede part afgive et skriftligt svar med de ønskede oplysninger til den anmodende part, og parterne indleder konsultationer, som anses for afsluttet 60 dage efter datoen for indgivelsen af anmodningen, medmindre parterne aftaler andet. Konsultationerne, og især de oplysninger, der udpeges som fortrolige, og de holdninger, som parterne indtager under konsultationerne, er fortrolige og berører ikke parternes rettigheder i et eventuelt videre sagsforløb.
3.   Tidligst 60 dage efter datoen for indgivelsen af den anmodning, der er omhandlet i stk. 1, kan den anmodende part ensidigt træffe passende afhjælpende foranstaltninger, hvis der er bevis for, at subsidier, der ydes af den anmodede part, har, eller der er risiko for at de får en væsentlig negativ indvirkning på samhandelen eller investeringerne mellem parterne.
4.   Tidligst 45 dage efter datoen for indgivelsen af den i stk. 1 nævnte anmodning underretter den anmodende part den anmodede part om de afhjælpende foranstaltninger, som den agter at træffe i overensstemmelse med stk. 3. Den anmodende part fremlægger alle relevante oplysninger om de foranstaltninger, som den agter at træffe for at gøre det muligt for parterne at finde frem til en gensidigt acceptabel løsning. Den anmodende part må tidligst træffe disse afhjælpende foranstaltninger 15 dage efter datoen for meddelelsen af disse foranstaltninger til den anmodede part.
5.   En parts konstatering af, at der er alvorlig risiko for en væsentlig negativ indvirkning, skal være baseret på kendsgerninger og ikke blot påstande, formodninger eller en fjern mulighed. Den ændring i omstændighederne, der kan skabe en situation, hvor subsidierne har en sådan væsentlig negativ indvirkning, skal være klart forudsigelig.
6.   En parts vurdering af, at der er ydet subsidier, eller at subsidierne har haft en væsentlig negativ indvirkning på samhandelen eller investeringerne mellem parterne, skal være baseret på pålidelig dokumentation og ikke blot på formodninger eller en fjern mulighed og skal vedrøre identificerbare varer, tjenesteydere eller andre økonomiske aktører, herunder, hvis det er relevant, hvis der er tale om subsidieordninger.
7.   Partnerskabsrådet kan føre en vejledende liste over, hvad der ville udgøre en væsentlig negativ indvirkning på samhandelen eller investeringerne mellem parterne, jf. denne artikel. Dette berører ikke parternes ret til at træffe afhjælpende foranstaltninger.
8.   De afhjælpende foranstaltninger, der træffes i henhold til stk. 3, begrænses til det, der er strengt nødvendigt og står i et rimeligt forhold til situationen for at afhjælpe den væsentlige negative indvirkning, der er forårsaget, eller for at imødegå den alvorlige risiko for en sådan indvirkning. Der vælges fortrinsvis foranstaltninger, som forstyrrer denne aftales funktion mindst muligt.
9.   Senest fem dage efter den dato, hvorpå de afhjælpende foranstaltninger som omhandlet i stk. 3 træder i kraft, kan den part, der har modtaget underretningen uden forudgående konsultationer i henhold til artikel 738, i henhold til artikel 739, stk. 2, ved indgivelse af en skriftlig anmodning til den anmodende part anmode om, at der nedsættes en voldgiftsret, som skal træffe afgørelse om:
a)
hvorvidt en afhjælpende foranstaltning, som den anmodende part har truffet, er i overensstemmelse med stk. 3 eller 8
b)
hvorvidt den anmodende part deltog i konsultationerne, efter at den anmodede part havde afgivet de ønskede oplysninger og indvilget i at afholde sådanne konsultationer, eller
c)
hvorvidt der blev truffet eller givet meddelelse om en afhjælpende foranstaltning i overensstemmelse med de frister, der er omhandlet i henholdsvis stk. 3 eller 4.
Denne anmodning har ikke opsættende virkning for de afhjælpende foranstaltninger. Voldgiftsretten vurderer ikke parternes anvendelse af bestemmelserne i artikel 366 og 367.
10.   Den voldgiftsret, der nedsættes på anmodning som omhandlet i denne artikels stk. 9, behandler sagerne i overensstemmelse med artikel 760 og afsiger sin endelige kendelse senest 30 dage efter nedsættelsen.
11.   Hvis den indklagede part dømmes, underretter den indklagede part senest 30 dage efter datoen for afsigelsen af voldgiftsrettens kendelse den klagende part om enhver foranstaltning, den har truffet for at efterkomme kendelsen.
12.   Hvis den indklagede part dømmes i forbindelse med den i denne artikels stk. 10 omhandlede procedure, kan den klagende part senest 30 dage efter afsigelsen af kendelsen anmode voldgiftsretten om at fastsætte et niveau for suspension af forpligtelserne i henhold til denne aftale eller en supplerende aftale, der ikke overstiger det niveau, der svarer til den annullation eller forringelse, der er forårsaget af anvendelsen af de afhjælpende foranstaltninger, hvis den finder, at der er en væsentlig uoverensstemmelse mellem de afhjælpende foranstaltninger og denne artikels stk. 3 eller 8. I anmodningen foreslås et niveau for suspension af forpligtelserne i overensstemmelse med principperne i artikel 761. Den klagende part kan suspendere forpligtelserne i henhold til denne aftale eller en supplerende aftale i overensstemmelse det niveau for suspension af forpligtelser, der fastsættes af voldgiftsretten. Suspensionen må tidligst finde anvendelse 15 dage efter afsigelsen af kendelsen.
13.   En part må ikke påberåbe sig WTO-overenskomsten eller andre internationale aftaler for at forhindre den anden part i at træffe foranstaltninger i henhold til denne artikel, herunder når disse foranstaltninger består i suspension af forpligtelser i henhold til denne aftale eller i henhold til en supplerende aftale.
14.   For i forbindelse med denne artikel at vurdere, om pålæggelsen eller opretholdelsen af afhjælpende foranstaltninger, der vedrører import af samme vare, er begrænset til det, der er strengt nødvendigt, eller står i et rimeligt forhold til situationen:
a)
tager en part hensyn til de udligningsforanstaltninger, der anvendes eller opretholdes i henhold til artikel 32, stk. 3, og
b)
kan en part tage hensyn til de antidumpingforanstaltninger, der anvendes eller opretholdes i henhold til artikel 32, stk. 3.
15.   En part må ikke samtidig anvende en afhjælpende foranstaltning i henhold til denne artikel og en udligningsforanstaltning i henhold til artikel 411 for at afhjælpe den indvirkning på handelen og investeringerne, som samme subsidier har været direkte årsag til.
16.   Hvis den part, som der er truffet afhjælpende foranstaltninger over for, ikke indgiver en anmodning i henhold til denne artikels stk. 9 inden for den frist, der er fastsat i samme stykke, må nævnte part uden forudgående konsultationer i henhold til artikel 738 indlede voldgiftsprocedure som omhandlet i artikel 739 med henblik på at gøre indsigelse mod en afhjælpende foranstaltning med de begrundelser, der er fastsat i denne artikels stk. 9. En voldgiftsret behandler spørgsmålet som et hastetilfælde med henblik på artikel 744.
17.   Med henblik på proceduren i stk. 9 og 16 tager voldgiftsretten ved vurderingen af, om en afhjælpende foranstaltning er strengt nødvendig eller står i et rimeligt forhold til situationen, behørigt hensyn til principperne i stk. 5 og 6 samt til stk. 13, 14 og 15.
Artikel 375
Tvistbilæggelse
1.   Uden at det berører denne artikels stk. 2 og 3, finder sjette del, afsnit I, anvendelse på tvister mellem parterne vedrørende fortolkningen og anvendelsen af dette kapitel, med undtagelse af artikel 371 og 372.
2.   En voldgiftsdomstol har ingen kompetence med hensyn til:
a)
et individuelt subsidie, herunder om et sådant subsidie er ydet under overholdelse af principperne i artikel 366, stk. 1, bortset fra betingelserne i artikel 367, stk. 2, 3, 4 og 5, 8-11 og 12, og
b)
om tilbagesøgningsforanstaltningen som omhandlet i artikel 373 er blevet anvendt korrekt i hvert enkelt tilfælde.
3.   Sjette del, afsnit I, finder anvendelse på artikel 374 i overensstemmelse med nævnte artikel og artikel 760.
KAPITEL 4
STATSEJEDE VIRKSOMHEDER,  VIRKSOMHEDER INDRØMMET SÆRLIGE RETTIGHEDER  ELLER PRIVILEGIER OG MONOPOLER
Artikel 376
Definitioner
1.   I dette kapitel forstås ved:
a)
"ordning": en ordning vedrørende offentligt støttede eksportkreditter, der er udarbejdet inden for rammerne af OECD eller en senere ordning til afløsning deraf, som enten er udarbejdet inden for eller uden for OECD's rammer, som er blevet vedtaget af mindst 12 oprindelige WTO-medlemmer, som deltog i ordningen den 1. januar 1979
b)
"kommercielle aktiviteter": aktiviteter, der fører til produktion af en vare eller levering af en tjenesteydelse, som vil blive solgt på det relevante marked i mængder og til priser, der fastsættes af virksomheden på grundlag af udbud og efterspørgsel med henblik på fortjeneste; aktiviteter, som udøves af en virksomhed, der opererer på nonprofitbasis eller omkostningsdækningsbasis, er ikke aktiviteter med henblik på profit
c)
"kommercielle hensyn": hensyn til pris, kvalitet, rådighed, omsættelighed, transport og andre vilkår og betingelser for køb eller salg eller andre faktorer, som der normalt ville blive taget hensyn til i de kommercielle beslutninger i en privatejet virksomhed, som drives efter markedsøkonomiske principper inden for den relevante erhvervsgren eller industri
d)
"omfattet enhed":
i)
et udpeget monopol
ii)
en virksomhed, der er indrømmet særlige rettigheder eller privilegier, eller
iii)
en statsejet virksomhed
e)
"udpeget monopol": en enhed, herunder et konsortium eller et statsligt organ, som på det relevante marked på en parts område er udpeget som den eneste leverandør eller køber af en vare eller tjenesteydelse, men omfatter ikke en enhed, som har fået tildelt en eksklusiv intellektuel ejendomsrettighed alene på grund af tildelingen; i denne forbindelse forstås ved "udpege" at oprette eller tillade et monopol eller at udvide omfanget af et monopol til at omfatte yderligere varer eller tjenesteydelser
f)
"virksomhed": en virksomhed som defineret i artikel 124, litra g)
g)
"virksomhed indrømmet særlige rettigheder eller privilegier": en offentlig eller privat virksomhed, som en part har indrømmet særlige rettigheder eller privilegier retligt eller faktisk
h)
"tjenesteydelse, der leveres under udøvelse af offentlig myndighed": en tjenesteydelse, der leveres under udøvelse af offentlig myndighed som defineret i GATS
i)
"særlige rettigheder og privileger": rettigheder og privilegier, der indrømmes af en part, når den på anden måde end efter objektive, forholdsmæssige og ikkediskriminerende kriterier angiver eller begrænser antallet af virksomheder med tilladelse til at levere varer eller tjenesteydelser til to eller flere, hvilket således i væsentlig grad påvirker andre virksomheders mulighed for at levere de samme varer eller tjenesteydelser i det samme geografiske område eller på det samme produktmarked på i alt væsentligt ensartede betingelser
j)
"statsejet virksomhed": en virksomhed, hvor en part:
i)
direkte ejer mere end 50 % af aktiekapitalen
ii)
kontrollerer, direkte eller indirekte, udøvelsen af mere end 50 % af stemmerettighederne
iii)
har beføjelse til at udpege et flertal af medlemmerne i bestyrelsen eller i et tilsvarende ledelsesorgan eller
iv)
har beføjelse til at udøve kontrol over virksomheden. Ved fastlæggelsen af kontrol tages alle relevante retlige og faktuelle elementer i betragtning i hvert enkelt tilfælde.
Artikel 377
Anvendelsesområde
1.   Dette kapitel finder anvendelse på omfattede enheder på alle forvaltningsniveauer, der er involveret i kommercielle aktiviteter. Hvis en omfattet enhed udøver både kommercielle og ikkekommercielle aktiviteter, er kun de kommercielle aktiviteter omfattet af dette kapitel.
2.   Dette kapitel finder ikke anvendelse på:
a)
omfattede enheder, når de handler som ordregivere som defineret i hver parts bilag 1-3 til tillæg I til GPA-aftalen og afsnit 1 i hver parts respektive underafsnit i afsnit B i bilag 25, der gennemfører omfattede udbud som defineret i artikel 277, stk. 2
b)
tjenesteydelser, der leveres under udøvelse af offentlig myndighed.
3.   Dette kapitel finder ikke anvendelse på en omfattet enhed, hvis de årlige indtægter, som stammer fra den pågældende virksomheds eller det pågældende monopols kommercielle aktiviteter, i et af de seneste tre på hinanden følgende regnskabsår har været mindre end 100 mio. særlig trækningsrettigheder.
4.   Artikel 380 finder ikke anvendelse på en omfattet enheds levering af finansielle tjenesteydelser i henhold til et offentligt mandat, hvis denne levering af finansielle tjenesteydelser:
a)
støtter eksport eller import, forudsat at disse tjenesteydelser:
i)
ikke er beregnet på at erstatte kommerciel finansiering eller
ii)
tilbydes på vilkår, der ikke er gunstigere, end hvad der kunne være opnået for sammenlignelige finansielle tjenesteydelser på det kommercielle marked, eller
b)
støtter private investeringer uden for partens område, forudsat at disse tjenesteydelser:
i)
ikke er beregnet på at erstatte kommerciel finansiering eller
ii)
tilbydes på vilkår, der ikke er gunstigere, end hvad der kunne være opnået for sammenlignelige finansielle tjenesteydelser på det kommercielle marked, eller
c)
gives på vilkår, der er i overensstemmelse med ordningen, hvis leveringen af disse tjenesteydelser falder inden for ordningens anvendelsesområde.
5.   Uden at det berører denne artikels stk. 3, finder artikel 380 ikke anvendelse på følgende sektorer: audiovisuelle tjenesteydelser, national cabotagesejlads 
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 og transport ad indre vandveje, jf. artikel 123, stk. 5.
6.   Artikel 380 finder ikke anvendelse, i det omfang en omfattet enhed i en part køber eller sælger varer eller tjenesteydelser i henhold til:
a)
enhver eksisterende ikkeoverensstemmende foranstaltning, som parten opretholder, fornyer, forlænger eller ændrer i overensstemmelse med artikel 133, stk. 1, eller artikel 139, stk. 1, som fastsat i dens lister til bilag 19 og 20, alt efter hvad der er relevant, eller
b)
enhver ikkeoverensstemmende foranstaltning, som parten vedtager eller opretholder med hensyn til sektorer, delsektorer eller aktiviteter i overensstemmelse med artikel 133, stk. 2, eller artikel 139, stk. 2, som fastsat i dens lister til bilag 19 og 20, alt efter hvad der er relevant.
Artikel 378
Forholdet til WTO-aftalen
Parterne bekræfter deres rettigheder og forpligtelser i henhold til artikel XVII, stk. 1 og 3, i GATT 1994, forståelsen vedrørende fortolkningen af artikel XVII i GATT 1994, såvel som i henhold til artikel VIII, stk. 1, 2 og 5, i GATS.
Artikel 379
Almindelige bestemmelser
1.   Uden at det berører parternes rettigheder og forpligtelser i henhold til dette kapitel, er der intet i dette kapitel, der forhindrer en part i at oprette eller opretholde en omfattet enhed.
2.   Ingen af parterne må ikke kræve eller tilskynde en omfattet enhed til at handle på en måde, der er uforenelig med dette kapitel.
Artikel 380
Ikkeforskelsbehandling og kommercielle hensyn
1.   Parterne sikrer, at deres omfattede enheder, når de er involveret i kommercielle aktiviteter:
a)
handler i overensstemmelse med kommercielle hensyn ved køb eller salg af en vare eller en tjenesteydelse, undtagen for at opfylde krav i forbindelse med deres public serviceopgaver, som ikke er uforenelige med litra b) eller c)
b)
ved køb af en vare eller en tjenesteydelse:
i)
indrømmer en vare eller en tjenesteydelse, som leveres af en virksomhed fra den anden part, en behandling, der ikke er mindre gunstig end den, de indrømmer en tilsvarende vare eller tjenesteydelse, der leveres af partens egne virksomheder, og
ii)
indrømmer en vare eller en tjenesteydelse, som leveres af en omfattet enhed på partens område, en behandling, der ikke er mindre gunstig end den, de indrømmer en tilsvarende vare eller tjenesteydelse, der leveres af partens egne virksomheder på et relevant marked på partens område, og
c)
ved salg af en vare eller tjenesteydelse:
i)
indrømmer den anden parts virksomheder en behandling, der ikke er mindre gunstig end den, de indrømmer partens egne virksomheder, og
ii)
indrømmer en vare eller en tjenesteydelse, som leveres af en omfattet enhed på partens område, en behandling, der ikke er mindre gunstig end den, de indrømmer partens egne virksomheder på et relevant marked på partens område 
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.
2.   Stk. 1, litra b) og c), udelukker ikke en omfattet enhed fra:
a)
at købe eller levere varer eller tjenesteydelser på forskellige vilkår og betingelser, herunder vilkår vedrørende pris, forudsat at disse vilkår og betingelser er i overensstemmelse med kommercielle hensyn, eller
b)
at afvise at købe eller levere varer eller tjenesteydelser, forudsat at afvisningen foretages i overensstemmelse med kommercielle hensyn.
Artikel 381
Lovramme
1.   Hver part overholder og gør bedst mulig brug af relevante internationale standarder, herunder OECD's retningslinjer for virksomhedsledelse i statsejede virksomheder.
2.   Hver part sikrer, at ethvert reguleringsorgan eller andet organ, der udøver en reguleringsmæssig funktion, og som oprettes eller opretholdes af denne part:
a)
er uafhængigt af og ikke står til ansvar over for nogen af de virksomheder, som det pågældende organ regulerer, og
b)
handler upartisk i samme situation over for alle virksomheder, som det pågældende organ regulerer, herunder omfattede enheder; den upartiskhed, hvormed reguleringsorganet udøver sine reguleringsmæssige funktioner, vurderes på grundlag af det pågældende reguleringsorgans generelle adfærd eller praksis.
De relevante bestemmelser i denne aftale har forrang for så vidt angår de sektorer, hvor parterne har aftalt særlige forpligtelser med hensyn til et sådant organ i denne aftale.
3.   Hver af parternes anvender sine love og forskrifter på omfattede enheder på en konsekvent og ikkediskriminerende måde.
Artikel 382
Udveksling af oplysninger
1.   En part, som har grund til at tro, at dens interesser i henhold til dette kapitel påvirkes negativt af de kommercielle aktiviteter, som udøves af en omfattet enhed i den anden part, kan skriftligt anmode den anden part om at oplyse om den pågældende enheds kommercielle aktiviteter i forbindelse med gennemførelsen af dette kapitels bestemmelser i henhold til stk. 2.
2.   Forudsat at den i stk. 1 omhandlede anmodning indeholder en redegørelse for, hvordan enhedens aktiviteter kan påvirke den anmodende parts interesser i henhold til dette kapitel, og angiver, hvilke af følgende kategorier af oplysninger der gives eller vil blive givet, skal den anmodede part give de oplysninger, der anmodes om:
a)
enhedens ejerskab og stemmeretsstruktur med angivelse af den procentdel af aktierne og stemmerettighederne, som den anmodede par har tilsammen i enheden
b)
en beskrivelse af eventuelle særlige aktier eller særlige stemmerettigheder eller andre rettigheder, som den anmodede part eller dens omfattede enheder har, i det omfang sådanne rettigheder er forskellige fra dem, der er knyttet til enhedens almindelige aktier
c)
en beskrivelse af enhedens organisatoriske struktur og af sammensætningen af bestyrelsen eller et tilsvarende ledelsesorgan
d)
en beskrivelse af de statslige myndigheder eller offentlige organer, der regulerer eller fører tilsyn med enheden, en beskrivelse af de rapporteringskrav, som enheden er pålagt af disse statslige myndigheder eller offentlige organer, og disse statslige myndigheders eller offentlige organers rettigheder og praksis med hensyn til udnævnelse, afskedigelse eller aflønning af ledende medarbejdere og medlemmerne af enhedens bestyrelse eller et tilsvarende ledelsesorgan
e)
enhedens årlige indtægter og samlede aktiver i de seneste tre år, for hvilke der foreligger oplysninger
f)
eventuelle undtagelser, immuniteter og dertil knyttede foranstaltninger, som enheden er omfattet af i henhold til den anmodede parts lovgivning
g)
eventuelle yderligere oplysninger om virksomheden, som er offentligt tilgængelige, herunder årsrapporter og tredjepartsauditter.
3.   Stk. 1 og 2 forpligter ikke en part til at videregive fortrolige oplysninger, når videregivelsen ville være uforenelig med dens love og forskrifter, vanskeliggøre håndhævelse af loven eller på anden måde være i strid med almene samfundsinteresser eller krænke bestemte virksomheders legitime kommercielle interesser.
4.   Hvis de ønskede oplysninger ikke foreligger, giver den anmodede part skriftligt den anmodende part en begrundelse for, hvorfor disse oplysninger ikke foreligger.
KAPITEL 5
BESKATNING
Artikel 383
God forvaltning
Parterne anerkender og forpligter sig til at gennemføre principperne om god forvaltning på skatteområdet, herunder de internationale standarder for gennemsigtighed og udveksling af oplysninger samt fair skattekonkurrence. Parterne gentager deres støtte til OECD's handlingsplan mod udhuling af skattegrundlaget og overførsel af overskud (BEPS) og bekræfter deres tilsagn om at gennemføre OECD's minimumsstandarder mod BEPS. Parterne vil fremme god forvaltning på skatteområdet, forbedrer det internationale samarbejde på skatteområdet og letter opkrævningen af skatteindtægter.
Artikel 384
Beskatningsstandarder
1.   En part må ikke svække eller reducere det beskyttelsesniveau, der er fastsat i partens lovgivning, ved overgangsperiodens udløb til under det niveau, der er fastsat i standarder og regler, der er opnået enighed om i OECD ved overgangsperiodens udløb, med hensyn til:
a)
udveksling af oplysninger efter anmodning, spontant eller automatisk om finansielle konti, grænseoverskridende skatteafgørelser, land for land-rapporter mellem skattemyndighederne, reelt ejerskab og potentielle grænseoverskridende skatteplanlægningsordninger
b)
regler om begrænsning af rentebetalinger, kontrollerede udenlandske selskaber og hybride mismatch.
2.   En part må ikke svække eller reducere det beskyttelsesniveau, der er fastsat i partens lovgivning, ved overgangsperiodens udløb med hensyn til offentlig landeopdelt rapportering fra kreditinstitutter og investeringsselskaber, bortset fra små og ikke indbyrdes forbundne investeringsselskaber.
Artikel 385
Tvistbilæggelse
Dette kapitel er ikke omfattet af bestemmelserne om tvistbilæggelse i sjette del, afsnit I.
KAPITEL 6
ARBEJDSSTANDARDER OG SOCIALE STANDARDER
Artikel 386
Definition
1.   I dette kapitel forstås ved "arbejdsmæssige og sociale beskyttelsesniveauer" de beskyttelsesniveauer, der generelt er fastsat i en parts lovgivning og standarder 
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 på hvert af følgende områder:
a)
grundlæggende rettigheder på arbejdspladsen
b)
standarder for sundhed og sikkerhed på arbejdspladsen
c)
retfærdige arbejdsforhold og beskæftigelsesstandarder
d)
ret til information og høring i virksomheden eller
e)
omstrukturering af virksomheder.
2.   For Unionens vedkommende forstås ved "arbejdsmæssige og sociale beskyttelsesniveauer" de arbejdsmæssige og sociale beskyttelsesniveauer, der gælder for og er fælles for alle Unionens medlemsstater.
Artikel 387
Opretholdelse af beskyttelsesniveauerne
1.   Parterne bekræfter, at hver part har ret til at fastlægge politikker og prioriteter på de områder, der er omfattet af dette kapitel, til at fastlægge de arbejdsmæssige og sociale beskyttelsesniveauer, som de finder passende, og til at vedtage eller ændre deres relevante lovgivning og politikker på en måde, der er i overensstemmelse med hver parts internationale forpligtelser, herunder deres forpligtelser i henhold til dette kapitel.
2.   En part må ikke på en måde, der påvirker handelen eller investeringerne parterne imellem, svække eller reducere de arbejdsmæssige og sociale beskyttelsesniveauer, der ligger under de niveauer, der var gældende ved overgangsperiodens udløb, herunder ved ikke effektivt at håndhæve sin lovgivning og sine standarder.
3.   Parterne anerkender, at hver part bevarer retten til at udøve rimeligt skøn og træffe beslutninger i god tro vedrørende tildeling af ressourcer til håndhævelse vedrørende arbejdsmarkedet, hvad angår anden arbejdsret, der anses for at have højere prioritet, forudsat at udøvelsen af dette skøn og disse afgørelser ikke er i strid med dens forpligtelser i henhold til dette kapitel.
4.   Parterne bestræber sig fortsat på at øge deres respektive arbejdsmæssige og sociale beskyttelsesniveauer som omhandlet i dette kapitel.
Artikel 388
Håndhævelse
Med henblik på håndhævelse som omhandlet i artikel 387 indfører og vedligeholder hver af parterne et system til effektiv national håndhævelse og navnlig et effektivt arbejdstilsyn i overensstemmelse med deres internationale forpligtelser vedrørende arbejdsvilkår og beskyttelse af arbejdstagere, sikrer, at der er adgang til administrative og retslige procedurer, som gør det muligt for offentlige myndigheder og enkeltpersoner med søgsmålskompetence rettidigt at anlægge sag ved overtrædelser af arbejdsret og sociale standarder, og sikrer passende og effektive retsmidler, herunder foreløbige retsmidler, samt sanktioner, der står i rimeligt forhold til overtrædelsen og har afskrækkende virkning. Ved den nationale gennemførelse og håndhævelse af artikel 387 respekterer hver part arbejdsmarkedsparternes rolle og autonomi på nationalt plan, hvor det er relevant, i overensstemmelse med gældende lovgivning og praksis.
Artikel 389
Tvistbilæggelse
1.   Parterne udfolder gennem dialog, konsultationer og udveksling af oplysninger og samarbejde enhver bestræbelse på at løse enhver uenighed om anvendelsen af dette kapitel.
2.   Uanset sjette del, afsnit I, anvender parterne i tilfælde af en tvist mellem parterne om anvendelsen af dette kapitel, udelukkende procedurerne i artikel 408, 409 og 410.
KAPITEL 7
MILJØ OG KLIMA
Artikel 390
Definitioner
1.   I dette kapitel forstås ved "miljøbeskyttelsesniveauer" de beskyttelsesniveauer, som generelt er fastsat i en parts lovgivning, og som har til formål at beskytte miljøet, herunder forebyggelse af en fare for menneskers liv eller sundhed fra miljøvirkninger, herunder på hvert af følgende områder:
a)
industrielle emissioner
b)
kulstofemissioner og luftkvalitet
c)
bevaring af natur og biodiversitet
d)
affaldshåndtering
e)
beskyttelse og bevarelse af vandmiljøet
f)
beskyttelse og bevarelse af havmiljøet
g)
forebyggelse, nedbringelse og fjernelse af risici for menneskers sundhed eller for miljøet, som skyldes fremstilling, anvendelse, udslip og bortskaffelse af kemiske stoffer, eller
h)
forvaltning af indvirkningen på miljøet fra landbrugs- eller fødevareproduktion, navnlig gennem anvendelse af antibiotika og dekontaminanter.
2.   For Unionens vedkommende forstås ved "miljøbeskyttelsesniveauer" de miljøbeskyttelsesniveauer, der gælder for og er fælles for alle medlemsstater.
3.   I dette kapitel forstås ved "klimabeskyttelsesniveau" beskyttelsesniveau med hensyn til emissioner og optag af drivhusgasser og ozonlagsnedbrydende stoffer. For så vidt angår drivhusgasser betyder dette:
a)
for Unionens vedkommende målet på 40 % for hele økonomien i 2030, herunder Unionens kulstofprissætningssystem
b)
for Det Forenede Kongeriges vedkommende Det Forenede Kongeriges andel af dette 2030-mål for hele økonomien, herunder Det Forenede Kongeriges kulstofprissætningssystem.
Artikel 391
Opretholdelse af beskyttelsesniveauerne
1.   Parterne bekræfter, at hver part har ret til at fastlægge politikker og prioriteter på de områder, der er omfattet af dette kapitel, til at fastlægge de miljøbeskyttelsesniveauer eller og det klimabeskyttelsesniveau, som den finder passende, og til at vedtage eller ændre sin relevante lovgivning og politikker på en måde, der er i overensstemmelse med hver parts internationale forpligtelser, herunder sine forpligtelser i henhold til dette kapitel.
2.   En part må ikke på en måde, der påvirker handelen eller investeringerne parterne imellem, svække eller reducere sine miljøbeskyttelsesniveauer eller sit klimabeskyttelsesniveau til niveauer, der ligger under dem, der var gældende ved overgangsperiodens udløb, herunder ved ikke effektivt at håndhæve sin miljølovgivning og sine standarder for klimabeskyttelse.
3.   Parterne anerkender, at hver part bevarer retten til at udøve rimeligt skøn og træffe beslutninger i god tro vedrørende tildeling af ressourcer til håndhævelse vedrørende miljøet, hvad angår anden miljøret og klimapolitikker, der anses for at have højere prioritet, forudsat at udøvelsen af dette skøn og disse afgørelser ikke er i strid med dens forpligtelser i henhold til dette kapitel.
4.   For så vidt der i dette kapitel er fastsat mål i en parts miljølovgivning på de områder, der er anført i artikel 390, er de omfattet af en parts miljøbeskyttelsesniveau ved overgangsperiodens udløb. Disse mål omfatter de mål, der forventes opfyldt på et tidspunkt, der ligger efter overgangsperiodens udløb. Dette stykke finder også anvendelse på ozonlagsnedbrydende stoffer.
5.   Parterne bestræber sig fortsat på at øge deres respektive miljøbeskyttelsesniveauer eller deres respektive klimabeskyttelsesniveauer som omhandlet i dette kapitel.
Artikel 392
Kulstofprissætning
1.   Hver part har indført et effektivt kulstofprissætningssystem pr. 1. januar 2021.
2.   Hvert system omfatter drivhusgasemissioner fra elproduktion, varmeproduktion, industri og luftfart.
3.   Effektiviteten af parternes respektive kulstofprissætningssystemer skal opretholde det beskyttelsesniveau, der er fastsat i artikel 391.
4.   Uanset stk. 2 medtages luftfart senest inden for to år, hvis den ikke allerede er medtaget. Anvendelsesområdet for Unionens kulstofprissætningssystem omfatter flyvninger, der afgår fra Det Europæiske Økonomiske Samarbejdsområde til Det Forenede Kongerige.
5.   Hver part opretholder sit kulstofprissætningssystem, for så vidt som det er et effektivt redskab for hver part i bekæmpelsen af klimaændringer, og opretholder under alle omstændigheder det beskyttelsesniveau, der er fastsat i artikel 391.
6.   Parterne samarbejder om kulstofprissætning. De overvejer seriøst at sammenkæde deres respektive kulstofprissætningssystemer på en måde, der bevarer disse systemers integritet og giver mulighed for at øge deres effektivitet.
Artikel 393
Miljø- og klimaprincipper
1.   Under hensyntagen til det forhold, at Unionen og Det Forenede Kongerige deler en fælles biosfære med hensyn til grænseoverskridende forurening, giver hver part tilsagn om at overholde de internationalt anerkendte miljøprincipper, som parten har forpligtet sig til i f.eks. Rioerklæringen om miljø og udvikling, vedtaget den 14. juni 1992 ("Rioerklæringen fra 1992 om miljø og udvikling") og i multilaterale miljøaftaler, herunder De Forenede Nationers rammekonvention om klimaændringer, udfærdiget den 9. maj 1992 i New York ("UNFCCC") og konventionen om den biologiske mangfoldighed, udfærdiget den 5. juni 1992 i Rio de Janeiro ("konventionen om den biologiske mangfoldighed"), særlig:
a)
princippet om, at miljøbeskyttelse bør integreres i udformningen af politikker, herunder gennem konsekvensvurderinger
b)
princippet om en forebyggende indsats for at undgå miljøskader
c)
den forsigtighedstilgang, der er omhandlet i artikel 356, stk. 2
d)
princippet om, at indgreb over for miljøskader fortrinsvis bør ske ved kilden, og
e)
princippet om, at forureneren betaler.
2.   Parterne bekræfter deres respektive forpligtelser med hensyn til procedurer for evaluering af en foreslået aktivitets sandsynlige indvirkning på miljøet, og når bestemte projekter, planer og programmer kan forventes at få væsentlige indvirkninger på miljøet, herunder på sundheden, herunder en miljøkonsekvensvurdering eller en strategisk miljøvurdering, alt efter hvad der er relevant.
3.   Disse procedurer omfatter, hvor det er relevant og i overensstemmelse en parts lovgivning, fastlæggelse af anvendelsesområdet for en miljørapport og udarbejdelse heraf, gennemførelse af offentlig deltagelse og høringer og hensyntagen til miljørapporten og resultaterne af offentlighedens deltagelse og høringer i forbindelse med det godkendte projekt eller den vedtagne plan eller det vedtagne program.
Artikel 394
Håndhævelse
1.   Med henblik på håndhævelse som omhandlet i artikel 391 sikrer hver part i overensstemmelse med sin nationale lovgivning:
a)
at de nationale myndigheder, der har kompetence til at håndhæve den relevante miljø- og klimalovgivning, tager behørigt højde for påståede overtrædelser af sådan lovgivning, som de får kendskab til. De pågældende myndigheder skal have adgang til passende og effektive retsmidler, herunder foreløbige retsmidler samt sanktioner, der står i rimeligt forhold til overtrædelsen og har afskrækkende virkning, hvis det er relevant, og
b)
nationale administrative eller retslige procedurer er tilgængelige for fysiske og juridiske personer med en tilstrækkelig interesse i at anlægge sag til prøvelse af overtrædelser af sådan lovgivning og til at anvende effektive retsmidler, herunder foreløbige retsmidler, og at retssagerne er ikke uoverkommeligt dyre og føres på en retfærdig, retfærdig og gennemsigtig måde.
Artikel 395
Samarbejde om overvågning og håndhævelse
Parterne sikrer, at Europa-Kommissionen og Det Forenede Kongeriges tilsynsførende organer regelmæssigt mødes og samarbejder om en effektiv overvågning og håndhævelse af lovgivningen med hensyn til miljø og klima som omhandlet i artikel 391.
Artikel 396
Tvistbilæggelse
1.   Parterne udfolder gennem dialog, konsultationer og udveksling af oplysninger og samarbejde enhver bestræbelse på at løse enhver uenighed om anvendelsen af dette kapitel.
2.   Uanset sjette del, afsnit I, anvender parterne i tilfælde af en tvist mellem parterne om anvendelsen af dette kapitel, udelukkende procedurerne i artikel 408, 409 og 410.
KAPITEL 8
ANDRE INSTRUMENTER FOR HANDEL OG BÆREDYGTIG UDVIKLING
Artikel 397
Baggrund og mål
1.   Parterne minder om Agenda 21 og Rioerklæringen fra 1992 om miljø og udvikling, gennemførelsesplanen fra verdenstopmødet i Johannesburg om bæredygtig udvikling fra 2002, Den Internationale Arbejdsorganisations (ILO) erklæring om social retfærdighed med henblik på en retfærdig globalisering, vedtaget den 10. juni 2008 i Genève af Den Internationale Arbejdskonference på sit 97. møde ("ILO's erklæring fra 2008 om social retfærdighed med henblik på en retfærdig globalisering"), slutdokumentet fra FN's konference om bæredygtig udvikling fra 2012 med titlen "Den fremtid, vi ønsker" ("The future we want"), stadfæstet i FN's Generalforsamlings resolution 66/288, vedtaget den 27. juli 2012, og FN's 2030-dagsorden for bæredygtig udvikling vedtaget af FN's Generalforsamling ved resolution 70/1 af 25. september 2015 og dens mål for bæredygtig udvikling.
2.   I lyset af denne artikels stk. 1 er målet med dette kapitel at fremme integrationen af bæredygtig udvikling, navnlig dens arbejds- og miljømæssige dimensioner, i parternes handels- og investeringsforbindelser og i denne forbindelse supplere parternes forpligtelser i henhold til kapitel 6 og 7.
Artikel 398
Gennemsigtighed
1.   Parterne understreger betydningen af at sikre gennemsigtighed som et nødvendigt element til at fremme offentlig deltagelse og offentliggørelse af oplysninger inden for rammerne af dette kapitel. I overensstemmelse med deres love og forskrifter, bestemmelserne i dette kapitel, afsnit IX og afsnit X skal hver part:
a)
sikre, at alle alment gældende foranstaltninger, der forfølger målene i dette kapitel, forvaltes på en gennemsigtig måde, herunder ved at give offentligheden rimelige muligheder og tilstrækkelig tid til at fremsætte bemærkninger, og ved at offentliggøre sådanne foranstaltninger
b)
sikre, at offentligheden får adgang til relevante miljøoplysninger, der opbevares af eller for offentlige myndigheder, samt sikre aktiv formidling af disse oplysninger til offentligheden ad elektronisk vej
c)
tilskynde til offentlig debat med og blandt ikkestatslige aktører om udvikling og fastlæggelse af politikker, der kan føre til, at de offentlige myndigheder vedtager lovgivning, der er relevant for dette kapitel. Med hensyn til miljøet omfatter dette offentlig deltagelse i projekter, planer og programmer og
d)
fremme af offentlighedens kendskab til de af dens love og standarder, der er relevante for dette kapitel, samt håndhævelses- og overholdelsesprocedurer ved at tage skridt til at øge offentlighedens viden og forståelse. I forbindelse med arbejdsmarkedsret og arbejdsmarkedsstandarder skal dette omfatte arbejdstagere, arbejdsgivere og deres repræsentanter.
Artikel 399
Multilaterale arbejdsmarkedsstandarder og -aftaler
1.   Parterne bekræfter deres tilsagn om at fremme udviklingen af den internationale handel på en måde, der fremmer anstændigt arbejde for alle, som udtrykt i ILO-erklæringen fra 2008 om social retfærdighed for en retfærdig globalisering.
2.   I overensstemmelse med ILO-statutten og ILO-erklæringen om grundlæggende principper og rettigheder på arbejdet og opfølgningen heraf, som blev vedtaget den 18. juni 1998 i Genève på Den Internationale Arbejdskonferences 86. møde, forpligter hver part sig til at iagttage, fremme og effektivt gennemføre de følgende internationalt anerkendte grundlæggende arbejdsmarkedsstandarder som fastlagt i de grundlæggende ILO-konventioner:
a)
foreningsfrihed og faktisk anerkendelse af retten til kollektive forhandlinger
b)
afskaffelse af alle former for tvangsarbejde
c)
reel afskaffelse af børnearbejde og
d)
afskaffelse af forskelsbehandling med hensyn til beskæftigelse og erhverv.
3.   Hver part bestræber sig fortsat og vedvarende på at ratificere de grundlæggende ILO-konventioner, hvis de ikke allerede har gjort dette.
4.   Parterne udveksler regelmæssigt og i det nødvendige omfang oplysninger om medlemsstaternes og Det Forenede Kongeriges respektive situationer og fremskridt med hensyn til ratificeringen af ILO-konventioner eller protokoller, som af ILO er klassificeret som værende ajour, og af andre relevante internationale instrumenter.
5.   Hver part forpligter sig til at gennemføre alle de ILO-konventioner, som Det Forenede Kongerige og medlemsstaterne hver især har ratificeret, og de forskellige bestemmelser i den europæiske socialpagt, som medlemsstaterne og Det Forenede Kongerige som medlemmer af Europarådet hver især har accepteret 
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6.   Hver part fremmer fortsat gennem sin lovgivning og praksis ILO's dagsorden for anstændigt arbejde som opstillet i ILO's erklæring fra 2008 om social retfærdighed med henblik på en retfærdig globalisering ("ILO Decent Work Agenda") og i overensstemmelse med relevante ILO-konventioner og andre internationale forpligtelser, navnlig med hensyn til:
a)
anstændige arbejdsvilkår for alle med hensyn til bl.a. løn, arbejdstid, barselsorlov og andre arbejdsvilkår
b)
sundhed og sikkerhed på arbejdspladsen, herunder forebyggelse af arbejdsrelaterede skader eller sygdomme og kompensation i tilfælde af sådanne skader eller sygdomme, og
c)
ikkeforskelsbehandling med hensyn til arbejdsvilkår, herunder for vandrende arbejdstagere.
7.   Hver part beskytter og fremmer den sociale dialog om arbejdsmarkedsforhold mellem arbejdstagere og arbejdsgivere og deres respektive organisationer og med relevante statslige myndigheder.
8.   Parterne samarbejder om handelsrelaterede aspekter af arbejdsmarkedspolitikker og -foranstaltninger i multilaterale fora såsom ILO, når det er relevant. Et sådant samarbejde kan omfatte områder såsom:
a)
handelsrelaterede aspekter af gennemførelsen af grundlæggende, prioriterede og andre ajourførte ILO-konventioner
b)
handelsrelaterede aspekter af ILO's dagsorden for anstændigt arbejde, herunder om den indbyrdes sammenhæng mellem handel og fuld og produktiv beskæftigelse, arbejdsmarkedstilpasninger, grundlæggende arbejdsmarkedsstandarder, anstændigt arbejde i globale forsyningskæder, social beskyttelse og social inddragelse, social dialog samt ligestilling mellem kvinder og mænd
c)
virkningerne for handel og investeringer af arbejdsmarkedslovgivning og -standarder, eller handels- og investeringsreglers virkninger for arbejdsmarkedet
d)
dialog og udveksling af oplysninger om arbejdsretlige bestemmelser inden for rammerne af deres respektive handelsaftaler samt gennemførelsen heraf og
e)
enhver anden form for samarbejde, der anses for hensigtsmæssig.
9.   Parterne tager hensyn til eventuelle synspunkter, der er fremsat af repræsentanter for arbejdstager-, arbejdsgiver- og civilsamfundsorganisationer, når de identificerer samarbejdsområder, og når de gennemfører samarbejdsaktiviteter.
Artikel 400
Multilaterale miljøaftaler
1.   Parterne anerkender betydningen af FN's Miljøforsamling under FN's Miljøprogram og af multilateral miljøforvaltning og multilaterale miljøaftaler som et af det internationale samfunds svar på globale eller regionale miljøudfordringer, og de fremhæver behovet for at fremme det indbyrdes understøttende forhold mellem handels- og miljøpolitikker, -regler og -foranstaltninger.
2.   I medfør af stk. 1, forpligter hver part sig til effektivt at gennemføre de multilaterale miljøaftaler, protokoller og ændringer, som de har ratificeret i deres lovgivning og praksis.
3.   Parterne udveksler regelmæssigt og efter behov oplysninger om:
a)
deres respektive situation med hensyn til ratificeringen og gennemførelsen af multilaterale miljøaftaler, herunder protokoller og ændringer
b)
igangværende forhandlinger om nye multilaterale miljøaftaler og
c)
hver parts respektive synspunkter om at tilslutte sig yderligere multilaterale miljøaftaler.
4.   Parterne bekræfter, at hver part har ret til at indføre eller opretholde foranstaltninger med henblik på at fremme målene i multilaterale miljøaftaler, som den er part i. Parterne minder om, at foranstaltninger, der vedtages eller håndhæves for at gennemføre sådanne multilaterale miljøaftaler, kan være berettiget i henhold til artikel 412.
5.   Parterne samarbejder om handelsrelaterede aspekter af miljøpolitikker og -foranstaltninger, herunder i multilaterale fora såsom FN's politiske forum på højt plan for bæredygtig udvikling, FN's Miljøprogram, FN's Miljøforsamling, multilaterale miljøaftaler, Organisationen for International Civil Luftfart (ICAO) eller WTO alt efter omstændighederne. Et sådant samarbejde kan omfatte områder såsom:
a)
initiativer vedrørende bæredygtig produktion og bæredygtigt forbrug, herunder initiativer, der har til formål at fremme en cirkulær økonomi og grøn vækst og forureningsbekæmpelse
b)
initiativer til fremme af miljøvarer og -tjenesteydelser, herunder ved at nedbringe toldmæssige og ikketoldmæssige hindringer
c)
virkningerne for handel og investeringer af miljølovgivning og -standarder eller handels- og investeringsreglers virkninger for miljøet
d)
gennemførelsen af bilag 16 til konventionen angående international civil luftfart, som blev indgået den 7. december 1944 i Chicago, og andre foranstaltninger for at mindske luftfartens miljøpåvirkning, herunder inden for lufttrafikstyring, og
e)
andre handelsrelaterede aspekter af multilaterale miljøaftaler, herunder protokoller, ændringer og gennemførelse.
6.   Samarbejdet i henhold til stk. 5 kan omfatte tekniske udvekslinger, udveksling af oplysninger og bedste praksis, forskningsprojekter, undersøgelser, rapporter, konferencer og workshopper.
7.   Parterne tager behørigt hensyn til synspunkter og bidrag fra offentligheden og interesserede aktører om udformningen og gennemførelsen af deres samarbejdsaktiviteter, og de kan inddrage sådanne aktører yderligere i disse aktiviteter, alt efter hvad der er relevant.
Artikel 401
Handel og klimaændringer
1.   Parterne anerkender betydningen af at handle hurtigt for at bekæmpe klimaændringer og deres konsekvenser og af den rolle, som handel og investeringer spiller i forfølgelsen af dette mål i overensstemmelse med UNFCC, med formålet med og målene i Parisaftalen, som blev vedtaget den 12. december 2015 i Paris af partskonferencen under De Forenede Nationers rammekonvention om klimaændringer på FN's 21. partskonference ("Parisaftalen"), og med andre multilaterale miljøaftaler og multilaterale instrumenter vedrørende klimaændringer.
2.   Hver part skal i medfør af stk. 1:
a)
forpligte sig til effektivt at gennemføre UNFCCC og Parisaftalen, hvori et af hovedmålene er at øge den globale reaktion på klimaændringer og holde stigningen i den globale gennemsnitstemperatur et godt stykke under 2 °C over det førindustrielle niveau og fortsætte bestræbelserne på at begrænse temperaturstigningen til 1,5 °C over det førindustrielle niveau
b)
fremme det positive samspil mellem handel og klimapolitikker og -foranstaltninger og derved bidrage til overgangen til en ressourceeffektiv lavemissionsøkonomi og til klimarobust udvikling og
c)
gøre det lettere at fjerne hindringer for handel med og investering i varer og tjenesteydelser af særlig betydning for modvirkning af og tilpasning til klimaændringer såsom vedvarende energi og energieffektive produkter og tjenesteydelser, f.eks. ved at nedbringe toldmæssige og ikketoldmæssige hindringer eller vedtage politiske rammer, der kan bane vejen for anvendelsen af de bedste tilgængelige løsninger.
3.   Parterne samarbejder om at styrke deres samarbejde om handelsrelaterede aspekter af politikker og foranstaltninger til afbødning af klimaændringer bilateralt, regionalt og i internationale fora, hvor det er relevant, herunder i UNFCCC, WTO, Montrealprotokollen om stoffer, der nedbryder ozonlaget, udfærdiget den 26. august 1987 i Montreal ("Montrealprotokollen"), Den Internationale Søfartsorganisation (IMO) og ICAO. Et sådant samarbejde kan omfatte områder såsom:
a)
politisk dialog og samarbejde om gennemførelsen af Parisaftalen, herunder om midler til fremme af modstandsdygtighed over for klimaændringer, vedvarende energi, lavemissionsteknologier, energieffektivitet, bæredygtig transport, udvikling af bæredygtig og klimarobust infrastruktur, overvågning af emissioner og internationale CO
2
-markeder
b)
støtte til IMO's udvikling og indførelse af ambitiøse og effektive foranstaltninger til reduktion af drivhusgasemissioner, som skal gennemføres af skibe, der deltager i international handel
c)
støtte til ICAO's udvikling og indførelse af ambitiøse og effektive foranstaltninger til reduktion af drivhusgasemissioner og
d)
støtte til en ambitiøs udfasning af ozonlagsnedbrydende stoffer og udfasning af hydrofluorcarboner i henhold til Montrealprotokollen gennem foranstaltninger til kontrol af produktionen og forbruget af og handelen med disse stoffer og indførelse af miljøvenlige alternativer hertil, ajourføring af sikkerhedsstandarder og andre relevante standarder samt gennem bekæmpelse af ulovlig handel med stoffer, der reguleres af Montrealprotokollen.
Artikel 402
Handel og biologisk mangfoldighed
1.   Parterne anerkender betydningen af at bevare og på bæredygtig vis udnytte den biologiske mangfoldighed og den rolle, som handel spiller i forfølgelsen af disse mål, herunder ved at fremme bæredygtig handel eller kontrollere eller begrænse handelen med udryddelsestruede arter i overensstemmelse med de relevante multilaterale miljøaftaler, som de er part i, og de afgørelser, der er vedtaget i henhold hertil, navnlig konventionen om den biologiske mangfoldighed og dens protokoller og konventionen om international handel med udryddelsestruede vilde dyr og planter, udfærdiget den 3. marts 1973 i Washington DC ("CITES").
2.   Hver part skal i medfør af stk. 1:
a)
gennemføre effektive foranstaltninger til bekæmpelse af ulovlig handel med vilde dyr og planter, herunder med hensyn til tredjelande, hvis det er relevant
b)
fremme anvendelsen af CITES som et instrument til bevarelse og bæredygtig forvaltning af biodiversiteten, herunder gennem medtagelse af dyre- og plantearter på CITES-tillæggene, hvis den pågældende arts bevaringsstatus anses for truet på grund af international handel
c)
tilskynde til handel med produkter, der stammer fra en bæredygtig udnyttelse af biologiske ressourcer, og som bidrager til bevarelse af biodiversiteten, og
d)
fortsat træffe foranstaltninger til bevarelse af den biologiske mangfoldighed, hvis den er under pres fra handel og investeringer, navnlig gennem foranstaltninger til forebyggelse af udbredelsen af invasive ikkehjemmehørende arter.
3.   Parterne samarbejder om handelsrelaterede anliggender af relevans for denne artikel, herunder i multilaterale fora såsom CITES og konventionen om den biologiske mangfoldighed, når det er relevant. Et sådant samarbejde kan omfatte områder såsom: handel med vilde dyr og planter og produkter baseret på naturressourcer, værdiansættelse og vurdering af økosystemer og tilknyttede tjenester samt adgang til genetiske ressourcer og rimelig og retfærdig deling af de fordele, der opstår ved udnyttelsen heraf, i overensstemmelse med Nagoyaprotokollen om adgang til genetiske ressourcer samt rimelig og retfærdig fordeling af de fordele, der opstår ved udnyttelse af disse ressourcer, til konventionen om den biologiske mangfoldighed, udfærdiget den 29. oktober 2010 i Nagoya.
Artikel 403
Handel og skove
1.   Parterne anerkender betydningen af bevarelse af skove og bæredygtig skovforvaltning for at skabe miljømæssige funktioner og økonomiske og sociale muligheder for nuværende og kommende generationer og den rolle, som handel spiller i forfølgelsen af dette mål.
2.   I lyset af stk. 1 og på en måde, der er i overensstemmelse med dens internationale forpligtelser, skal hver part:
a)
fortsætte med at gennemføre foranstaltninger med henblik på at bekæmpe ulovlig skovhugst og den tilknyttede handel, herunder, alt efter omstændighederne, handel med tredjelande, og fremme handel med lovligt fældede træprodukter
b)
fremme bevarelse og bæredygtig forvaltning af skove og handel med og forbrug af træ og træprodukter, der er fældet i overensstemmelse med lovgivningen i hugstlandet og fra bæredygtigt forvaltede skove, og
c)
udveksle oplysninger med den anden part om handelsrelaterede initiativer vedrørende bæredygtig skovforvaltning, skovforvaltningspraksis og bevarelse af skovarealer og samarbejde om at maksimere virkningerne af og sikre det positive samspil mellem deres respektive politikker af fælles interesse.
3.   Parterne samarbejder om at styrke deres samarbejde om handelsrelaterede aspekter af bæredygtig skovforvaltning, bevarelse af skovarealer og ulovlig skovhugst, herunder i multilaterale fora, hvis det er relevant.
Artikel 404
Handel med og bæredygtig forvaltning af havets biologiske ressourcer og akvakultur
1.   Parterne anerkender betydningen af at bevare og forvalte havets biologiske ressourcer og økosystemer på en bæredygtig måde og af at fremme ansvarlig og bæredygtig akvakultur og den rolle, som handel spiller i forfølgelsen af disse mål.
2.   Hver part skal i medfør af stk. 1:
a)
forpligte sig til at handle konsekvent og, hvis det er relevant, overholde de relevante FN-aftaler, aftaler inden for rammerne af De Forenede Nationers Fødevare- og Landbrugsorganisation ("FAO"), FN's havretskonvention, aftalen om gennemførelsen af bestemmelserne i De Forenede Nationers havretskonvention af 10. december 1982 vedrørende bevarelse og forvaltning af fælles fiskebestande og stærkt vandrende fiskebestande, udfærdiget den 4.  august 1995 i New York, FAO-aftalen om fremme af fiskerfartøjers overholdelse af internationale bevarelses- og forvaltningsforanstaltninger på det åbne hav, udfærdiget den 24. november 1993 i Rom, FAO's adfærdskodeks for ansvarligt fiskeri og FAO-aftalen om havnestatsforanstaltninger, der skal forebygge, afværge og standse ulovligt, urapporteret og ureguleret fiskeri, vedtaget den 22. november 2009 i Rom på den 36. samling af FAO-konferencen, og deltage i FAO-initiativet vedrørende det globale register over fiskerfartøjer, køle- og fryseskibe og forsyningsskibe
b)
fremme bæredygtigt fiskeri og god fiskeriforvaltning ved at deltage aktivt i arbejdet i relevante internationale organisationer eller organer, som de er medlemmer af, observatører eller samarbejdende ikkekontraherende parter, herunder de regionale fiskeriforvaltningsorganisationer (RFFO'er), i givet fald ved hjælp af en effektiv overvågning, kontrol eller håndhævelse af RFFO'ernes resolutioner, henstillinger eller foranstaltninger, gennemførelsen af deres fangstdokumentation eller certificeringsordninger og havnestatsforanstaltninger
c)
vedtage og gennemføre deres respektive effektive redskaber til bekæmpelse af ulovligt, urapporteret og ureguleret fiskeri, herunder foranstaltninger med henblik på at udelukke produkter fra ulovligt, urapporteret og ureguleret fiskeri fra handelsstrømmene, og samarbejde med henblik herpå, samt
d)
fremme udviklingen af bæredygtig og ansvarlig akvakultur, herunder med hensyn til opfyldelsen af målsætningerne og principperne i FAO's adfærdskodeks for ansvarligt fiskeri, når det er relevant.
3.   Parterne samarbejder om bevarelsesmæssige og handelsrelaterede aspekter af fiskeri- og akvakulturpolitikker og -foranstaltninger, herunder i WTO, RFFO'er og andre multilaterale fora, hvis det er relevant, med henblik på at fremme bæredygtige fiskeri- og akvakulturpraksisser og handel med fiskevarer og akvakulturprodukter fra bæredygtigt forvaltede fiskeri- og akvakulturaktiviteter.
4.   Denne artikel berører ikke bestemmelserne i sektion fem.
Artikel 405
Handel og investeringer til fremme af bæredygtig udvikling
1.   Parterne bekræfter deres vilje til at forbedre den måde, hvorpå handel og investeringer bidrager til at opfylde de økonomiske, sociale og miljømæssige aspekter af målet om bæredygtig udvikling.
2.   I henhold til stk. 1 fremmer parterne fortsat:
a)
handels- og investeringspolitikker, der understøtter de fire strategiske mål i ILO's dagsorden for anstændigt arbejde i overensstemmelse med ILO's erklæring fra 2008 om social retfærdighed med henblik på en retfærdig globalisering, herunder mindstelønnen, sundhed og sikkerhed på arbejdspladsen, og andre aspekter vedrørende arbejdsvilkår
b)
handel med og investering i miljøvarer og -tjenesteydelser såsom vedvarende energi og energieffektive produkter og tjenesteydelser, herunder ved at nedbringe ikketoldmæssige hindringer eller vedtage politiske rammer, der kan bane vejen for anvendelsen af de bedste tilgængelige løsninger
c)
handel med varer og tjenesteydelser, som bidrager til forbedrede sociale forhold og miljømæssigt forsvarlig praksis, herunder dem, der er omfattet af frivillige garantiordninger for bæredygtighed som f.eks. fairtradeordninger og etiske handelsordninger og miljømærkning, og
d)
samarbejde i multilaterale fora om spørgsmål omhandlet i denne artikel.
3.   Parterne anerkender vigtigheden af at behandle specifikke spørgsmål om bæredygtig udvikling ved at gennemgå, overvåge og vurdere de potentielle økonomiske, sociale og miljømæssige virkninger af mulige tiltag under hensyntagen til de berørte parters synspunkter.
Artikel 406
Handel og ansvarlig forvaltning af forsyningskæder
1.   Parterne anerkender vigtigheden af ansvarlig forvaltning af forsyningskæder gennem ansvarlig forretningsskik og virksomhedernes sociale ansvar og handelens rolle i forfølgelsen af dette mål.
2.   Hver part skal i medfør af stk. 1:
a)
fremme virksomhedernes sociale ansvar og ansvarlige forretningsskik, herunder ved at tilvejebringe understøttende politiske rammer, der tilskynder virksomhederne til at anvende den relevante praksis, og
b)
støtte overholdelsen, gennemførelsen, opfølgningen og udbredelsen af relevante internationale instrumenter såsom OECD's retningslinjer for multinationale virksomheder, ILO's trepartserklæring om principper for multinationale virksomheder og socialpolitik, FN's Global Compact-initiativ og FN's vejledende principper om erhvervslivet og menneskerettigheder.
3.   Parterne anerkender nytteværdien af internationale sektorspecifikke retningslinjer for virksomhedernes sociale ansvar og ansvarlig forretningsskik og fremmer fælles arbejde i denne henseende. Med hensyn til OECD's due diligence-retningslinjer for ansvarlige forsyningskæder for mineraler fra konfliktramte områder og højrisikoområder med tillæg gennemfører parterne også foranstaltninger for at fremme udbredelsen af disse retningslinjer.
4.   Parterne samarbejder om at styrke deres samarbejde om handelsrelaterede aspekter af spørgsmål i denne artikel, herunder i multinationale fora, hvis det er relevant, bl.a. gennem udveksling af oplysninger, bedste praksis og outreachinitiativer.
Artikel 407
Tvistbilæggelse
1.   Parterne udfolder gennem dialog, konsultationer og udveksling af oplysninger og samarbejde enhver bestræbelse på at løse enhver uenighed om anvendelsen af dette kapitel.
2.   Uanset sjette del, afsnit I, anvender parterne i tilfælde af en tvist mellem parterne om anvendelsen af dette kapitel, udelukkende procedurerne i artikel 408 og 409.
KAPITEL 9
HORISONTALE OG INSTITUTIONELLE BESTEMMELSER
Artikel 408
Konsultationer
1.   En part kan ved skriftlig henvendelse til den anden part anmode den anden part om konsultationer vedrørende ethvert spørgsmål, der opstår i forbindelse med artikel 355, stk. 3, og kapitel 6, 7 og 8. Den klagende part angiver i den skriftlige anmodning begrundelserne for anmodningen, herunder redegørelse for de omhandlede foranstaltninger, og angiver de bestemmelser, som den klagende part anser som gældende. Konsultationerne skal indledes straks efter partens indgivelse af anmodningen herom og under alle omstændigheder senest 30 dage efter datoen for indgivelse af anmodningen, medmindre parterne aftaler en længere frist.
2.   Parterne indleder konsultationerne med det formål at nå frem til en gensidigt acceptabel løsning på problemet. Under konsultationerne giver parterne hinanden tilstrækkeligt mange af de oplysninger, som de er i besiddelse af, til at give mulighed for en fuldstændig undersøgelse af de rejste spørgsmål. Hver part bestræber sig på at sikre, at personale fra deres kompetente myndigheder med ekspertise på det område, der er genstand for konsultationerne, deltager.
3.   For så vidt angår spørgsmål vedrørende artikel 355, stk. 3, eller de multilaterale aftaler eller instrumenter, der er omhandlet i kapitel 6, 7 eller 8, tager parterne hensyn til oplysninger fra ILO eller relevante organer eller organisationer, som er nedsat i medfør af multilaterale miljøaftaler. Når det er relevant, søger parterne i fællesskab rådgivning hos disse organisationer eller organer eller andre eksperter eller organer, som de anser for passende.
4.   Hver part kan, når det er hensigtsmæssigt, indhente synspunkter fra de nationale rådgivende grupper, der er omhandlet i artikel 13, eller anden ekspertrådgivning.
5.   Enhver beslutning truffet af parterne offentliggøres.
ARTIKEL 409
Ekspertpanel
1.   For alle spørgsmål, der ikke løses tilfredsstillende gennem konsultationer i henhold til artikel 408, kan en part 90 dage efter modtagelsen af en konsultationsanmodning i henhold til nævnte artikel anmode om, at der indkaldes et ekspertpanel med henblik på at undersøge spørgsmålet ved at indgive en skriftlig anmodning til den anden part. I anmodningen angives den pågældende foranstaltning, og det specificeres og forklares, hvordan foranstaltningen ikke er i overensstemmelse med bestemmelserne i de relevante kapitler, på en måde, der er tilstrækkelig til klart at kunne indgive klagen.
2.   Ekspertpanelet består af tre panelmedlemmer.
3.   Handelsspecialudvalget vedrørende Lige Vilkår for Åben og Fair Konkurrence og Bæredygtig Udvikling udarbejder på det første møde efter denne aftales ikrafttræden en liste over mindst 15 personer, som er villige og i stand til at indgå i ekspertpanelet. Hver af parterne udnævner mindst fem personer på listen, der skal fungere som panelmedlemmer. Parterne udnævner også mindst fem personer, som ikke er borgere i nogen af parterne, og som er villige og i stand til at fungere som formand for et ekspertpanel. Handelsspecialudvalget vedrørende Lige Vilkår for Åben og Fair Konkurrence og Bæredygtig Udvikling sørger for, at listen ajourføres, og at der altid er mindst 15 eksperter på listen.
4.   De eksperter, der foreslås som medlemmer, skal have specialiseret viden eller ekspertise inden for arbejdsmarkeds- eller miljølovgivning, andre spørgsmål, som behandles i det eller de relevante kapitler, eller bilæggelse af tvister, der opstår i forbindelse med internationale aftaler. De skal handle efter deres egen overbevisning og må ikke modtage instruktioner fra nogen organisation eller regering i spørgsmål vedrørende tvisten. De skal være uafhængige af og må ikke være tilknyttet eller modtage instruktioner fra nogen af parterne Det må ikke være personer, der er medlemmer af eller tjenestemænd eller øvrige ansatte i Unionens institutioner, en medlemsstats regering eller Det Forenede Kongeriges regering.
5.   Medmindre parterne aftaler andet senest fem dage efter datoen for nedsættelsen af ekspertpanelet, er panelets kommissorium:
"på baggrund af de relevante bestemmelser at undersøge den sag, hvortil der henvises i anmodningen om nedsættelsen af ekspertpanelet, og udarbejde en rapport i overensstemmelse med denne artikel, hvori det fastslås, om foranstaltningen er i overensstemmelse med de relevante bestemmelser".
6.   Med hensyn til spørgsmål vedrørende multilaterale standarder og aftaler, der er omfattet af dette afsnit, bør ekspertpanelet indhente oplysninger fra ILO eller relevante organer, der er oprettet i henhold til disse aftaler, herunder alle relevante tilgængelige fortolkende retningslinjer, resultater eller afgørelser vedtaget af ILO og disse organer.
7.   Ekspertpanelet kan anmode om og modtage skriftlige indlæg eller andre oplysninger fra personer med relevante oplysninger eller specialiseret viden.
8.   Ekspertpanelet fremsender disse oplysninger til hver part, så de kan fremsætte deres bemærkninger senest 20 dage efter modtagelsen af dem.
9.   Ekspertpanelet udarbejder en foreløbig rapport til parterne og en endelig rapport med de faktiske omstændigheder, dets vurderinger af spørgsmålet, herunder hvorvidt den indklagede part har opfyldt sine forpligtelser i henhold til det eller de relevante kapitler samt begrundelsen for panelets konklusioner og vurderinger. Det præciseres, at parterne er enige om, at hvis panelet fremsætter henstillinger i sin rapport, behøver den indklagede part ikke at følge disse henstillinger for at sikre overensstemmelse med denne aftale.
10.   Ekspertpanelet forelægger den foreløbige rapport for parterne senest 100 dage efter datoen for nedsættelsen af ekspertpanelet. Finder ekspertpanelet, at denne frist ikke kan overholdes, skal ekspertpanelets formand underrette parterne skriftligt derom med angivelse af årsagerne til forsinkelsen og datoen for, hvornår ekspertpanelet agter at fremlægge sin foreløbige rapport. Ekspertpanelet forelægger under ingen omstændigheder den foreløbige rapport senere end 125 dage efter datoen for nedsættelsen af ekspertpanelet.
11.   Hver part kan indgive en begrundet anmodning til ekspertpanelet om at tage særlige aspekter af den foreløbige rapport op til fornyet overvejelse senest 25 dage efter forelæggelsen. En part kan fremsætte kommentarer til den anden parts anmodning frem til 15 dage efter indgivelse af anmodningen.
12.   Ekspertpanelet skal efter at have analyseret disse bemærkninger udarbejde den endelige rapport. Hvis der ikke indgives anmodninger om genbehandling af bestemte punkter i den foreløbige rapport inden for den i stk. 11 fastlagte frist, anses den foreløbige rapport som ekspertpanelets endelige rapport.
13.   Ekspertpanelet forelægger en foreløbig rapport for parterne senest 175 dage efter datoen for nedsættelsen af ekspertpanelet. Når ekspertpanelet finder, at denne frist ikke kan overholdes, skal ekspertpanelets formand underrette parterne skriftligt derom med angivelse af årsagerne til forsinkelsen og datoen for, hvornår ekspertpanelet agter at fremlægge sin endelige rapport. Ekspertpanelet forelægger under ingen omstændigheder den endelige rapport senere end 195 dage efter datoen for nedsættelsen af ekspertpanelet.
14.   Den endelige rapport skal indeholde en redegørelse for eventuelle skriftlige anmodninger fra parterne vedrørende den foreløbige rapport og tydeligt behandle parternes kommentarer.
15.   Parterne stiller den endelige rapport til rådighed for offentligheden senest 15 dage efter ekspertpanelets fremlæggelse af den.
16.   Hvis ekspertpanelets endelige rapport fastslår, at en part ikke har opfyldt sine forpligtelser i henhold til de eller de relevante kapitler, drøfter parterne senest 90 dage forelæggelsen af den endelige rapport, hvilke passende foranstaltninger der skal gennemføres, idet der tages hensyn til ekspertpanelets rapport. Senest 105 dage efter, at rapporten er blevet forelagt parterne, underretter den indklagede part sine nationale rådgivningsgrupper nedsat i henhold til artikel 13 og den klagende part om sin afgørelse om eventuelle foranstaltninger, der skal gennemføres.
17.   Handelsspecialudvalget vedrørende Lige Vilkår for Åben og Fair Konkurrence og Bæredygtig Udvikling overvåger opfølgningen af ekspertpanelets rapport. Parternes nationale rådgivningsgrupper, der er nedsat i henhold til artikel 13, kan fremsætte bemærkninger herom til Handelsspecialudvalget vedrørende Lige Vilkår for Åben og Fair Konkurrence og Bæredygtig Udvikling.
18.   Hvis der er uenighed mellem parterne om, hvorvidt der er truffet foranstaltninger til afhjælpning af den manglende overensstemmelse, eller om sådanne foranstaltninger er i overensstemmelse med de relevante bestemmelser, kan den klagende part indgive en skriftlig anmodning til det oprindelige ekspertpanel om at træffe afgørelse i sagen. I anmodningen skal den anfægtede foranstaltning angives, og der skal redegøres for, hvordan foranstaltningen ikke er i overensstemmelse med de relevante bestemmelser i et omfang, der er tilstrækkeligt til at forelægge klagen klart. Ekspertpanelet forelægger sin konklusion for parterne senest 45 dage efter datoen for indgivelsen af anmodningen.
19.   Medmindre andet er fastsat i denne artikel, finder artikel 739, stk. 1, artikel 740 og artikel 753-758 samt artikel 48 og 49 tilsvarende anvendelse.
Artikel 410
Ekspertpanel vedrørende områder med opretholdelse af beskyttelsesniveauet
1.   Artikel 409 finder anvendelse på tvister mellem parterne om fortolkningen og anvendelsen af bestemmelserne i kapitel 6 og 7.
2.   I forbindelse med disse tvister finder artikel 749 og 750 ud over de artikler, der er anført i artikel 409, stk. 19, tilsvarende anvendelse.
3.   Parterne anerkender, at hvis den indklagede part vælger ikke at træffe foranstaltninger for at bringe sig i overensstemmelse med ekspertpanelets rapport og denne aftale, er alle retsmidler, der er tilladt i henhold til artikel 749, fortsat tilgængelige for den klagende part.
Artikel 411
Genskabelse af ligevægt
1.   Parterne anerkender hver parts ret til at fastlægge sine fremtidige politikker og prioriteter med hensyn til arbejdsmæssig og social beskyttelse, miljøbeskyttelse eller klimabeskyttelse, eller med hensyn til subsidier på en måde, der er i overensstemmelse med hver parts internationale forpligtelser, herunder deres forpligtelser i henhold til denne aftale. Samtidig anerkender parterne, at betydelige forskelle på disse områder kan påvirke handelen eller investeringerne mellem parterne på en måde, der ændrer de omstændigheder, der har dannet grundlag for indgåelsen af denne aftale.
2.   Hvis der opstår væsentlige virkninger for handel eller investeringer mellem parterne som følge af betydelige forskelle mellem parterne på de områder, der er omhandlet i stk. 1, kan en af parterne træffe passende udligningsforanstaltninger, som er strengt nødvendige for at rette op på situationen. Sådanne foranstaltninger skal med hensyn til anvendelsesområde og varighed begrænses til, hvad der er strengt nødvendigt og forholdsmæssigt til at afhjælpe situationen. Der vælges fortrinsvis sådanne foranstaltninger, som mindst muligt forstyrrer denne aftales funktion. En parts vurdering af disse virkninger baseres på pålidelig dokumentation og ikke blot baseres på kendsgerninger og ikke blot på formodninger eller fjerne muligheder.
3.   Følgende procedurer finder anvendelse på de udligningsforanstaltninger, der træffes i henhold til stk. 2:
a)
Den pågældende part underretter straks den anden part gennem Partnerskabsrådet om de udligningsforanstaltninger, den pågældende part agter at træffe, og fremlægger alle relevante oplysninger. Parterne indleder straks konsultationer. Konsultationerne anses for at være afsluttet inden for 14 dage efter datoen for indgivelse af meddelelsen, medmindre den afsluttes i fællesskab inden udløbet af den nævnte tidsfrist.
b)
Hvis der ikke findes en gensidigt acceptabel løsning, kan den pågældende part tidligst vedtage udligningsforanstaltningerne fem dage efter konsultationernes afslutning, medmindre den part, der modtager meddelelsen, inden for samme periode på fem dage, i henhold til artikel 739, stk. 2 
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, ved indgivelse af en skriftlig anmodning til den anden part anmoder om, at der nedsættes en voldgiftsret, som skal træffe afgørelse om, hvorvidt de anmeldte udligningsforanstaltninger er i overensstemmelse med denne artikels stk. 2.
c)
Voldgiftsretten behandler sagerne i overensstemmelse med artikel 760 og forelægger sin endelige kendelse senest 30 dage efter datoen for nedsættelsen af voldgiftsretten. Hvis voldgiftsretten forelægger sin endelige kendelse inden for denne frist, kan den pågældende part tidligst vedtage udligningsforanstaltningerne tre dage efter udløbet af perioden på 30 dage. I så fald kan den anden part træffe modforanstaltninger, som står mål med de vedtagne udligningsforanstaltninger, indtil voldgiftsretten forelægger sin kendelse. Der vælges fortrinsvis modforanstaltninger, som mindst muligt forstyrrer denne aftales funktion. Litra a) finder tilsvarende anvendelse på sådanne modforanstaltninger, som tidligst kan vedtages tre dage efter afslutningen på konsultationerne.
d)
Hvis voldgiftsretten has fundet, at udligningsforanstaltninger er i overensstemmelse med stk. 2, kan den pågældende part vedtage udligningsforanstaltninger som meddelt den anden part.
e)
Hvis voldgiftsretten har fundet, at udligningsforanstaltninger ikke er i overensstemmelse med denne artikels stk. 2, meddeler den pågældende part inden for tre dage fra afsigelsen af kendelsen den klagende part de foranstaltninger 
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, den agter at vedtage for at efterkomme voldgiftsrettens kendelse. Artikel 748, stk. 2, og artikel 749 
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 og 750 finder tilsvarende anvendelse, hvis den klagende part finder, at de meddelte foranstaltninger ikke er i overensstemmelse med voldgiftsrettens kendelse. Procedurerne i artikel 748, stk. 2, og artikel 749 og 750 har ikke opsættende virkning for anvendelsen af de meddelte foranstaltninger i henhold til dette stykke.
f)
Hvis udligningsforanstaltninger blev vedtaget forud for voldgiftskendelsen i henhold til litra c), trækkes enhver modforanstaltning, der er vedtaget i henhold til nævnte litra, straks tilbage, og under ingen omstændigheder senere end fem dage efter afsigelsen af voldgiftsrettens kendelse.
g)
En part må ikke påberåbe sig WTO-overenskomsten eller andre internationale aftaler for at forhindre den anden part i at træffe foranstaltninger i henhold til stk. 2 og 3, herunder når disse foranstaltninger består i suspension af forpligtelser i henhold til denne aftale.
h)
Hvis den part, der modtager meddelelsen, ikke forelægger en anmodning i henhold til dette stykkes litra b) inden for den frist, der er fastsat deri, kan parten uden forudgående afholdelse af konsultationer i henhold til artikel 738 indlede den voldgiftsprocedure, der er omhandlet i artikel 739. En voldgiftsret behandler spørgsmålet som et hastetilfælde med henblik på artikel 744.
4.   Med henblik på at sikre en passende ligevægt mellem de forpligtelser, parterne har indgået i denne aftale, på et mere varigt grundlag, kan hver part, tidligst fire år efter denne aftales ikrafttræden, anmode om en gennemgang af anvendelsen af denne sektion. Parterne kan aftale, at andre sektionerne i denne aftale kan tilføjes til gennemgangen.
5.   En sådan gennemgang indledes på en parts anmodning, hvis parten finder, at foranstaltningerne i stk. 2 eller 3 ofte er blevet truffet af en eller begge parter, eller hvis en foranstaltning, som har haft væsentlige virkninger for handelen eller investeringerne mellem parterne, har fundet anvendelse i 12 måneder. Med henblik på dette stykke er de pågældende foranstaltninger de foranstaltninger, som ikke blev anfægtet, eller som voldgiftsretten ikke anså for at være strengt unødvendige i henhold til stk. 3, litra d) eller h). Denne gennemgang kan indledes tidligere end fire år efter denne aftales ikrafttræden.
6.   Den gennemgang, der anmodes om i henhold til stk. 4 eller 5, begynder inden for tre måned fra anmodningen og afsluttes inden for seks måneder.
7.   En gennemgang på grundlag af stk. 4 eller 5 kan gentages med efterfølgende intervaller på mindst fire år efter afslutningen af den foregående gennemgang. Hvis en part har anmodet om en gennemgang på grundlag af stk. 4 eller 5, kan parten ikke anmode om en yderlige gennemgang på grundlag af stk. 4 eller 5 i mindst fire år fra afslutningen af den foregående gennemgang eller, i givet fald, fra ændringsaftalens ikrafttræden.
8.   Ved gennemgangen skal der tages stilling til, om denne aftale skaber en passende ligevægt mellem parternes rettigheder og forpligtelser, navnlig med hensyn til anvendelsen af denne sektion, og om der som følge heraf er behov for at ændre denne aftales ordlyd.
9.   Partnerskabsrådet kan beslutte, at det ikke er nødvendigt at foretage sig noget som følge af gennemgangen. Hvis en part efter gennemgangen finder, at der er behov for en ændring af denne aftale, bestræber partnerne sig på at føre forhandlinger om og indgå en aftale om at foretage de nødvendige ændringer. Sådanne forhandlinger skal begrænses til spørgsmål, der er indkredset i forbindelse med gennemgangen.
10.   Hvis en aftale om ændringer som omhandlet i stk. 9 ikke indgås inden for et år fra den dato, hvor parterne indledte forhandlinger, kan hver af parterne give meddelelse om at opsige eller suspendere denne sektion eller enhver anden sektion i denne aftale, som blev tilføjet til gennemgangen, eller parterne kan beslutte af fortsætte forhandlingerne. Hvis en part ophæver denne sektion, ophæves sektion tre på samme dato. Ophævelsen får virkning tre måneder efter datoen for en sådan meddelelse.
11.   Hvis denne sektion opsiges i henhold til denne artikels stk. 10, ophæves sektion to på samme dato, medmindre parterne aftaler at indarbejde relevante dele af denne sektions afsnit XI i sektion to.
12.   Sjette del, afsnit I, finder ikke anvendelse på denne artikels stk. 4-9.
AFSNIT XII
UNDTAGELSER
Artikel 412
Almindelige undtagelser
1.   Intet i afsnit I, kapitel 1 og 5, afsnit II, kapitel 2, afsnit III, afsnit VIII og afsnit XI, kapitel 4, må fortolkes således, at det hindrer en part i at indføre eller opretholde foranstaltninger, der er forenelige med artikel XX i GATT 1994. Med henblik herpå er artikel XX i GATT 1994, herunder noter og supplerende bestemmelser hertil, med de fornødne ændringer indarbejdet i og gjort til en del af denne aftale.
2.   Med forbehold af kravet om, at sådanne foranstaltninger ikke anvendes på en måde, der udgør en vilkårlig eller uberettiget forskelsbehandling mellem lande, hvor de samme forhold gør sig gældende, eller en skjult begrænsning af liberalisering af investeringer eller handel med tjenesteydelser, må intet i afsnit II, afsnit III, afsnit IV, afsnit VIII og afsnit XI, kapitel 4, fortolkes således, at det hindrer en af parterne i at indføre eller håndhæve foranstaltninger:
a)
som er nødvendige af hensyn til den offentlige sikkerhed eller den offentlige sædelighed eller til opretholdelse af den offentlige orden 
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b)
som er nødvendige for at beskytte menneskers, dyrs eller planters liv eller sundhed
c)
som er nødvendige for at sikre overholdelse af love eller forskrifter, der ikke er uforenelige med bestemmelserne i denne aftale, herunder foranstaltninger, der vedrører:
i)
forebyggelse af vildledende og svigagtig praksis eller følgerne af misligholdelse af kontrakter
ii)
beskyttelse af enkeltpersoners privatliv i forbindelse med behandling og udbredelse af personoplysninger og beskyttelse af fortroligheden af personlige optegnelser og konti og
iii)
sikkerhed.
3.   Det præciseres, at parterne er enige om følgende, i det omfang nedenstående foranstaltninger ellers er uforenelige med bestemmelserne i de kapitler eller afsnit, der er omhandlet i denne artikels stk. 1 og 2:
a)
de foranstaltninger, der er omhandlet i artikel XX, litra b), i GATT 1994 og samme artikels stk. 2, litra b), omfatter miljøforanstaltninger, som er nødvendige for at beskytte menneskers, dyrs eller planters liv og sundhed
b)
artikel XX, litra g), i GATT 1994 finder anvendelse på foranstaltninger vedrørende bevarelse af levende og ikkelevende udtømmelige naturforekomster, og
c)
foranstaltninger, der træffes for at gennemføre multilaterale miljøaftaler, kan falde ind under artikel XX, litra b) eller g), i GATT 1994 eller samme artikels stk. 2, litra b).
4.   Før en part træffer de foranstaltninger, der er omhandlet i artikel XX, litra i) og j), i GATT 1994, giver denne part den anden part alle relevante oplysninger med henblik på at finde en løsning, der er acceptabel for parterne. Hvis der ikke opnås enighed senest 30 dage efter afgivelsen af oplysningerne, kan parten træffe de relevante foranstaltninger. I tilfælde af ekstraordinære og kritiske omstændigheder, der kræver øjeblikkelig handling, umuliggør forudgående underretning eller undersøgelse, kan den part, der agter at træffe foranstaltningerne, straks træffe de forholdsregler, der er nødvendige for at afhjælpe situationen. Den pågældende part underretter straks den anden part herom.
Artikel 413
Beskatning
1.   Intet i denne sektions afsnit I-VII, afsnit VIII, kapitel 4, eller afsnit IX-XII eller sektion seks berører Unionens eller dens medlemsstaters og Det Forenede Kongeriges rettigheder og forpligtelser i henhold til skatteaftaler. I tilfælde af uoverensstemmelse mellem nærværende aftale og en sådan beskatningsaftale har beskatningsaftalen forrang i henseende til denne uoverensstemmelse. For så vidt angår en skatteaftale mellem Unionen eller dens medlemsstater og Det Forenede Kongerige afgør de relevante kompetente myndigheder i henhold til nærværende aftale og nævnte skatteaftale, om skatteaftalen er uforenelig med nærværende aftale 
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.
2.   Artikel 130 og 138 finder ikke anvendelse på en fordel, der er indrømmet i henhold til en beskatningsaftale.
3.   Med forbehold af kravet om, at skattemæssige foranstaltninger ikke anvendes på en måde, der udgør en vilkårlig eller uberettiget forskelsbehandling mellem lande, hvor lignende forhold gør sig gældende, eller en skjult begrænsning af handel og investeringer, må intet i denne sektions afsnit I-VII, afsnit VIII, kapitel 4, afsnit IX-XII eller sektion seks fortolkes således, at det hindrer en part i at indføre, opretholde eller håndhæve en foranstaltning, der:
a)
har til formål at sikre en retfærdig eller effektiv 
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 pålæggelse eller opkrævning af direkte skatter eller
b)
sondrer mellem skatteydere, der ikke befinder sig i samme situation, navnlig hvad angår deres bopælssted eller det sted, hvor deres kapital er investeret.
4.   I denne artikel forstås ved:
a)
"bopæl": skattemæssigt hjemsted
b)
"skatteaftale": en aftale om undgåelse af dobbeltbeskatning eller enhver anden international aftale eller ordning, som udelukkende eller hovedsagelig vedrører beskatning, og
c)
"direkte skatter" omfatter alle skatter på indkomst eller kapital, herunder skatter på fortjeneste ved afhændelse af ejendom, ejendomsskatter, arveafgifter, skatter på gaver, skatter på lønninger udbetalt af virksomheder og skatter på kapitaltilvækst.
Artikel 414
Fritagelser fra WTO
Hvis en forpligtelse i denne sektions afsnit I-XII eller sektion seks i denne del i det væsentlige svarer til en forpligtelse i henhold til WTO-aftalen, anses enhver foranstaltning truffet i overensstemmelse med en fritagelse vedtaget i henhold til artikel IX i WTO-aftalen for at være i overensstemmelse med den i nærværende aftale indeholdte i det væsentlige tilsvarende bestemmelse.
ARTIKEL 415
Undtagelser af sikkerhedshensyn
Intet i denne sektions afsnit I-XII eller sektion seks må fortolkes således:
a)
at det kræves af en part, at denne meddeler eller tillader adgang til oplysninger, hvis videregivelse den anser for at være i strid med dens væsentlige sikkerhedsinteresser, eller
b)
at en part hindres i at træffe foranstaltninger, som den anser for nødvendige af hensyn til beskyttelsen af sine væsentlige sikkerhedsinteresser:
i)
vedrørende produktion af eller ulovlig handel med våben, ammunition og krigsudstyr samt produktion, ulovlig handel med andre varer og materialer, tjenesteydelser og teknologier samt vedrørende økonomiske aktiviteter, der direkte eller indirekte udføres med henblik på leverancer til militære anlæg
ii)
vedrørende fissions- og fusionsmaterialer eller materialer, af hvilke de udvindes, eller
iii)
i krigstid eller anden nødsituation i internationale forbindelser, eller
c)
at en part forhindres i at træffe forholdsregler som følge af sine forpligtelser efter De Forenede Nationers charter til opretholdelse af international fred og sikkerhed.
Artikel 416
Fortrolige oplysninger
1.   Med undtagelse af artikel 384 må intet i denne sektions afsnit I-XII eller sektion seks i nærværende del fortolkes således, at det forpligter en part til at stille fortrolige oplysninger til rådighed, hvis offentliggørelse ville hindre retshåndhævelse eller på anden måde være i strid med offentlige interesser, eller som ville være til skade for bestemte offentlige eller private virksomheders legitime kommercielle interesser, medmindre en voldgiftsdomstol kræver sådanne fortrolige oplysninger i tvistbilæggelsesprocedurer i henhold til sjette del, afsnit I, eller hvis et ekspertpanel kræver sådanne oplysninger i henhold til artikel 409 eller 410. I sådanne tilfælde sikrer voldgiftsretten eller i givet fald ekspertpanelet, at fortrolighed beskyttes fuldt ud i overensstemmelse med bilag 48.
2.   Når en part indgiver oplysninger til Partnerskabsrådet eller til udvalg, som betragtes som fortrolige i henhold til partens love og forskrifter, behandler den anden part disse oplysninger som fortrolige, medmindre den part, der afgiver dem, accepterer andet.
SEKTION TO
LUFTFART
AFSNIT I
LUFTTRANSPORT
Artikel 417
Definitioner
I dette afsnit forstås ved:
a)
"luftfartsselskab": et lufttransportselskab med en gyldig licens eller tilsvarende attest
b)
"EU-luftfartsselskab": et luftfartsselskab, der opfylder betingelserne i artikel 422, stk. 1, litra b)
c)
"luftfartsselskab fra Det Forenede Kongerige": et luftfartsselskab, der opfylder betingelserne i artikel 422, stk. 1, litra a), eller artikel 422, stk. 2,
d)
"luftfartstjenester": lufttrafiktjenester, kommunikations-, navigations- og overvågningstjenester, vejrtjenester til luftfartsformål og luftfartsinformationstjenester
e)
"luftfartsoperatørcertifikat": dokument udstedt til et luftfartsselskab, som bekræfter, at det pågældende luftfartsselskab har den faglige formåen og organisation til at sikre, at luftfartøjer kan operere sikkert i forbindelse med de luftfartsaktiviteter, der er angivet i certifikatet
f)
"lufttrafikstyring": de samlede luftbårne og jordbaserede funktioner (lufttrafiktjenester, luftrumsstyring og lufttrafikregulering), der kræves for at sikre, at luftfartøjer kan operere sikkert og effektivt i alle faser af en flyvning
g)
"lufttransport": befordring af passagerer, bagage, fragt eller post i et luftfartøj, hver for sig eller kombineret, som tilbydes offentligheden mod betaling af vederlag eller leje
h)
"konstatering af statsborgerskab": konstatering af, at et luftfartsselskab, som har til hensigt at udøve trafikflyvning i henhold til dette afsnit, opfylder kravene i artikel 422 for så vidt angår ejerskab, effektiv kontrol og hovedforretningssted
i)
"kompetente myndigheder": for så vidt angår Det Forenede Kongerige de myndigheder i Det Forenede Kongerige, der er ansvarlige for de reguleringsmæssige og administrative opgaver, der påhviler Det Forenede Kongerige i henhold til dette afsnit, og for så vidt angår Unionen de EU-myndigheder og medlemsstatsmyndigheder, der er ansvarlige for de reguleringsmæssige og administrative opgaver, der påhviler Unionen i henhold til dette afsnit
j)
"konventionen": konventionen om international civil luftfart, udfærdiget den 7. december 1944 i Chicago, og omfatter:
i)
alle ændringer, som er trådt i kraft i henhold til konventionens artikel 94, litra a), og er ratificeret af Det Forenede Kongerige og den eller de medlemsstater, som berøres af det aktuelle spørgsmål, og
ii)
alle bilag og ændringer hertil vedtaget i henhold til konventionens artikel 90, for så vidt et sådant bilag eller en sådan ændring på et givet tidspunkt er gældende for både Det Forenede Kongerige og den eller de medlemsstater, som berøres af det aktuelle spørgsmål
k)
"forskelsbehandling": sondring i enhver form uden objektiv begrundelse med hensyn til levering af varer eller tjenester, herunder offentlig tjeneste, som benyttes til at operere lufttransporttjenester, eller med hensyn til offentlige myndigheders behandling af disse i henseende til sådanne tjenester
l)
"effektiv kontrol": et forhold, der bygger på rettigheder, aftaler eller andre midler, som enkeltvis eller tilsammen, under hensyn til alle faktiske eller retlige forhold, giver mulighed for, direkte eller indirekte at få afgørende indflydelse på foretagendet, særlig ved:
i)
brugsret til foretagendets aktiver eller dele deraf
ii)
rettigheder eller aftaler, som sikrer afgørende indflydelse på sammensætningen af foretagendets organer eller på disses afstemninger eller beslutninger, eller som på anden måde sikrer afgørende indflydelse på foretagendets drift
m)
"konstatering af egnethed": en konstatering af, at et luftfartsselskab, som foreslår at drive luftfartsforbindelser i medfør af dette afsnit, har en tilstrækkelig økonomisk kapacitet og tilstrækkelig ledelsesmæssig ekspertise, og at det er rede til at efterkomme de love, bestemmelser og krav, som gælder for udøvelsen af sådanne luftfartsforbindelser
n)
"fulde omkostninger": omkostningerne ved den tjeneste, der leveres, og som kan omfatte passende beløb til kapitalomkostninger og afskrivning på aktiver samt omkostninger til vedligeholdelse, drift, forvaltning og administration
o)
"ICAO": De Forenede Nationers Organisation for International Civil Luftfart
p)
"hovedforretningssted": et luftfartsselskabs hovedkontor eller vedtægtsmæssige hjemsted, inden for hvilken luftfartsselskabets vigtigste økonomiske funktioner og operationelle kontrol udøves, herunder styring af vedvarende luftdygtighed
q)
"rampeinspektion": en undersøgelse foretaget af en parts kompetente myndighed eller dennes udpegede repræsentanter om bord på og omkring et luftfartøj fra den anden part for at kontrollere både gyldigheden af de relevante flydokumenter og af dets besætningsmedlemmers dokumenter og luftfartøjets og dets udstyrs synlige tilstand
r)
"selvservicering": et luftfartsselskabs udførelse af groundhandlingydelser direkte for sig selv eller for et andet luftfartsselskab, hvis:
i)
det ene besidder aktiemajoriteten i det andet, eller
ii)
en fælles enhed besidder en majoritetsinteresse i dem begge
s)
"ruteflyvning": planlagte lufttransporttjenester, som udføres mod betaling i henhold til en offentliggjort fartplan, eller som er så regelmæssige eller hyppige, at der er tale om en genkendelig systematisk serie, og som er åben for direkte reservation af offentligheden, og ekstra flyvninger som følge af overskydende trafik fra planlagte flyvninger
t)
"tekniske landinger": landinger, som har andre formål end ombordtagning eller afsætning af passagerer, bagage, fragt og/eller post, som befordres ad luftvejen
u)
"tarif": billetpris, fragtrate eller afgift for transport af passagerer, bagage eller fragt (med undtagelse af post) inden for lufttransport (herunder enhver anden form for transport i forbindelse hermed), der opkræves af luftfartsselskaber, herunder deres agenter, og betingelserne for adgang til sådanne takster, fragtrater eller afgifter
v)
"brugerafgift": en afgift, som pålægges luftfartsselskaber for levering af lufthavns-, luftfarts- (herunder overflyvning), luftfartssikkerhedsfaciliteter eller -tjenester, herunder relaterede tjenesteydelser og faciliteter, eller miljøgebyrer, herunder støjrelaterede gebyrer og afgifter for at løse lokale luftkvalitetsproblemer i eller omkring lufthavne.
Artikel 418
Ruteplan
1.   I henhold til artikel 419 giver Unionen Det Forenede Kongerige ret til, at Det Forenede Kongeriges luftfartsselskaber kan udføre lufttransport på følgende ruter:
punkter på Det Forenede Kongeriges område – mellemliggende punkter – punkter på Unionens område – punkter uden for parternes områder.
2.   I henhold til artikel 419 giver Det Forenede Kongerige Unionen ret til, at Unionens luftfartsselskaber kan udføre lufttransport på følgende ruter:
punkter på Unionens område – mellemliggende punkter – punkter på Det Forenede Kongeriges område – punkter uden for parternes områder.
Artikel 419
Trafikrettigheder
1.   Hver af parterne giver hinandens respektive luftfartsselskaber ret til i forbindelse med udførelse af lufttransport på de ruter, der er fastlagt i artikel 418:
a)
at overflyve dens område uden at lande
b)
at foretage tekniske landinger på dens område.
2.   Det Forenede Kongerige har ret til, at dets luftfartsselskaber gør ophold på Unionens område med henblik på levering af rute- og charterflyvninger mellem alle punkter på Det Forenede Kongeriges område og alle punkter på Unionens område (tredje og fjerde frihedstrafikrettighed).
3.   Unionen har ret til, at dens luftfartsselskaber gør ophold på Det Forenede Kongeriges område med henblik på levering af rute- og charterflyvninger mellem alle punkter på Unionens område og alle punkter på Det Forenede Kongeriges område (tredje og fjerde frihedstrafikrettighed).
4.   Uanset stk. 1, 2 og 3 og med forbehold af stk. 9 kan medlemsstaterne og Det Forenede Kongerige med forbehold af parternes respektive interne regler og procedurer indgå bilaterale ordninger, hvorved de i henhold til denne aftale indrømmer hinanden følgende rettigheder:
a)
for Det Forenede Kongeriges vedkommende retten for dets luftfartsselskaber til at foretage mellemlandinger på den pågældende medlemsstats område for at udføre ruteflyvning og charterflyvning, alene med fragt, mellem destinationer på den pågældende medlemsstats område og destinationer i et tredjeland som led i en rute med oprindelse eller destination på Det Forenede Kongeriges område (femte frihedstrafikrettighed)
b)
for de berørte medlemsstaters vedkommende retten for EU-luftfartsselskaber til at foretage mellemlandinger på Det Forenede Kongeriges område for at udføre ruteflyvning og charterflyvning, alene med fragt, mellem destinationer på Det Forenede Kongeriges område og destinationer i et tredjeland som led i en rute med oprindelse eller destination i den pågældende medlemsstats område (femte frihedstrafikrettighed).
5.   De rettigheder, der gensidigt indrømmes i henhold til stk. 4, er underlagt bestemmelserne i dette afsnit.
6.   Ingen af parterne må ensidigt begrænse den trafikmængde, kapacitet, hyppighed, regelmæssighed, rute, oprindelses- eller bestemmelsessted for de lufttransporttjenester, der udføres i overensstemmelse med stk. 2, 3 og 4, eller den eller de luftfartøjstyper, der anvendes til dette formål af den anden parts luftfartsselskaber, undtagen som påkrævet af toldmæssige, tekniske, operationelle, lufttrafikstyrings-, sikkerheds-, miljø- eller sundhedsbeskyttelsesgrunde, på en ikkediskriminerende måde, eller medmindre andet er fastsat i dette afsnit.
7.   Intet i dette afsnit tillægger luftfartsselskaber fra Det Forenede Kongerige retten til på en medlemsstats område at optage passagerer, bagage, fragt og/eller post, der befordres mod vederlag og er bestemt for et andet punkt på samme medlemsstats eller andre medlemsstaters område.
8.   Intet i dette afsnit tillægger luftfartsselskaber fra Unionen retten til på Det Forenede Kongeriges område at optage passagerer, bagage, fragt og/eller post, der befordres mod vederlag og er bestemt for et andet punkt på Det Forenede Kongeriges område.
9.   Med forbehold af parternes interne regler og procedurer kan Det Forenede Kongeriges og medlemsstaternes kompetente myndigheder give tilladelse til charterflyvning ud over de rettigheder, der er fastsat i denne artikel, forudsat at de ikke udgør en skjult form for ruteflyvning, og kan indgå bilaterale ordninger vedrørende de procedurer, der skal følges ved behandling af og afgørelser om luftfartsselskabers ansøgninger.
Artikel 420
Code share- og blocked space-aftaler
1.   Lufttransporttjenester i overensstemmelse med artikel 419 kan leveres ved hjælp af aftaler vedrørende blocked space eller code share på følgende måde:
a)
et luftfartsselskab fra Det Forenede Kongerige kan fungere som det kontraherende selskab i forhold til et hvilket som helst transporterende selskab, som er et luftfartsselskab fra Unionen eller et luftfartsselskab fra Det Forenede Kongerige, eller i forhold til et hvilket som helst transporterende selskab fra et tredjeland, som i henhold til EU-retten eller i givet fald i henhold til retsreglerne i den eller de berørte medlemsstater har de nødvendige trafikrettigheder samt retten for dets luftfartsselskaber til at udøve disse rettigheder ved hjælp af den pågældende ordning
b)
et luftfartsselskab fra Unionen kan fungere som det kontraherende selskab i forhold til et hvilket som helst transporterende selskab, som er et luftfartsselskab fra Unionen eller et luftfartsselskab fra Det Forenede Kongerige, eller i forhold til et hvilket som helst transporterende selskab fra et tredjeland, som i henhold til retsreglerne i Det Forenede Kongerige har de nødvendige trafikrettigheder samt retten for dets luftfartsselskaber til at udøve disse rettigheder ved hjælp af den pågældende ordning
c)
et luftfartsselskab fra Det Forenede Kongerige kan fungere som det transporterende selskab i forhold til et hvilket som helst kontraherende selskab, som er et luftfartsselskab fra Unionen eller et luftfartsselskab fra Det Forenede Kongerige, eller i forhold til et hvilket som helst kontraherende selskab fra et tredjeland, som i henhold til EU-retten eller i givet fald i henhold til retsreglerne i den eller de berørte medlemsstater har de nødvendige rettigheder til at indgå i den pågældende ordning
d)
et luftfartsselskab fra Unionen kan fungere som det transporterende selskab i forhold til et hvilket som helst kontraherende selskab, som er et luftfartsselskab fra Unionen eller et luftfartsselskab fra Det Forenede Kongerige, eller i forhold til et hvilket som helst kontraherende selskab fra et tredjeland, som i henhold til retsreglerne i Det Forenede Kongerige har de nødvendige rettigheder til at indgå i den pågældende ordning
e)
inden for rammerne af de ordninger, der er omhandlet i litra a)-d), kan et luftfartsselskab fra den ene part fungere som det kontraherende luftfartsselskab i en aftale om blocked space eller code share, når der er tale om tjenesteydelser mellem ethvert par af oprindelses- og bestemmelsessted, hvor begge er beliggende på den anden parts område, forudsat at følgende betingelser er opfyldt:
i)
de betingelser, der er fastsat i litra a) eller i givet fald litra b) for så vidt angår det transporterende luftfartsselskab, og
ii)
den pågældende transporttjeneste er en del af et kontraherende luftfartsselskabs transport mellem et punkt på partens område og det bestemmelsessted på den anden parts område.
2.   Et luftfartsselskab fra den ene part kan fungere som kontraherende luftfartsselskab i en aftale vedrørende blocked space eller code share, hvis der er tale om tjenester mellem ethvert par af punkter, hvoraf det ene er beliggende på den anden parts område, og det andet er beliggende i et tredjeland, forudsat at følgende betingelser er opfyldt:
a)
de betingelser, der er fastsat i stk. 1, litra a) eller i givet fald litra b) for så vidt angår det transporterende luftfartsselskab, og
b)
den pågældende transporttjeneste er en del af et kontraherende luftfartsselskabs transport mellem et punkt på dens parts område og dette punkt på den anden parts område.
3.   For hver billet, der sælges under de i denne artikel omhandlede aftaler, skal køberen underrettes om, hvilket luftfartsselskab der vil beflyve de enkelte sektorer af turen. Hvis dette ikke er muligt, eller hvis der sker ændringer efter reservationen, oplyses passageren om det transporterende luftfartsselskabs identitet, så snart denne er fastslået. I alle tilfælde skal identiteten af det eller de transporterende luftfartsselskaber meddeles passageren ved check-in eller før ombordstigning, hvis der ikke kræves indcheckning til en tilslutningsforbindelse.
4.   Parterne kan kræve, at de i denne artikel omhandlede aftaler godkendes af deres kompetente myndigheder, med henblik på at kontrollere, at betingelserne deri og de øvrige krav i henhold til denne aftale, navnlig vedrørende fair konkurrence og sikkerhed, overholdes.
5.   Anvendelsen af aftaler vedrørende code share eller blocked-space kan under ingen omstændigheder medføre, at parternes luftfartsselskaber udøver andre trafikrettigheder i henhold til denne aftale end dem, der er omhandlet i artikel 419.
Artikel 421
Operationel fleksibilitet
De rettigheder, som parterne gensidigt indrømmer i henhold til artikel 419, stk. 2, 3 og 4, omfatter inden for de grænser, der er fastsat heri, samtlige følgende rettigheder:
a)
at gennemføre flyvninger i én eller begge retninger
b)
at kombinere forskellige rutenumre og gennemføre dem med samme luftfartøj
c)
at betjene punkter i ruteplanen i enhver kombination og rækkefølge
d)
at overføre trafik mellem fly fra samme luftfartsselskab på et hvilket som helst punkt (change of gauge)
e)
at medtage stopovertrafik gennem alle punkter, uanset om det er inden for eller uden for parternes område
f)
at befordre transittrafik gennem den anden parts område
g)
at kombinere trafik på samme luftfartøj uanset trafikkens oprindelse
h)
at betjene mere end én destination på samme flyvning (co-terminalisation).
Artikel 422
Tilladelser til at operere og tekniske tilladelser
1.   Når en part har modtaget en ansøgning om tilladelse til at drive lufttrafik i henhold til dette afsnit fra et luftfartsselskab fra den anden part, skal den udstede de relevante godkendelser og/eller tekniske tilladelser efter kortest mulig sagsbehandlingstid, forudsat at følgende betingelser er opfyldt:
a)
for et luftfartsselskab fra Det Forenede Kongerige:
i)
luftfartsselskabet ejes, direkte eller i kraft af en ejermajoritet, og kontrolleres effektivt af Det Forenede Kongerige, dets statsborgere eller begge dele
ii)
luftfartsselskabet har sit hovedforretningssted på Det Forenede Kongeriges område og har licens i overensstemmelse med Det Forenede Kongeriges lovgivning, og
iii)
luftfartsselskabet har et luftfartsoperatørcertifikat udstedt af den kompetente myndighed i Det Forenede Kongerige, som skal være tydeligt identificeret, og denne myndighed udøver og opretholder en effektiv myndighedskontrol med luftfartsselskabet
b)
for et EU-luftfartsselskab:
i)
luftfartsselskabet ejes, direkte eller i kraft af en ejermajoritet, og kontrolleres effektivt af en eller flere medlemsstater, af andre medlemmer af Det Europæiske Økonomiske Samarbejdsområde, af Schweiz, af statsborgere i disse stater eller af en kombination heraf
ii)
luftfartsselskabet har sit hovedforretningssted på Unionens område og har en gyldig licens i overensstemmelse med EU-retten, og
iii)
luftfartsselskabet har et luftfartsoperatørcertifikat udstedt af den kompetente myndighed i en medlemsstat, eller af en EU-myndighed på dennes vegne, den certificerende myndighed er tydeligt identificeret, og denne medlemsstat udøver og opretholder en effektiv myndighedskontrol med luftfartsselskabet
c)
artikel 434 og 435 overholdes, og
d)
luftfartsselskabet opfylder de betingelser, som er fastsat i den udstedende parts love og forskrifter, som normalt anvendes af denne i forbindelse med udstedelse af tilladelser og godkendelser vedrørende international lufttransport.
2.   Uanset stk. 1, litra a), nr. i), udstedes de relevante driftstilladelser og tilladelser til luftfartsselskaber fra Det Forenede Kongerige, forudsat at alle følgende betingelser er opfyldt:
a)
betingelserne i stk. 1, litra a), nr. ii) og iii), og litra c) og d), overholdes
b)
luftfartsselskabet ejes, direkte eller i kraft af en ejermajoritet, og kontrolleres effektivt af en eller flere medlemsstater, af andre medlemmer af Det Europæiske Økonomiske Samarbejdsområde, af Schweiz, af statsborgere i disse stater eller af en kombination heraf, enten alene eller sammen med Det Forenede Kongerige og/eller statsborgere fra Det Forenede Kongerige
c)
på den dag, hvor overgangsperioden sluttede, havde luftfartsselskabet en gyldig licens i overensstemmelse med EU-retten.
3.   Med henblik på stk. 1 og 2 omfatter dokumentation for effektiv myndighedskontrol, men er ikke begrænset til:
a)
at luftfartsselskabet har en gyldig licens eller tilladelse udstedt af den kompetente myndighed og opfylder kriterierne i den part, der udsteder licens eller tilladelse til at drive international lufttrafik, og
b)
at den pågældende part har og opretholder sikkerhedstilsynsprogrammer for det pågældende luftfartsselskab i overensstemmelse med ICAO's standarder.
4.   Hver part udsteder tilladelser til at operere og tekniske tilladelser uden forskelsbehandling af den anden parts luftfartsselskaber.
5.   Ved modtagelsen af en ansøgning om tilladelse til at operere fra et luftfartsselskab fra en af parterne anerkender den anden part den første parts konstatering af dette luftfartsselskabs egnethed eller af statsborgerskab eller begge, som om denne bestemmelse er foretaget af partens egne kompetente myndigheder, uden yderligere forespørgsler herom, jf. dog artikel 424, stk. 3.
Artikel 423
Operationelle planer, programmer og ruteplaner
En part må kræve underretning om operationelle planer, programmer eller ruteplaner for trafikflyvning, der udføres inden for rammerne af dette afsnit, når det alene er til orientering. Hvis en part kræver en sådan underretning, skal den minimere den administrative byrde i forbindelse med de underretningskrav og -procedurer, der bæres af lufttransportmellemled og den anden parts luftfartsselskaber.
Artikel 424
Afvisning, tilbagekaldelse, suspension eller begrænsning af tilladelse til at operere
1.   Unionen kan i overensstemmelse med denne artikels stk. 3, 4 og 5 træffe foranstaltninger over for et luftfartsselskab fra Det Forenede Kongerige i følgende tilfælde:
a)
i tilfælde af godkendelser og tilladelser, der er udstedt i henhold til artikel 422, stk. 1, litra a), når en af betingelserne deri ikke er opfyldt
b)
i tilfælde af godkendelser og tilladelser, der er udstedt i henhold til artikel 422, stk. 2, når en af betingelserne deri ikke er opfyldt
c)
når luftfartsselskabet ikke har overholdt de love og bestemmelser, der er nævnt i artikel 426, eller
d)
når sådanne foranstaltninger er nødvendige for at forebygge, beskytte mod eller bekæmpe spredning af sygdomme eller på anden måde beskytte folkesundheden.
2.   Det Forenede Kongerige kan i overensstemmelse med denne artikels stk. 3, 4 og 5 træffe foranstaltninger over for et EU-luftfartsselskab i følgende tilfælde:
a)
når en af betingelserne i artikel 422, stk. 1, litra b), ikke er opfyldt
b)
når luftfartsselskabet ikke har overholdt de love og bestemmelser, der er nævnt i artikel 426, eller
c)
når sådanne foranstaltninger er nødvendige for at forebygge, beskytte mod eller bekæmpe spredning af sygdomme eller på anden måde beskytte folkesundheden.
3.   Hvis en part har rimelig grund til at antage, at et luftfartsselskab fra den anden part befinder sig i en af de situationer, der er omhandlet i stk. 1 eller 2, og at der skal træffes foranstaltninger i denne henseende, underretter denne part skriftligt den anden part skriftligt om grundene til den påtænkte afvisning, suspension eller begrænsning af tilladelsen til at operere eller den tekniske tilladelse og anmoder om konsultationer.
4.   Sådanne konsultationer indledes hurtigst muligt og senest 30 dage fra modtagelsen af anmodningen om konsultationer. Hvis man ikke når frem til en tilfredsstillende aftale inden for 30 dage eller et aftalt tidsrum fra startdatoen for sådanne konsultationer, eller hvis de aftalte korrigerende foranstaltninger ikke gennemføres, giver det den part, der anmodede om konsultationer, ret til at træffe foranstaltninger med henblik på at afvise, tilbagekalde, suspendere, pålægge betingelser for eller begrænse det eller de berørte luftfartsselskabers tilladelse til at operere eller tekniske tilladelser for at sikre overholdelse af bestemmelserne i artikel 422 og 426. Hvis der er truffet foranstaltninger til at afvise, tilbagekalde, suspendere eller begrænse luftfartsselskabets tilladelse til at operere eller tekniske tilladelse, kan en part gøre brug af voldgift i henhold til artikel 739, uden at der forinden er gjort brug af konsultationer i henhold til artikel 738. En voldgiftsret behandler spørgsmålet som et hastetilfælde med henblik på artikel 744. Efter anmodning fra en af parterne kan domstolen, indtil den træffer en endelig afgørelse, træffe afgørelse om foreløbige forholdsregler, herunder om ændring eller suspension af foranstaltninger truffet af en af parterne i henhold til denne artikel.
5.   Uanset stk. 3 og 4 kan en part i de tilfælde, der er omhandlet i stk. 1, litra c) og d), og stk. 2, litra b) og c), træffe øjeblikkelige eller hastende foranstaltninger, hvis det er påkrævet i nødstilfælde, eller for at forhindre yderligere manglende overholdelse. Med henblik på dette stykke forstås ved yderligere manglende overholdelse, at spørgsmålet om manglende overholdelse allerede er blevet rejst mellem parternes kompetente myndigheder.
6.   Denne artikel berører ikke bestemmelserne i afsnit XI i sektion et, artikel 427, stk. 4, artikel 434, stk. 4, 6 og 8, og artikel 435, stk. 12, og den tvistbilæggelsesprocedure, der er fastlagt i sjette del, afsnit I, eller de foranstaltninger, der følger heraf.
Artikel 425
Ejerskabsforhold og kontrol med luftfartsselskaber
Parterne anerkender de potentielle fordele ved en fortsat liberalisering af ejerskab af og kontrol med deres respektive luftfartsselskaber. Parterne er enige om i Specialudvalget om Lufttransport at undersøge mulighederne for gensidig liberalisering af ejerskabet af og kontrollen med deres luftfartsselskaber senest 12 måneder efter denne aftales ikrafttræden og derefter inden for 12 måneder fra modtagelsen af en anmodning herom fra en af parterne. Som følge af denne undersøgelse kan parterne beslutte at ændre dette afsnit.
Artikel 426
Overholdelse af love og forskrifter
1.   En parts love og forskrifter vedrørende adgang til, operation inden for og afgang fra dens område for luftfartøjer i international lufttransport skal overholdes af den anden parts luftfartsselskaber, når de henholdsvis ankommer til, opererer i eller forlader den pågældende parts område.
2.   En parts love og forskrifter vedrørende adgang til, operation inden for eller afrejse fra dens område for passagerer, besætning, bagage, fragt eller post på luftfartøjer (herunder bestemmelser vedrørende indrejse, klarering, indvandring, pas, told og karantæne samt postforskrifter i forbindelse med post) skal opfyldes af eller på vegne af passagerer, besætning, bagage, fragt og post, som befordres af den anden parts luftfartsselskaber, når de henholdsvis ankommer til den anden parts område, opererer i eller forlader denne parts område.
3.   Hver af parterne giver på sit område den anden parts luftfartsselskaber ret til at træffe passende foranstaltninger med henblik på at sikre, at der alene befordres personer med de rejsedokumenter, der kræves for indrejse i eller transit gennem den anden parts område.
Artikel 427
Ikkeforskelsbehandling
1.   Med forbehold af sektion et, afsnit XI, fjerner parterne, inden for deres respektive jurisdiktioner, alle former for forskelsbehandling, som kunne indvirke negativt på den anden parts luftfartsselskabers rimelige og lige muligheder for at konkurrere i forbindelse med udøvelsen af de rettigheder, der er fastsat i dette afsnit.
2.   En part ("den initiativtagende part") kan træffe foranstaltninger i henhold til stk. 3-6, hvis den finder, at dens luftfartsselskabers rimelige og lige muligheder for at konkurrere i forbindelse med udøvelsen af de rettigheder, der er fastsat i dette afsnit, påvirkes negativt af forskelsbehandling, som er forbudt ved stk. 1.
3.   Den initiativtagende part forelægger den anden part ("den besvarende part") en skriftlig anmodning om konsultationer. Konsultationerne begynder inden for 30 dage fra modtagelsen af anmodningen, medmindre andet aftales af parterne.
4.   Hvis den initiativtagende part og den besvarende part ikke når frem til en aftale inden for 60 dage fra modtagelsen af anmodningen om konsultationer, jf. stk. 3, kan den initiativtagende part træffe foranstaltninger mod alle eller en del af de luftfartsselskaber, som har nydt godt af forskelsbehandling, som er forbudt ved stk. 1, herunder foranstaltninger med henblik på at afvise, tilbagekalde, suspendere, pålægge betingelser for eller begrænse de berørte luftfartsselskabers tilladelse til at operere eller tekniske tilladelser.
5.   De foranstaltninger, der træffes i henhold til stk. 4, skal være passende og skal med hensyn til anvendelsesområde og varighed begrænses til, hvad der er strengt nødvendigt for at afbøde skaden på den initiativtagende parts luftfartsselskaber og fjerne den uretmæssige fordel, som de luftfartsselskaber, foranstaltningerne er rettet mod, har opnået.
6.   Hvis konsultationer ikke har ført til en løsning, eller hvis der er truffet foranstaltninger i henhold til denne artikels stk. 4, kan en part gøre brug af voldgift i henhold til artikel 739, uden at der forinden er gjort brug af konsultationer i henhold til artikel 738. En voldgiftsret behandler spørgsmålet som et hastetilfælde med henblik på artikel 744. Efter anmodning fra en af parterne kan domstolen, indtil den træffer en endelig afgørelse, træffe afgørelse om foreløbige forholdsregler, herunder om ændring eller suspension af foranstaltninger truffet af en af parterne i henhold til denne artikel.
7.   Uanset stk. 2 træffer parterne ikke foranstaltninger i henhold til stk. 3-6 for så vidt angår adfærd, som henhører under anvendelsesområdet for sektion et, afsnit XI.
Artikel 428
Forretningsvirksomhed
1.   Parterne er enige om, at hindringer for at drive virksomhed, som luftfartsselskaberne støder på, vil hæmme fordelene ved dette afsnit. Parterne er enige om at samarbejde om at fjerne hindringer for at drive virksomhed for begge parters luftfartsselskaber, hvis sådanne hindringer kan hæmme den kommercielle drift, skabe konkurrencefordrejning eller påvirke lige muligheder for at konkurrere.
2.   Specialudvalget om Lufttransport overvåger de fremskridt, der gøres med hensyn til effektivt at håndtere spørgsmål vedrørende hindringer, der står i vejen for flyselskabers forretningsvirksomhed.
Artikel 429
Erhvervsmæssige operationer
1.   Parterne indrømmer hinanden de i stk. 2-7 fastsatte rettigheder. Med henblik på udøvelsen af disse rettigheder er parternes luftfartsselskaber ikke forpligtet til at opretholde en lokal sponsor.
2.   For så vidt angår repræsentanter for luftfartsselskaber:
a)
den ene parts luftfartsselskabers etablering af kontorer og faciliteter på den anden parts område, i det omfang det er nødvendigt for at levere tjenesteydelser i henhold til dette afsnit, tillades uden begrænsning eller forskelsbehandling
b)
med forbehold af sikkerhedsforskrifter, og hvor sådanne kontorer og faciliteter befinder sig i en lufthavn, kan de være underlagt begrænsninger på grund af pladstilgængelighed
c)
hver part skal i overensstemmelse med sine love og forskrifter vedrørende indrejse, ophold og beskæftigelse give den anden parts luftfartsselskaber tilladelse til at medbringe og bevare deres eget ledelsesmæssige, salgsmæssige, tekniske, operationelle og øvrige tekniske personale, som luftfartsselskabet med rimelighed måtte anse for at være nødvendigt for at udføre lufttransportydelser i henhold til dette afsnit. Hvis der kræves arbejdstilladelser for det personale, der er omhandlet i dette stykke, herunder personer, der udfører visse midlertidige opgaver, behandler parterne hurtigt ansøgningerne om sådanne tilladelser med forbehold af de relevante love og forskrifter.
3.   For så vidt angår groundhandling:
a)
tillader hver af parterne den anden parts luftfartsselskaber at udføre selvservicering på dens område uden andre begrænsninger end dem, der er baseret på sikkerhedsmæssige hensyn eller på anden vis som følge af fysiske eller driftsmæssige begrænsninger
b)
må hver af parterne ikke pålægge den anden parts luftfartsselskaber valget af en eller flere leverandører af groundhandlingydelser blandt dem, som er til stede på markedet i overensstemmelse med de love og administrative bestemmelser, der gælder i den part, hvor tjenesteydelserne leveres
c)
hvis en parts love og administrative bestemmelser begrænser eller på nogen måde indskrænker den frie konkurrence mellem udbydere af groundhandlingydelser til den anden parts luftfartsselskaber, skal denne part sikre, at alle nødvendige groundhandlingydelser står til rådighed for den anden parts luftfartsselskaber, og at de stilles til rådighed som minimum på de samme gunstige betingelser, som gælder for noget andet luftfartsselskab, jf. dog litra a).
4.   For så vidt angår tildeling af ankomst- og afgangstidspunkter i lufthavne skal hver part sikre, at dens regler, retningslinjer og procedurer for tildeling af ankomst- og afgangstidspunkter i lufthavne på dens område anvendes på en gennemsigtig, effektiv, ikkediskriminerende og rettidig måde.
5.   For så vidt angår lokale udgifter og overførsel af midler og indtægter:
a)
finder bestemmelserne i sektion et, afsnit IV, anvendelse på de spørgsmål, der er omfattet af dette afsnit, jf. dog artikel 422
b)
indrømmer parterne hinanden de fordele, der er fastsat i litra c)-e)
c)
skal det være muligt for salg og køb af transport og dertil knyttede tjenester foretaget af parternes luftfartsselskaber efter luftfartsselskabets valg at angives i GBP, hvis salget eller købet finder sted på Det Forenede Kongeriges område, eller, hvis salget eller købet finder sted på en medlemsstats område, at angives i den pågældende medlemsstats valuta
d)
har hver parts luftfartsselskaber ret til efter eget skøn at betale for lokale udgifter i lokal valuta
e)
har hver parts luftfartsselskaber efter anmodning tilladelse til at overføre indtægter, der er opnået på den anden parts område gennem salg af lufttransportydelser og dertil knyttede aktiviteter, der er direkte forbundet med lufttransport, ud over de lokalt udbetalte beløb, til det land, de selv har valgt, på et hvilket som helst tidspunkt. Umiddelbar omveksling og overførsel tillades, uden restriktioner eller afgifter i den forbindelse, til den gældende markedskurs for transaktioner og overførsel, der gælder på det tidspunkt, hvor anmodningen om overførsel indgives første gang, og pålægges ingen gebyrer ud over dem, der normalt opkræves af banker for gennemførelse af sådanne omvekslinger og overførsler.
6.   For så vidt angår intermodal transport:
a)
gælder for passagerbefordring, at parterne ikke underkaster leverandører af overfladetransporttjenester love og forskrifter for lufttransport, udelukkende fordi det er et luftfartsselskab, der udbyder overfladetransporttjenesten i eget navn
b)
med forbehold af betingelser og forbehold i sektion et, afsnit II, og bilagene hertil og sektion tre, afsnit I, og bilagene hertil har hver parts luftfartsselskaber ret til uden begrænsninger at vælge landtransport af fragt i forbindelse med international lufttransport til og fra destinationer på parternes område eller i tredjelande, herunder transport til og fra alle lufthavne med toldfaciliteter, og, hvis det er relevant, til at transportere fragt under toldkontrol efter gældende love og forskrifter. Sådan fragt skal, uanset om der er tale om overflade- eller lufttransport, have adgang til lufthavnens toldmyndigheder og -faciliteter. Luftfartsselskaberne kan vælge selv at udføre deres overfladetransport eller at tilbyde overfladetransport via aftaler, herunder code share, med andre leverandører af overfladetransporttjenester, herunder overfladetransport leveret af andre luftfartsselskaber og indirekte udbydere af luftfragt. Sådanne intermodale fragttjenester kan tilbydes som en gennemgående tjeneste og til én pris for den kombinerede luft- og overfladetransport, forudsat at afsenderne informeres om de pågældende transportudbydere.
7.   For så vidt angår leasing:
a)
parterne giver hinanden retten for deres luftfartsselskaber til at udføre lufttransporttjenester i overensstemmelse med artikel 419 på alle følgende måder:
i)
at anvende luftfartøjer, der er leaset uden besætning fra en hvilken som helst leasinggiver
ii)
for så vidt angår luftfartsselskaber fra Det Forenede Kongerige at benytte luftfartøjer, der er leaset med besætning fra andre af parternes luftfartsselskaber
iii)
for så vidt angår EU-luftfartsselskaber at benytte luftfartøjer, der er leaset med besætning fra andre luftfartsselskaber fra Unionen
iv)
at anvende luftfartøjer, der er leaset med besætning fra andre luftfartsselskaber end dem, der er nævnt i henholdsvis nr. ii) og iii), forudsat at leasingen er berettiget på grundlag af ekstraordinære behov, sæsonbetingede kapacitetsbehov eller operationelle vanskeligheder hos leasingtageren, og at leasingen ikke overskrider den varighed, der er strengt nødvendig for at opfylde disse behov eller overvinde disse vanskeligheder
b)
parterne kan kræve, at leasingordninger godkendes af deres kompetente myndigheder med henblik på at kontrollere, at de betingelser, der er fastsat i dette stykke, og de gældende flyvesikkerhedskrav og luftfartssikkerhedskrav overholdes
c)
hvis en part kræver en sådan godkendelse, bestræber den sig dog på at fremskynde godkendelsesprocedurerne og minimere den administrative byrde for de berørte luftfartsselskaber
d)
bestemmelserne i dette stykke berører ikke en parts love og administrative bestemmelser vedrørende den pågældende parts luftfartsselskabers leasing af fly.
Artikel 430
Fiskale bestemmelser
1.   Ved ankomsten til den ene parts område er luftfartøjer, der anvendes til international lufttransport af den anden parts luftfartsselskaber, deres almindelige udstyr, brændstof, smøremidler, teknisk forråd, jordbaseret udstyr, reservedele (herunder motorer), luftfartøjsforråd (herunder, men ikke begrænset til, produkter som fødevarer, drikkevarer og spiritus, tobak og andre varer bestemt til salg til eller anvendelse af passagerer i begrænsede mængder under flyvningen) og andre genstande, der er bestemt til eller udelukkende anvendes i forbindelse med drift eller servicering af luftfartøjer i international lufttransport, på grundlag af gensidighed og på betingelse af, at dette udstyr og dette forråd forbliver om bord på luftfartøjet, fritaget for alle importrestriktioner, ejendomsskatter og kapitalafgifter, told, punktafgifter, kontrolafgifter, merværdiafgift (moms) og andre lignende indirekte skatter samt lignende gebyrer og afgifter, der pålægges af de nationale eller lokale myndigheder eller Unionen.
2.   Følgende varer er på et gensidigt grundlag også fritaget for skatter, told, gebyrer og afgifter som omhandlet i stk. 1:
a)
luftfartøjsforråd indført til eller leveret på en parts område og medbragt om bord – inden for rimelighedens grænser – til brug om bord på afrejsende luftfartøjer i et af den anden parts luftfartsselskaber, der benyttes til international lufttransport, også hvis forrådet skal bruges på den del af turen, der foregår over det pågældende område, hvor forrådet er leveret
b)
jordbaseret udstyr og reservedele (herunder motorer), der indføres til en parts område til vedligeholdelse eller reparation af et af den anden parts luftfartøjer, der benyttes i international lufttransport
c)
smøremidler og teknisk forråd bortset fra brændstof indført til eller leveret på en parts område til brug i et luftfartøj i et af den anden parts luftfartsselskaber, der er involveret i international lufttransport, også hvis forrådet skal bruges på den del af turen, der foregår over det pågældende område, og
d)
tryksager, jf. parternes respektive toldregler, der indføres til eller leveres på en parts område og tages om bord til brug i et afrejsende luftfartøj, som et af den anden parts luftfartsselskaber benytter til international lufttransport, også hvis tryksagerne skal bruges på den del af turen, der foregår over det omhandlede område.
3.   Almindeligt luftfartøjsudstyr samt materiel, forråd og reservedele som omhandlet i stk. 1, der normalt forefindes om bord på et luftfartøj, som opereres af et af den ene parts luftfartsselskaber, må kun aflæsses på den anden parts område med godkendelse fra dens toldmyndigheder og kan forlanges opbevaret under de nævnte toldmyndigheders opsyn eller kontrol, indtil det reeksporteres eller på anden måde afhændes i overensstemmelse med de gældende bestemmelser.
4.   Fritagelse for told, nationale punktafgifter og lignende nationale afgifter i henhold til nærværende artikel gælder også i situationer, hvor et luftfartsselskab eller luftfartsselskaber fra den ene part har indgået aftaler med et andet eller andre luftfartsselskaber om et lån eller en overførsel til den anden parts område af de i denne artikels stk. 1 og 2 omhandlede genstande, forudsat at et sådant andet luftfartsselskab eller luftfartsselskaber tilsvarende nyder godt af en sådan fritagelse fra den pågældende anden part.
5.   Intet i dette afsnit hindrer parterne i at opkræve skatter, afgifter eller gebyrer på varer, som sælges til passagerer med andet formål end fortæring om bord, på en luftrute mellem to destinationer på en parts område, hvor udstigning og ombordstigning er tilladt.
6.   Bagage og fragt i direkte transit på en parts område er fritaget for skatter, told, gebyrer og andre lignende afgifter.
7.   Det i stk. 2 omhandlede udstyr og forråd kan forlanges opbevaret under de kompetente myndigheders opsyn eller kontrol.
8.   Bestemmelserne i de respektive gældende konventioner mellem Det Forenede Kongerige og medlemsstaterne med henblik på at undgå dobbeltbeskatning af indtægter og kapital påvirkes ikke af dette afsnit.
9.   Fritagelse for told, nationale punktafgifter og lignende nationale afgifter omfatter ikke afgifter baseret på omkostningerne ved ydelser til en parts luftfartsselskab eller luftfartsselskaber på den anden parts område.
Artikel 431
Brugerafgifter
1.   Brugerafgifter, som af den ene part kan pålægge den anden parts luftfartsselskaber for udøvelse af luftfarts- og flyvekontroltjenester, skal være omkostningsrelaterede og ikkediskriminerende. I alle tilfælde må den anden parts luftfartsselskaber ved ansættelsen af en eventuel brugerafgift ikke gives ringere vilkår end de gunstigste vilkår, der gælder for et andet luftfartsselskab på ansættelsestidspunktet.
2.   Med forbehold af artikel 429, stk. 5, sikrer hver part, at andre brugerafgifter end dem, der er nævnt i stk. 1, og som kan pålægges den anden parts luftfartsselskaber, er retfærdige, rimelige, ikke urimeligt diskriminerende og ligeligt fordelt mellem brugerkategorier. Brugerafgifter, som pålægges den anden parts luftfartsselskaber, kan afspejle, men må ikke overstige, de fulde omkostninger ved at tilbyde passende lufthavns-, miljø- og luftfartssikkerhedsfaciliteter og -tjenester i lufthavnen eller i lufthavnssystemet. Afgifterne kan omfatte et rimeligt afkast på aktiver efter afskrivning. De faciliteter og tjenester, som der opkræves brugerafgift for, skal være effektive og have den bedst mulige økonomi. I alle tilfælde må den anden parts luftfartsselskaber ved ansættelsen af en eventuel brugerafgift ikke gives ringere vilkår end de gunstigste vilkår, der gælder for et andet luftfartsselskab på ansættelsestidspunktet.
3.   For at sikre en korrekt anvendelse af principperne i stk. 1 og 2 sikrer hver af parterne, at der afholdes konsultationer mellem de kompetente afgiftsopkrævende myndigheder eller organer på dens område og de luftfartsselskaber, der benytter de pågældende tjenester og faciliteter, og at de kompetente afgiftsopkrævende myndigheder og organer og luftfartsselskaberne udveksler de oplysninger, der måtte være nødvendige. Hver af parterne opmuntrer sine kompetente afgiftsopkrævende myndigheder til at give brugere et rimeligt varsel om forslag til ændring af brugerafgifter, så brugerne kan fremføre deres synspunkter, inden der foretages ændringer.
Artikel 432
Tariffer
1.   Parterne tillader, at parternes luftfartsselskaber frit fastsætter tariffer baseret på fair konkurrence i overensstemmelse med dette afsnit.
2.   Parterne underkaster ikke hinandens luftfartsselskabers tariffer deres godkendelse.
Artikel 433
Statistik
1.   Parterne samarbejder inden for rammerne af Specialudvalget om Lufttransport om at lette udvekslingen af statistiske oplysninger vedrørende lufttransport, der er omfattet af dette afsnit.
2.   På anmodning og på et ikkediskriminerende grundlag forelægger hver part for den anden part disponible statistikker, som ikke er fortrolige eller forretningsmæssigt følsomme, som er påkrævet i henhold til parternes nationale love og forskrifter, og som med rimelighed kan kræves, vedrørende lufttransport, der er omfattet af dette afsnit.
Artikel 434
Flyvesikkerhed
1.   Parterne bekræfter betydningen af et tæt samarbejde om flyvesikkerhed.
2.   Luftdygtighedscertifikater, duelighedscertifikater og licenser, der er udstedt eller erklæret gyldige af den ene part, og som stadig er i kraft, skal anerkendes som gyldige af den anden part og dennes kompetente myndigheder med henblik på at udøve trafikflyvning i henhold til dette afsnit, forudsat at disse certifikater eller licenser er udstedt eller erklæret gyldige i henhold til og i overensstemmelse med som minimum de relevante internationale standarder, der er fastsat i henhold til konventionen.
3.   Hver af parterne kan til enhver tid anmode om konsultationer vedrørende de sikkerhedsstandarder, der opretholdes og administreres af den anden part i forbindelse med luftfartsfaciliteter, flyvebesætninger, luftfartøjer og luftfartøjsoperation. Sådanne konsultationer skal finde sted senest 30 dage efter anmodningen herom.
4.   Hvis en part efter disse konsultationer finder, at den anden part ikke effektivt opretholder og forvalter sikkerhedsstandarder på de områder, der er omhandlet i stk. 2, og som mindst svarer til de minimumsstandarder, der blev fastsat på det pågældende tidspunkt i henhold til konventionen, underretter den første part den anden part om disse resultater og de skridt, der anses for nødvendige for at opfylde disse minimumsstandarder, og den anden part træffer passende korrigerende foranstaltninger. Hvis den anden part ikke træffer passende foranstaltninger inden for 15 dage eller en anden periode, der aftales mellem parterne, er dette tilstrækkelig begrundelse for, at den anmodende part kan træffe foranstaltninger til at afvise, tilbagekalde, suspendere, stille betingelser for eller begrænse tilladelserne til at operere eller de tekniske tilladelser eller på anden måde afvise, tilbagekalde, suspendere, stille betingelser for eller begrænse operationerne for luftfartsselskaber, som er underlagt den anden parts sikkerhedstilsyn.
5.   Luftfartøjer, som opereres af eller i henhold til en lejeaftale på vegne af et luftfartsselskab eller luftfartsselskaber fra en part, kan blive gjort til genstand for en rampeinspektion på den anden parts område, forudsat at dette ikke medfører en urimelig forsinkelse i luftfartøjets drift.
6.   Rampeinspektion eller rækken af rampeinspektioner kan give anledning til:
a)
alvorlige betænkeligheder om, at et luftfartøj eller driften af et luftfartøj ikke opfylder de minimumsstandarder, der er fastsat på det pågældende tidspunkt i henhold til konventionen, eller
b)
en stærk formodning om, at håndhævelsen og forvaltningen af de sikkerhedsstandarder, der er fastsat ifølge konventionen, er mangelfuld.
Såfremt den part, der foretog rampeinspektionen eller rampeinspektionerne, har en stærk formodning, jf. litra a) eller b), underretter den den anden parts kompetente myndigheder, der er ansvarlige for tilsynet med sikkerheden hos det luftfartsselskab, der opererer luftfartøjet, om disse resultater og underretter dem om de skridt, der anses for nødvendige for at opfylde disse minimumsstandarder. Manglende indførelse af passende korrigerende foranstaltninger inden for 15 dage eller inden for et andet aftalt tidsrum er tilstrækkelig begrundelse til, at den første part kan afvise, tilbagekalde, suspendere, pålægge betingelser for eller begrænse tilladelserne til at operere eller de tekniske tilladelser eller på anden måde afvise, tilbagekalde, suspendere, pålægge betingelser for eller begrænse driften af det luftfartsselskab, der opererer luftfartøjet.
7.   I tilfælde af at der nægtes adgang med henblik på at foretage en rampeinspektion af et luftfartøj, som opereres af et luftfartsselskab eller luftfartsselskaber fra den ene part i overensstemmelse med stk. 5, kan den anden part frit udlede, at der er opstået en stærk formodning af, jf. stk. 6, og træffe forholdsregler i henhold til stk. 6.
8.   Hver af parterne forbeholder sig ret til straks at tilbagekalde, suspendere eller begrænse tilladelserne til at operere eller de tekniske tilladelser eller på anden måde suspendere eller begrænse driften af et eller flere af den anden parts luftfartsselskaber, hvis den første part konkluderer, uanset om dette er resultatet af en rampeinspektion, en række rampeinspektioner, nægtelse af adgang til rampeinspektion, konsultationer eller på anden vis, at øjeblikkelig handling er af afgørende betydning for sikkerheden i forbindelse med en luftfartsoperation. Den part, der træffer sådanne foranstaltninger, underretter straks den anden part herom og begrunder foranstaltningerne.
9.   Enhver foranstaltning, som en part træffer i overensstemmelse med stk. 4, 6 eller 8, skal ophøre, når grundlaget for at træffe disse foranstaltninger ikke er mere er til stede.
10.   Når der er truffet foranstaltninger af en part i henhold til stk. 4, 6 eller 8 i tilfælde af en tvist, kan en part i tilfælde af tvist benytte voldgift i henhold til artikel 739 uden forudgående konsultationer i henhold til artikel 738. En voldgiftsret behandler spørgsmålet som et hastetilfælde med henblik på artikel 744. På anmodning af den klagende part kan domstolen i afventning af dens endelige afgørelse kræve, at der indføres midlertidige foranstaltninger, herunder ændring eller suspension af foranstaltninger truffet af en af parterne i henhold til denne artikel.
Artikel 435
Luftfartssikkerhed
1.   Parterne yder på anmodning hinanden al nødvendig bistand i forbindelse med enhver sikkerhedstrussel mod den civile luftfart, herunder for at hindre kapring af civile luftfartøjer og andre ulovlige handlinger mod sikkerheden for sådanne luftfartøjer og deres passagerer og besætninger samt lufthavne og luftfartsfaciliteter og alle andre sikkerhedstrusler mod den civile luftfart.
2.   Parterne handler i deres indbyrdes forbindelser i overensstemmelse med ICAO's standarder for luftfartssikkerhed. De pålægger operatører af luftfartøjer i deres registre og operatører af lufthavne på deres område som det mindste at handle i overensstemmelse med disse standarder for luftfartssikkerhed. Hver af parterne giver efter anmodning den anden part meddelelse om enhver forskel mellem dens love, administrative bestemmelser og praksis og de standarder for luftfartssikkerhed, der er omhandlet i dette stykke. Hver af parterne kan på et hvilket som helst tidspunkt anmode om, at der straks afholdes konsultationer med den anden part for at drøfte disse forskelle.
3.   Hver af parterne sikrer, at der på dens område træffes effektive forholdsregler for at beskytte den civile luftfart mod ulovlige handlinger, herunder, men ikke begrænset til, screening af passagerer og deres håndbagage, screening af indskrevet bagage, screening og sikkerhedskontrol af andre personer end passagerer, herunder besætninger, og deres medbragte genstande, screening og sikkerhedskontrol af fragt og post, forsyninger til flyvningen og lufthavnsleverancer samt kontrol af adgang til airside-områder og security-beskyttede områder. Parterne er enige om, at luftfartssikkerhedsbestemmelserne hos den anden part vedrørende luftfartøjers indflyvning i, operationer i eller udflyvning fra denne parts område, skal overholdes.
4.   Parterne bestræber sig på at samarbejde om spørgsmål vedrørende luftfartssikkerhed i videst muligt omfang med henblik på udveksling af oplysninger om trusler, sårbarhed og risici, som er betinget af, at der er opnået enighed om passende ordninger for sikker overførsel, anvendelse, lagring og bortskaffelse af klassificerede oplysninger, til at drøfte og udveksle bedste praksis, standarder for sikkerhed og påvisning af sikkerhedsudstyr, overvågning af overholdelse af bedste praksis og resultater samt på ethvert andet område, som parterne måtte finde frem til. Parterne bestræber sig navnlig på at udvikle og opretholde samarbejdsordninger mellem tekniske eksperter om udvikling og anerkendelse af luftfartssikkerhedsnormer med henblik på at lette et sådant samarbejde, mindske administrativ overlapning og fremme tidlig varsling og forudgående drøftelse af nye sikkerhedsinitiativer og -krav.
5.   Hver af parterne stiller efter anmodning fra den anden part resultaterne af audits udført af ICAO og de korrigerende foranstaltninger, der er truffet af den reviderede stat, til rådighed for den anden part under forudsætning af, at der er opnået enighed om passende ordninger for sikker overførsel, anvendelse, lagring og bortskaffelse af sådanne oplysninger.
6.   Parterne accepterer at samarbejde om sikkerhedsinspektioner foretaget af parterne på den ene parts eller anden parts område gennem etablering af mekanismer, herunder administrative ordninger for gensidig udveksling af oplysninger om resultater af de pågældende sikkerhedsinspektioner. Parterne er enige om at se med velvilje på anmodninger om deltagelse som observatører i sikkerhedsinspektioner foretaget af den anden part.
7.   Med forbehold af stk. 9 og under fuld hensyntagen til og gensidig respekt for den anden parts suverænitet kan en part vedtage sikkerhedsforanstaltninger for indrejse på dens område. Hvis det er muligt, skal en part i denne forbindelse tage hensyn til de sikkerhedsforanstaltninger, som allerede anvendes af den anden part, og eventuelle synspunkter, som fremføres af den anden part. Parterne anerkender, at intet i denne artikel begrænser en parts ret til at nægte adgang til sit område for flyvninger, som anses for at udgøre en trussel mod dens sikkerhed.
8.   En part kan træffe hasteforanstaltninger for at imødegå en specifik sikkerhedstrussel. Sådanne foranstaltninger meddeles straks den anden part. Uden at foregribe et behov for umiddelbar indgriben for at beskytte luftfartssikkerheden vil parterne ved overvejelser af sikkerhedsforanstaltninger evaluere eventuelle negative virkninger på international lufttransport, og – medmindre de er forhindret af lovgivning – tage hensyn hertil, når de beslutter, hvilke foranstaltninger der er nødvendige og hensigtsmæssige for at løse de pågældende sikkerhedsproblemer.
9.   Med hensyn til lufttrafiktjenester med destination på dens område, kan en part ikke kræve, at der gennemføres sikkerhedsforanstaltninger på den anden parts område. Hvis en part finder, at en specifik trussel kræver, at det haster med at få indført midlertidige foranstaltninger ud over de foranstaltninger, der allerede er truffet på den anden parts område, underretter parten den anden part om enkelthederne i denne trussel, i det omfang det er foreneligt med behovet for at beskytte sikkerhedsoplysninger, og om de foreslåede foranstaltninger. Den anden part skal velvilligt overveje et sådant forslag og kan beslutte at træffe yderligere foranstaltninger, som den finder nødvendige. Sådanne foranstaltninger skal være forholdsmæssige og tidsbegrænsede.
10.   Ved kapring af et civilt luftfartøj, trusler om kapring af et civilt luftfartøj eller andre ulovlige handlinger mod sikkerheden for luftfartøjer, passagerer, besætninger, lufthavne og luftfartsfaciliteter bistår parterne hinanden ved at lette udvekslingen af oplysninger og træffe andre passende foranstaltninger med henblik på hurtigt og sikkert at bringe en sådan hændelse eller trussel til ophør.
11.   Hver af parterne træffer alle de foranstaltninger, som den finder praktisk mulige, for at sikre, at et luftfartøj, som er udsat for kapring eller en anden ulovlig handling, og som befinder sig på jorden på dens område, tilbageholdes på jorden, medmindre dets afrejse er påkrævet på grund af et overordnet hensyn til beskyttelsen af menneskeliv. Sådanne foranstaltninger træffes så vidt muligt på grundlag af konsultationer mellem parterne.
12.   Hvis den ene part har rimelig grund til at antage, at den anden part ikke overholder bestemmelserne i denne artikel, kan denne part udbede sig øjeblikkelige konsultationer med den anden part. Der skal iværksættes sådanne konsultationer inden for 30 dage efter modtagelse af en sådan anmodning. Hvis der ikke indgås en tilfredsstillende aftale inden for 15 dage eller inden for et andet aftalt tidsrum fra datoen for en sådan anmodning, er dette tilstrækkelig begrundelse til, at den part, der anmodede om konsultationer, kan træffe foranstaltninger til at afvise, tilbagekalde, suspendere, stille betingelser for eller begrænse tilladelsen til at operere og de tekniske tilladelser for et af den anden parts luftfartsselskaber med henblik på at sikre, at denne artikel overholdes. Når der er behov for det i nødstilfælde eller for at forhindre yderligere overtrædelse af bestemmelserne i denne artikel, kan en part træffe midlertidige foranstaltninger inden udløbet af den i dette stykke nævnte periode på 15 dage.
13.   Enhver foranstaltning, der træffes i henhold til stk. 8, indstilles, hvis den pågældende part finder, at foranstaltningen ikke længere er nødvendig eller er blevet afløst af andre foranstaltninger til afbødning af truslen. Foranstaltninger truffet i overensstemmelse med stk. 12 ophæves, så snart den anden part overholder denne artikel. Hvis der træffes foranstaltninger i overensstemmelse med stk. 8 eller 12, kan dette ophøre efter aftale mellem parterne.
14.   Når der er truffet foranstaltninger i overensstemmelse med denne artikels stk. 7, 8, 9 eller 12, kan en part gøre brug af tvistbilæggelsesbestemmelserne i sjette del, afsnit I. En voldgiftsret behandler spørgsmålet som et hastetilfælde med henblik på artikel 744.
Artikel 436
Lufttrafikstyring
1.   Parterne og deres respektive kompetente myndigheder og luftfartstjenesteudøvere samarbejder indbyrdes på en sådan måde, at lufttrafikken i den europæiske region forbedres på en sikker og effektiv måde. Parterne tilstræber interoperabilitet mellem hinandens tjenesteydere.
2.   Parterne er enige om at samarbejde om spørgsmål vedrørende udøvelse af luftfartstjenester og netfunktioner med henblik på at optimere den samlede flyveeffektivitet, reducere omkostningerne, minimere miljøvirkningerne og forbedre lufttrafikstrømme mellem parternes eksisterende lufttrafikstyringssystemer.
3.   Parterne er enige om at fremme samarbejdet mellem deres luftfartstjenesteudøvere for at udveksle flyvedata og koordinere trafikstrømme til optimering af flyveeffektiviteten med henblik på at opnå bedre forudsigelighed, punktlighed og tjenestekontinuitet for lufttrafikken.
4.   Parterne er enige om at samarbejde om deres programmer for modernisering af lufttrafikstyringen, herunder forsknings-, udviklings- og implementeringsaktiviteter, og om at tilskynde til deltagelse i validerings- og demonstrationsaktiviteter med det formål at sikre global interoperabilitet.
Artikel 437
Luftfartsselskabers erstatningsansvar
Parterne bekræfter deres forpligtelser i henhold til konventionen om indførelse af visse ensartede regler for international luftbefordring, udfærdiget den 28. maj 1999 i Montreal ("Montrealkonventionen").
Artikel 438
Forbrugerbeskyttelse
1.   Parterne deler målet om at opnå et højt forbrugerbeskyttelsesniveau og samarbejder med henblik herpå.
2.   Parterne sikrer, at der træffes effektive og ikkediskriminerende foranstaltninger til beskyttelse af forbrugernes interesser inden for lufttransport. Sådanne foranstaltninger skal omfatte passende adgang til oplysninger, bistand, herunder for personer med handicap og nedsat mobilitet, refundering og, hvis det er relevant, kompensation i tilfælde af boardingafvisning, aflysning eller forsinkelser samt effektive klagebehandlingsprocedurer.
3.   Parterne rådfører sig med hinanden om alle spørgsmål vedrørende forbrugerbeskyttelse, herunder deres planlagte foranstaltninger i den henseende.
Artikel 439
Forhold til andre aftaler
1.   Uden at det berører stk. 4 og 5 erstattes tidligere aftaler og ordninger vedrørende dette afsnits emne mellem Det Forenede Kongerige og medlemsstaterne, i det omfang de ikke er blevet erstattet af EU-retten, af denne aftale.
2.   Det Forenede Kongerige og en medlemsstat må ikke indrømme hinanden andre rettigheder i forbindelse med lufttransport til, fra eller inden for deres respektive områder, end dem, der udtrykkeligt er fastsat i dette afsnit, jf. dog artikel 419, stk. 4 og 9.
3.   Hvis parterne tiltræder en multilateral aftale eller støtter en beslutning truffet af ICAO eller en anden international organisation, som drejer sig om forhold, der er omfattet af nærværende afsnit, drøftes det i Specialudvalget om Lufttransport, om nærværende afsnit skal tilpasses for at tage højde herfor.
4.   Intet i dette afsnit berører gyldigheden og anvendelsen af eksisterende og fremtidige lufttransportaftaler mellem medlemsstaterne og Det Forenede Kongerige for så vidt angår områder under deres respektive overhøjhed, som ikke er omfattet af artikel 774.
5.   Intet i dette afsnit berører rettigheder, som Det Forenede Kongerige og medlemsstaterne har i henhold til den multilaterale overenskomst om kommercielle rettigheder for ikkeplanmæssig lufttrafik i Europa, der blev undertegnet den 30. april 1956 i Paris, i det omfang sådanne rettigheder er mere vidtgående end dem, der er fastsat i dette afsnit.
Artikel 440
Suspension og opsigelse
1.   En suspension af dette afsnit, helt eller delvist, i henhold til artikel 749 kan tidligst gennemføres den første dag i Den Internationale Luftfartssammenslutnings (IATA) trafiksæson efter den sæson, hvor suspensionen er meddelt.
2.   Ved denne aftales ophør i henhold til artikel 779 eller ved dette afsnits ophør i henhold til artikel 441, 521 eller 509 finder bestemmelserne vedrørende de spørgsmål, der falder ind under dette afsnits anvendelsesområde, fortsat anvendelse efter ophørsdatoen som omhandlet i artikel 779, 441, 521 eller 509 indtil udgangen af den IATA-trafiksæson, der er i gang på denne dato.
3.   Den part, der suspenderer dette afsnit, helt eller delvis, eller opsiger denne aftale eller dette afsnit, underretter ICAO herom.
Artikel 441
Dette afsnits ophør
Med forbehold af artikel 779, 521 og 509 kan hver part til enhver tid bringe denne del til ophør ved skriftlig meddelelse ad diplomatisk vej. I så tilfælde ophører denne del med at være i kraft på den første dag i den niende måned efter datoen for meddelelse heraf.
Artikel 442
Registrering af denne aftale
Denne aftale og eventuelle ændringer heraf registreres hos ICAO i henhold til konventionens artikel 83, i det omfang det er relevant.
AFSNIT II
FLYVESIKKERHED
Artikel 443
Formål
Formålet med dette afsnit er:
a)
at åbne mulighed for gensidig anerkendelse, jf. bilagene til dette afsnit, af konstateringer af overensstemmelse, der er foretaget, og certifikater, som er udstedt af hver parts kompetente myndigheder eller godkendte organisationer
b)
at fremme samarbejdet med sigte på at opnå et højt niveau for den civile luftfarts sikkerhed og miljøforenelighed
c)
at lette den civile luftfartsindustris multinationale dimension
d)
at lette og fremme den frie udveksling af civile luftfartsprodukter og tilknyttede tjenester.
Artikel 444
Definitioner
I dette afsnit forstås ved:
a)
"godkendt organisation": enhver juridisk person, der af en af parternes kompetente myndighed er certificeret til at udøve beføjelser i relation til dette afsnits anvendelsesområde
b)
"certifikat": enhver godkendelse, licens eller ethvert andet dokument udstedt til anerkendelse af overensstemmelse, hvorved det attesteres, at et civilt luftfartsprodukt, en organisation eller en juridisk eller fysisk person opfylder de gældende krav i en af parternes love og forskrifter
c)
"civilt luftfartsprodukt": enhver/ethvert civil(t) luftfartøj, luftfartøjsmotor, luftfartøjspropel eller underenhed, apparatur eller del, der er eller bliver monteret derpå
d)
"kompetent myndighed": et EU-agentur eller statsligt agentur eller en offentlig myndighedsenhed med ansvar for civilluftfartens sikkerhed, som af en part er udpeget med henblik på dette afsnit til at udføre følgende funktioner:
i)
at vurdere, om civile luftfartsprodukter, organisationer, faciliteter, operationer og tjenesteydelser, som er underlagt dennes tilsyn, overholder de gældende krav, der er fastsat i den pågældende parts love, forskrifter og administrative bestemmelser
ii)
at foretage overvågning af, om de fortsat overholder disse krav, og
iii)
at træffe håndhævelsesforanstaltninger for at sikre, at de overholder disse krav
e)
"konstatering af overensstemmelse": en påvisning af overensstemmelse med de gældende krav, der er fastsat i en parts love og forskrifter, på grundlag af foranstaltninger såsom prøvning, inspektioner, kvalifikationer, godkendelser og overvågning
f)
"overvågning": en parts kompetente myndigheds regelmæssige tilsyn med henblik på at påvise, at de gældende krav i den pågældende parts love og forskrifter fortsat overholdes
g)
"teknisk repræsentant": for Unionen Den Europæiske Unions Luftfartssikkerhedsagentur ("EASA") eller dets efterfølger og for Det Forenede Kongerige Det Forenede Kongeriges Civil Aviation Authority (civil luftfartsmyndighed, "CAA") eller dens efterfølger og
h)
"konventionen": konventionen om international civil luftfart, som blev udfærdiget den 7. december 1944 i Chicago, og omfatter:
i)
alle ændringer, som er trådt i kraft i henhold til konventionens artikel 94, litra a), og er ratificeret af Det Forenede Kongerige og den eller de medlemsstater, som berøres af det aktuelle spørgsmål, og
ii)
alle bilag og ændringer hertil vedtaget i henhold til konventionens artikel 90, for så vidt et sådant bilag eller en sådan ændring på et givet tidspunkt er gældende for både Det Forenede Kongerige og den eller de medlemsstater, som berøres af det aktuelle spørgsmål.
Artikel 445
Anvendelsesområde og gennemførelse
1.   Parterne kan samarbejde på følgende områder:
a)
luftdygtighedsbeviser for og overvågning af civile luftfartsprodukter
b)
miljøcertifikater for og prøvning af civile luftfartsprodukter
c)
konstruktions- og produktionscertifikater og overvågning af konstruktions- og produktionsorganisationer
d)
certifikater for vedligeholdelsesorganisationer og overvågning af vedligeholdelsesorganisationer
e)
certificering af personale og uddannelse
f)
evaluering af flyvesimulatorkvalifikationer
g)
operationer med luftfartøjer
h)
lufttrafikstyring og luftfartstjenester og
i)
andre områder med tilknytning til flyvesikkerhed, der er omfattet af konventionens bilag.
2.   Anvendelsesområdet for dette afsnit fastlægges som bilag for hvert samarbejdsområde, jf. stk. 1.
3.   Specialudvalget om Flyvesikkerhed må kun vedtage bilag som omhandlet i stk. 2, hvis hver af parterne har fastslået, at den anden parts standarder, regler, praksis, procedurer og systemer for civil luftfart sikrer et tilstrækkeligt sikkerhedsniveau, således at konstateringer af overensstemmelse foretaget og certifikater udstedt af dens kompetente myndigheder eller organisationer, som er godkendt af de pågældende kompetente myndigheder, kan accepteres.
4.   I hvert af de i stk. 2 nævnte bilag beskrives vilkårene, betingelserne og metoderne for gensidig anerkendelse af konstateringer af overensstemmelse og certifikater og om nødvendigt overgangsordninger.
5.   De tekniske repræsentanter kan udarbejde gennemførelsesprocedurer for hvert bilag. Tekniske forskelle mellem parternes standarder, regler, praksis, procedurer og systemer for civil luftfart skal behandles nærmere i de i stk. 2 omhandlede bilag og i gennemførelsesprocedurerne.
Artikel 446
Generelle forpligtelser
1.   Hver af parterne accepterer konstateringer af overensstemmelse og certifikater udstedt af den anden parts kompetente myndigheder eller godkendte organisationer i overensstemmelse med de vilkår og betingelser, der er fastsat i de bilag, der er nævnt i artikel 445, stk. 2.
2.   Intet i dette afsnit indebærer en gensidig anerkendelse af parternes standarder eller tekniske forskrifter.
3.   Hver af parterne sikrer, at dens respektive kompetente myndigheder til stadighed kan leve op til deres ansvar i henhold til dette afsnit.
Artikel 447
Opretholdelse af reguleringsmyndighed
Intet i dette afsnit må fortolkes således, at det begrænser en parts myndighed til gennem sine love, forskrifter og administrative foranstaltninger at fastsætte det beskyttelsesniveau, som den finder passende for sikkerhed og miljø.
Artikel 448
Beskyttelsesforanstaltninger
1.   Hver af parterne kan træffe alle passende og umiddelbare foranstaltninger, når den finder, at der er en rimelig risiko for, at et civilt luftfartsprodukt, en tjeneste eller enhver aktivitet, der er omfattet af dette afsnit kan bringe sikkerheden eller miljøet i fare, ikke overholder dens gældende love, forskrifter eller administrative foranstaltninger eller på anden måde ikke kan opfylde et krav, der er omfattet af anvendelsesområdet for det relevante bilag til dette afsnit.
2.   Træffer en part foranstaltninger i medfør af stk. 1, underretter den skriftligt den anden part herom inden 15 arbejdsdage efter at have truffet foranstaltningerne med en begrundelse herfor.
Artikel 449
Kommunikation
1.   Parterne udpeger og underretter hinanden om kontaktpunkter med henblik på kommunikationen om gennemførelsen af dette afsnit. Al sådan kommunikation foregår på engelsk.
2.   Parterne sender hinanden en liste over de kompetente myndigheder og derefter en ajourført liste, hver gang det bliver nødvendigt.
Artikel 450
Gennemsigtighed, forskriftsmæssigt samarbejde og gensidig bistand
1.   Hver af parterne sikrer, at den anden part holdes underrettet om dens love og forskrifter vedrørende dette afsnit samt om væsentlige ændringer af sådanne love og forskrifter.
2.   Parterne underretter hinanden så vidt muligt om påtænkte væsentlige ændringer af deres relevante love, forskrifter, standarder og krav og af deres system til udstedelse af certifikater, i det omfang ændringerne kan påvirke dette afsnit. Parterne giver, når det er muligt, hinanden mulighed for at fremsætte bemærkninger til sådanne ændringer og tager behørigt hensyn til sådanne bemærkninger.
3.   I forbindelse med undersøgelse og løsning af specifikke sikkerhedsproblemer kan hver af parternes kompetente myndigheder give den anden parts kompetente myndigheder mulighed for at deltage som observatører i hinandens tilsynsaktiviteter som angivet i det relevante bilag til dette afsnit.
4.   Med henblik på overvågning og inspektioner bistår en parts kompetente myndigheder om nødvendigt den anden parts kompetente myndigheder med henblik på at opnå uhindret adgang til regulerede enheder, der er underlagt førstnævnte parts tilsyn.
5.   For at sikre hver af parternes vedvarende tillid til, at den anden parts procedurer for konstatering af overensstemmelse er pålidelige, kan hver teknisk repræsentant deltage som observatør i den anden parts tilsynsaktiviteter i henhold til de procedurer, der er fastsat i bilagene til dette afsnit. Denne deltagelse udgør ikke en systematisk deltagelse i den anden parts tilsynsvirksomhed.
Artikel 451
Udveksling af sikkerhedsoplysninger
Parterne skal, uden at dette berører bestemmelserne i artikel 453, og med forbehold af deres gældende lovgivning:
a)
i rette tid og efter anmodning forelægge den anden part oplysninger, som deres tekniske repræsentanter har til rådighed, om havarier, alvorlige hændelser eller begivenheder, som involverer civile luftfartsprodukter, -tjenester eller -aktiviteter, der er omfattet af bilagene til dette afsnit, og
b)
udveksle andre sikkerhedsoplysninger, som de tekniske repræsentanter måtte blive enige om.
Artikel 452
Samarbejde om håndhævelsesaktiviteter
Parterne yder gennem deres tekniske repræsentanter eller kompetente myndigheder – efter anmodning og med forbehold af gældende love og forskrifter samt de nødvendige ressourcers disponibilitet – gensidigt samarbejde og bistand i forbindelse med undersøgelser eller håndhævelsesaktiviteter vedrørende enhver påstået eller formodet overtrædelse af love eller forskrifter, der er omfattet af dette afsnit. Hver af parterne underretter desuden straks den anden part om enhver efterforskning, når fælles interesser indgår.
Artikel 453
Fortrolighed og beskyttelse af data og oplysninger
1.   Hver af parterne opretholder i overensstemmelse med sine love og forskrifter fortroligheden af data og oplysninger, der modtages fra den anden part i henhold til dette afsnit. Sådanne data og oplysninger må kun anvendes af den part, der modtager dataene og oplysningerne, med henblik på dette afsnit.
2.   Parterne må navnlig – med forbehold af deres respektive love og forskrifter – hverken videregive data og oplysninger til tredjeparter eller offentligheden eller tillade, at deres kompetente myndigheder videregiver data og oplysninger til tredjeparter eller offentligheden, hvis disse data eller oplysninger er modtaget fra den anden part i medfør af dette afsnit, hvis der er tale om forretningshemmeligheder, intellektuel ejendom, fortrolige kommercielle eller finansielle oplysninger, ophavsretligt beskyttede data eller oplysninger, som vedrører en igangværende undersøgelse. Til dette formål betragtes de pågældende data og oplysninger som fortrolige.
3.   En part eller en parts kompetente myndighed kan efter at have leveret data eller oplysninger til den anden part eller en kompetent myndighed i den anden part udpege data eller oplysninger, som den anser for at være fortrolige, og som ikke må videregives. I så fald skal parten eller dennes kompetente myndighed tydeligt mærke sådanne data eller oplysninger som fortrolige.
4.   Hvis en part er uenig i den udpegning, der er foretaget af den anden part eller dennes kompetente myndighed i overensstemmelse med stk. 3, kan førstnævnte part anmode om konsultationer med den anden part for at behandle spørgsmålet.
5.   Parterne træffer alle rimelige forebyggende foranstaltninger for at beskytte data og oplysninger, der modtages i medfør af dette afsnit, mod uautoriseret videregivelse.
6.   Den part, der modtager data og oplysninger fra den anden part i medfør af dette afsnit, erhverver ingen ejendomsret til sådanne data og oplysninger som følge af at have modtaget disse fra den anden part.
Artikel 454
Vedtagelse og ændring af bilag til dette afsnit
Specialudvalget om Flyvesikkerhed kan ændre bilag 30, vedtage eller ændre bilag i henhold til artikel 445, stk. 2, og slette ethvert bilag.
Artikel 455
Omkostningsdækning
Parterne bestræber sig hver især på at sikre, at eventuelle gebyrer eller afgifter, som en part eller dennes tekniske repræsentant pålægger en juridisk eller fysisk person, hvis aktiviteter er omfattet af dette afsnit, er rimelige, står i et rimeligt forhold til de leverede tjenester og ikke skaber handelshindringer.
Artikel 456
Andre aftaler og forudgående ordninger
1.   Ved denne aftales ikrafttræden træder dette afsnit i stedet for eventuelle bilaterale aftaler eller overenskomster om flyvesikkerhed, der er indgået mellem Det Forenede Kongerige og medlemsstaterne for så vidt angår alle anliggender omfattet af dette afsnit, der er gennemført i henhold til artikel 445.
2.   De tekniske repræsentanter træffer de nødvendige foranstaltninger for, alt efter hvad der er relevant, at revidere eller ophæve tidligere overenskomster, som de har indgået indbyrdes.
3.   Medmindre andet fremgår af stk. 1 og 2, berører dette afsnit ikke parternes rettigheder og forpligtelser i medfør af andre internationale aftaler
Artikel 457
Suspendering af forpligtelsen vedrørende gensidig anerkendelse
1.   En part har ret til helt eller delvis at suspendere sine forpligtelser vedrørende anerkendelse i henhold til artikel 446, stk. 1, hvis den anden part i væsentlig grad tilsidesætter sine forpligtelser i henhold til dette kapitel.
2.   Inden den pågældende part udøver sin ret til at suspendere sine forpligtelser vedrørende anerkendelse, skal den anmode om konsultationer med henblik på at opnå korrigerende foranstaltninger fra den anden part. Hvis det er relevant, skal parterne i forbindelse med konsultationerne tage suspenderingens virkninger i betragtning.
3.   Rettighederne i henhold til denne artikel finder kun anvendelse, hvis den anden part ikke inden for en rimelig tid efter parternes konsultationer tager skridt til at træffe korrigerende foranstaltninger. Hvis en part udøver en rettighed i henhold til denne artikel, skal den skriftligt underrette den anden part om, at den har til hensigt at suspendere forpligtelserne vedrørende anerkendelse og oplyse nærmere om årsagerne til suspendering.
4.   En sådan suspendering træder i kraft 30 dage efter datoen for underretningen, medmindre den part, der iværksatte suspenderingen, skriftligt inden udgangen af denne periode underretter den anden part om, at den trækker sin underretning tilbage.
5.   Suspenderingen får ingen indflydelse på gyldigheden af konstateringer af overensstemmelse, der er foretaget, og certifikater, der er udstedt af den anden parts kompetente myndigheder eller godkendte organisationer forud for den dato, hvor suspenderingen fik virkning. En suspendering, der har fået virkning, kan bringes til ophør øjeblikkeligt efter en udveksling af diplomatiske noter mellem parterne herom.
Artikel 458
Dette afsnits ophør
Med forbehold af artikel 779, 521 og 509 kan hver part til enhver tid bringe denne del til ophør ved skriftlig meddelelse ad diplomatisk vej. I så tilfælde ophører dette afsnit med at være i kraft på den første dag i den niende måned efter datoen for meddelelse heraf.
SEKTION TRE
VEJTRANSPORT
AFSNIT I
GODSTRANSPORT AD VEJ
Artikel 459
Formål
1.   Formålet med dette afsnit er at sikre, at der fortsat er forbindelser mellem, igennem og inden for parternes områder for så vidt angår godstransport ad vej, og at der fastsættes regler for denne transport.
2.   Parterne er enige om ikke at træffe diskriminerende foranstaltninger, når de anvender dette afsnit.
3.   Intet i dette afsnit er til hinder for, at en vejgodstransportoperatør, der er etableret på en parts område, transporterer varer inden for dette område.
Artikel 460
Anvendelsesområde
1.   Dette afsnit finder anvendelse på godstransport ad vej med et kommercielt formål mellem, igennem og inden for parternes områder og berører ikke anvendelsen af de regler, der er fastsat af Den Europæiske Transportministerkonference.
2.   Godstransport ad vej, for hvilken der ikke modtages direkte eller indirekte vederlag, og som ikke direkte eller indirekte genererer nogen indtægt for føreren af køretøjet eller for andre, og som ikke er knyttet til erhvervsmæssig aktivitet, betragtes som transport af varer i ikkekommercielt øjemed.
Artikel 461
Definitioner
I dette afsnit og i tillæg til definitionerne i artikel 124 forstås ved:
a)
"køretøj": et motorkøretøj, som er indregistreret på en parts område, eller et sammenkoblet vogntog, hvoraf motorkøretøjet er indregistreret på en parts område, og som udelukkende er beregnet til godstransport
b)
"vejgodstransportoperatør": enhver fysisk eller juridisk person, der udfører godstransport i erhvervsmæssigt øjemed ved hjælp af et køretøj
c)
"en parts vejgodstransportoperatør": en vejgodstransportoperatør, som er en juridisk person, der er etableret på en parts område, eller en fysisk person fra en part
d)
"part, hvor vejgodstransportoperatøren er etableret": part, i hvilken en vejgodstransportoperatør er etableret
e)
"fører": enhver person, som fører køretøjet, selv i et kort tidsrum, eller som befordres i et køretøj som led i sine arbejdsopgaver for i givet fald at kunne føre køretøjet
f)
"transit": transport af køretøjer gennem en parts område uden pålæsning eller aflæsning af varer
g)
"reguleringsforanstaltninger":
i)
for Unionen:
A)
forordninger og direktiver som omhandlet i artikel 288 i TEUF og
B)
delegerede retsakter og gennemførelsesretsakter som omhandlet i henholdsvis artikel 290 og 291 i TEUF og
ii)
for Det Forenede Kongerige:
A)
primær lovgivning og
B)
sekundær lovgivning.
Artikel 462
Transport af gods mellem, igennem og inden for parternes områder
1.   Forudsat at betingelserne i stk. 2 er opfyldt, kan en parts vejgodstransportoperatør foretage sig følgende:
a)
kørsel med et læsset køretøj fra den parts område, hvor vejgodstransportoperatøren er etableret, til den anden parts område og omvendt, med eller uden transit gennem et tredjelands område
b)
kørsel med et læsset køretøj fra den parts område, hvor vejgodstransportoperatøren er etableret, til samme parts område med transit gennem den anden parts område
c)
kørsel med et læsset køretøj til eller fra den parts område, hvor vejgodstransportoperatøren er etableret, med transit gennem den anden parts område
d)
kørsel uden last i forbindelse med kørsel som omhandlet i litra a), b) og c).
2.   En parts vejgodstransportoperatør må kun foretage kørsel som omhandlet i stk. 1, såfremt:
a)
de er i besiddelse af en gyldig tilladelse udstedt i overensstemmelse med artikel 463, undtagen i de tilfælde, der er omhandlet i artikel 464, og
b)
kørslen foretages af førere, der er indehavere af et bevis for faglige kvalifikationer i henhold til artikel 465, stk. 1.
3.   Med forbehold af stk. 6 og forudsat at betingelserne i stk. 2 er opfyldt, kan vejgodstransportoperatør fra Det Forenede Kongerige foretage op til to kørsler med læs fra en medlemsstat til en anden medlemsstat uden at vende tilbage til Det Forenede Kongeriges område, forudsat at sådanne kørsler følger en kørselsrute fra Det Forenede Kongeriges område, der er tilladt i henhold til stk. 1, litra a).
4.   Uden at dette berører stk. 5, med forbehold af stk. 6, og forudsat at betingelserne i stk. 2 er opfyldt, kan vejgodstransportoperatør fra Det Forenede Kongerige foretage én kørsel med læs inden for en medlemsstats område, forudsat at transporten:
a)
følger en kørselsrute fra Det Forenede Kongeriges område, der er tilladt i henhold til stk. 1, litra a), og
b)
foretages senest syv dage efter aflæsning på den pågældende medlemsstats område af varer, der transporteres under den i litra a) omhandlede kørsel.
5.   Med forbehold af stk. 6, og forudsat at betingelserne i stk. 2 er opfyldt, kan vejgodstransportoperatør fra Det Forenede Kongerige, der er etableret i Nordirland, foretage op til to kørsler med læs inden for Irlands område, forudsat at sådanne kørsler:
a)
følger en kørselsrute fra Nordirlands område, der er tilladt i henhold til stk. 1, litra a), og
b)
foretages senest syv dage efter aflæsning på Irlands område af varer, der transporteres under den i litra a) omhandlede kørsel.
6.   Vejgodstransportoperatør fra Det Forenede Kongerige må højst foretage to kørsler inden for Unionens område i henhold til stk. 3, 4 og 5, inden de vender tilbage til Det Forenede Kongeriges område.
7.   Forudsat at betingelserne i stk. 2 er opfyldt, kan vejgodstransportoperatør fra Unionen foretage op til to kørsler med læs inden for Det Forenede Kongeriges område, forudsat at sådanne kørsler:
a)
følger en kørselsrute fra Unionens område, der er tilladt i henhold til stk. 1, litra a), og
b)
foretages senest syv dage efter aflæsning på Det Forenede Kongeriges område af varer, der transporteres under den i litra a) omhandlede kørsel.
Artikel 463
Krav til operatører
1.   En parts vejgodstransportoperatører, der foretager kørsel som omhandlet i artikel 462, skal være i besiddelse af en gyldig tilladelse udstedt i overensstemmelse med denne artikels stk. 2.
2.   Tilladelser udstedes i overensstemmelse med parternes lovgivning kun til vejgodstransportoperatører, der opfylder kravene i bilag 31, del A, afdeling 1, vedrørende adgang til og udøvelse af vejgodstransporterhvervet.
3.   En bekræftet kopi af tilladelsen skal opbevares i køretøjet og forevises på anmodning af kontrolpersonale, som hver af parterne har bemyndiget. Tilladelsen og de bekræftede kopier skal være i overensstemmelse med en af modellerne i bilag 31, del A, tillæg 31-A-1-3, der endvidere fastsætter betingelserne for anvendelsen af tilladelsen. Tilladelsen skal indeholde mindst to af de sikkerhedselementer, der er anført i bilag 31, del A, tillæg 31-A-1-4.
4.   Vejgodstransportoperatører skal overholde kravene i bilag 31, del A, afdeling 2, hvori der er fastsat krav til udstationering af førere, når de foretager kørsel som omhandlet i artikel 462, stk. 3-7.
Artikel 464
Undtagelser fra kravet om tilladelse
Følgende former for transport af varer og kørsel uden last i forbindelse med sådanne kørsler kan foretages uden gyldig tilladelse som omhandlet i artikel 463:
a)
transport af postforsendelser som led i en universel postservice
b)
transport af beskadigede køretøjer eller køretøjer, der er ude af drift
c)
frem til den 20. maj 2022 transport af gods med motorkøretøjer, hvis tilladte totalvægt inklusive påhængskøretøjer ikke overstiger 3,5 ton
d)
fra den 21. maj 2022 transport af gods med motorkøretøjer, hvis tilladte totalvægt inklusive påhængskøretøjer ikke overstiger 2,5 ton
e)
transport af lægemidler, lægeligt apparatur og medicinsk udstyr samt andre artikler, der er nødvendige i tilfælde af udrykning, særlig i tilfælde af naturkatastrofer og humanitær bistand
f)
transport af gods med køretøjer, såfremt nedenstående betingelser er opfyldt:
i)
det befordrede gods er vejgodstransportoperatørens ejendom eller er blevet solgt, købt, udlånt, udlejet eller lejet, fremstillet, udvundet, bearbejdet eller repareret af denne
ii)
transporten tjener til at bringe godset til eller bort fra vejgodstransportoperatørens ejendom eller til at flytte det enten inden eller uden for vejgodstransportoperatørens område til eget brug
iii)
køretøjer, der anvendes til sådan transport, skal føres af personale, der er ansat af eller stilles til rådighed for vejgodstransportoperatøren i henhold til en kontraktlig forpligtelse
iv)
de køretøjer, der transporterer godset, ejes af vejgodstransportoperatøren, er købt af operatøren på afbetaling eller er lejet, og
v)
transporten er kun en underordnet aktivitet i forhold til vejgodstransportoperatørens samlede aktiviteter
g)
godstransport ved hjælp af motorkøretøjer med en tilladt maksimal hastighed på højst 40 km/t.
Artikel 465
Krav til førere
1.   Førere af køretøjer, der foretager kørsel som omhandlet i artikel 462, skal:
a)
være i besiddelse af et bevis for faglige kvalifikationer, der er udstedt i overensstemmelse med bilag 31, del B, afdeling 1, og
b)
overholde reglerne om køre- og arbejdstid, hviletid, pauser og brugen af takografer i overensstemmelse med bilag 31, del B, afdeling 2-4.
2.   Den europæiske overenskomst om arbejde, der udføres af det kørende personale i international vejtransport (AETR), udfærdiget den 1. juli 1970 i Genève, finder i stedet for stk. 1, litra b), anvendelse på international vejtransport, der delvist foretages uden for parternes områder, under hele kørslen.
Artikel 466
Krav til køretøjer
1.   En part må ikke afvise eller forbyde anvendelse på sit område af et køretøj, der foretager en kørsel som omhandlet i artikel 462, hvis køretøjet opfylder kravene i bilag 31, del C, afdeling 1.
2.   Køretøjer, der foretager de i artikel 462 omhandlede kørsler, skal være udstyret med en takograf, som er konstrueret, monteret, anvendt, afprøvet og kontrolleret i overensstemmelse med bilag 31, del C, afdeling 2.
Artikel 467
Færdselsregler
Førere af køretøjer, der udfører godstransport i henhold til dette afsnit, skal, når de befinder sig på den anden parts område, overholde de nationale love og bestemmelser, der gælder på dette område for så vidt angår vejtrafik.
Artikel 468
Udarbejdelse af lovgivning og Specialudvalget om Vejtransport
1.   Når en part foreslår en ny reguleringsforanstaltning på et område, der er omfattet af bilag 31, skal den:
a)
snarest muligt underrette den anden part om den foreslåede reguleringsforanstaltning og
b)
holde den anden part underrettet om, hvordan arbejdet med reguleringsforanstaltningen skrider frem.
2.   Efter anmodning fra en af parterne finder der i Specialudvalget om Vejtransport senest to måneder efter indgivelsen af anmodningen en udveksling af synspunkter sted om, hvorvidt den foreslåede nye reguleringsforanstaltning skal finde anvendelse på kørsel som omhandlet i artikel 462 eller ej.
3.   Når en part vedtager en ny reguleringsforanstaltning som omhandlet i stk. 1, underretter den den anden part herom og forelægger teksten til den nye reguleringsforanstaltning senest en uge efter offentliggørelsen.
4.   Specialudvalget om Vejtransport træder sammen for at drøfte eventuelle nye reguleringsforanstaltninger, der vedtages efter anmodning fra en af parterne, senest to måneder efter indgivelsen af anmodningen, uanset om en underretning har fundet sted i overensstemmelse med stk. 1 eller 3, eller om der har fundet en drøftelse sted i overensstemmelse med stk. 2.
5.   Specialudvalget om Vejtransport kan:
a)
ændre bilag 31 for at tage hensyn til den lovgivningsmæssige og/eller teknologiske udvikling eller for at sikre en tilfredsstillende gennemførelse af dette afsnit
b)
bekræfte, at de ændringer, der er foretaget ved den nye reguleringsforanstaltning, er i overensstemmelse med bilag 31, eller
c)
vedtage enhver anden foranstaltning, der skal sikre gennemførelsen af dette afsnit.
Artikel 469
Afhjælpende foranstaltninger
1.   Hvis en part finder, at den anden part har vedtaget en ny reguleringsforanstaltning, der ikke opfylder kravene i bilag 31, navnlig i tilfælde, hvor Specialudvalget om Vejtransport ikke har truffet en afgørelse i henhold til artikel 468, og den anden part alligevel anvender bestemmelserne i den nye reguleringsforanstaltning på partens vejgodstransportoperatører, -førere eller -køretøjer, kan parten efter at have underrettet den anden part træffe passende afhjælpende foranstaltninger, herunder suspension af forpligtelser i henhold til denne aftale eller eventuelle supplerende aftaler, forudsat at sådanne foranstaltninger:
a)
ikke overstiger det niveau, der svarer til den annullation eller forringelse, der forårsages af den nye reguleringsforanstaltning, som den anden part har vedtaget, og som ikke opfylder kravene i bilag 31, og
b)
tidligst får virkning syv dage efter, at den part, der agter at træffe sådanne foranstaltninger, har givet den anden part meddelelse herom i henhold til dette stykke.
2.   De relevante afhjælpende foranstaltninger skal ophøre med at gælde:
a)
når den part, der har truffet sådanne foranstaltninger, finder det godtgjort, at den anden part opfylder sine forpligtelser i henhold til dette afsnit, eller
b)
i overensstemmelse med en kendelse fra voldgiftsretten.
3.   En part kan ikke påberåbe sig WTO-overenskomsten eller andre internationale aftaler for at forhindre den anden part i at suspendere forpligtelser i henhold til denne artikel.
Artikel 470
Beskatning
1.   Køretøjer, der anvendes til godstransport i overensstemmelse med dette afsnit, er fritaget fra de skatter og afgifter, der opkræves for besiddelse eller brug af køretøjer på den anden parts område.
2.   Fritagelsen i stk. 1 gælder ikke for:
a)
skatter eller afgifter på brændstofforbrug
b)
afgifter for benyttelse af en vej eller et vejnet eller
c)
afgifter for brug af bestemte broer, tunneler eller færger.
3.   Brændstof i køretøjernes standardtanke og i særlige containere, som indføres midlertidigt, og som anvendes direkte til fremdrift og i givet fald til drift under transport af køleanlæg og andre anlæg samt smøremidler i motorkøretøjerne, som er nødvendige for deres normale drift under kørslen, er fritaget for told og andre skatter og afgifter såsom moms og punktafgifter og er ikke underlagt nogen importrestriktioner.
4.   Reservedele, der importeres til reparation af et køretøj på en parts område, og som er registreret eller bragt i omsætning i den anden part, indføres på grundlag af midlertidig toldfri indførsel og uden importforbud eller -begrænsning De udskiftede dele pålægges told og andre skatter (moms) og genudføres eller tilintetgøres under den anden parts toldmyndigheders kontrol.
Artikel 471
Forpligtelser i andre afsnit
Artikel 135 og 137 er indarbejdet i og gjort til en del af nærværende afsnit og finder anvendelse på behandlingen af vejgodstransportoperatørers kørsler i henhold til artikel 462.
Artikel 472
Dette afsnits ophør
Med forbehold af artikel 779, 521 og 509 kan hver part til enhver tid bringe denne del til ophør ved skriftlig meddelelse ad diplomatisk vej. I så tilfælde ophører dette afsnit med at være i kraft på den første dag i den niende måned efter datoen for meddelelse heraf.
AFSNIT II
PERSONBEFORDRING AD VEJ
Artikel 473
Anvendelsesområde
1.   Formålet med dette afsnit er at sikre, at der fortsat er forbindelser mellem, igennem og inden for parternes områder for så vidt angår personbefordring ad vej, og at der fastsættes regler for denne transport. Den finder anvendelse på lejlighedsvis, regelmæssig og speciel rutekørsel med passagerer med rutebil og bus mellem, igennem og inden for parternes områder.
2.   Parterne er enige om ikke at træffe diskriminerende foranstaltninger, når de anvender dette afsnit.
3.   Intet i dette afsnit er til hinder for, at en operatør af personbefordring ad vej, der er etableret på en af parternes område, transporterer personer inden for dette område.
Artikel 474
Definitioner
I dette afsnit og i tillæg til definitionerne i artikel 124 forstås ved:
a)
"rutebiler og busser": motorkøretøjer, som ved deres indretning og udstyr er egnede til at befordre mere end ni personer, føreren indbefattet, og som er bestemt til sådant brug
b)
"personbefordring": vejtransport rettet mod offentligheden eller bestemte kategorier af brugere, der leveres mod betaling fra den befordrede person eller af transportarrangøren ved hjælp af rutebiler og busser
c)
"operatør af personbefordring ad vej": enhver fysisk eller juridisk person, der har status som juridisk person eller er afhængig af en myndighed med en sådan status, som udfører passagerbefordring
d)
"en parts operatør af personbefordring ad vej": en operatør af personbefordring ad vej, som er en juridisk person, der er etableret på en parts område
e)
"rutekørsel": personbefordring med en nærmere angivet hyppighed ad bestemte ruter, hvor på- og afstigning kan ske ved forud fastsatte stoppesteder
f)
"speciel rutekørsel": tjenester, som uafhængigt af, hvem tilrettelæggeren er, omfatter befordring af bestemte kategorier af passagerer, hvorved andre passagerer udelukkes, hvis en sådan kørsel udføres i henhold til betingelserne for rutekørsel. Speciel rutekørsel omfatter bl.a.:
i)
befordring af arbejdstagere mellem bopæl og arbejde og
ii)
befordring af skoleelever og studerende mellem bopæl og uddannelsesinstitution.
Det forhold, at den specielle rutekørsel tilrettelægges efter brugernes varierende behov, ændrer ikke dens karakter af rutekørsel
g)
"gruppe": enhver af følgende:
i)
en eller flere sammenhørende fysiske eller juridiske personer og deres fysiske forældre eller moderselskab(er)
ii)
en eller flere sammenhørende fysiske eller juridiske personer, som har samme fysiske forældre eller moderselskab(er)
h)
"Interbusaftalen": aftalen om lejlighedsvis international personbefordring med rutebil og bus, med senere ændringer, der trådte i kraft den 1. januar 2003
i)
"transit": transport af rutebiler og busser gennem en parts område uden optagelse eller afsætning af passagerer
j)
"lejlighedsvis kørsel": kørsel, der ikke er rutekørsel eller speciel rutekørsel, og som først og fremmest er kendetegnet ved befordring af grupper af passagerer, der er samlet på initiativ af kunden eller operatøren af personbefordringen.
Artikel 475
Personbefordring med rutebil og bus mellem, igennem og inden for parternes områder
1.   En parts operatører af personbefordring kan, når de udfører rutekørsel og speciel rutekørsel, foretage kørsel med passagerer fra en parts område til den anden parts område med eller uden transit gennem et tredjelands område og tomkørsel i forbindelse med sådanne kørsler.
2.   En parts operatører af personbefordring kan, når de udfører rutekørsel og speciel rutekørsel, foretage kørsel med passagerer fra den parts område, hvor operatøren af personbefordring ad vej er etableret, til den samme parts område med transit gennem den anden parts område og tomkørsel i forbindelse med sådanne kørsler.
3.   En parts operatører af personbefordring ad vej må ikke udføre rutekørsel eller speciel rutekørsel med både oprindelses- og bestemmelsessted på den anden parts område.
4.   Hvis den i stk. 1 omhandlede personbefordring er en del af en rute til eller fra den parts område, hvor operatøren af personbefordring ad vej er etableret, må passagerer tages op eller sættes af på den anden parts område undervejs, hvis stoppet er tilladt i overensstemmelse med de regler, der gælder på det pågældende område.
5.   Hvis den i denne artikel omhandlede personbefordring er en del af en international rutekørsel eller speciel rutekørsel mellem Irland og Det Forenede Kongerige for så vidt angår Nordirland, kan passagerer tages op og sættes af i en part af operatører af personbefordring ad vej med hjemsted i den anden part.
6.   Operatører af personbefordring ad vej, der er etableret på en parts område, kan midlertidigt udføre lejlighedsvis kørsel på øen Irland, hvor passagerer tages op og sættes af på den anden parts område.
7.   Operatører af personbefordring ad vej kan, når de udfører lejlighedsvis kørsel, foretage en kørsel med passagerer fra den ene parts område gennem den anden parts område til en i Interbusaftalen ikkekontraherende parts område, herunder en dertil knyttet tomkørsel.
8.   Personbefordring som omhandlet i denne aftale udføres med rutebiler og busser, der er registreret i den part, hvor operatøren af personbefordring ad vej er etableret eller har sin bopæl. Disse rutebiler og busser skal opfylde de tekniske standarder, der er fastlagt i bilag 2 til Interbusaftalen.
Artikel 476
Betingelser for leveringen af de i artikel 475 omhandlede tjenester
1.   Rutekørsel, der udføres af operatører af personbefordring ad vej i en part, skal kunne benyttes af alle, idet det dog eventuelt kan kræves, at der foretages reservation.
2.   Rutekørsel og speciel rutekørsel kræver tilladelse i henhold til artikel 477 og nærværende artikels stk. 6.
3.   Karakteren af rutekørsel ændres ikke ved, at driftsvilkårene for kørslen tilpasses.
4.   Tilrettelæggelse af parallel eller midlertidig kørsel for samme passagerkreds som for den eksisterende rutekørsel, samt den omstændighed, at den eksisterende rutekørsel foretages uden stop ved visse stoppesteder og med stop ved eksisterende stoppesteder, er underkastet de samme regler som den eksisterende rutekørsel.
5.   Afdeling V (Sociale bestemmelser) og VI (Toldbestemmelser og fiskale bestemmelser) i Interbusaftalen samt bilag 1 (Betingelser, der gælder for operatører af personbefordring ad vej) og 2 (Tekniske standarder for busser og rutebiler) finder anvendelse.
6.   I en periode på seks måneder fra datoen for denne aftales ikrafttræden kræves der ikke tilladelse til speciel rutekørsel, hvis den er omfattet af en kontrakt, der er indgået mellem arrangøren og operatøren af personbefordring ad vej.
7.   Der kræves ikke tilladelse til lejlighedsvis kørsel, der er omfattet af dette afsnit i overensstemmelse med artikel 475. Udførelse af parallel eller midlertidig kørsel, der kan sammenlignes med eksisterende rutekørsel, og som tager sigte på samme passagerkreds, kræver dog godkendelse efter proceduren i Interbusaftalens afsnit VIII.
Artikel 477
Tilladelse
1.   Tilladelser til de i artikel 475 omhandlede tjenester udstedes af den kompetente myndighed i den part, på hvis territorium operatøren af personbefordring ad vej er etableret ("den tilladelsesudstedende myndighed").
2.   Hvis en operatør af personbefordring ad vej er etableret i Unionen, er den tilladelsesudstedende myndighed den kompetente myndighed i den medlemsstat, hvor oprindelsesstedet eller destinationen ligger.
3.   Hvis der er tale om en gruppe af operatører af personbefordring ad vej, der har til hensigt at drive en rute som omhandlet i artikel 475, er den tilladelsesudstedende myndighed den kompetente myndighed, som ansøgningen er rettet til, jf. artikel 478, stk. 1, andet afsnit.
4.   Tilladelser udstedes i navnet på operatøren af personbefordring ad vej og kan ikke overdrages. En parts operatør af personbefordring ad vej, der har modtaget en tilladelse, kan dog med accept fra den tilladelsesudstedende myndighed drive kørslen gennem en underleverandør, hvis en sådan mulighed er i overensstemmelse med partens lovgivning. Tilladelsen udstedes i underleverandørens navn og kan ikke overdrages. Underleverandøren skal være en parts operatør af personbefordring ad vej og skal overholde alle bestemmelserne i dette afsnit.
Hvis der er tale om en gruppe af operatører af personbefordring ad vej, som har til hensigt at drive virksomhed som omhandlet i artikel 475, udstedes tilladelsen i navnene på alle operatørerne af personbefordring ad vej i gruppen, og navnene på alle disse operatører angives. Tilladelsen udstedes til operatører af personbefordring ad vej, som af andre af en parts operatører af personbefordring ad vej er blevet bedt om at udføre disse opgaver, og som har ansøgt om den, og der udleveres bekræftede genparter til de øvrige operatører af personbefordring ad vej.
5.   Med forbehold af artikel 479, stk. 3, må tilladelsens gyldighed ikke overstige fem år. Den kan fastsættes i en kortere periode, enten på anmodning fra ansøgeren eller efter fælles samtykke fra de kompetente myndigheder i de aftaleparter, på hvis område passagererne tages op eller sættes af.
6.   Tilladelserne skal indeholde følgende oplysninger:
a)
kørslens art
b)
ruten, navnlig afgangs- og bestemmelsessted
c)
tilladelsens gyldighedsperiode og
d)
stoppesteder og køreplaner.
7.   Tilladelser skal svare til den model, der er anført i bilag 32.
8.   En parts operatør af personbefordring ad vej, der driver en rute som omhandlet i artikel 475, kan benytte supplerende køretøjer til at håndtere midlertidige og ekstraordinære situationer. Sådanne ekstra køretøjer må kun anvendes på de samme betingelser som angivet i den tilladelse, der er omhandlet i nærværende artikels stk. 6.
I sådanne tilfælde skal operatøren af personbefordring ad vej ud over de dokumenter, der er omhandlet i artikel 483, stk. 1 og 2, sørge for, at en genpart af den kontrakt, der er indgået mellem operatøren af personbefordring ad vej, der udfører rutekørsel eller speciel rutekørsel, og den virksomhed, der stiller de supplerende køretøjer til rådighed, eller et tilsvarende dokument, medføres i køretøjet og forevises på forlangende af enhver bemyndiget kontrollør.
Artikel 478
Indgivelse af ansøgning om tilladelse
1.   Ansøgning om tilladelse indgives af en parts operatør af personbefordring ad vej til den tilladelsesudstedende myndighed, der er omhandlet i artikel 477, stk. 1.
Der indgives kun én ansøgning for hver rutekørsel. I de tilfælde, der er omhandlet i artikel 477, stk. 3, indsendes ansøgningen af den transportvirksomhed, der er betroet af de andre transportvirksomheder til dette formål. Ansøgningen skal være stilet til den tilladelsesudstedende myndighed i den part, hvor den operatør af personbefordring ad vej, der indsender ansøgningen, er etableret.
2.   Ansøgninger om tilladelse skal indsendes på grundlag af den model, der er angivet i bilag 33.
3.   Den operatør af personbefordring ad vej, der ansøger om tilladelse, fremlægger alle yderligere oplysninger, som denne anser for relevante, eller som den tilladelsesudstedende myndighed anmoder om, navnlig de dokumenter, der er anført i bilag 33.
ARTIKEL 479
Tilladelsesprocedure
1.   Tilladelsen udstedes efter aftale med de kompetente myndigheder i de parter, på hvis område passagerer tages op eller sættes af. Den tilladelsesudstedende myndighed skal til disse kompetente myndigheder såvel som de kompetente myndigheder, hvis områder gennemkøres, uden at passagerer tages op eller sættes af, fremsende en kopi af ansøgningen sammen med kopier af eventuelle andre relevante dokumenter og anføre sin vurdering.
For så vidt angår Unionen er de i første afsnit omhandlede kompetente myndigheder myndighederne i de medlemsstater, på hvis områder passagerer tages op eller sættes af, og hvis områder gennemkøres, uden at passagerer tages op eller sættes af.
2.   De kompetente myndigheder, der er blevet anmodet om at give deres samtykke, meddeler den tilladelsesudstedende myndighed deres afgørelse vedrørende ansøgningen inden for fire måneder. Denne frist løber fra den dato for modtagelse af anmodningen, som er anført i modtagelsesbeviset. Hvis afgørelsen fra de kompetente myndigheder, der er blevet anmodet om at give deres samtykke, er negativ, skal den begrundes. Hvis den tilladelsesudstedende myndighed ikke modtager et svar inden for fire måneder, anses de hørte kompetente myndigheder for at have givet deres samtykke, hvorefter den tilladelsesudstedende myndighed kan udstede tilladelsen.
De kompetente myndigheder, hvis område passeres, uden at passagerer tages op eller sættes af, kan meddele den tilladelsesudstedende myndighed deres bemærkninger inden for fire måneder.
3.   For så vidt angår tjenesteydelser, der blev godkendt i henhold til Europa-Parlamentets og Rådets forordning (EF) nr. 1073/2009 
(
70
)
 inden overgangsperiodens udløb, og for hvilke tilladelsen udløber ved overgangsperiodens udløb, gælder følgende:
a)
hvis driftsbetingelserne, med forbehold af de ændringer, der er nødvendige for at overholde artikel 475, er de samme som dem, der er fastsat i den tilladelse, der er udstedt i henhold til forordning (EF) nr. 1073/2009, kan den relevante tilladelsesudstedende myndighed i henhold til dette afsnit efter ansøgning eller på anden måde udstede en tilsvarende tilladelse til vejgodstransportoperatører i henhold til dette afsnit. Når der udstedes en sådan tilladelse, anses samtykke fra de kompetente myndigheder, på hvis område passagerer tages op eller sættes af, jf. stk. 2, for at være givet. De pågældende kompetente myndigheder og de kompetente myndigheder, hvis område passeres, uden at passagerer tages op eller sættes af, kan til enhver tid meddele den tilladelsesudstedende myndighed deres eventuelle bemærkninger
b)
Hvis litra a) anvendes, må gyldighedsperioden for den tilsvarende tilladelse i henhold til dette afsnit ikke række ud over den sidste dag i den gyldighedsperiode, der er angivet i den tilladelse, der tidligere er udstedt i henhold til forordning (EF) nr. 1073/2009.
4.   Den tilladelsesudstedende myndighed træffer afgørelse om ansøgningen senest seks måneder efter den dato, hvor operatøren af personbefordring ad vej har indgivet ansøgningen.
5.   Tilladelse gives, medmindre:
a)
ansøgeren ikke er i stand til at udføre den kørsel, der ansøges om tilladelse til, med køretøjer, ansøgeren råder helt over
b)
ansøgeren har overtrådt nationale eller internationale regler om vejtransport, herunder navnlig betingelser og krav i forbindelse med en tilladelse til at udføre international personbefordring, eller har begået alvorlige overtrædelser af en parts lovgivning om vejtransport, især vedrørende køretøjsstandarder og førernes køre- og hviletid
c)
betingelserne for udstedelse af tilladelse ikke er opfyldt i forbindelse med en ansøgning om fornyelse af en tilladelse
d)
en part på grundlag af en detaljeret analyse fastslår, at den pågældende kørsel i alvorlig grad vil true levedygtigheden af en tilsvarende rutekørsel på de pågældende direkte forbindelser, der er omfattet af en eller flere offentlige tjenesteydelseskontrakter, som er i overensstemmelse med partens lovgivning. I et sådant tilfælde opstiller parten ikkediskriminerende kriterier for, om den kørsel, der ansøges om, i alvorlig grad vil true levedygtigheden af ovennævnte tilsvarende rute, og meddeler efter anmodning den anden part disse kriterier, jf. stk. 1, eller
e)
en part på grundlag af en detaljeret analyse fastslår, at hovedformålet med kørslen ikke er at befordre passagerer mellem stoppesteder på parternes områder.
En medlemsstat kan, under henvisning til særlige årsager, der ikke kunne forudses på det tidspunkt, hvor tilladelsen blev givet, såfremt en eksisterende rute i alvorlig grad truer levedygtigheden af en tilsvarende rute, som er i overensstemmelse med en parts lovgivning om de pågældende direkte forbindelser, med den anden parts godkendelse suspendere eller tilbagekalde tilladelsen til den internationale buskørsel med seks måneders varsel til operatøren af personbefordring ad vej.
Det forhold, at en parts operatør af personbefordring ad vej tilbyder lavere priser end dem, der tilbydes af andre operatører af personbefordring ad vej, eller det forhold, at den pågældende forbindelse allerede drives af andre operatører af personbefordring ad vej, udgør ikke i sig selv en begrundelse for at afvise ansøgningen.
6.   Når proceduren i stk. 1-5 er afsluttet, godkender eller afslår den tilladelsesudstedende myndighed officielt ansøgningen.
Afgørelser om at afslå en ansøgning skal begrundes. Parterne sikrer, at transportvirksomhederne har mulighed for at forsvare deres interesser, hvis deres ansøgning afslås.
Den tilladelsesudstedende myndighed underretter den anden parts kompetente myndigheder om sin afgørelse og fremsender en kopi til dem af en eventuel tilladelse.
Artikel 480
Fornyelse og ændring af tilladelse
1.   Artikel 479 finder tilsvarende anvendelse på ansøgninger om fornyelse af en tilladelse eller om ændring af de betingelser, hvorpå den pågældende kørsel skal udføres.
2.   Udløber den eksisterende tilladelse inden for seks måneder efter denne aftales ikrafttræden, har de kompetente myndigheder, der nævnes i artikel 479, stk. 2, en frist på to måneder til at meddele den tilladelsesudstedende myndighed deres accept af ansøgningen eller fremsætte bemærkninger hertil i overensstemmelse med nævnte artikel.
3.   I tilfælde af en mindre ændring af betingelserne for kørslen, navnlig tilpasning af intervaller, takster og køreplan, er det tilstrækkeligt, at den tilladelsesudstedende myndighed underretter den anden parts kompetente myndigheder om ændringen. Ændring af køreplaner eller intervaller på en måde, der påvirker tidspunkterne for kontrol ved grænserne mellem parterne eller ved grænserne til tredjelande, betragtes ikke som en mindre ændring.
Artikel 481
Tilladelsens ophør
1.   Med forbehold af artikel 479, stk. 3, ophører en tilladelse til en i artikel 475 omhandlet rute ved gyldighedsperiodens udløb eller tre måneder efter, at den tilladelsesudstedende myndighed fra indehaveren af tilladelsen har modtaget meddelelse om, at indehaveren af tilladelsen agter at ophøre med at drive ruten. Meddelelsen skal begrundes.
2.   Bortfalder transportbehovet, er meddelelsesfristen i stk. 1 en måned.
3.   Den tilladelsesudstedende myndighed underretter de kompetente myndigheder i den anden berørte part om tilladelsens ophør.
4.   Indehaveren af tilladelsen skal ved passende bekendtgørelse og med en måneds varsel underrette brugerne om, at kørslen indstilles.
Artikel 482
Forpligtelser for transportvirksomheder
1.   Undtagen i tilfælde af force majeure skal en parts operatør af personbefordring ad vej, der udfører en af de i artikel 475 omhandlede tjenester, straks påbegynde tjenesterne og indtil tilladelsesperiodens udløb træffe alle foranstaltninger for at sikre en transporttjeneste, som opfylder standarderne for kontinuitet, regelmæssighed og kapacitet, og som opfylder de betingelser, der er fastsat i overensstemmelse med artikel 477, stk. 6, og bilag 32.
2.   En parts operatør af personbefordring ad vej skal vise ruten, stoppesteder, køreplan, takster og transportbetingelser på en sådan måde, at det sikres, at disse oplysninger er let tilgængelige for alle brugere.
3.   Det skal være muligt for parterne at foretage ændringer i driftsbetingelserne for en rute som omhandlet i artikel 475 efter fælles overenskomst og efter aftale med indehaveren af tilladelsen.
Artikel 483
Dokumenter, der skal opbevares i rutebilen eller bussen
1.   Uanset artikel 477, stk. 8, medføres tilladelsen til at udføre de i artikel 475 omhandlede tjenester eller en bekræftet kopi heraf og tilladelsen for operatøren af personbefordring ad vej til international personbefordring ad vej i henhold til national lovgivning eller EU-retten eller en bekræftet kopi heraf i rutebilen eller bussen og forevises på enhver godkendt kontrollørs anmodning.
2.   Uanset denne artikels stk. 1 og artikel 477, stk. 8, tjener kontrakten mellem arrangøren og operatøren af personbefordring ad vej eller en kopi heraf samt et dokument, der bekræfter, at passagererne udgør en bestemt kategori, hvorved andre passagerer udelukkes, inden for rammerne af speciel rutekørsel også som kontroldokumenter, som skal medføres i bussen og forevises på enhver godkendt kontrollørs anmodning.
3.   Operatører af personbefordring ad vej, der udfører lejlighedsvis kørsel i henhold til artikel 475, stk. 6 og 7, skal medbringe et udfyldt kørselsblad efter modellen i bilag 34. Kørselsbladhæfter skal leveres af den kompetente myndighed i det område, hvor operatøren er registreret, eller af organer, der er udpeget af den kompetente myndighed.
Artikel 484
Færdselsregler
Førere af rutebiler og busser, der udfører personbefordring i henhold til dette afsnit, skal, når de befinder sig på den anden parts territorium, overholde de nationale love og bestemmelser, der gælder på dette territorium for så vidt angår vejtrafik.
Artikel 485
Ansøgning
Bestemmelserne i dette afsnit ophører med at finde anvendelse fra den dato, hvor protokollen til Interbusaftalen om international regelmæssig og speciel regelmæssig personbefordring med rutebil og bus træder i kraft for Det Forenede Kongerige eller seks måneder efter ikrafttrædelsen af nævnte protokol for Unionen, alt efter hvilken der kommer først, bortset fra formålet med driften i henhold til artikel 475, stk. 2, 5, 6 og 7.
Artikel 486
Forpligtelser i andre afsnit
Artikel 135 og 137 er indarbejdet i og gjort til en del af nærværende afsnit og finder anvendelse på behandlingen af vejgodstransportoperatørers kørsler i henhold til artikel 475.
Artikel 487
Specialudvalg
Specialudvalget om Vejtransport kan ændre bilag 32, 33 og 34 for at tage hensyn til den lovgivningsmæssige udvikling. Det kan vedtage foranstaltninger vedrørende gennemførelsen af dette afsnit.
SEKTION FIRE
KOORDINERING AF DE SOCIALE SIKRINGSORDNINGER  OG VISA TIL KORTVARIGE OPHOLD
AFSNIT I
KOORDINERING AF DE SOCIALE SIKRINGSORDNINGER
Artikel 488
Oversigt
Medlemsstaterne og Det Forenede Kongerige samordner deres sociale sikringsordninger i overensstemmelse med protokollen om koordinering af de sociale sikringsordninger for at sikre, at de personer, der er omfattet af dem, har ret til social sikring.
Artikel 489
Lovligt ophold
1.   Protokollen om koordinering af de sociale sikringsordninger finder anvendelse på personer, der har lovligt ophold i en medlemsstat eller Det Forenede Kongerige.
2.   Denne artikels stk. 1 berører ikke retten til kontantydelser, der vedrører tidligere perioder med lovligt ophold for personer, der er omfattet af artikel SSC.2 i protokollen om koordinering af de sociale sikringsordninger.
Artikel 490
Situationer på tværs af grænserne
1.   Protokollen om koordinering af de sociale sikringsordninger finder kun anvendelse på situationer, der opstår mellem en eller flere medlemsstater og Det Forenede Kongerige.
2.   Protokollen om koordinering af de sociale sikringsordninger finder ikke anvendelse på personer, hvis situation i alle henseender er begrænset til Det Forenede Kongerige eller medlemsstaterne.
Artikel 491
Indvandringsansøgninger
Protokollen om koordinering af de sociale sikringsordninger finder anvendelse, uden at det berører en medlemsstats eller Det Forenede Kongeriges ret til at opkræve et sundhedsgebyr i henhold til national lovgivning i forbindelse med en ansøgning om tilladelse til indrejse, ophold, arbejde eller bopæl i den pågældende stat.
AFSNIT II
VISA TIL KORTVARIGE OPHOLD
Artikel 492
Visa til kortvarige ophold
1.   Parterne noterer sig, at begge parter på datoen for denne aftales ikrafttræden fastsætter visumfritagelse for kortvarige ophold for deres statsborgere i overensstemmelse med deres nationale lovgivning. Hver part underretter i god tid og om muligt mindst tre måneder, før et sådant krav træder i kraft, den anden part om enhver hensigt om at indføre visumpligt for kortvarige ophold for den anden parts statsborgere.
2.   Med forbehold af denne artikels stk. 3 og artikel 781 gælder dette krav for statsborgere fra alle medlemsstater, hvis Det Forenede Kongerige beslutter at indføre visumpligt for kortvarige ophold for statsborgere i en medlemsstat.
3.   Denne artikel berører ikke eventuelle aftaler mellem Det Forenede Kongerige og Irland vedrørende det fælles rejseområde.
SEKTION FEM
FISKERI
KAPITEL 1
INDLEDENDE BESTEMMELSER
Artikel 493
Kyststaternes suveræne rettigheder, som parterne udøver
Parterne bekræfter, at kyststaternes suveræne rettigheder, som parterne udøver med henblik på efterforskning, udnyttelse, bevarelse og forvaltning af de levende ressourcer i deres farvande, bør udøves i henhold til og i overensstemmelse med folkerettens principper, herunder De Forenede Nationers havretskonvention.
Artikel 494
Mål og principper
1.   Parterne samarbejder om at sikre, at fiskeri efter fælles bestande i deres farvande er miljømæssigt bæredygtigt på lang sigt og bidrager til at opnå økonomiske og sociale fordele, samtidig med at uafhængige kyststaters rettigheder og forpligtelser, som de udøves af parterne, respekteres fuldt ud.
2.   Parterne deler målsætningen om at udnytte fælles bestande i en grad, der fastholder og gradvist genopretter populationerne af befiskede arter over det biomasseniveau, der kan give maksimalt bæredygtigt udbytte.
3.   Parterne tager i forbindelse hermed hensyn til følgende principper:
a)
anvendelse af forsigtighedstilgangen i fiskeriforvaltningen
b)
fremme af langsigtet bæredygtighed (miljømæssig, social og økonomisk) og optimal udnyttelse af fælles bestande
c)
bevarelses- og forvaltningsbeslutninger for fiskeriet på grundlag af den bedste foreliggende videnskabelige rådgivning, navnlig fra Det Internationale Havundersøgelsesråd (ICES)
d)
sikring af selektivitet i fiskeriet for at beskytte ungfisk og gydestimer samt undgå og mindske uønsket bifangst
e)
behørig hensyntagen til og minimering af fiskeriets skadelige virkning på det marine økosystem og behørig hensyntagen til behovet for at bevare havets biodiversitet
f)
anvendelse af rimelige, ikkediskriminerende foranstaltninger til bevarelse af havets levende ressourcer og forvaltning af fiskeressourcerne, samtidig med at parternes reguleringsmæssige autonomi bevares
g)
sikring af indsamling og rettidig udveksling af fuldstændige og nøjagtige data, der er relevante for bevarelsen af fælles bestande og for forvaltningen af fiskeriet
h)
sikring af efterlevelsen af foranstaltninger til bevarelse og forvaltning af fiskeressourcer samt bekæmpelse af ulovligt, urapporteret og ureguleret fiskeri og
i)
sikring af, at alle aftalte foranstaltninger gennemføres rettidigt i parternes lovrammer.
Artikel 495
Definitioner
1.   I denne sektion forstås ved:
a)
(en parts) "EEZ", i overensstemmelse med De Forenede Nationers havretskonvention:
i)
for så vidt angår Unionen de eksklusive økonomiske zoner, der er oprettet af dens medlemsstater, og som støder op til deres europæiske områder
ii)
den eksklusive økonomiske zone, der er oprettet af Det Forenede Kongerige
b)
"forsigtighedstilgang i fiskeriforvaltningen": en tilgang, ifølge hvilken manglende relevante videnskabelige data ikke kan betragtes som en gyldig grund til at udskyde eller undlade at træffe forvaltningsforanstaltninger til bevarelse af målarter, tilknyttede eller afhængige arter og ikkemålarter samt deres miljø
c)
"fælles bestande": fisk, herunder skaldyr af enhver art, der findes i parternes farvande, som omfatter bløddyr og krebsdyr
d)
"TAC": den samlede tilladte fangstmængde, dvs. den maksimale mængde af en eller flere bestande med en bestemt betegnelse, der må fanges i en bestemt periode
e)
"ikkekvoterede bestande": bestande, der ikke forvaltes ved hjælp af TAC'er
f)
(en parts) "territorialfarvand", i overensstemmelse med De Forenede Nationers havretskonvention:
i)
for så vidt angår Unionen uanset artikel 774, stk. 1, det territorialfarvand, der er oprettet af dens medlemsstater, og som støder op til deres europæiske områder
ii)
det territorialfarvand, der er oprettet af Det Forenede Kongerige
g)
(en parts) "farvande":
i)
for så vidt angår Unionen uanset artikel 774, stk. 1, medlemsstaternes EEZ'er og deres territorialfarvande
ii)
for så vidt angår Det Forenede Kongerige dets EEZ og territorialfarvand, undtagen med henblik på anvendelsen af artikel 500 og 501 og bilag 38, det territorialfarvand, der støder op til Bailiwick of Guernsey, Bailiwick of Jersey og Isle of Man
h)
(en parts) "fartøj":
i)
for Det Forenede Kongeriges vedkommende et fiskerfartøj, der fører Det Forenede Kongeriges flag, og som er registreret i Det Forenede Kongerige, Bailiwick of Guernsey, Bailiwick of Jersey eller Isle of Man, og som har licens fra et af Det Forenede Kongeriges fiskeriforvaltninger
ii)
for Unionens vedkommende et fiskerfartøj, der fører en medlemsstats flag og er registreret i Unionen.
KAPITEL 2
BEVARELSE OG BÆREDYGTIG UDNYTTELSE
Artikel 496
Fiskeriforvaltning
1.   Hver part træffer afgørelse om eventuelle foranstaltninger for dens farvande med henblik på at nå de mål, der er fastsat i artikel 494, stk. 1 og 2, og under hensyntagen til, principperne i artikel 494, stk. 3.
2.   En part baserer de i stk. 1 omhandlede foranstaltninger på den bedste foreliggende videnskabelige rådgivning.
En part må ikke anvende foranstaltningerne nævnt i stk. 1 på den anden parts fartøjer i sine farvande, medmindre den også anvender de samme foranstaltninger på sine egne fartøjer.
Andet afsnit berører ikke parternes forpligtelser i henhold til aftalen om havnestatsforanstaltninger, kontrol- og håndhævelsesordningen fra Kommissionen for Fiskeriet i det Nordøstlige Atlanterhav, bevarelses- og håndhævelsesforanstaltningerne fra Organisationen for Fiskeriet i det Nordvestlige Atlanterhav og henstilling 18-09 fra Den Internationale Kommission for Bevarelse af Tunfiskebestanden i Atlanterhavet om havnestatsforanstaltninger, der skal forebygge, afværge og standse ulovligt, urapporteret og ureguleret fiskeri.
Specialudvalget om Fiskeri kan ændre listen over allerede eksisterende internationale forpligtelser, der er omhandlet i tredje afsnit.
3.   Hver part underretter den anden part om nye foranstaltninger som omhandlet i stk. 1, der kan påvirke den anden parts fartøjer, inden de pågældende foranstaltninger tages i anvendelse, således at den anden part får tilstrækkelig tid til at fremsætte bemærkninger eller anmode om nærmere oplysninger.
Artikel 497
Tilladelser, efterlevelse og håndhævelse
1.   Hvis fartøjer har adgang til at fiske i den anden parts farvande i henhold til artikel 500 og 502:
a)
forelægger hver part i tilstrækkelig god tid den anden part en liste over fartøjer, for hvilke den søger om fiskeritilladelser eller -licenser, og
b)
den anden part udsteder fiskeritilladelser eller -licenser.
2.   Hver part træffer alle nødvendige foranstaltninger til at sikre, at dens fartøjer overholder de regler, der gælder for disse fartøjer i den anden parts farvande, herunder tilladelses- eller licensbetingelser.
KAPITEL 3
ORDNINGER FOR ADGANG TIL FARVANDE OG RESSOURCER
Artikel 498
Fiskerimuligheder
1.   Parterne samarbejder om hvert år senest den 31. januar at fastlægge tidsplanen for konsultationer med henblik på at nå til enighed om TAC'er for de bestande, der er anført i bilag 35, for det eller de følgende år. Denne tidsplan skal tage hensyn til andre årlige konsultationer blandt andre kyststater, der berører en eller begge parter.
2.   Parterne afholder årligt konsultationer med henblik på senest den 10. december hvert år at nå til enighed om TAC'erne for det følgende år for de bestande, der er anført i bilag 35. Dette omfatter en tidlig udveksling af synspunkter om prioriteter, så snart rådgivningen om niveauet for TAC'erne er modtaget. Parterne skal nå til enighed om disse TAC'er:
a)
på grundlag af den bedste foreliggende videnskabelige rådgivning samt andre relevante faktorer, herunder socioøkonomiske aspekter, og
b)
i overensstemmelse med enhver relevant flerårig bevarelses- og forvaltningsstrategi, som parterne enes om.
3.   Parternes andele af TAC'erne for de bestande, der er opført i bilag 35, fordeles mellem parterne i overensstemmelse med de kvoteandele, der er fastsat i nævnte bilag.
4.   Årlige konsultationer kan bl.a. også omfatte:
a)
overførsel af dele af en parts andele af TAC'er til den anden part
b)
en liste over bestande, som er omfattet af fiskeriforbud
c)
fastsættelsen af TAC'en for enhver bestand, der ikke er anført i bilag 35 eller 36, og parternes respektive andele af disse bestande
d)
foranstaltninger til fiskeriforvaltning, herunder, hvor det er relevant, fiskeriindsatsbegrænsninger
e)
andre bestande af interesse for begge parter end dem, der er anført i bilagene til denne sektion.
5.   Parterne kan afholde konsultationer med henblik på at nå til enighed om ændrede TAC'er, hvis en af parterne anmoder herom.
6.   Parternes delegationsledere udarbejder og underskriver en skriftlig protokol, der dokumenterer de aftaler, der er indgået mellem parterne som følge af konsultationer i henhold til denne artikel.
7.   Hver part underretter den anden part, inden den fastlægger eller ændrer TAC'er for de bestande, der er anført i bilag 37.
8.   Parterne opretter en mekanisme for frivillige overførsler af fiskerimuligheder i løbet af året mellem parterne, hvilket skal finde sted hvert år. Specialudvalget om Fiskeri træffer afgørelse om detaljerne i denne ordning. Parterne overvejer at gøre overførsler af fiskerimuligheder for bestande, der er eller forventes at blive underfisket, tilgængelige til markedsværdi gennem denne mekanisme.
Artikel 499
Midlertidige TAC'er
1.   Hvis parterne ikke er nået til enighed om en TAC for en bestand, der er opført i bilag 35 eller i bilag 36, tabel A eller B, senest den 10. december, genoptager de straks konsultationerne med det formål at nå til enighed om TAC'en. Parterne holder hyppig kontakt med henblik på at undersøge alle muligheder for hurtigst muligt at nå til enighed.
2.   Hvis der den 20. december fortsat ikke er opnået enighed om en TAC for en bestand, der er opført i bilag 35 eller i bilag 36, tabel A og B, fastsætter hver part en midlertidig TAC svarende til det niveau, der anbefales af ICES, og som anvendes fra den 1. januar.
3.   Uanset stk. 2 fastsættes TAC'erne for særlige bestande efter de retningslinjer, der er vedtaget i henhold til stk. 5.
4.   I denne artikel forstås ved "særlige bestande":
a)
bestande, for hvilke ICES råder til en TAC på nul
b)
bestande, der fanges i blandet fiskeri, hvor denne bestand eller en anden bestand i samme fiskeri er sårbar, eller
c)
andre bestande, som parterne anser for at behøve særbehandling.
5.   Specialudvalget om Fiskeri vedtager senest den 1. juli 2021 retningslinjer for fastsættelse af midlertidige TAC'er for særlige bestande.
6.   Når der hvert år modtages rådgivning fra ICES om TAC'er, drøfter parterne først og fremmest de særlige bestande og anvendelsen af eventuelle retningslinjer, der er fastsat i henhold til stk. 5, for hver parts fastsættelse af midlertidige TAC'er.
7.   Hver part fastsætter sin andel af hver af de midlertidige TAC'er, som ikke må overstige dens andel som fastsat i det tilsvarende bilag.
8.   De midlertidige TAC'er og andele, der er omhandlet i stk. 2, 3 og 7, finder anvendelse, indtil der er opnået enighed i henhold til stk. 1.
9.   Hver part meddeler straks den anden part sine midlertidige TAC'er i henhold til stk. 2 og 3 og sin foreløbige andel af hver af disse TAC'er i henhold til stk. 7.
Artikel 500
Adgang til farvande
1.   Hvis der opnås enighed om TAC'er, skal hver part give den anden parts fartøjer adgang til at fiske i dens farvande i de relevante ICES-underområder det pågældende år. Der gives adgang på et niveau og på de betingelser, der fastsættes i forbindelse med de årlige konsultationer.
2.   Parterne kan ved årlige konsultationer aftale yderligere specifikke adgangsbetingelser i forbindelse med:
a)
de fiskerimuligheder, der er opnået enighed om
b)
eventuelle flerårige strategier for ikkekvoterede bestande, der er udarbejdet i henhold til artikel 508, stk. 1, litra c), og
c)
eventuelle tekniske foranstaltninger og bevarelsesforanstaltninger, som parterne er blevet enige om, jf. dog artikel 496.
3.   Parterne gennemfører de årlige konsultationer, herunder om omfanget af og betingelserne for adgang som omhandlet i stk. 1, i god tro og med det formål at sikre en gensidigt tilfredsstillende ligevægt mellem begge parters interesser.
4.   Navnlig bør resultatet af de årlige konsultationer normalt føre til, at hver part giver:
a)
adgang til at fiske efter de bestande, der er anført i bilag 35 og i bilag 36, tabel A, B og F, i hinandens EEZ'er (eller, hvis der gives adgang i henhold til litra c), i EEZ'er og i de afsnit, der er nævnt i dette litra), på et niveau, der står i et rimeligt forhold til parternes respektive andele af TAC'erne
b)
adgang til at fiske ikkekvoterede bestande i hinandens EEZ'er (eller, hvis der gives adgang i henhold til litra c), i EEZ'er og i de afsnit, der er nævnt i dette litra), på et niveau, der mindst svarer til den gennemsnitlige tonnage, som den pågældende part fiskede i den anden parts farvande i perioden 2012-2016, og
c)
adgang til parternes farvande mellem seks og tolv sømil fra basislinjerne i ICES-afsnit 4c og 7d-g for kvalificerede fartøjer, for så vidt EU-fiskerfartøjer og Det Forenede Kongeriges fiskerfartøjer havde adgang til disse farvande den 31. december 2020.
Med henblik på litra c) forstås ved "kvalificeret fartøj" en parts fartøj, der fiskede i det område, der er nævnt i foregående punktum, i fire af årene mellem 2012 og 2016, eller en direkte udskiftning heraf.
De årlige konsultationer, der er nævnt i litra c), kan omfatte passende finansielle forpligtelser og kvoteoverførsler mellem parterne.
5.   Når der anvendes en foreløbig TAC, giver parterne, indtil der opnås enighed om en TAC, midlertidig adgang til at fiske i de relevante ICES-underområder som følger:
a)
for bestande, der er anført i bilag 35 og ikkekvoterede bestande, fra den 1. januar til den 31. marts på de niveauer, der er fastsat i stk. 4, litra a) og b)
b)
for bestande, der er anført i bilag 36, fra den 1. januar til den 14. februar på de niveauer, der er fastsat i stk. 4, litra a), og
c)
for så vidt angår adgang til fiskeri i 6-12-sømilezonen i henhold til stk. 4, litra c), fra den 1. januar til den 31. januar på et niveau, der svarer til den gennemsnitlige månedlige tonnage, der er fisket i det pågældende område i de foregående tre måneder.
En sådan adgang skal for hver af de relevante bestande i litra a) og b) stå i forhold til den gennemsnitlige procentdel af en parts andel af den årlige TAC, som den pågældende parts fartøjer har fisket i den anden parts farvande i de relevante ICES-underområder i samme periode i de foregående tre kalenderår. Dette gælder tilsvarende for adgang til at fiske ikkekvoterede bestande.
Senest den 15. januar for så vidt angår situationen i dette stykkes litra c) og senest den 31. januar for så vidt angår de bestande, der er anført i bilag 36, og senest den 15. marts for alle andre bestande, underretter hver part den anden part om den ændring i niveauet og de betingelser for adgang til farvande, der gælder fra den 1. februar for så vidt angår situationen i dette stykkes litra c), fra den 15. februar for så vidt angår de bestande, der er opført i bilag 36, og fra den 1. april for alle andre bestande i de relevante ICES-underområder.
6.   Uden at det berører artikel 499, stk. 1 og 8, søger parterne efter en periode på en måned i forbindelse med situationen i nærværende artikels stk. 5, litra c), halvanden måned for de bestande, der er anført i bilag 36, og tre måneder for alle andre bestande at nå til enighed om yderligere midlertidige adgangsordninger med en passende geografisk fordeling med henblik på at minimere afbrydelser i fiskeriet.
7.   Når en part giver adgang i henhold til denne artikels stk. 1, kan den tage hensyn til enkelte eller grupper af fartøjers overholdelse af de gældende regler i dens farvande i det foregående år og foranstaltninger truffet af den anden part i henhold til artikel 497, stk. 2, i det foregående år.
8.   Denne artikel finder anvendelse med forbehold af bilag 38.
Artikel 501
Kompensationsforanstaltninger i tilfælde af tilbagetrækning eller begrænsning af adgang
1.   Efter meddelelse fra en part ("værtsparten") i henhold til artikel 500, stk. 5, kan den anden part ("fiskeriparten") træffe kompensationsforanstaltninger, der står i et rimeligt forhold til de økonomiske og samfundsmæssige virkninger af ændringen i niveauet og betingelserne for adgang til farvande. En sådan indvirkning måles på grundlag af pålidelig dokumentation og ikke blot på grundlag af antagelser og gisninger. På baggrund af en prioritering af de kompensationsforanstaltninger, som forstyrrer denne aftales funktion mindst muligt, kan fiskeriparten helt eller delvist suspendere adgangen til sine farvande og den præferencetoldbehandling, der indrømmes fiskevarer i henhold til artikel 21.
2.   En kompensationsforanstaltning som omhandlet i denne artikels stk. 1 kan tidligst træde i kraft syv dage efter, at fiskeriparten har underrettet værtsparten om den påtænkte suspension i henhold til denne artikels stk. 1 og under alle omstændigheder tidligst den 1. februar for så vidt angår situationen i artikel 500, stk. 5, litra c), den 15. februar for så vidt angår bilag 36 og 1. april for så vidt angår andre bestande. Parterne rådfører sig med hinanden i specialudvalget med henblik på at nå frem til en gensidigt acceptabel løsning. Meddelelsen skal indeholde oplysninger om:
a)
den dato, hvor fiskeriparten agter at iværksætte suspensionen, og
b)
de forpligtelser, der suspenderes, og omfanget af den påtænkte suspension.
3.   Efter meddelelsen om kompensationsforanstaltningerne i overensstemmelse med denne artikels stk. 2 kan værtsparten anmode om, at der nedsættes en voldgiftsret i henhold til artikel 739, uden at der gøres brug af konsultationer i overensstemmelse med artikel 738. Voldgiftsretten kan kun efterprøve, om kompensationsforanstaltningerne er i overensstemmelse med denne artikels stk. 1. Voldgiftsretten behandler spørgsmålet som et hastetilfælde med henblik på artikel 744.
4.   Når betingelserne for at træffe kompensationsforanstaltninger, jf. stk. 1, ikke længere er opfyldt, trækkes sådanne foranstaltninger straks tilbage.
5.   Hvis fiskeriparten dømmes i forbindelse med den i denne artikels stk. 3 omhandlede procedure, kan værtsparten inden for 30 dage fra kendelsen anmode voldgiftsretten om at fastsætte et suspensionsniveau for forpligtelser i henhold til denne aftale, der ikke overstiger det niveau, der svarer til den annullation eller forringelse, der er forårsaget af anvendelsen af kompensationsforanstaltningerne, hvis den finder, at der er betydelig uoverensstemmelse mellem kompensationsforanstaltningerne og denne artikels stk. 1. I anmodningen foreslås et suspensionsniveau i overensstemmelse med principperne i denne artikels stk. 1 og relevante principper i artikel 761. Værtsparten kan tidligst 15 dage efter en sådan kendelse anvende suspensionsniveauet i henhold til denne aftale i overensstemmelse med det suspensionsniveau, som voldgiftsretten har fastsat.
6.   En part kan ikke påberåbe sig WTO-overenskomsten eller andre internationale aftaler for at forhindre den anden part i at suspendere forpligtelser i henhold til denne artikel.
Artikel 502
Særlige adgangsordninger vedrørende Bailiwick of Guernseys,  Bailiwick of Jerseys og Isle of Mans farvande
1.   Uanset artikel 500, stk. 1 og 3-7, artikel 501 og bilag 38 skal hver part give den anden parts fartøjer adgang til at fiske i dens farvande, som skal afspejle det faktiske omfang og arten af det fiskeri, som det kan påvises, at den har foretaget i perioden fra den 1. februar 2017 til den 31. januar 2020 med den anden parts kvalificerede fartøjer i farvandene og i henhold til eventuelle traktatbestemmelser, der er gældende den 31. januar 2020.
2.   I denne artikel og for så vidt de øvrige artikler i denne sektion finder anvendelse i forbindelse med de adgangsordninger, der er fastsat i henhold til denne artikel, forstås ved
a)
"kvalificeret fartøj": for så vidt angår fiskeri, der udøves i farvandene omkring Bailiwick of Guernsey, Bailiwick of Jersey, Isle of Man eller en medlemsstat, ethvert fartøj, der fiskede i territorialfarvande, der grænser op til dette område eller den pågældende medlemsstat, i mere end 10 dage i en af de tre tolvmånedersperioder, der slutter en 31. januar mellem den 1. februar 2017 og den 31. januar 2020
b)
(en parts) "fartøj": for så vidt angår Det Forenede Kongerige, et fiskerfartøj, der fører Det Forenede Kongeriges flag og er registreret i Bailiwick of Guernsey, Bailiwick of Jersey eller Isle of Man, og som har licens fra et af Det Forenede Kongeriges fiskeriforvaltninger
c)
(en parts) "farvande":
i)
for så vidt angår Unionen det territorialfarvand, der støder op til en medlemsstat, og
ii)
for så vidt angår Det Forenede Kongerige det territorialfarvand, der støder op til Bailiwick of Guernsey, Bailiwick of Jersey og Isle of Man.
3.   På anmodning af en af parterne træffer Partnerskabsrådet senest 90 dage efter denne aftales ikrafttræden afgørelse om, at denne artikel, artikel 503 og alle andre bestemmelser i denne sektion, for så vidt de vedrører ordningerne i disse artikler samt artikel 520, stk. 3-8, ophører med at finde anvendelse med hensyn til en eller flere af Bailiwick of Guernsey, Bailiwick of Jersey og Isle of Man 30 dage efter denne afgørelse.
4.   Partnerskabsrådet kan beslutte at ændre denne artikel, artikel 503 og andre bestemmelser i denne sektion, for så vidt de vedrører ordningerne i disse artikler.
Artikel 503
Meddelelsesfrister for import og direkte landing af fiskevarer
1.   Unionen anvender følgende meddelelsesfrister på fiskevarer fanget af fartøjer, der fører Det Forenede Kongeriges flag og er registreret i Bailiwick of Guernsey eller Bailiwick of Jersey, i territorialfarvandet, der støder op til disse områder eller i det territorialfarvand, der støder op til en medlemsstat:
a)
forudgående meddelelse mellem tre og fem timer inden landing af ferske fiskevarer på Unionens område
b)
forudgående meddelelse mellem en og tre timer om den validerede fangstattest for direkte flytning af sendinger af fiskevarer ad søvejen inden det forventede ankomsttidspunkt til indgangsstedet til Unionens område.
2.   Udelukkende med henblik på denne artikel forstås ved "fiskevarer" alle arter af saltvandsfisk, bløddyr og krebsdyr.
Artikel 504
Tilpasning af forvaltningsområder
1.   Senest den 1. juli 2021 anmoder parterne ICES om rådgivning om tilpasning af de forvaltningsområder og vurderingsenheder, som ICES anvender på de bestande, der er markeret med en asterisk i bilag 35.
2.   Senest seks måneder efter modtagelsen af den rådgivning, der er omhandlet i stk. 1, gennemgår parterne i fællesskab denne rådgivning og overvejer i fællesskab justeringer af forvaltningsområderne for de pågældende bestande med henblik på at nå til enighed om deraf følgende konsekvensændringer af listen over bestande og andele i bilag 35.
Artikel 505
Andele af TAC'er for visse andre bestande
1.   Parternes respektive andele af TAC'erne for visse andre bestande er fastsat i bilag 36.
2.   Hver part underretter de relevante stater og internationale organisationer om sine andele i overensstemmelse med den deleordning, der er fastsat i bilag 36, tabel A-D.
3.   Eventuelle senere ændringer af disse andele i bilag 36, tabel C og D, henhører under de relevante multilaterale fora.
4.   Uden at det berører Partnerskabsrådets beføjelser i artikel 508, stk. 3, henhører eventuelle senere ændringer af andelene i bilag 36, tabel A og B, efter den 30. juni 2026 under de relevante multilaterale fora.
5.   Begge parter forvalter de bestande, der er anført i bilag 36, tabel A-D, i overensstemmelse med målene og principperne i artikel 494.
KAPITEL 4
FORVALTNINGSORDNINGER
Artikel 506
Afhjælpende foranstaltninger og tvistbilæggelse
1.   I forbindelse med en parts ("den indklagede parts") påståede manglende overholdelse af denne sektion (undtagen i forbindelse med påståede mangler behandlet i henhold til stk. 2) kan den anden part ("den klagende part") efter at have underrettet den indklagede part:
a)
helt eller delvist suspendere adgangen til sine farvande og den præferencetoldbehandling, der indrømmes fiskevarer i henhold til artikel 21, og
b)
hvis den finder, at den suspension, der er omhandlet i litra a) og b), ikke står i et rimeligt forhold til de økonomiske og samfundsmæssige virkninger af den påståede mangel, helt eller delvist suspendere præferencetoldbehandlingen af andre varer i henhold til artikel 21, og
c)
hvis den finder, at den suspension, der er omhandlet i dette stykkes litra a) og b), ikke står i et rimeligt forhold til de økonomiske og samfundsmæssige virkninger af den påståede mangel, helt eller delvist suspendere forpligtelser i henhold til denne del, sektion et, med undtagelse af afsnit XI. Hvis sektion et i denne del suspenderes helt, suspenderes også sektion tre i denne del.
2.   I forbindelse med en parts ("den indklagede parts") påståede manglende overholdelse af artikel 502 eller 503 eller enhver anden bestemmelse i denne sektion, for så vidt som den vedrører ordningerne i disse artikler, kan den anden part ("den klagende part") efter at have underrettet den indklagede part:
a)
helt eller delvis suspendere adgangen til sine farvande, jf. artikel 502
b)
hvis den finder, at den suspension, der er omhandlet i dette stykkes litra a), ikke står i et rimeligt forhold til de økonomiske og samfundsmæssige virkninger af den påståede mangel, helt eller delvist suspendere præferencetoldbehandlingen, der er indrømmet fiskevarer i henhold til artikel 21
c)
hvis den finder, at den suspension, der er omhandlet i dette stykkes litra a) og b), ikke står i et rimeligt forhold til de økonomiske og samfundsmæssige virkninger af den påståede mangel, helt eller delvist suspendere præferencetoldbehandlingen af andre varer i henhold til artikel 21.
Uanset denne artikels stk. 1 ikke træffe afhjælpende foranstaltninger, der har indvirkning på ordningerne, der er fastsat i henhold til artikel 502 eller 503 eller enhver anden bestemmelse i denne sektion, for så vidt som den vedrører ordningerne i disse artikler, som følge af en parts påståede manglende overholdelse af denne sektions bestemmelser, der ikke er knyttet til disse ordninger.
3.   De i stk. 1 og 2 omhandlede foranstaltninger skal stå i et rimeligt forhold til den indklagede parts påståede mangel og de økonomiske og samfundsmæssige virkninger heraf.
4.   En foranstaltning som omhandlet i stk. 1 og 2 kan tidligst træde i kraft syv dage efter, at den klagende part har underrettet den indklagede part om den foreslåede suspension. Parterne rådfører sig med hinanden i Specialudvalget om Fiskeri med henblik på at nå frem til en gensidigt acceptabel løsning. Meddelelsen skal indeholde oplysninger om:
a)
hvordan den klagende part mener, at den indklagede part har undladt overholdelse
b)
den dato, hvor den klagende part agter at iværksætte suspensionen, og
c)
omfanget af den påtænkte suspension.
5.   Den klagende part skal senest 14 dage efter den i denne artikels stk. 4 omhandlede meddelelse anfægte den indklagede parts påståede manglende overholdelse af denne sektion, jf. denne artikels stk. 1 og 2, ved at anmode om, at der nedsættes en voldgiftsret i henhold til artikel 739. Voldgift i henhold til denne artikel skal anvendes, uden at der forinden er gjort brug af konsultationer i henhold til artikel 738. En voldgiftsret behandler spørgsmålet som et hastetilfælde med henblik på artikel 744.
6.   Suspensionen ophører med at gælde, når:
a)
den klagende part finder det godtgjort, at den indklagede part opfylder sine relevante forpligtelser i henhold til denne sektion, eller
b)
voldgiftsretten har besluttet, at den indklagede part ikke har undladt at overholde sine relevante forpligtelser i henhold til denne sektion.
7.   Hvis den klagende part dømmes i forbindelse med den i denne artikels stk. 5 omhandlede procedure, kan den indklagede part inden for 30 dage fra kendelsen anmode voldgiftsretten om at fastsætte et suspensionsniveau for forpligtelser i henhold til denne aftale, der ikke overstiger det niveau, der svarer til den annullation eller forringelse, der er forårsaget af anvendelsen af de afhjælpende foranstaltninger, hvis den finder, at der er betydelig uoverensstemmelse mellem de afhjælpende foranstaltninger og denne artikels stk. 1 og 2. I anmodningen foreslås et suspensionsniveau i overensstemmelse med denne artikels stk. 1 eller 2 og relevante principper i artikel 761. Den indklagede part kan tidligst 15 dage efter en sådan kendelse anvende suspensionsniveauet i henhold til denne aftale i overensstemmelse med det suspensionsniveau, som voldgiftsretten har fastsat.
8.   En part kan ikke påberåbe sig WTO-overenskomsten eller andre internationale aftaler for at forhindre den anden part i at suspendere forpligtelser i henhold til denne artikel.
Artikel 507
Dataudveksling
Parterne udveksler de oplysninger, der er nødvendige for at støtte gennemførelsen af denne sektion under overholdelse af hver af parternes lovgivning.
Artikel 508
Specialudvalget om Fiskeri
1.   Specialudvalget om Fiskeri kan navnlig:
a)
tilvejebringe et forum for drøftelse og samarbejde vedrørende bæredygtig fiskeriforvaltning
b)
overveje at udvikle flerårige strategier for bevarelse og forvaltning som grundlag for fastsættelsen af TAC'er og andre forvaltningsforanstaltninger
c)
udvikle flerårige strategier for bevarelse og forvaltning af ikkekvoterede bestande, jf. artikel 500, stk. 2, litra b)
d)
overveje foranstaltninger til fiskeriforvaltning og -bevarelse, herunder hasteforanstaltninger og foranstaltninger til at sikre fiskeriets selektivitet
e)
overveje tilgange til indsamling af data til videnskabelige og fiskeriforvaltningsmæssige formål, udveksling af sådanne data (herunder oplysninger, der er relevante for overvågning, kontrol og håndhævelse af overholdelsen) og høring af videnskabelige organer vedrørende den bedste foreliggende videnskabelige rådgivning
f)
overveje foranstaltninger til at sikre efterlevelsen af gældende regler, herunder fælles kontrol-, overvågnings- og tilsynsprogrammer samt udveksling af data med henblik på at lette overvågningen af udnyttelsen af fiskerimuligheder samt kontrollen og håndhævelsen
g)
udarbejde retningslinjer for fastsættelse af de TAC'er, der er omhandlet i artikel 499, stk. 5
h)
forberede årlige konsultationer
i)
overveje spørgsmål vedrørende udpegning af landingshavne, herunder lettelse af parternes rettidige underretning om sådanne udpegelser og om eventuelle ændringer af disse udpegelser
j)
fastsætte tidsfrister for meddelelse af de foranstaltninger, der er omhandlet i artikel 496, stk. 3, meddelelsen af de lister over fartøjer, der er omhandlet i artikel 497, stk. 1, og den meddelelse, der er omhandlet i artikel 498, stk. 7
k)
tilvejebringe et forum for konsultationer i henhold til artikel 501, stk. 2, og artikel 506, stk. 4
l)
udarbejde retningslinjer til støtte for den praktiske anvendelse af artikel 500
m)
udvikle en mekanisme for frivillige overførsler af fiskerimuligheder i løbet af året mellem parterne, jf. artikel 498, stk. 8, og
n)
overveje anvendelsen og gennemførelsen af artikel 502 og 503.
2.   Specialudvalget om Fiskeri kan vedtage afgørelser, herunder ændringer og henstillinger:
a)
om registrering af spørgsmål, som parterne er nået til enighed om efter konsultationer i henhold til artikel 498
b)
i forbindelse med de forhold, der er omhandlet i denne artikels stk. 1, litra b), c), d), e), f), g), i), j), l), m) og n)
c)
om ændring af listen over allerede eksisterende internationale forpligtelser, der er omhandlet i artikel 496, stk. 2
d)
i forbindelse med andre aspekter af samarbejdet om bæredygtig fiskeriforvaltning i henhold til denne sektion, og
e)
om de nærmere bestemmelser for en gennemgang i henhold til artikel 510.
3.   Partnerskabsrådet har beføjelse til at ændre bilag 35, 36 og 37.
Artikel 509
Ophør
1.   Med forbehold af artikel 779 eller 521 kan hver part til enhver tid bringe denne sektion til ophør ved skriftlig meddelelse ad diplomatisk vej. I så fald ophører sektion et, to og tre og nærværende sektion med at være gældende den første dag i den niende måned efter meddelelsesdatoen.
2.   Hvis denne sektion ophører med at finde anvendelse i henhold til denne artikels stk. 1, artikel 779 eller artikel 521, gælder de forpligtelser, som parterne har indgået inden for rammerne af denne sektion for det år, der er i gang på det tidspunkt, hvor denne sektion ophører med at finde anvendelse, indtil årets udgang.
3.   Uanset denne artikels stk. 1 kan sektion to forblive gældende, hvis parterne er enige om at integrere de relevante dele af sektion et, afsnit XI.
4.   Uanset denne artikels stk. 1-3 og med forbehold af artikel 779 eller 521:
a)
forbliver artikel 502 og 503 og enhver anden bestemmelse i denne sektion, for så vidt som den vedrører ordningerne i disse artikler, gældende indtil:
i)
de bringes til ophør af en af parterne med tre års skriftligt varsel til den anden part, eller
ii)
hvis tidligere, den dato, hvor artikel 520, stk. 3-5, ophører med at være i kraft
b)
kan der med henblik på litra a), nr. i), gives meddelelse om ophør for Bailiwick of Guernsey, Bailiwick of Jersey eller Isle of Man og artikel 502 og 503 og enhver anden bestemmelse i denne sektion, for så vidt som den vedrører ordningerne i disse artikler, og de forbliver i kraft for disse områder, hvis der ikke er givet meddelelse om ophør, og
c)
med henblik på litra a), nr. ii), gælder det, at hvis artikel 520, stk. 3-5, ophører med at være gældende for Bailiwick of Guernsey, Bailiwick of Jersey eller Isle of Man (men ikke for alle), forbliver artikel 502 og 503 og enhver anden bestemmelse i denne sektion, for så vidt som den vedrører ordningerne i disse artikler, i kraft for disse områder, hvis artikel 520, stk. 3-5, fortsat er gældende.
Artikel 510
Revisionsklausul
1.   I Partnerskabsrådet gennemgår parterne i fællesskab gennemførelsen af denne sektion fire år efter udløbet af den tilpasningsperiode, der er omhandlet i artikel 1 i bilag 38, med henblik på at overveje, om ordninger, herunder vedrørende adgang til farvande, kan kodificeres og styrkes yderligere.
2.   En sådan gennemgang kan gentages med efterfølgende intervaller på fire år efter afslutningen af den første gennemgang.
3.   Parterne træffer på forhånd afgørelse om de nærmere bestemmelser for gennemgangen i Specialudvalget om Fiskeri.
4.   Gennemgangen skal navnlig gøre det muligt at evaluere følgende i forhold til de foregående år:
a)
bestemmelserne for adgang til den anden parts farvande i henhold til artikel 500
b)
andelene af TAC'er, der er fastsat i bilag 35, 36 og 37
c)
antallet og omfanget af overførsler som led i årlige konsultationer i henhold til artikel 498, stk. 4, og eventuelle overførsler i henhold til artikel 498, stk. 8
d)
udsvingene i de årlige TAC'er
e)
begge parters overholdelse af bestemmelserne i denne sektion og begge parters fartøjers overholdelse af de regler, der gælder for disse fartøjer, når de befinder sig i den anden parts farvande
f)
arten og omfanget af samarbejdet i henhold til denne sektion og
g)
alle andre elementer, som parterne på forhånd beslutter gennem Specialudvalget om Fiskeri.
Artikel 511
Forhold til andre aftaler
1.   Medmindre andet fremgår af stk. 2, berører denne sektion ikke andre eksisterende aftaler vedrørende fiskeri med fartøjer, der fører den ene parts flag, inden for den anden parts jurisdiktionsområde.
2.   Denne sektion træder i stedet for og erstatter eventuelle eksisterende aftaler eller ordninger vedrørende EU-fiskerfartøjers fiskeri i territorialfarvandet omkring Bailiwick of Guernsey, Bailiwick of Jersey eller Isle of Man og fiskeri med Det Forenede Kongeriges fiskerfartøjer, der er registreret i Bailiwick of Guernsey, Bailiwick of Jersey eller Isle of Man i det territorialfarvand, der grænser op til en medlemsstat. Hvis Partnerskabsrådet imidlertid i overensstemmelse med artikel 502 beslutter, at denne aftale skal ophøre med at finde anvendelse på Bailiwick of Guernsey, Bailiwick of Jersey eller Isle of Man, må de relevante aftaler eller ordninger ikke afløses og erstattes for så vidt angår de områder, som afgørelsen vedrører.
SEKTION SEKS
ANDRE BESTEMMELSER
Artikel 512
Definitioner
Medmindre andet er fastsat, forstås i anden del, i protokollen om gensidig administrativ bistand i toldspørgsmål og i protokollen om administrativt samarbejde og bekæmpelse af svig vedrørende merværdiafgift og om gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter ved:
a)
"toldmyndighed":
i)
for så vidt angår Unionen de tjenestegrene i Europa-Kommissionen, der er ansvarlige for toldspørgsmål, eller i givet fald toldadministrationerne og alle andre myndigheder, der i EU-medlemsstaterne er bemyndiget til at anvende og håndhæve toldlovgivningen, og
ii)
for så vidt angår Det Forenede Kongerige Her Majesty's Revenue and Customs og enhver anden myndighed med ansvar for toldspørgsmål
b)
"told": enhver form for told eller afgift, der pålægges en vare eller i forbindelse med import af en vare, undtagen:
i)
afgifter, der svarer til en intern skat, der pålægges i overensstemmelse med 19
ii)
antidumping-, særlig beskyttelses-, udlignings- eller beskyttelsestold anvendt i overensstemmelse med GATT 1994, antidumpingaftalen, aftalen om landbrug, aftalen om subsidier og udligningsforanstaltninger eller aftalen om beskyttelsesforanstaltninger, alt efter hvad der er relevant, eller
iii)
et gebyr eller en anden afgift, der pålægges ved eller i forbindelse med import, der beløbsmæssigt er begrænset til de anslåede omkostninger for de ydede tjenester
c)
"CPC": den centrale produktnomenklatur (Statistical Papers Series M nr. 77, Institut for Internationale Økonomiske og Sociale Anliggender, De Forenede Nationers statistiske kontor, New York, 1991)
d)
"eksisterende": i kraft på datoen for denne aftales ikrafttræden
e)
"varer fra en part": indenlandske produkter i den i GATT 1994 anvendte betydning, herunder varer med oprindelse i denne part
f)
"det harmoniserede system" eller "HS": det harmoniserede varebeskrivelses- og varenomenklatursystem, herunder alle bemærkninger og ændringer hertil, udviklet af Verdenstoldorganisationen
g)
"position": de første fire cifre i tariferingsnummeret i det harmoniserede system
h)
"juridisk person": enhver juridisk enhed, der lovligt er oprettet eller på anden måde organiseret i henhold til relevant lovgivning, uanset om formålet er at skabe fortjeneste eller ej, og uanset om den er privat eller offentligt ejet, herunder enhver koncern, enhver trust, ethvert partnerskab, ethvert joint venture, enhver enkeltmandsvirksomhed eller enhver sammenslutning
i)
"foranstaltning": enhver foranstaltning truffet af en part, det være sig i form af en lov, forskrift, regel, procedure, beslutning, administrativ handling, krav eller praksis mv. 
(
71
)
j)
"en parts foranstaltninger": alle foranstaltninger indført eller opretholdt af:
i)
centrale, regionale eller lokale myndigheder og
ii)
ikkestatslige organer under udøvelse af beføjelser, som er delegeret af centrale, regionale eller lokale myndigheder
"en parts foranstaltninger": foranstaltninger indført og opretholdt af enheder, som er anført i afsnit i) og ii), ved direkte eller indirekte at instruere, styre eller kontrollere andre enheders adfærd i forbindelse med disse foranstaltninger
k)
"fysisk person fra en part" 
(
72
)
:
i)
for Den Europæiske Unions vedkommende en statsborger i en medlemsstat i henhold til dens lovgivning 
(
73
)
 og
ii)
for Det Forenede Kongeriges vedkommende en britisk statsborger
l)
"person": en fysisk eller en juridisk person
m)
"sundheds- eller plantesundhedsforanstaltning": enhver foranstaltning som omhandlet i punkt 1 i bilag A til SPS-aftalen
n)
"tredjeland": et land eller territorium uden for denne aftales territoriale anvendelsesområde og
o)
"WTO": Verdenshandelsorganisationen.
Artikel 513
WTO-overenskomster
I denne aftale benævnes WTO-aftalerne som følger:
a)
"landbrugsaftale": den aftale om landbrug, der er indeholdt i bilag 1A til WTO-overenskomsten
b)
"antidumpingaftale": den aftale om anvendelse af artikel VI i den almindelige overenskomst om told og udenrigshandel 1994
c)
"GATS": den almindelige overenskomst om handel med tjenesteydelser, der er indeholdt i bilag 1B til WTO-overenskomsten
d)
"GATT 1994": den almindelige overenskomst om told og udenrigshandel 1994, der er indeholdt i bilag 1A til WTO-overenskomsten
e)
"GPA-aftalen": aftalen om offentlige udbud i bilag 4 til WTO-overenskomsten 
(
74
)
f)
"aftalen om beskyttelsesforanstaltninger": den aftale om beskyttelsesforanstaltninger, der er indeholdt i bilag 1A til WTO-overenskomsten
g)
"SCM-aftalen": den aftale om subsidier og udligningsforanstaltninger, der er indeholdt i bilag 1A til WTO-overenskomsten
h)
"SPS-aftalen": den aftale om anvendelse af sundheds- og plantesundhedsforanstaltninger, der er indeholdt i bilag 1A til WTO-overenskomsten
i)
"TBT-aftalen": den aftale om tekniske handelshindringer, der er indeholdt i bilag 1A til WTO-overenskomsten
j)
"TRIPS-aftalen": den aftale om handelsrelaterede intellektuelle ejendomsrettigheder, der er indeholdt i bilag 1C til WTO-overenskomsten, og
k)
"WTO-overenskomsten": Marrakeshoverenskomsten om oprettelse af Verdenshandelsorganisationen (WTO), udfærdiget den 15. april 1994 i Marrakesh.
Artikel 514
Oprettelse af et frihandelsområde
Parterne opretter herved et frihandelsområde i overensstemmelse med artikel XXIV i GATT 1994 og artikel V i GATS.
Artikel 515
Forholdet til WTO-overenskomsten
Parterne bekræfter deres rettigheder og forpligtelser over for hinanden i henhold til WTO-overenskomsten og andre aftaler, som de er part i.
Intet i denne aftale må fortolkes således, at en af parterne skal handle på en måde, der er uforenelig med dens forpligtelser i henhold til WTO-overenskomsten.
Artikel 516
Retspraksis fra WTO
I fortolkningen og anvendelsen af bestemmelserne i denne del skal der tages hensyn til relevante fortolkninger i rapporter fra WTO-paneler og appelorganet vedtaget af WTO's tvistbilæggelsesorgan samt voldgiftskendelser, jf. tvistbilæggelsesforståelsen.
Artikel 517
Opfyldelse af forpligtelser
Hver part vedtager alle generelle eller specifikke foranstaltninger, der er nødvendige for at opfylde dennes forpligtelser i henhold til denne del, herunder foranstaltninger, der er nødvendige for at sikre, at de overholdes af centrale, regionale eller lokale myndigheder samt ikkestatslige organer under udøvelsen af de beføjelser, der er delegeret til dem.
Artikel 518
Henvisninger til love og andre aftaler
1.   Hvor der i denne del henvises til en parts love og forskrifter, omfatter disse love og forskrifter ændringer heraf, medmindre andet er fastsat.
2.   Hvor der henvises til internationale aftaler, eller disse er helt eller delvist indarbejdet i denne del, forstås der ved disse aftaler ligeledes ændringer heraf eller deres efterfølgeraftaler, som træder i kraft for begge parter på eller efter datoen for undertegnelsen af denne aftale, medmindre andet er fastsat. Hvis der opstår spørgsmål vedrørende gennemførelsen eller anvendelsen af bestemmelserne i denne del som følge af sådanne ændringer eller efterfølgeraftaler, kan parterne efter anmodning fra en af parterne rådføre sig med hinanden med henblik på om nødvendigt at finde en gensidigt tilfredsstillende løsning på dette spørgsmål.
Artikel 519
Partnerskabsrådets opgaver i anden del
Partnerskabsrådet kan:
a)
vedtage afgørelser om ændring af:
i)
anden del, sektion et, afsnit I, kapitel 2, og bilagene hertil i overensstemmelse med artikel 68
ii)
ordningerne i bilag 16 og 17 i overensstemmelse med artikel 96, stk. 8
iii)
tillæg 15-A og 15-B i overensstemmelse med bilag 15, artikel 2, stk. 3
iv)
tillæg 15-C i overensstemmelse med bilag 15, artikel 3, stk. 3
v)
tillæg 14-A, 14-B, 14-C og 14-D i overensstemmelse med bilag 14, artikel 1
vi)
tillæg 12-A, 12-B og 12-C i overensstemmelse med bilag 12, artikel 11
vii)
bilaget om autoriserede økonomiske operatører, protokollen om gensidig administrativ bistand i toldspørgsmål, protokollen om bekæmpelse af svig vedrørende merværdiafgift og gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter og listen over varer i artikel 117, stk. 2, i overensstemmelse med artikel 122
viii)
den relevante underafdeling i bilag 25, afdeling B, i overensstemmelse med artikel 293
ix)
bilag 26, 27 og 28 i overensstemmelse med artikel 329
x)
artikel 364, stk. 4, i overensstemmelse med nævnte stykke, artikel 365, stk. 2, tredje punktum, i overensstemmelse med nævnte stykkes fjerde punktum, artikel 365, stk. 3, i overensstemmelse med nævnte stykke, artikel 367 i overensstemmelse med nævnte artikels stk. 1 og artikel 373 i overensstemmelse med nævnte artikels stk. 7
xi)
artikel 502 og 503 og enhver anden bestemmelse i sektion fem i overensstemmelse med artikel 502, stk. 4
xii)
bilag 35, 36 og 37 i overensstemmelse med artikel 508, stk. 3
xiii)
andre bestemmelser, protokoller, tillæg eller bilag, for hvilke muligheden af en sådan afgørelse udtrykkeligt er omhandlet i denne del
b)
vedtage afgørelser om fortolkning af bestemmelserne i denne del.
Artikel 520
Geografisk anvendelse
1.   Bestemmelserne i denne aftale om toldbehandling af varer, herunder oprindelsesregler og midlertidig suspension af denne behandling, finder også anvendelse på de af Unionens toldområder, der er fastlagt i artikel 4 i Europa-Parlamentets og Rådets forordning (EU) nr. 952/2013 
(
75
)
, som ikke er omfattet af artikel 774, stk. 1, litra a).
2.   Uden at det berører artikel 774, stk. 2, 3 og 4, finder parternes rettigheder og forpligtelser i henhold til denne del også anvendelse på alle områder ud over hver parts territorialfarvand, herunder havbunden og undergrunden, over hvilken den pågældende part udøver sine suveræne rettigheder eller jurisdiktion i henhold til folkeretten, herunder De Forenede Nationers havretskonvention, og dens love og forskrifter, som er i overensstemmelse med folkeretten 
(
76
)
.
3.   Med forbehold af undtagelserne i denne artikels stk. 4 finder sektion et, afsnit I, kapitel 1, 2 og 5, samt protokollerne og bilagene til disse kapitler for så vidt angår Det Forenede Kongerige også anvendelse på de områder, der er omhandlet i artikel 774, stk. 2. Med henblik herpå anses de områder, der er omhandlet i artikel 774, stk. 2, for at være en del af Det Forenede Kongeriges toldområde. Toldmyndighederne i de områder, der henvises til i artikel 774, stk. 2, er ansvarlige for anvendelsen og gennemførelsen af disse kapitler og protokollerne og bilagene til disse kapitler på deres respektive områder. Henvisninger til "toldmyndighed" i disse bestemmelser skal forstås tilsvarende. Anmodninger og meddelelser, der fremsættes i henhold til disse kapitler og protokollerne og bilagene til disse kapitler, forvaltes dog af Det Forenede Kongeriges toldmyndighed.
4.   Artikel 110, bilag 18 og protokollen om administrativt samarbejde og bekæmpelse af svig vedrørende merværdiafgift og om gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter finder ikke anvendelse på Bailiwick of Jersey eller Bailiwick of Guernsey.
5.   Sektion et, afsnit I, kapitel 3 og 4, og bilagene til disse kapitler finder for så vidt angår Det Forenede Kongerige også anvendelse på de områder, der er omhandlet i artikel 774, stk. 2. Myndighederne i de områder, der henvises til i artikel 774, stk. 2, er ansvarlige for anvendelsen og gennemførelsen af disse kapitler og bilagene til disse kapitler på deres respektive områder, og relevante henvisninger skal forstås tilsvarende. Anmodninger og meddelelser, der fremsættes i henhold til disse kapitler og bilagene til disse kapitler, forvaltes dog af Det Forenede Kongeriges myndigheder.
6.   Uden at det berører artikel 779 og artikel 521, og medmindre andet aftales mellem parterne, forbliver denne artikels stk. 3-5 i kraft indtil:
a)
udløbet af en periode på tre år efter skriftligt varsel til den anden part eller
b)
den dato, hvor artikel 502 og 503 og enhver anden bestemmelse i sektion fem, for så vidt som den vedrører ordningerne i disse artikler, ophører med at være i kraft.
7.   Med henblik på stk. 6, litra a), kan der gives meddelelse om ophør for en eller flere af Bailiwick of Guernsey, Bailiwick of Jersey eller Isle of Man, og denne artikels stk. 3-5 gælder fortsat for de områder, for hvilke der ikke er givet opsigelsesvarsel.
8.   Med henblik på stk. 6, litra b), gælder det, at hvis artikel 502 og 503 og enhver anden bestemmelse i sektion fem, for så vidt som den vedrører de ordninger, der er fastsat i disse artikler, ophører med at være i kraft for Bailiwick of Guernsey, Bailiwick of Jersey eller Isle of Man (men ikke for alle), forbliver denne artikels stk. 3-5 i kraft for de områder, for hvilke artikel 502 og 503 og enhver anden bestemmelse i sektion fem, for så vidt som den vedrører de ordninger, der er fastsat i disse artikler, fortsat er gældende.
Artikel 521
Anden dels ophør
Med forbehold af artikel 779 kan hver part til enhver tid bringe denne del til ophør ved skriftlig meddelelse ad diplomatisk vej. I så tilfælde ophører denne del med at være i kraft på den første dag i den niende måned efter datoen for meddelelse heraf. Sektion fire og protokollen om koordinering af de sociale sikringsordninger ophæves ikke i henhold til denne artikel.
TREDJE DEL
SAMARBEJDE OM RETSHÅNDHÆVELSE OG RETLIGT SAMARBEJDE I STRAFFESAGER
AFSNIT I
ALMINDELIGE BESTEMMELSER
Artikel 522
Formål
1.   Formålet med denne del er at sikre retshåndhævelse og retligt samarbejde mellem medlemsstaterne og Unionens institutioner, organer, kontorer og agenturer på den ene side og Det Forenede Kongerige på den anden side i forbindelse med forebyggelse, efterforskning, afdækning og retsforfølgning af strafbare handlinger og forebyggelse og bekæmpelse af hvidvaskning af penge og finansiering af terrorisme.
2.   Denne del finder kun anvendelse på retshåndhævelse og retligt samarbejde i straffesager, der udelukkende finder sted mellem Det Forenede Kongerige på den ene side og Unionen og medlemsstaterne på den anden side. Den finder ikke anvendelse på situationer, der opstår mellem medlemsstaterne eller mellem medlemsstaterne og Unionens institutioner, organer, kontorer og agenturer, og den finder heller ikke anvendelse på aktiviteter, der udføres af myndigheder med ansvar for at beskytte den nationale sikkerhed, når de handler på dette område.
Artikel 523
Definitioner
I denne del forstås ved:
a)
"tredjeland": et land, der hverken er en medlemsstat eller Det Forenede Kongerige
b)
"særlige kategorier af personoplysninger": behandling af personoplysninger om race eller etnisk oprindelse, politisk, religiøs eller filosofisk overbevisning eller fagforeningsmæssigt tilhørsforhold, genetiske data, biometriske data, der behandles med det formål entydigt at identificere en fysisk person, helbredsoplysninger eller oplysninger om en fysisk persons seksuelle forhold eller seksuelle orientering
c)
"genetiske data": alle personoplysninger vedrørende en fysisk persons genetiske karakteristika, der er blevet arvet eller erhvervet, som giver entydig information om personens fysiologi eller helbred, og som navnlig foreligger efter en analyse af en biologisk prøve fra den pågældende fysiske person
d)
"biometriske data": personoplysninger, der som følge af specifik teknisk behandling vedrørende en fysisk persons fysiske, fysiologiske eller adfærdsmæssige karakteristika muliggør eller bekræfter en entydig identifikation af vedkommende, f.eks. ansigtsbillede eller fingeraftryksoplysninger
e)
"behandling": enhver aktivitet eller række af aktiviteter – med eller uden brug af automatisk behandling – som personoplysninger eller en samling af personoplysninger gøres til genstand for, f.eks. indsamling, registrering, organisering, systematisering, opbevaring, tilpasning eller ændring, genfinding, søgning, brug, videregivelse ved transmission, formidling eller enhver anden form for overladelse, sammenstilling eller samkøring, begrænsning, sletning eller tilintetgørelse
f)
"brud på persondatasikkerheden": et brud på sikkerheden, der fører til hændelig eller ulovlig tilintetgørelse, tab, ændring, uautoriseret videregivelse af eller adgang til personoplysninger, der er transmitteret, opbevaret eller på anden måde behandlet
g)
"register": enhver struktureret samling af personoplysninger, der er tilgængelig efter bestemte kriterier, hvad enten denne samling er placeret centralt eller decentralt eller er fordelt på funktionsbestemt eller geografisk grundlag
h)
"Specialudvalg vedrørende retshåndhævelse og retligt samarbejde": det udvalg, der er nedsat ved artikel 8.
Artikel 524
Beskyttelse af menneskerettigheder og grundlæggende frihedsrettigheder
1.   Det samarbejde, der er omhandlet i denne del, er baseret på parternes og medlemsstaternes mangeårige respekt for demokrati, retsstatsprincippet og beskyttelsen af individets grundlæggende rettigheder og frihedsrettigheder, herunder som fastsat i verdenserklæringen om menneskerettigheder og i den europæiske menneskerettighedskonvention, og på betydningen af at gennemføre rettighederne og frihedsrettighederne i konventionen på nationalt plan.
2.   Intet i denne del ændrer forpligtelsen til at respektere de grundlæggende rettigheder og retsprincipper som afspejlet i navnlig den europæiske menneskerettighedskonvention og, for så vidt angår Unionen og dens medlemsstater, i Den Europæiske Unions charter om grundlæggende rettigheder.
Artikel 525
Beskyttelse af personoplysninger
1.   Det samarbejde, der er omhandlet i denne del, er baseret på parternes mangeårige forpligtelse til at sikre et højt beskyttelsesniveau for personoplysninger.
2.   For at afspejle dette høje beskyttelsesniveau sikrer parterne, at personoplysninger, der behandles i henhold til denne del, er omfattet af effektive garantier i parternes respektive databeskyttelsesordninger, herunder at:
a)
personoplysninger behandles lovligt og retfærdigt i overensstemmelse med principperne om dataminimering, formålsbegrænsning, nøjagtighed og opbevaringsbegrænsning
b)
behandling af særlige kategorier af personoplysninger kun er tilladt, i det omfang det er nødvendigt og med forbehold af de fornødne garantier, der er tilpasset de specifikke risici ved behandlingen
c)
der sikres et sikkerhedsniveau, der er passende i forhold til risikoen ved behandlingen, ved hjælp af relevante tekniske og organisatoriske foranstaltninger, navnlig med hensyn til behandling af særlige kategorier af personoplysninger
d)
de registrerede indrømmes en ret til indsigt, berigtigelse og sletning, der kan håndhæves, med forbehold af eventuelle lovfæstede begrænsninger, der udgør nødvendige og forholdsmæssige foranstaltninger i et demokratisk samfund for at beskytte vigtige mål af almen interesse
e)
i tilfælde af et brud på datasikkerheden, der udgør en risiko for fysiske personers rettigheder og frihedsrettigheder, underrettes den kompetente tilsynsmyndighed uden unødig forsinkelse om bruddet hvis bruddet sandsynligvis vil medføre en høj risiko for fysiske personers rettigheder og frihedsrettigheder, underrettes de registrerede også med forbehold af eventuelle lovfæstede begrænsninger, der udgør nødvendige og forholdsmæssige foranstaltninger i et demokratisk samfund for at beskytte vigtige mål af samfundsmæssig interesse
f)
videreoverførsel til et tredjeland er kun tilladt, under forudsætning af at de betingelser og garantier, der er nødvendige for overførslen, sikrer, at beskyttelsesniveauet ikke undermineres
g)
tilsynet med overholdelsen af databeskyttelsesgarantier og håndhævelsen af databeskyttelsesgarantier varetages af uafhængige myndigheder, og
h)
registrerede får ret til effektiv administrativ og retslig prøvelse, der kan håndhæves, hvis databeskyttelsesgarantierne er blevet overtrådt.
3.   Det Forenede Kongerige på den ene side og Unionen, også på vegne er dens medlemsstater, på den anden side underretter Specialudvalget om Retshåndhævelse og Retligt Samarbejde om de tilsynsmyndigheder, der er ansvarlige for at føre tilsyn med gennemførelsen og overholdelsen af de databeskyttelsesregler, der gælder for samarbejde i henhold til denne del. Tilsynsmyndighederne samarbejder om at sikre, at denne del overholdes.
4.   Bestemmelserne om beskyttelse af personoplysninger i denne del anvendes på behandling af personoplysninger, der helt eller delvist foretages ved hjælp af automatisk behandling, samt på ikkeautomatisk behandling af personoplysninger, der er eller vil blive indeholdt i et register.
5.   Denne artikel berører ikke anvendelsen af eventuelle specifikke bestemmelser i denne del vedrørende behandling af personoplysninger.
Artikel 526
Samarbejdets omfang, hvis en medlemsstat ikke længere deltager  i tilsvarende foranstaltninger i henhold til EU-retten
1.   Denne artikel finder anvendelse, hvis en medlemsstat ophører med at deltage i eller være omfattet af rettigheder i henhold til EU-rettens bestemmelser om retshåndhævelse og retligt samarbejde i straffesager svarende til enhver af de relevante bestemmelser i denne del.
2.   Det Forenede Kongerige kan skriftligt meddele Unionen, at det agter at ophøre med at anvende de relevante bestemmelser i denne del i forhold til den pågældende medlemsstat.
3.   En meddelelse, der gives i henhold til stk. 2, får virkning på den dato, der er angivet heri, og som ikke må ligge før den dato, hvor medlemsstaten ophører med at deltage i eller være omfattet af rettigheder i henhold til de i stk. 1 omhandlede EU-retlige bestemmelser.
4.   Hvis Det Forenede Kongerige i henhold til denne artikel giver meddelelse om, at det har til hensigt at ophøre med at anvende de relevante bestemmelser i denne del, mødes Specialudvalget om Retshåndhævelse og Retligt Samarbejde for at afgøre, hvilke foranstaltninger der er nødvendige for at sikre, at ethvert samarbejde, som er indledt i henhold til denne del, og som berøres af ophøret, afsluttes på passende vis. For så vidt angår alle personoplysninger, der indhentes gennem samarbejde i henhold til de relevante bestemmelser i denne del, inden de ophører med at anvendes, sikrer parterne under alle omstændigheder, at det beskyttelsesniveau, som personoplysningerne blev videregivet under, opretholdes, efter at ophøret får virkning.
5.   Unionen underretter skriftligt Det Forenede Kongerige via de diplomatiske kanaler om, hvornår medlemsstaten igen kan deltage i eller være omfattet af rettigheder i henhold til de pågældende EU-retlige bestemmelser. Anvendelsen af de relevante bestemmelser i denne del genindføres på denne dato eller, hvis senere, på den første dag i måneden efter den dag, hvor meddelelsen blev givet.
6.   For at lette anvendelsen af denne artikel underretter Unionen Det Forenede Kongerige, når en medlemsstat ophører med at deltage i eller være omfattet af rettigheder i henhold til EU-rettens bestemmelser om retshåndhævelse og retligt samarbejde i straffesager svarende til de relevante bestemmelser i denne del.
AFSNIT II
UDVEKSLING AF DNA, FINGERAFTRYK OG OPLYSNINGER FRA KØRETØJSREGISTRE
Artikel 527
Formål
Formålet med dette afsnit er at etablere gensidigt samarbejde mellem de kompetente retshåndhævende myndigheder i Det Forenede Kongerige på den ene side og medlemsstaterne på den anden side om elektronisk overførsel af DNA-profiler, fingeraftryksoplysninger og visse oplysninger fra køretøjsregistre.
Artikel 528
Definitioner
I dette afsnit forstås ved:
a)
"kompetent retshåndhævende myndighed": en national politimyndighed, toldmyndighed eller anden myndighed, der i henhold til national lovgivning har beføjelse til at afsløre, forebygge og efterforske lovovertrædelser og kriminelle aktiviteter, udøve myndighed og foretage tvangsindgreb i forbindelse med sådanne aktiviteter agenturer, organer eller andre enheder, der specifikt tager sig af nationale sikkerhedsspørgsmål, er ikke kompetente retshåndhævende myndigheder i dette afsnit
b)
"søgning" og "sammenligning", jf. artikel 530, 531, 534 og 539: de procedurer, hvorved det fastslås, om der er overensstemmelse mellem henholdsvis DNA- eller fingeraftryksoplysninger, som er blevet formidlet af en enkelt stat, og DNA- eller fingeraftryksoplysninger, der er lagret i databaser i en, flere eller alle andre stater
c)
"automatisk søgning" som omhandlet i artikel 537: en onlineadgangsprocedure til søgning i databaser i en, flere eller alle de andre stater
d)
"ikkekodende del af DNA": kromosomområder, der ikke indeholder noget genetisk udtryk, dvs. at der ikke foreligger nogen oplysninger om, at de kan give information om en organismes funktionelle egenskaber
e)
"DNA-profil": en bogstavkode eller numerisk kode, som repræsenterer en række identifikationskendetegn ved den ikkekodende del af en analyseret menneskelig DNA-prøve, dvs. den særlige molekylestruktur på de forskellige DNA-loci
f)
"DNA-referencedata": DNA-profil og referencenummer DNA-referencedata omfatter alene omfatter DNA-profiler, som er fastlagt på grundlag af den ikkekodende del af DNA og et referencenummer. DNA-oplysninger må ikke indeholde oplysninger, som den registrerede kan identificeres direkte fra. DNA-referencedata, der ikke er tildelt nogen fysisk person (uidentificerede DNA-profiler) skal kunne genkendes som sådanne
g)
"reference-DNA-profil": en identificeret persons DNA-profil
h)
"uidentificeret DNA-profil": en DNA-profil opnået fra spor, der er udtaget under efterforskningen af strafbare handlinger, og som stammer fra en endnu ikke identificeret person
i)
"note": en medlemsstats angivelse på en DNA-profil i dens nationale database af, at denne DNA-profil allerede har været genstand for overensstemmelse i forbindelse med en anden medlemsstats søgning eller sammenligning
j)
"fingeraftryksoplysninger": fingeraftryksbilleder, latente fingeraftryksbilleder, håndfladeaftryk, latente håndfladeaftryk og skabeloner af sådanne billeder (kodede minutiae), når de lagres og behandles i en automatisk database
k)
"fingeraftryksreferenceoplysninger": fingeraftryksoplysninger og referencenumre fingeraftryksreferenceoplysninger må ikke indeholde oplysninger, som den registrerede kan identificeres direkte ud fra; fingeraftryksreferenceoplysninger, der ikke kan henføres til en fysisk person (uidentificerede fingeraftryksoplysninger), skal kunne genkendes som sådanne
l)
"oplysninger fra køretøjsregistre": de data, der er anført i kapitel 3 i bilag 39
m)
"individuel sag", jf. artikel 530, stk. 1, andet punktum, artikel 534, stk. 1, andet punktum, og artikel 537, stk. 1: en enkelt efterforskning eller sag vedrørende retsforfølgning. Hvis en sådan fil indeholder mere end én DNA-profil, eller ét sæt fingeraftryksoplysninger eller ét sæt oplysninger fra køretøjsregistre, kan disse fremsendes samlet som én søgningsanmodning
n)
"laboratorieaktivitet": enhver foranstaltning, der træffes i et laboratorium i forbindelse med lokalisering og genopretning af spor på genstande, samt udvikling, analyse og fortolkning af kriminalteknisk bevismateriale vedrørende DNA-profiler og fingeraftryksoplysninger med henblik på at afgive ekspertudtalelser eller udveksle kriminalteknisk bevismateriale
o)
"resultater af laboratorieaktiviteter": analytisk output og fortolkning i direkte forbindelse hermed
p)
"leverandør af kriminaltekniske ydelser": en offentlig eller privat organisation, der udfører laboratorieaktiviteter efter anmodning fra kompetente retshåndhævende eller judicielle myndigheder
q)
"nationalt akkrediteringsorgan": det eneste organ i en stat med statslig bemyndigelse til at foretage akkreditering.
Artikel 529
Etablering af nationale DNA-analysedatabaser
1.   Staterne åbner og fører nationale DNA-analysedatabaser med henblik på efterforskning af strafbare handlinger.
2.   Med henblik på anvendelsen af dette afsnit sikrer staterne, at der er DNA-referenceoplysninger til rådighed fra deres nationale DNA-analysedatabaser som omhandlet i stk. 1.
3.   Staterne afgiver erklæring om de nationale DNA-analysedatabaser, som er omfattet af artikel 529 til 532 og af artikel 535, 536 og 539 og betingelserne for automatisk søgning som omhandlet i artikel 530, stk. 1.
Artikel 530
Automatisk søgning i DNA-profiler
1.   Med henblik på efterforskning af strafbare handlinger giver staterne tilladelse til, at andre staters nationale kontaktpunkter, jf. artikel 535, har adgang til DNA-referenceoplysningerne i deres DNA-analysedatabaser med ret til at foretage automatisk søgning ved at sammenligne DNA-profiler. Søgninger kan kun foretages i individuelle sager og i overensstemmelse med den anmodende stats nationale lovgivning.
2.   Hvis en automatisk søgning viser, at en DNA-profil svarer til DNA-profiler, der er registreret i den anmodede stats database, sender den anmodede stat automatisk den anmodende stats kontaktpunkt de DNA-referenceoplysninger, der er fundet overensstemmelse med. Hvis der ikke kan konstateres noget match, meddeles dette.
Artikel 531
Automatisk sammenligning af DNA-profiler
1.   Med henblik på efterforskning af strafbare handlinger sammenligner staterne via deres nationale kontaktpunkter DNA-profilerne i deres uidentificerede DNA-profiler med alle DNA-profiler i referencedataene i de andre nationale DNA-analysedatabaser i overensstemmelse med gensidigt accepterede praktiske ordninger mellem de pågældende stater. DNA-profiler skal leveres og sammenlignes i automatisk form. Uidentificerede DNA-profiler skal kun leveres til sammenligning, hvis dette er fastsat i den anmodende stats nationale lovgivning.
2.   Hvis en stat som følge af den i stk. 1 omhandlede sammenligning finder, at eventuelle DNA-profiler, der er leveret af en anden stat, svarer til en eller flere af de DNA-profiler, der er indeholdt i dens DNA-analysedatabaser, leverer den til den anden stats nationale kontaktpunkt de DNA-referenceoplysninger, der er fundet overensstemmelse med.
Artikel 532
Udtagelse af cellemateriale og udlevering af DNA-profiler
Hvis der under igangværende efterforskninger eller straffesager ikke findes en DNA-profil for et bestemt individ, der befinder sig på en anmodet stats territorium, yder den anmodede stat juridisk bistand ved at udtage og undersøge cellemateriale fra det pågældende individ og ved at levere den opnåede DNA-profil til den anmodende stat, hvis:
a)
den anmodende stat angiver formålet med at anmode om det
b)
den anmodende stat i overensstemmelse med sin lovgivning fremlægger en undersøgelseskendelse eller en erklæring fra den kompetente myndighed, der viser, at kravene til udtagelse og undersøgelse af cellemateriale ville blive opfyldt, hvis det pågældende individ var til stede på den anmodende stats område, og
c)
betingelserne for udtagelse og undersøgelse af cellemateriale og levering af den opnåede DNA-profil er opfyldt i henhold til den anmodede medlemsstats lovgivning.
Artikel 533
Fingeraftryksoplysninger
Med henblik på gennemførelsen af dette afsnit sikrer staterne adgang til fingeraftryksreferenceoplysninger i de nationale automatiske fingeraftryksidentifikationssystemer, der er oprettet med henblik på forebyggelse og efterforskning af strafbare handlinger.
Artikel 534
Automatisk søgning i fingeraftryksoplysninger
1.   Med henblik på forebyggelse og efterforskning af strafbare handlinger giver staterne tilladelse til, at andre staters nationale kontaktpunkter, jf. artikel 535, får adgang til referencedata i de elektroniske fingeraftryksidentifikationssystemer, som de har oprettet med henblik herpå, med beføjelse til at foretage automatisk søgning heri ved sammenligning af fingeraftryksoplysninger. Søgninger kan kun foretages i individuelle sager og i overensstemmelse med den anmodende stats nationale lovgivning.
2.   Bekræftelsen af en sammenligning af fingeraftryksoplysninger med referencedata, der opbevares af den anmodede stat, udføres af det nationale kontaktpunkt i den anmodende stat ved hjælp af automatisk levering af de referencedata, der er nødvendige for en klar overensstemmelse.
Artikel 535
Nationale kontaktpunkter
1.   Med henblik på levering af de data, der er omhandlet i artikel 530, 531 og 534 udpeger staterne nationale kontaktpunkter.
2.   For så vidt angår staterne betragtes nationale kontaktpunkter, der er udpeget med henblik på en tilsvarende udveksling af oplysninger inden for Unionen, som nationale kontaktpunkter i dette afsnit.
3.   De nationale kontaktpunkters beføjelser er underlagt gældende national ret.
Artikel 536
Levering af yderligere personoplysninger og andre oplysninger
Hvis den procedure, der er omhandlet i artikel 530, 531 og 534 viser overensstemmelse mellem DNA-profiler eller fingeraftryksoplysninger, er levering af yderligere tilgængelige personoplysninger og andre oplysninger vedrørende referencedataene underlagt den anmodede stats nationale lovgivning, herunder reglerne om retshjælp, jf. dog artikel 539, stk. 1.
Artikel 537
Automatisk søgning i oplysninger i køretøjsregistre
1.   Med henblik på forebyggelse og efterforskning af strafbare handlinger og håndtering af andre lovovertrædelser under domstolenes eller en offentlig anklagers jurisdiktion i den anmodende stat, samt på opretholdelse af den offentlige sikkerhed skal staterne tillade andre staters nationale kontaktpunkter, jf. stk. 2, at få adgang til følgende oplysninger i det nationale køretøjsregister med beføjelse til at foretage automatiske søgninger i individuelle sager:
a)
oplysninger vedrørende ejere eller indehavere, og
b)
oplysninger vedrørende køretøjer.
2.   Søgningerne kan kun udføres med et komplet chassisnummer eller et fuldstændigt registreringsnummer og i overensstemmelse med den søgende stats nationale lovgivning.
3.   Med henblik på levering af de i stk. 1 omhandlede oplysninger udpeger staterne et nationalt kontaktpunkt for indkommende anmodninger. De nationale kontaktpunkters beføjelser er underlagt gældende national ret.
Artikel 538
Akkreditering af leverandører af kriminaltekniske ydelser, der udfører laboratorieaktiviteter
1.   Staterne sikrer, at deres leverandører af kriminaltekniske ydelser, der udfører laboratorieaktiviteter, akkrediteres af et nationalt akkrediteringsorgan for at overholde EN ISO/IEC 17025.
2.   Hver stat sikrer, at resultaterne fra akkrediterede leverandører af kriminaltekniske ydelser, der udfører laboratorieaktiviteter i andre stater, anerkendes af dens myndigheder med ansvar for forebyggelse, afsløring og efterforskning af strafbare handlinger som værende lige så pålidelige som resultaterne fra indenlandske leverandører af kriminaltekniske ydelser, der udfører laboratorieaktiviteter, som er akkrediteret i henhold til EN ISO/IEC 17025.
3.   Det Forenede Kongeriges kompetente retshåndhævende myndigheder foretager ikke søgninger og automatisk sammenligning i henhold til artikel 530, 531 og 534, før Det Forenede Kongerige har gennemført og anvendt de foranstaltninger, der er omhandlet i denne artikels stk. 1.
4.   Stk. 1 og 2 berører ikke nationale regler om retlig vurdering af beviser.
5.   Det Forenede Kongerige tilstiller Specialudvalget om Retshåndhævelse og Retligt Samarbejde de vigtigste bestemmelser, der er vedtaget for at gennemføre og anvende bestemmelserne i denne artikel.
Artikel 539
Gennemførelsesforanstaltninger
1.   Med henblik på dette afsnit stiller staterne alle kategorier af data til rådighed for andre staters kompetente retshåndhævende myndigheder med henblik på søgning og sammenligning på samme vilkår som dem, der gælder for nationale kompetente retshåndhævende myndigheders søgning og sammenligning. Staterne stiller yderligere personoplysninger og andre oplysninger vedrørende referencedata som omhandlet i artikel 536 til rådighed for de kompetente retshåndhævende myndigheder i andre stater til formålene i dette afsnit på samme vilkår som de ville blive leveret til nationale myndigheder.
2.   Med henblik på gennemførelsen af de procedurer, der er omhandlet i artikel 530, 531, 534 og 537, er de tekniske og proceduremæssige specifikationer fastsat i bilag 39.
3.   Medlemsstaternes erklæringer i henhold til Rådets afgørelse 2008/615/RIA 
(
77
)
 og 2008/616/RIA 
(
78
)
 finder også anvendelse i deres forbindelser med Det Forenede Kongerige.
Artikel 540
Forhåndsevaluering
1.   For at kontrollere, om Det Forenede Kongerige har opfyldt de betingelser, der er fastsat i artikel 539 og bilag 39, gennemføres et evalueringsbesøg og en forsøgsfase, i det omfang det kræves i bilag 39, i overensstemmelse med de betingelser og ordninger, som er acceptable for Det Forenede Kongerige. Under alle omstændigheder gennemføres der en forsøgsfase i forbindelse med søgning af data i henhold til artikel 537.
2.   På grundlag af en samlet evalueringsrapport om evalueringsbesøget og eventuelt forsøgsfasen, jf. stk. 1, fastsætter Unionen den eller de datoer, fra hvilken/hvilke medlemsstaterne kan videregive personoplysninger til Det Forenede Kongerige i henhold til dette afsnit.
3.   Indtil resultatet af den i stk. 1 omhandlede evaluering foreligger, kan medlemsstaterne fra datoen for denne aftales ikrafttræden levere de personoplysninger til Det Forenede Kongerige, der er omhandlet i artikel 530, 531, 534 og 536 inden den eller de datoer, Unionen fastsætter i henhold til denne artikels stk. 2, men ikke længere end ni måneder efter denne aftales ikrafttræden. Specialudvalget om Retshåndhævelse og Retligt Samarbejde kan forlænge denne frist én gang med højst ni måneder.
Artikel 541
Suspension og ikkeanvendelse
1.   Hvis Unionen finder det nødvendigt at ændre dette afsnit, fordi der er foretaget eller er ved at blive foretaget væsentlige ændringer af EU-retten vedrørende genstanden for dette afsnit, kan den underrette Det Forenede Kongerige herom med henblik på at nå til enighed om en formel ændring af denne aftale i forhold til dette afsnit. Efter en sådan underretning indleder parterne konsultationer.
2.   Hvis parterne ikke inden for ni måneder efter denne underretning er nået frem til en aftale om ændring af dette afsnit, kan Unionen beslutte at suspendere anvendelsen af dette afsnit eller enhver bestemmelse i dette afsnit i en periode på op til ni måneder. Inden udløbet af denne periode kan parterne aftale en forlængelse af suspensionen med yderligere op til ni måneder. Hvis parterne ved udløbet af suspensionsperioden ikke er nået frem til en aftale om ændring af dette afsnit, ophører bestemmelserne heri med at finde anvendelse den første dag i måneden efter suspensionsperiodens udløb, medmindre Unionen underretter Det Forenede Kongerige om, at den ikke længere agter at ændre dette afsnit. I så fald genindføres bestemmelserne i dette afsnit.
3.   Hvis en bestemmelse i dette afsnit suspenderes i henhold til denne artikel, mødes Specialudvalget om Retshåndhævelse og Retligt Samarbejde for at afgøre, hvilke skridt der er nødvendige for at sikre, at ethvert samarbejde, der indledes i henhold til dette afsnit, og som berøres af suspensionen, indgås på passende vis. Under alle omstændigheder sikrer parterne med hensyn til alle personoplysninger, der er indhentet gennem samarbejde i henhold til dette afsnit, inden de bestemmelser, der er berørt af suspensionen, midlertidigt ophører med at finde anvendelse, at det beskyttelsesniveau, som personoplysningerne blev videregivet under, opretholdes, efter at suspensionen får virkning.
AFSNIT III
OVERFØRSEL OG BEHANDLING AF PASSAGERLISTEOPLYSNINGER
Artikel 542
Anvendelsesområde
1.   I dette afsnit fastsættes regler for videregivelse, behandling og anvendelse af passagerlisteoplysninger af den kompetente myndighed i Det Forenede Kongerige for flyvninger mellem Unionen og Det Forenede Kongerige, og der indføres specifikke garantier i denne henseende.
2.   Dette afsnit finder anvendelse på luftfartsselskaber, der foretager passagerflyvninger mellem Unionen og Det Forenede Kongerige.
3.   Dette afsnit finder også anvendelse på luftfartsselskaber, der lagrer data, i Unionen og foretager passagerflyvninger til eller fra Det Forenede Kongerige.
4.   Dette afsnit indeholder også bestemmelser om politisamarbejde og retligt samarbejde i straffesager mellem Det Forenede Kongerige og Unionen om PNR-oplysninger.
Artikel 543
Definitioner
I dette afsnit forstås ved:
a)
"luftfartsselskab": en lufttransportvirksomhed med en gyldig licens eller lignende, der tillader det at udføre luftbefordring af passagerer mellem Det Forenede Kongerige og Unionen
b)
"passagerlisteoplysninger" ("PNR-oplysninger"): en liste over den enkelte passagers rejse, som omfatter alle nødvendige oplysninger til, at reservationer kan behandles og kontrolleres af de luftfartsselskaber, der foretager reservationen, og de deltagende luftfartsselskaber for hver rejse, der reserveres af eller på vegne af enhver person, uanset om listen findes i reservationssystemer, afgangskontrolsystemer (der anvendes til kontrol af passagerer ved ombordstigning på luftfartøjer) eller tilsvarende systemer, som omfatter de samme funktionaliteter; specifikt som anvendt i dette afsnit består PNR-oplysninger af de elementer, der er anført i bilag 40
c)
"den kompetente myndighed i Det Forenede Kongerige": den britiske myndighed, der er ansvarlig for at modtage og behandle PNR-oplysninger i medfør af denne aftale; hvis Det Forenede Kongerige har mere end én kompetent myndighed, stiller det en facilitet med ét kontaktpunkt for passageroplysninger til rådighed, som gør det muligt for luftfartsselskaber at overføre PNR-oplysninger til et enkelt dataoverførselspunkt, og udpeger et enkelt kontaktpunkt med henblik på at modtage og fremsætte anmodninger i henhold til artikel 546
d)
"passageroplysningsenheder": de enheder, der er oprettet eller udpeget af medlemsstaterne, og som er ansvarlige for at modtage og behandle PNR-oplysninger
e)
"terrorisme": enhver lovovertrædelse, der er opført i bilag 45
f)
"grov kriminalitet": enhver lovovertrædelse, der kan straffes med frihedsstraf eller anden frihedsberøvende foranstaltning af en maksimal varighed på mindst tre år i henhold til Det Forenede Kongeriges nationale ret.
Artikel 544
Formål med brugen af PNR-oplysninger
1.   Det Forenede Kongerige sikrer, at PNR-oplysninger, der modtages i medfør af dette afsnit, alene behandles med henblik på at forebygge, afsløre, efterforske eller retsforfølge terrorisme eller grov kriminalitet og med henblik på at føre tilsyn med behandlingen af PNR-oplysninger inden for rammerne af denne aftale.
2.   I undtagelsestilfælde kan Det Forenede Kongeriges kompetente myndighed behandle PNR-oplysninger, hvis det er nødvendigt for at beskytte fysiske personers vitale interesser, f.eks.:
a)
hvis der er risiko for dødsfald eller alvorlig personskade, eller
b)
hvis der foreligger en væsentlig risiko for folkesundheden, navnlig når det er konstateret efter internationalt anerkendte standarder.
3.   Den kompetente myndighed i Det Forenede Kongerige kan også behandle PNR-oplysninger fra sag til sag, hvis videregivelse af relevante PNR-oplysninger er bestemt af en ret eller forvaltningsdomstol i Det Forenede Kongerige i en sag, der direkte vedrører ethvert af de formål, der er omhandlet i stk. 1.
Artikel 545
Sikring af overførslen af PNR-oplysninger
1.   Unionen sikrer, at luftfartsselskaber ikke forhindres i at overføre PNR-oplysninger til den kompetente myndighed i Det Forenede Kongerige i henhold til dette afsnit.
2.   Unionen sikrer, at luftfartsselskaber kan videregive PNR-oplysninger til Det Forenede Kongeriges kompetente myndighed gennem bemyndigede agenter, der handler på et luftfartsselskabs vegne og ansvar i henhold til dette afsnit.
3.   Det Forenede Kongerige forpligter ikke et luftfartsselskab til at udlevere elementer af PNR-oplysninger, som ikke allerede er indsamlet eller lagret af luftfartsselskabet med henblik på reservation.
4.   Det Forenede Kongerige sletter alle oplysninger, der er overført til det af et luftfartsselskab i henhold til dette afsnit, efter modtagelsen af oplysningerne, hvis dette dataelement ikke er anført i bilag 40.
Artikel 546
Politisamarbejde og retligt samarbejde
1.   Det Forenede Kongeriges kompetente myndighed deler hurtigst muligt alle relevante og passende analytiske oplysninger, der indeholder PNR-oplysninger, med Europol eller Eurojust inden for rammerne af deres respektive mandater eller med medlemsstaternes passageroplysningsenheder i specifikke tilfælde, hvor det er nødvendigt for at forebygge, afdække, efterforske eller retsforfølge terrorisme eller grov kriminalitet.
2.   Efter anmodning fra Europol eller Eurojust, og inden for rammerne af deres respektive mandater, eller fra en medlemsstats passageroplysningsenhed udveksler Det Forenede Kongeriges kompetente myndighed PNR-oplysninger, resultaterne af behandlingen af disse oplysninger eller analytiske oplysninger, der indeholder PNR-oplysninger, i specifikke tilfælde, hvor det er nødvendigt for at forebygge, afdække, efterforske eller retsforfølge terrorisme eller grov kriminalitet.
3.   Medlemsstaternes passageroplysningsenheder udveksler med Det Forenede Kongeriges kompetente myndighed alle relevante og passende analytiske oplysninger, der indeholder PNR-oplysninger, så hurtigt som muligt i specifikke tilfælde, hvor det er nødvendigt for at forebygge, afdække, efterforske eller retsforfølge terrorisme eller grov kriminalitet.
4.   Efter anmodning fra Det Forenede Kongeriges kompetente myndighed udveksler medlemsstaternes passageroplysningsenheder PNR-oplysninger, resultaterne af behandlingen af disse oplysninger eller analytiske oplysninger, der indeholder PNR-oplysninger, i specifikke tilfælde, hvor det er nødvendigt for at forebygge, afdække, efterforske eller retsforfølge terrorisme eller grov kriminalitet.
5.   Parterne sikrer, at de oplysninger, der nævnes i stk. 1-4, udveksles i overensstemmelse med aftaler og ordninger om retshåndhævelse eller udveksling af oplysninger mellem Det Forenede Kongerige og Europol, Eurojust eller den pågældende medlemsstat. Navnlig udveksles oplysninger med Europol i henhold til denne artikel via den sikre kommunikationslinje, der er oprettet med henblik på udveksling af oplysninger gennem Europol.
6.   Det Forenede Kongeriges kompetente myndighed og medlemsstaternes passageroplysningsenheder sikrer, at kun det minimum af PNR-oplysninger, der er nødvendigt, udveksles i henhold til stk. 1-4.
Artikel 547
Ikkediskrimination
Det Forenede Kongerige sikrer, at de beskyttelsesforanstaltninger, der finder anvendelse på behandlingen af PNR-oplysninger, finder anvendelse på alle fysiske personer på lige fod uden ulovlig diskrimination.
Artikel 548
Anvendelse af særlige kategorier af personoplysninger
Behandling af særlige kategorier af personoplysninger er forbudt i henhold til dette afsnit. I det omfang PNR-oplysninger, der videregives til den kompetente myndighed i Det Forenede Kongerige, omfatter særlige kategorier af personoplysninger, sletter Det Forenede Kongeriges kompetente myndighed sådanne oplysninger.
Artikel 549
Datasikkerhed og -integritet
1.   Det Forenede Kongerige gennemfører forskriftsmæssige, proceduremæssige eller tekniske foranstaltninger til beskyttelse af PNR-oplysninger mod hændelig, ulovlig eller uautoriseret adgang, behandling eller tab.
2.   Det Forenede Kongerige sørger for kontrol med, at reglerne overholdes og for dataenes beskyttelse, sikkerhed, fortrolighed og integritet. I den forbindelse skal Det Forenede Kongerige:
a)
anvende krypterings-, bemyndigelses- og dokumentationsprocedurer i forbindelse med PNR-oplysninger
b)
begrænse adgangen til PNR-oplysninger til embedsmænd, der har bemyndigelse hertil
c)
opbevare PNR-oplysninger i et sikkert fysisk miljø, der er beskyttet med adgangskontrol og
d)
indføre en mekanisme, der sikrer, at søgninger i PNR-oplysninger foretages på en måde, der er i overensstemmelse med artikel 544.
3.   Hvis der gives uautoriseret adgang til en fysisk persons PNR-oplysninger, eller der sker en uautoriseret videregivelse heraf, træffer Det Forenede Kongerige foranstaltning til at underrette den pågældende fysiske person herom for at begrænse risikoen for skade og træffe afhjælpende foranstaltninger.
4.   Den kompetente myndighed i Det Forenede Kongerige underretter straks Specialudvalget om Retshåndhævelse og Retligt Samarbejde om enhver væsentlig hændelse som følge af utilsigtet, ulovlig eller uautoriseret adgang, behandling eller tab af PNR-oplysninger.
5.   Det Forenede Kongerige sikrer, at ethvert brud på datasikkerheden, især brud, der fører til hændelig eller ulovlig tilintetgørelse, hændeligt tab, ændring, uautoriseret videregivelse eller adgang eller ulovlige former for behandling, er omfattet af effektive og afskrækkende korrigerende foranstaltninger, der kan omfatte sanktioner.
Artikel 550
Gennemsigtighed og underretning af passagerer
1.   Det Forenede Kongeriges kompetente myndighed gør følgende tilgængeligt på sit websted:
a)
en liste over de retsforskrifter, der giver tilladelse til indsamling af PNR-oplysninger
b)
formålene med indsamlingen af PNR-oplysninger
c)
hvordan PNR-oplysninger beskyttes
d)
hvordan og i hvilket omfang PNR-oplysningerne må videregives
e)
oplysninger om rettigheder vedrørende adgang, berigtigelse, underretning og klagemuligheder og
f)
kontaktoplysninger med henblik på forespørgsler.
2.   Parterne samarbejder med interesserede tredjeparter, såsom luftfarts- og rejsebranchen, om på reservationstidspunktet at fremme gennemsigtighed med hensyn til indsamling, behandling og anvendelse af PNR-oplysninger, og om hvordan man kan anmode om adgang, berigtigelse og klagemuligheder. Luftfartsselskaberne giver passagererne klare, relevante oplysninger om overførsel af PNR-oplysninger i henhold til dette afsnit, herunder detaljerne vedrørende den modtagende myndighed, formålet med overførslen og retten til at anmode den modtagende myndighed om adgang til og berigtigelse af personoplysninger om den passager, der er blevet overført.
3.   Hvis PNR-oplysninger, der er lagret i overensstemmelse med artikel 552, er blevet anvendt i overensstemmelse med betingelserne i artikel 553 eller er videregivet i overensstemmelse med artikel 555 eller artikel 556, underretter Det Forenede Kongerige skriftligt de berørte passagerer, individuelt og inden for en rimelig frist, når en sådan underretning ikke længere kan bringe de pågældende offentlige myndigheders efterforskning i fare, i det omfang passagerernes relevante kontaktoplysninger er tilgængelige eller kan hentes, under hensyntagen til en rimelig indsats. Underretningen skal indeholde oplysninger om, hvordan den fysiske person kan søge administrativ eller retslig prøvelse.
Artikel 551
Automatisk behandling af PNR-oplysninger
1.   Det Forenede Kongeriges kompetente myndighed sikrer, at enhver automatisk behandling af PNR-oplysninger er baseret på ikkediskriminerende, specifikke og pålidelige på forhånd fastsatte modeller og kriterier, således at den kan:
a)
nå frem til resultater, der retter sig mod fysiske personer, som med rimelighed kan mistænkes for at være involveret i eller deltage i terrorisme eller grov kriminalitet eller
b)
beskytte enhver fysisk persons vitale interesser under ekstraordinære omstændigheder som fastsat i artikel 544, stk. 2.
2.   Det Forenede Kongeriges kompetente myndighed sikrer, at de databaser, som PNR-oplysningerne sammenholdes med, er pålidelige, ajourførte og begrænsede til de databaser, den anvender til de formål, der er nævnt i artikel 544.
3.   Det Forenede Kongerige træffer ikke afgørelser, der i væsentlig grad er bebyrdende for en passager, udelukkende på grundlag af en automatisk behandling af PNR-oplysninger.
Artikel 552
Opbevaring af PNR-oplysninger
1.   Det Forenede Kongerige må ikke opbevare PNR-oplysninger i mere end fem år regnet fra det tidspunkt, hvor det modtager PNR-oplysningerne.
2.   Senest seks måneder efter videregivelsen af PNR-oplysningerne anonymiseres alle PNR-oplysninger ved maskering af følgende dataelementer, der kan tjene til direkte at identificere de passagerer, som PNR-oplysningerne vedrører, eller enhver anden fysisk person:
a)
navne, herunder andre passagerers navne på passagerlisten og antal rejsende på passagerlisten, der rejser sammen
b)
adresse, telefonnummer og elektroniske kontaktoplysninger på passageren, de personer, der har foretaget flyreservationen for passageren, personer, der kan kontaktes for at kontakte flypassageren, og personer, der skal underrettes i tilfælde af en nødsituation
c)
alle tilgængelige betalings- og faktureringsoplysninger, i det omfang de indeholder oplysninger, der kan tjene til at identificere en fysisk person
d)
oplysninger om bonusprogrammer
e)
OSI-oplysninger (Other Supplementary Information), SSI-oplysninger (Special Service Information) og SSR-oplysninger (Special Service Request), i det omfang de indeholder oplysninger, der kan anvendes til identifikation af en fysisk person, og
f)
oplysninger om forhåndsinformation om passagerer (API), der er blevet indsamlet.
3.   Det Forenede Kongeriges kompetente myndighed må kun fjerne maskeringen af PNR-oplysninger, hvis det er nødvendigt at foretage efterforskning med henblik på de formål, der er nævnt i artikel 544. Sådanne afmaskerede PNR-oplysninger må kun være tilgængelige for et begrænset antal særligt bemyndigede embedsmænd.
4.   Uanset stk. 1 sletter Det Forenede Kongerige PNR-oplysninger for passagerer efter deres udrejse fra landet, medmindre en risikovurdering viser, at det er nødvendigt at opbevare de pågældende PNR-oplysninger. For at fastslå, om dette er nødvendigt, identificerer Det Forenede Kongerige objektive forhold, som gør det muligt at konkludere, at visse passagerer frembyder en risiko med hensyn til bekæmpelse af terrorisme og grov kriminalitet.
5.   Ved anvendelsen af stk. 4 skal afrejsedatoen, medmindre der foreligger oplysninger om den nøjagtige afrejsedato, anses for at være den sidste dag i den maksimalt lovlige opholdsperiode i Det Forenede Kongerige for den pågældende passager.
6.   Anvendelsen af data, der lagres i henhold til denne artikel, er underlagt betingelserne i artikel 553.
7.   Et uafhængigt administrativt organ i Det Forenede Kongerige vurderer hvert år på grundlag af stk. 4 Det Forenede Kongeriges tilgang for så vidt angår nødvendigheden af at opbevare PNR-oplysninger.
8.   Uanset stk. 1, 2 og 4 kan Det Forenede Kongerige opbevare de PNR-oplysninger, der er nødvendige for en specifik foranstaltning, undersøgelse, efterforskning, håndhævelsesforanstaltning, retslig procedure, retsforfølgning eller håndhævelse af sanktioner, indtil de er afsluttet.
9.   Det Forenede Kongerige sletter PNR-oplysningerne ved udgangen af den periode, hvor PNR-oplysningerne lagres.
10.   Stk. 11 finder anvendelse på grund af de særlige omstændigheder, der forhindrer Det Forenede Kongerige i at foretage de tekniske tilpasninger, der er nødvendige for at omdanne de PNR-behandlingssystemer, som Det Forenede Kongerige anvendte, mens EU-retten fandt anvendelse på det, til systemer, der ville gøre det muligt at slette PNR-oplysninger i overensstemmelse med stk. 4.
11.   Det Forenede Kongerige kan midlertidigt fravige stk. 4 i en overgangsperiode, hvis varighed er fastsat i stk. 13, indtil Det Forenede Kongerige så hurtigt som muligt har gennemført tekniske tilpasninger. I overgangsperioden forhindrer Det Forenede Kongeriges kompetente myndighed anvendelsen af de PNR-oplysninger, der skal slettes i henhold til stk. 4, ved at anvende følgende yderligere sikkerhedsforanstaltninger på de pågældende PNR-oplysninger:
a)
PNR-oplysningerne må kun være tilgængelige for et begrænset antal bemyndigede embedsmænd og kun for at afgøre, om PNR-oplysningerne bør slettes i henhold til stk. 4
b)
anmodningen om anvendelse af PNR-oplysningerne afslås i tilfælde, hvor oplysningerne skal slettes i overensstemmelse med stk. 4, og der gives ikke yderligere adgang til disse oplysninger, hvis den dokumentation, der er omhandlet i dette stykkes litra d), viser, at en tidligere anmodning om anvendelse er blevet afslået
c)
sletning af PNR-oplysninger skal sikres så hurtigt som muligt under de bedste bestræbelser under hensyntagen til de særlige omstændigheder, der er omhandlet i stk. 10 og
d)
følgende skal dokumenteres i overensstemmelse med artikel 554, og denne dokumentation skal stilles til rådighed for det uafhængige administrative organ, der er omhandlet i denne artikels stk. 7:
i)
anmodninger om anvendelse af PNR-oplysningerne
ii)
dato og tidspunkt for adgangen til PNR-oplysningerne med henblik på at vurdere, om det var nødvendigt at slette PNR-oplysningerne
iii)
at anmodningen om anvendelse af PNR-oplysningerne blev afslået med den begrundelse, at PNR-oplysningerne burde have været slettet i henhold til stk. 4, herunder dato og tidspunkt for afslaget og
iv)
dato og klokkeslæt for sletning af PNR-oplysningerne i overensstemmelse med dette stykkes litra c).
12.   Det Forenede Kongerige forelægger ni måneder efter denne aftales ikrafttræden og igen et år senere, hvis overgangsperioden forlænges med yderligere et år, følgende for Specialudvalget om Retshåndhævelse og Retligt Samarbejde:
a)
en rapport fra det uafhængige administrative organ, der er omhandlet i denne artikels stk. 7, som skal indeholde Det Forenede Kongeriges tilsynsmyndigheds udtalelse, jf. artikel 525, stk. 3, om, hvorvidt garantierne i denne artikels stk. 11 er blevet anvendt effektivt og
b)
Det Forenede Kongeriges vurdering af, om de særlige omstændigheder, der er omhandlet i stk. 10, fortsat består, sammen med en beskrivelse af de bestræbelser, der er gjort for at omdanne Det Forenede Kongeriges PNR-behandlingssystemer til systemer, der gør det muligt at slette PNR-oplysninger i henhold til denne artikels stk. 4.
13.   Specialudvalget om Retshåndhævelse og Retligt Samarbejde træder sammen senest et år efter denne aftales ikrafttræden for at behandle den rapport og vurdering, der er omhandlet i stk. 12. Hvis de særlige omstændigheder, der er omhandlet i stk. 10, varer ved, forlænger Partnerskabsrådet den i stk. 11 omhandlede overgangsperiode med et år. Partnerskabsrådet forlænger overgangsperioden med endnu et sidste år på samme betingelser og efter samme procedure som for den første forlængelse, hvis der er gjort betydelige fremskridt, selv om det endnu ikke har været muligt at omdanne Det Forenede Kongeriges PNR-behandlingssystemer til systemer, der gør det muligt at slette PNR-oplysninger i henhold til stk. 4.
14.   Hvis Det Forenede Kongerige finder, at et afslag fra Partnerskabsrådet på en af disse forlængelser ikke var berettiget, kan det suspendere dette afsnit med en måneds varsel.
15.   På treårsdagen for denne aftales ikrafttræden ophører stk. 10-14 med at finde anvendelse.
Artikel 553
Betingelser for anvendelsen af PNR-oplysninger
1.   Det Forenede Kongeriges kompetente myndighed kan kun anvende PNR-oplysninger, der er lagret i henhold til artikel 552 til andre formål end sikkerhedstjek og grænsekontrol, herunder oplysninger i henhold til artikel 555 og artikel 556, når nye omstændigheder, som er begrundet i objektive hensyn, tyder på, at PNR-oplysninger om en eller flere passagerer kan bidrage effektivt til virkeliggørelsen af målene i artikel 544.
2.   Det Forenede Kongeriges anvendelse af PNR-oplysninger i henhold til stk. 1 skal underkastes forudgående kontrol ved en domstol eller af et uafhængigt forvaltningsorgan i Det Forenede Kongerige på grundlag af en begrundet anmodning indgivet af Det Forenede Kongeriges kompetente myndighed inden for de nationale retlige rammer for procedurer til forebyggelse, afsløring eller retsforfølgning af kriminalitet, undtagen:
a)
i behørigt begrundede hastetilfælde eller
b)
for at kontrollere pålideligheden og aktualiteten af de på forhånd fastlagte modeller og kriterier, som den automatiske behandling af PNR-oplysninger er baseret på, eller for at definere nye modeller og kriterier for en sådan behandling.
Artikel 554
Registrering af og dokumentation for behandling af PNR-oplysninger
Den kompetente myndighed i Det Forenede Kongerige registrerer og dokumenterer al behandling af PNR-oplysninger. Den må kun anvende denne registrering eller dokumentation til:
a)
egenkontrol og til at kontrollere, at databehandlingen er lovlig
b)
at sikre dataintegritet
c)
at garantere sikkerheden ved databehandling og
d)
at sikre tilsyn.
Artikel 555
Videregivelse inden for Det Forenede Kongerige
1.   Det Forenede Kongeriges kompetente myndighed videregiver ikke PNR-oplysninger til andre offentlige myndigheder i Det Forenede Kongerige, medmindre følgende betingelser er opfyldt:
a)
PNR-oplysningerne videregives til offentlige myndigheder, hvis opgaver har direkte tilknytning til de formål, der er fastsat i artikel 544
b)
PNR-oplysningerne videregives kun i konkrete sager
c)
videregivelsen er nødvendig under de særlige omstændigheder til de formål, der er fastsat i artikel 544
d)
der videregives kun det minimum af PNR-oplysninger, som er nødvendigt
e)
den offentlige myndighed, der modtager PNR-oplysningerne, tilbyder beskyttelse, der svarer til garantierne i dette afsnit og
f)
den offentlige myndighed, der modtager PNR-oplysningerne, videregiver dem ikke til andre enheder, medmindre Det Forenede Kongeriges kompetente myndighed har givet tilladelse hertil i overensstemmelse med de betingelser, der er fastsat i dette stykke.
2.   Ved overførsel af analytiske oplysninger, der indeholder PNR-oplysninger, som er indhentet i henhold til dette afsnit, finder garantierne i denne artikel anvendelse.
Artikel 556
Videregivelse uden for Det Forenede Kongerige
1.   Det Forenede Kongerige sikrer, at Det Forenede Kongeriges kompetente myndighed ikke videregiver PNR-oplysninger til offentlige myndigheder i tredjelande, medmindre følgende betingelser er opfyldt:
a)
PNR-oplysningerne videregives til offentlige myndigheder, hvis opgaver har direkte tilknytning til de formål, der er fastsat i artikel 544
b)
PNR-oplysningerne videregives kun i konkrete sager
c)
PNR-oplysninger videregives udelukkende, hvis det er nødvendigt til de formål, der er fastsat i artikel 544
d)
der videregives kun det minimum af PNR-oplysninger, som er nødvendigt og
e)
det tredjeland, som PNR-oplysningerne videregives til, har enten indgået en aftale med Unionen om beskyttelse af personoplysninger, der er sammenlignelig med denne aftale, eller er omfattet af en afgørelse truffet af Europa-Kommissionen i henhold til EU-retten, hvor det fastslås, at tredjelandet sikrer et tilstrækkeligt databeskyttelsesniveau i henhold til EU-retten.
2.   Som en undtagelse fra stk. 1, litra e), kan Det Forenede Kongeriges kompetente myndighed videregive PNR-oplysninger til et tredjeland, hvis:
a)
chefen for denne myndighed eller en højtstående embedsmand, der specifikt er bemyndiget af chefen, mener, at videregivelsen er nødvendig for at forebygge og efterforske en alvorlig og overhængende trussel mod den offentlige sikkerhed eller for at beskytte en fysisk persons vitale interesser og
b)
tredjelandet i henhold til en ordning, aftale eller andet skriftligt garanterer, at oplysningerne beskyttes i overensstemmelse med de garantier, der i henhold til Det Forenede Kongeriges lovgivning gælder for behandling af PNR-oplysninger modtaget fra Unionen, herunder dem, der er fastsat i dette afsnit.
3.   En overførsel i overensstemmelse med denne artikels stk. 2 skal dokumenteres. Denne dokumentation stilles efter anmodning til rådighed for den tilsynsmyndighed, der er omhandlet i artikel 525, stk. 3, herunder dato og tidspunkt for overførslen, oplysninger om den modtagende myndighed, begrundelsen for overførslen og de overførte PNR-oplysninger.
4.   Hvis Det Forenede Kongeriges kompetente myndighed i henhold til stk. 1 eller 2 videregiver PNR-oplysninger, der er indsamlet i henhold til dette afsnit, og som stammer fra en medlemsstat, underretter den kompetente myndighed i Det Forenede Kongerige myndighederne i den pågældende medlemsstat herom hurtigst muligt. Det Forenede Kongerige foretager denne underretning i overensstemmelse med aftaler eller ordninger vedrørende retshåndhævelse eller udveksling af oplysninger mellem Det Forenede Kongerige og den pågældende medlemsstat.
5.   Ved overførsel af analytiske oplysninger, der indeholder PNR-oplysninger, som er indhentet i henhold til dette afsnit, finder garantierne i denne artikel anvendelse.
Artikel 557
Overførselsmetode
Luftfartsselskaberne overfører udelukkende PNR-oplysninger til Det Forenede Kongeriges kompetente myndighed på grundlag af "push"-metoden, en metode, hvorved luftfartsselskaberne overfører PNR-oplysninger til Det Forenede Kongeriges kompetente myndigheds database, og i overensstemmelse med følgende procedurer, der skal overholdes af luftfartsselskaberne, som de anvender til at:
a)
overføre PNR-oplysninger elektronisk i overensstemmelse med Det Forenede Kongeriges kompetente myndigheds tekniske krav eller i tilfælde af tekniske problemer på anden vis, således at der sikres et passende datasikkerhedsniveau
b)
overføre PNR-oplysninger ved brug af et gensidigt accepteret meddelelsesformat og
c)
overføre PNR-oplysninger på en sikker måde ved brug af fælles protokoller som krævet af Det Forenede Kongeriges kompetente myndighed.
Artikel 558
Hyppighed af dataoverførsler
1.   Det Forenede Kongeriges kompetente myndighed kræver, at luftfartsselskaberne overfører PNR-oplysningerne:
a)
i første omgang tidligst 96 timer før den planlagte flyafgangstid og
b)
højst fem gange som angivet af Det Forenede Kongeriges kompetente myndighed.
2.   Den kompetente myndighed i Det Forenede Kongerige tillader luftfartsselskaberne at begrænse den i stk. 1, litra b), omhandlede overførsel til ajourføringer af PNR-data, der overføres, som omhandlet i nævnte stykkes litra a).
3.   Den kompetente myndighed i Det Forenede Kongerige underretter luftfartsselskaberne om de anførte overførselstidspunkter.
4.   I særlige tilfælde, hvor der er tegn på, at der er behov for yderligere adgang til PNR-data for at imødegå en specifik trussel i forbindelse med de formål, der er fastsat i artikel 544, kan den kompetente myndighed i Det Forenede Kongerige kræve, at luftfartsselskabet videregiver PNR-oplysninger forud for, mellem eller efter de planlagte overførsler. Ved udøvelsen af denne skønsbeføjelse handler Det Forenede Kongeriges kompetente myndighed velovervejet og forholdsmæssigt og anvender den overførselsmetode, der er beskrevet i artikel 557.
Artikel 559
Samarbejde
Den kompetente myndighed i Det Forenede Kongerige og de respektive myndigheder i medlemsstaterne samarbejder om at sikre sammenhængen i deres ordninger for behandling af PNR-oplysninger på en måde, der yderligere forbedrer sikkerheden for borgere i Det Forenede Kongerige, Unionen og andre steder.
Artikel 560
Forbud mod fravigelse
Dette afsnit må ikke fortolkes således, at de forpligtelser, der består mellem Det Forenede Kongerige og medlemsstaterne eller tredjelande til at fremsætte eller besvare en anmodning i henhold til et instrument for gensidig bistand, kan fraviges.
Artikel 561
Konsultationer og evaluering
1.   Parterne underretter hinanden om enhver foranstaltning, der skal træffes, og som kan påvirke dette afsnit.
2.   Når parterne i fællesskab evaluerer dette afsnit, jf. artikel 691, stk. 1, skal de være særligt opmærksomme på nødvendigheden og proportionaliteten af behandlingen og opbevaringen af PNR-oplysninger for hvert af de formål, der er fastsat i artikel 544. De fælles evalueringer skal også omfatte en undersøgelse af, hvordan den kompetente myndighed i Det Forenede Kongerige har sikret, at de på forhånd fastlagte modeller, kriterier og databaser, der er omhandlet i artikel 551, er pålidelige, relevante og aktuelle, under hensyntagen til statistiske data.
Artikel 562
Suspension af samarbejdet i henhold til dette afsnit
1.   Hvis en af parterne finder, at det ikke længere er hensigtsmæssigt fortsat at anvende dette afsnit, kan den meddele den anden part, at den har til hensigt at suspendere anvendelsen af dette afsnit. Efter en sådan underretning indleder parterne konsultationer.
2.   Hvis parterne ikke inden for seks måneder efter denne underretning er nået frem til en løsning, kan hver af parterne beslutte at suspendere anvendelsen af dette afsnit i en periode på op til seks måneder. Inden udløbet af denne periode kan parterne aftale en forlængelse af suspensionen med yderligere op til seks måneder. Hvis parterne ved udløbet af suspensionsperioden ikke er nået frem til en løsning med hensyn til dette afsnit, ophører bestemmelserne heri med at finde anvendelse den første dag i måneden efter suspensionsperiodens udløb, medmindre den underrettende part oplyser den anden part om, at den ønsker at trække underretningen tilbage. I så fald genindføres bestemmelserne i dette afsnit.
3.   Hvis dette afsnit suspenderes i henhold til denne artikel, mødes Specialudvalget om Retshåndhævelse og Retligt Samarbejde for at afgøre, hvilke skridt der er nødvendige for at sikre, at ethvert samarbejde, der indledes i henhold til dette afsnit, og som berøres af suspensionen, indgås på passende vis. Under alle omstændigheder sikrer parterne med hensyn til alle personoplysninger, der er indhentet gennem samarbejde i henhold til dette afsnit, inden de bestemmelser, der er berørt af suspensionen, midlertidigt ophører med at finde anvendelse, at det beskyttelsesniveau, som personoplysningerne blev videregivet under, opretholdes, efter at suspensionen får virkning.
AFSNIT IV
SAMARBEJDE OM OPERATIONELLE OPLYSNINGER
Artikel 563
Samarbejde om operationelle oplysninger
1.   Formålet med dette afsnit er, at parterne sikrer, at Det Forenede Kongeriges og medlemsstaternes kompetente myndigheder på de betingelser, der er fastsat i deres nationale lovgivning og inden for rammerne af deres beføjelser, og i det omfang dette ikke er fastsat i andre afsnit i denne del, kan bistå hinanden ved at stille relevante oplysninger til rådighed med henblik på:
a)
forebyggelse, efterforskning, afsløring eller retsforfølgning i straffesager
b)
fuldbyrdelse af strafferetlige sanktioner
c)
beskyttelse mod og forebyggelse af trusler mod den offentlige sikkerhed og
d)
forebyggelse og bekæmpelse af hvidvaskning af penge og finansiering af terrorisme.
2.   I dette afsnit forstås ved "kompetent myndighed" en national politimyndighed, toldmyndighed eller anden myndighed, der i henhold til national ret er kompetent til at udføre aktiviteter med formål, der er fastsat i stk. 1.
3.   En kompetent myndighed i Det Forenede Kongerige eller en medlemsstat kan anmode om oplysninger, herunder oplysninger om eftersøgte og forsvundne personer samt genstande, eller uopfordret videregive disse til en kompetent myndighed i Det Forenede Kongerige eller en medlemsstat. Oplysningerne kan gives som svar på en anmodning eller spontant på de betingelser i den nationale lovgivning, der gælder for den videregivende kompetente myndighed, og inden for rammerne af dennes beføjelser.
4.   Der kan anmodes om og videregives oplysninger i det omfang, det i de betingelser i den nationale lovgivning, der gælder for den anmodende eller videregivende kompetente myndighed, ikke fastsættes, at anmodningen eller videregivelsen af oplysninger skal fremsættes eller kanaliseres via judicielle myndigheder.
5.   I hastetilfælde skal den videregivende kompetente myndighed besvare en anmodning eller videregive oplysninger spontant så hurtigt som muligt.
6.   En kompetent myndighed i den anmodende stat kan i overensstemmelse med den relevante nationale lovgivning på tidspunktet for fremsættelse af anmodningen eller på et senere tidspunkt anmode om samtykke fra den videregivende stat til, at oplysningerne kan anvendes til bevisformål i sager ved en judiciel myndighed. Den videregivende stat kan på de betingelser, der er fastsat i afsnit VIII, og på de betingelser i den nationale lovgivning, der finder anvendelse på den, give samtykke til, at oplysningerne anvendes til bevisformål ved en judiciel myndighed i den anmodende stat. Når oplysningerne gives spontant, kan den videregivende stat ligeledes give sit samtykke til, at oplysningerne anvendes til bevisformål i sager ved en judiciel myndighed i den modtagende stat. Hvis der ikke gives samtykke i henhold til dette stykke, må de modtagne oplysninger ikke anvendes til bevisformål i retssager ved en judiciel myndighed.
7.   Den videregivende kompetente myndighed kan i henhold til den relevante nationale lovgivning stille betingelser for anvendelsen af de videregivne oplysninger.
8.   En kompetent myndighed kan i henhold til dette afsnit videregive enhver form for oplysning, som den er i besiddelse af, på de betingelser, der er fastsat i den nationale lovgivning, som den er omfattet af, og inden for rammerne af sine beføjelser. Dette kan kun omfatte oplysninger fra andre kilder, hvis videreoverførsel af disse oplysninger er tilladt inden for den ramme, inden for hvilken den videregivende kompetente myndighed har indhentet dem.
9.   Oplysninger kan videregives i henhold til dette afsnit via enhver passende kommunikationskanal, herunder den sikre kommunikationslinje med henblik på videregivelse af oplysninger gennem Europol.
10.   Denne artikel berører ikke anvendelsen eller indgåelsen af bilaterale aftaler mellem Det Forenede Kongerige og medlemsstaterne, forudsat at medlemsstaterne handler i overensstemmelse med EU-retten. Det berører heller ikke andre beføjelser, som Det Forenede Kongeriges eller medlemsstaternes kompetente myndigheder i henhold til gældende national eller international ret har til at yde bistand gennem udveksling af oplysninger med henblik på de i stk. 1 omhandlede formål.
AFSNIT V
SAMARBEJDE MED EUROPOL
Artikel 564
Formål
Formålet med dette afsnit er at etablere et samarbejde mellem Europol og de kompetente myndigheder i Det Forenede Kongerige med henblik på at støtte og styrke medlemsstaternes og Det Forenede Kongeriges indsats samt deres gensidige samarbejde om forebyggelse og bekæmpelse af grov kriminalitet, terrorisme og de former for kriminalitet, som berører en fælles interesse, der er omfattet af en af Unionens politikker, jf. artikel 566.
Artikel 565
Definitioner
I dette afsnit forstås ved:
a)
"Europol": Den Europæiske Unions Agentur for Retshåndhævelsessamarbejde oprettet i henhold til Europa-Parlamentets og Rådets forordning (EU) 2016/794 
(
79
)
 ("Europolforordningen")
b)
"kompetent myndighed": for Unionen, Europol, og for Det Forenede Kongeriges vedkommende en national retshåndhævende myndighed, der i henhold til national lovgivning er ansvarlig for forebyggelse og bekæmpelse af strafbare handlinger.
Artikel 566
Former for kriminalitet
1.   Samarbejdet som fastsat i dette afsnit vedrører de former for kriminalitet, der henhører under Europols kompetence, og som er opført i bilag 41, herunder dertil knyttede strafbare handlinger.
2.   Dertil knyttede strafbare handlinger er strafbare handlinger, der begås for at skaffe sig midler til at begå de former for kriminalitet, der er omhandlet i stk. 1, strafbare handlinger, som begås for at lette eller gennemføre sådanne kriminelle handlinger, og strafbare handlinger, der begås for at sikre straffrihed for sådanne kriminelle handlinger.
3.   Hvis listen over de former for kriminalitet, som henhører under Europols kompetence ifølge EU-retten, ændres, kan Specialudvalget om Retshåndhævelse og Retligt Samarbejde på forslag fra Unionen ændre bilag 41 i overensstemmelse hermed fra den dato, hvor ændringen af Europols kompetence træder i kraft.
Artikel 567
Samarbejdets omfang
Samarbejdet kan ud over udveksling af personoplysninger på de betingelser, der er fastsat i dette afsnit, og i overensstemmelse med Europols opgaver som fastsat i Europolforordningen navnlig omfatte:
a)
udveksling af oplysninger såsom specialviden
b)
generelle situationsrapporter
c)
resultater af strategiske analyser
d)
oplysninger om strafferetlige efterforskninger
e)
oplysninger om metoder til forebyggelse af kriminalitet
f)
deltagelse i uddannelsesaktiviteter og
g)
rådgivning og støtte i forbindelse med individuelle strafferetlige efterforskninger samt operationelt samarbejde.
Artikel 568
Nationalt kontaktpunkt og forbindelsesofficerer
1.   Det Forenede Kongerige udpeger et nationalt kontaktpunkt, der skal fungere som centralt kontaktpunkt mellem Europol og kompetente myndigheder i Det Forenede Kongerige.
2.   Udvekslingen af oplysninger mellem Europol og de kompetente myndigheder i Det Forenede Kongerige finder sted mellem Europol og det nationale kontaktpunkt, der er omhandlet i stk. 1. Dette udelukker dog ikke direkte udveksling af oplysninger mellem Europol og de kompetente myndigheder i Det Forenede Kongerige, hvis det anses for hensigtsmæssigt af både Europol og de relevante kompetente myndigheder.
3.   Det nationale kontaktpunkt skal også være det centrale kontaktpunkt for evaluering, rettelse og sletning af personoplysninger.
4.   For at lette det i dette afsnit fastsatte samarbejde udstationerer Det Forenede Kongerige en eller flere forbindelsesofficerer ved Europol. Europol kan udstationere en eller flere forbindelsesofficerer til Det Forenede Kongerige.
5.   Det Forenede Kongerige sikrer, at dets forbindelsesofficerer har hurtig og, hvis det er teknisk muligt, direkte adgang til de relevante nationale databaser i Det Forenede Kongerige, der er nødvendige for, at de kan udføre deres opgaver.
6.   Antallet af forbindelsesofficerer, de nærmere oplysninger om deres opgaver, rettigheder og forpligtelser og de hermed forbundne omkostninger er omfattet af de samarbejdsordninger mellem Europol og Det Forenede Kongeriges kompetente myndigheder som omhandlet i artikel 577.
7.   Forbindelsesofficerer fra Det Forenede Kongerige og repræsentanter for Det Forenede Kongeriges kompetente myndigheder kan inviteres til at deltage i operationelle møder. Forbindelsesofficerer fra medlemsstater og fra tredjelande, kompetente myndigheder i medlemsstaterne og tredjelande, Europols personale og andre interessenter kan deltage i møder, som organiseres af forbindelsesofficerer eller de kompetente myndigheder i Det Forenede Kongerige.
Artikel 569
Udveksling af oplysninger
1.   Udveksling af oplysninger mellem de kompetente myndigheder skal ske i overensstemmelse med formålet med og bestemmelserne i dette afsnit Personoplysninger må udelukkende behandles til de specifikke formål, der er omhandlet i stk. 2.
2.   De kompetente myndigheder angiver senest ved videregivelsen af personoplysninger klart det eller de formål, hvortil personoplysningerne overføres. For overførsler til Europol angives formålet eller formålene med en sådan overførsel i overensstemmelse med de specifikke formål med behandlingen som fastlagt i Europolforordningen. Hvis den videregivende kompetente myndighed ikke har gjort dette, behandler den modtagende kompetente myndighed i forståelse med den overførende myndighed personoplysningerne med henblik på at fastslå deres relevans samt formålet eller formålene med deres videre behandling. De kompetente myndigheder må kun behandle personoplysninger til andre formål end det, hvortil de er givet, hvis den overførende kompetente myndighed har givet tilladelse hertil.
3.   De kompetente myndigheder, der modtager personoplysningerne, skal afgive en erklæring om, at disse oplysninger kun vil blive behandlet til det formål, til hvilket de er videregivet. Personoplysningerne slettes, så snart de ikke længere er nødvendige til det formål, hvortil de blev videregivet.
4.   Europol og de kompetente myndigheder i Det Forenede Kongerige fastsætter uden unødig forsinkelse og under alle omstændigheder senest seks måneder efter modtagelsen af personoplysningerne, om og i hvilket omfang disse personoplysninger er nødvendige til det formål, hvortil de blev overført, og underretter den overførende myndighed herom.
Artikel 570
Begrænsninger i adgangen til og den videre anvendelse af overførte personoplysninger
1.   Den overførende kompetente myndighed kan på det tidspunkt, hvor personoplysningerne overføres, angive eventuelle begrænsninger i adgangen til eller anvendelsen af dem generelt eller specifikt, herunder for så vidt angår videre overførsel, sletning eller tilintetgørelse efter en vis periode, eller yderligere behandling af dem. Hvis behovet for sådanne begrænsninger viser sig efter overførslen af personoplysningerne, underretter den overførende kompetente myndighed den modtagende kompetente myndighed herom.
2.   Den modtagende kompetente myndighed overholder enhver begrænsning i adgangen til eller yderligere anvendelse af de personoplysninger, der er angivet af den videregivende kompetente myndighed som beskrevet i stk. 1.
3.   Hver part sikrer, at oplysninger, der overføres i henhold til dette afsnit, indsamles, lagres og overføres i overensstemmelse med deres respektive retlige rammer. Hver part sikrer så vidt muligt, at sådanne oplysninger ikke er indhentet i strid med menneskerettighederne. Sådanne oplysninger må heller ikke overføres, hvis de i det omfang, det med rimelighed kan forudses, kan anvendes til at anmode om, overdrage eller fuldbyrde dødsstraf eller nogen anden form for grusom eller umenneskelig behandling.
Artikel 571
Forskellige kategorier af registrerede
1.   Overførsel af personoplysninger vedrørende ofre for en strafbar handling, vidner eller andre personer, der kan afgive oplysninger om strafbare handlinger, eller vedrørende personer under 18 år er forbudt, medmindre en sådan overførsel er strengt nødvendig og forholdsmæssig i konkrete sager til forebyggelse eller bekæmpelse af en strafbar handling.
2.   Det Forenede Kongerige og Europol sikrer hver især, at behandlingen af personoplysninger i henhold til stk. 1 er omfattet af yderligere sikkerhedsforanstaltninger, herunder begrænsninger i adgang, yderligere sikkerhedsforanstaltninger og begrænsning af videre overførsel.
Artikel 572
Fremme af udvekslingen af personoplysninger mellem Det Forenede Kongerige og Europol
Af hensyn til gensidige operationelle fordele bestræber parterne sig på at samarbejde i fremtiden med henblik på at sikre, at udvekslingen af oplysninger mellem Europol og de kompetente myndigheder i Det Forenede Kongerige kan finde sted så hurtigt som muligt, og på at overveje at indarbejde nye processer og tekniske udviklinger, der kan bidrage til at nå dette mål, samtidig med at der tages hensyn til, at Det Forenede Kongerige ikke er en medlemsstat.
Artikel 573
Vurdering af kildens pålidelighed og oplysningers nøjagtighed
1.   De kompetente myndigheder angiver så vidt muligt og senest ved overførslen af oplysningerne pålideligheden af oplysningerne på grundlag af følgende kriterier:
a)
hvor der ikke hersker tvivl om kildens ægthed, pålidelighed og kompetence, eller hvor oplysningerne er meddelt af en kilde, der har vist sig at være pålidelig i alle tilfælde
b)
hvor oplysningerne er meddelt af en kilde, der i de fleste tilfælde har vist sig at være pålidelig
c)
hvor oplysningerne er meddelt af en kilde, der i de fleste tilfælde har vist sig at være upålidelig
d)
om kildens pålidelighed ikke kan vurderes.
2.   De kompetente myndigheder angiver så vidt muligt og senest på tidspunktet for overførslen af oplysningerne nøjagtigheden af oplysningerne på grundlag af følgende kriterier:
a)
oplysninger, hvis rigtighed der ikke hersker tvivl om
b)
oplysninger, som kilden har personligt kendskab til, men som den rapporterende tjenestemand ikke har personligt kendskab til
c)
oplysninger, som kilden ikke har personligt kendskab til, men som underbygges af andre allerede registrerede oplysninger
d)
oplysninger, som kilden ikke har personligt kendskab til, og som ikke kan underbygges.
3.   Hvis den modtagende kompetente myndighed på grundlag af de oplysninger, den allerede er i besiddelse af, kommer til den konklusion, at vurderingen af oplysninger eller af deres kilde, som den overførende kompetente myndighed har overført i overensstemmelse med stk. 1 og 2, skal berigtiges, underretter den den pågældende kompetente myndighed og forsøger at nå til enighed om en ændring af vurderingen. Den modtagende kompetente myndighed ændrer ikke ved vurderingen af de modtagne oplysninger eller deres kilde uden en sådan aftale.
4.   Hvis en kompetent myndighed modtager oplysninger uden en vurdering, søger den så vidt muligt og om muligt efter aftale med den overførende kompetente myndighed at vurdere pålideligheden af kilden eller nøjagtigheden af oplysningerne på grundlag af de oplysninger, den allerede er i besiddelse af.
5.   Hvis der ikke kan foretages en pålidelig vurdering, evalueres oplysningerne i henhold til stk. 1, litra d), og stk. 2, litra d).
ARTIKEL 574
Sikkerhed i forbindelse med informationsudveksling
1.   De tekniske og organisatoriske foranstaltninger, der er truffet for at garantere sikker udveksling af oplysninger i henhold til dette afsnit, fastlægges i administrative ordninger mellem Europol og de kompetente myndigheder i Det Forenede Kongerige som omhandlet i artikel 577.
2.   Parterne er enige om at etablere, gennemføre og administrere en sikker kommunikationslinje med henblik på udveksling af oplysninger mellem Europol og de kompetente myndigheder i Det Forenede Kongerige.
3.   Administrative ordninger mellem Europol og de kompetente myndigheder i Det Forenede Kongerige, jf. artikel 576, regulerer vilkår og betingelser for den sikre kommunikationslinje.
Artikel 575
Ansvar for ulovlig eller ukorrekt behandling af personoplysninger
1.   De kompetente myndigheder er i overensstemmelse med deres respektive retlige rammer ansvarlige for enhver skade, der påføres en person som følge af retlige eller faktuelle fejl i de udvekslede oplysninger. Hverken Europol eller de kompetente myndigheder i Det Forenede Kongerige kan påberåbe sig, at den anden kompetente myndighed har overført urigtige oplysninger for at undgå ansvar i henhold til deres respektive retlige rammer over for en skadelidt person.
2.   Hvis der kræves erstatning af enten Europol eller Det Forenede Kongeriges kompetente myndigheder, fordi de har anvendt oplysninger, der med urette er blevet videregivet af den anden part eller meddelt som følge af den anden parts misligholdelse af sine forpligtelser, refunderes det beløb, der er udbetalt i erstatning i henhold til stk. 1 af Europol eller Det Forenede Kongeriges kompetente myndigheder, medmindre oplysningerne er anvendt i strid med bestemmelserne i dette afsnit.
3.   Europol og de kompetente myndigheder i Det Forenede Kongerige må ikke kræve, at den anden part betaler bod eller andre former for ikkekompenserende erstatning i henhold til stk. 1 og 2.
Artikel 576
Udveksling af klassificerede oplysninger og følsomme ikkeklassificerede oplysninger
Udveksling og beskyttelse af klassificerede oplysninger og følsomme ikkeklassificerede oplysninger, om nødvendigt i henhold til dette afsnit, reguleres i samarbejdsordninger og administrative ordninger som omhandlet i artikel 577 mellem Europol og de kompetente myndigheder i Det Forenede Kongerige.
Artikel 577
Samarbejdsordninger og administrative ordninger
1.   De nærmere enkeltheder i samarbejdet mellem Det Forenede Kongerige og Europol, der har til formål at supplere og gennemføre bestemmelserne i dette afsnit, er omfattet af samarbejdsordninger i overensstemmelse med Europolforordningens artikel 23, stk. 4, og administrative ordninger, jf. artikel 25, stk. 1, i Europolforordningen, der er indgået mellem Europol og de kompetente myndigheder i Det Forenede Kongerige.
2.   Uden at det berører bestemmelserne i dette afsnit og under hensyntagen til Det Forenede Kongeriges status som tredjeland, kan Europol og de kompetente myndigheder i Det Forenede Kongerige, med forbehold af en afgørelse truffet af Europols Styrelsesråd, i samarbejdsordninger eller administrative ordninger, alt efter omstændighederne, medtage bestemmelser, der supplerer eller gennemfører dette afsnit, og som navnlig giver mulighed for:
a)
høringer mellem Europol og en eller flere repræsentanter for Det Forenede Kongeriges nationale kontaktpunkt om politiske spørgsmål og spørgsmål af fælles interesse med henblik på at opfylde deres målsætninger og koordinere deres respektive aktiviteter og fremme samarbejdet mellem Europol og de kompetente myndigheder i Det Forenede Kongerige
b)
deltagelse af en eller flere repræsentanter for Det Forenede Kongerige som observatør eller observatører i specifikke møder mellem cheferne for Europols nationale enheder og i overensstemmelse med reglerne for sådanne møder
c)
tilknytning af en eller flere repræsentanter for Det Forenede Kongeriges til operationelle analyseprojekter i overensstemmelse med de regler, der er fastsat af de relevante Europol-forvaltningsorganer
d)
fastsættelse af forbindelsesofficerernes opgaver, deres rettigheder og forpligtelser samt de dermed forbundne omkostninger
e)
samarbejde mellem de kompetente myndigheder i Det Forenede Kongerige og Europol i tilfælde af brud på privatlivets fred eller sikkerheden.
3.   Indholdet af samarbejdsordningerne og de administrative ordninger kan fastlægges samlet i ét dokument.
ARTIKEL 578
Underretning om gennemførelse
1.   Det Forenede Kongerige og Europol offentliggør hver især et dokument, der i forståelig form redegør for bestemmelserne vedrørende behandling af personoplysninger, der er overført i henhold til dette afsnit, herunder de midler, der er til rådighed for udøvelsen af de registreredes rettigheder, og sikrer hver især, at der stilles en genpart af dette dokument til rådighed for den anden part.
2.   Det Forenede Kongerige og Europol vedtager, hvis disse ikke allerede findes, regler om, hvordan overholdelse af bestemmelserne om behandling af personoplysninger vil blive håndhævet i praksis. Det Forenede Kongerige og Europol sender hver især en kopi af disse regler til den anden part og til de respektive tilsynsmyndigheder.
Artikel 579
Europols beføjelser
Intet i dette afsnit må fortolkes som en forpligtelse for Europol til at samarbejde med de kompetente myndigheder i Det Forenede Kongerige uden for Europols kompetence som fastsat i den relevante EU-lovgivning.
AFSNIT VI
SAMARBEJDE MED EUROJUST
Artikel 580
Formål
Formålet med dette afsnit er at etablere et samarbejde mellem Eurojust og Det Forenede Kongeriges kompetente myndigheder om bekæmpelse af grov kriminalitet som omhandlet i artikel 582.
Artikel 581
Definitioner
I dette afsnit forstås ved:
a)
"Eurojust": den Europæiske Unions Agentur for Strafferetligt Samarbejde, oprettet ved Europa-Parlamentets og Rådets forordning (EU) 2018/1727 
(
80
)
 ("Eurojustforordningen")
b)
"kompetent myndighed": for Unionen Eurojust, repræsenteret ved kollegiet eller et nationalt medlem, og for Det Forenede Kongerige en national myndighed med ansvar i henhold til national lovgivning for efterforskning og retsforfølgning af strafbare handlinger
c)
"kollegiet": Eurojusts kollegium, jf. Eurojustforordningen
d)
"nationalt medlem": det nationale medlem, som hver medlemsstat har udstationeret ved Eurojust som omhandlet i Eurojustforordningen
e)
"assistent": en person, der bistår et nationalt medlem og dennes stedfortræder eller forbindelsesanklageren som omhandlet i henholdsvis Eurojustforordningen og artikel 585, stk. 3
f)
"forbindelsesanklager": en offentlig anklager, der er udstationeret af Det Forenede Kongerige ved Eurojust og omfattet af Det Forenede Kongeriges nationale lovgivning med hensyn til den offentlige anklagers status
g)
"forbindelsesretsembedsmand": en retsembedsmand, der udstationeres af Eurojust til Det Forenede Kongerige i overensstemmelse med artikel 586
h)
"national korrespondent på terrorismeområdet": det kontaktpunkt, der er udpeget af Det Forenede Kongeriges myndigheder i henhold til artikel 584, og som har ansvaret for at håndtere korrespondance i forbindelse med terrorisme.
Artikel 582
Former for kriminalitet
1.   Samarbejdet som fastsat i dette afsnit vedrører de former for grov kriminalitet, der henhører under Eurojusts kompetence, jf. bilag 42, herunder forbundne strafbare handlinger.
2.   Dertil knyttede strafbare handlinger er strafbare handlinger, der begås for at skaffe sig midler til at begå de former for grov kriminalitet, der er omhandlet i stk. 1, strafbare handlinger, som begås for at lette eller gennemføre sådanne former for grov kriminalitet, og strafbare handlinger, der begås for at sikre straffrihed for sådanne former for grov kriminalitet.
3.   Hvis listen over de former for grov kriminalitet, for hvilke Eurojust er kompetent i henhold til EU-retten, ændres, kan Specialudvalget om Retshåndhævelse og Retligt Samarbejde på forslag fra Unionen ændre bilag 42 i overensstemmelse hermed fra den dato, hvor ændringen af Eurojusts kompetence træder i kraft.
Artikel 583
Samarbejdets omfang
Parterne sikrer, at Eurojust og de kompetente myndigheder i Det Forenede Kongerige samarbejder om de aktiviteter, der er omhandlet i artikel 2 og 54 i Eurojustforordningen og i dette afsnit.
Artikel 584
Kontaktpunkter ved Eurojust
1.   Det Forenede Kongerige opretter eller udpeger mindst ét kontaktpunkt ved Eurojust til Det Forenede Kongeriges kompetente myndigheder.
2.   Det Forenede Kongerige udpeger et af sine kontaktpunkter som sin nationale korrespondent på terrorismeområdet.
Artikel 585
Forbindelsesanklager
1.   For at lette det i dette afsnit fastsatte samarbejde udstationerer Det Forenede Kongerige en forbindelsesofficer ved Eurojust.
2.   Udstationeringens mandat og varighed fastsættes af Det Forenede Kongerige.
3.   Forbindelsesanklageren kan bistås af op til fem assistenter, der afspejler omfanget af samarbejdet. Assistenterne kan om nødvendigt træde i stedet for forbindelsesanklageren eller handle på forbindelsesanklagerens vegne.
4.   Det Forenede Kongerige underretter Eurojust om karakteren og omfanget af de retlige beføjelser, som forbindelsesanklageren og forbindelsesanklagerens assistenter har i Det Forenede Kongerige til at udføre deres opgaver i overensstemmelse med dette afsnit. Det Forenede Kongerige fastsætter sin forbindelsesanklagers og forbindelsesanklagerens assistenters kompetence til at handle i forhold til udenlandske judicielle myndigheder.
5.   Forbindelsesanklageren og forbindelsesanklagerens assistenter har adgang til oplysningerne i de nationale strafferegistre eller i ethvert andet register i Det Forenede Kongerige i overensstemmelse med national lovgivning, hvis der er tale om en anklager eller en person med tilsvarende kompetence.
6.   Forbindelsesanklageren og forbindelsesanklagerens assistenter har beføjelse til direkte at kontakte de kompetente myndigheder i Det Forenede Kongerige.
7.   Antallet af assistenter som omhandlet i stk. 3, de nærmere oplysninger om forbindelsesanklagerens og forbindelsesanklagerens assistenters opgaver, deres rettigheder og forpligtelser og de hermed forbundne omkostninger er omfattet af en samarbejdsordning, der er indgået mellem Eurojust og Det Forenede Kongeriges kompetente myndigheder, jf. artikel 594.
8.   Forbindelsesanklagerens og forbindelsesanklagerens assistenters arbejdsdokumenter holdes ukrænkelige af Eurojust.
Artikel 586
Forbindelsesretsembedsmand
1.   Med henblik på at lette det retlige samarbejde med Det Forenede Kongerige i tilfælde, hvor Eurojust yder bistand, kan Eurojust udstationere en forbindelsesretsembedsmand til Det Forenede Kongerige i overensstemmelse med artikel 53 i Eurojustforordningen.
2.   Nærmere oplysninger om forbindelsesretsembedsmandens opgaver som omhandlet i denne artikels stk. 1, forbindelsesretsembedsmandens rettigheder og forpligtelser samt de hermed forbundne omkostninger er omfattet af en samarbejdsordning mellem Eurojust og Det Forenede Kongeriges kompetente myndigheder som omhandlet i artikel 594.
Artikel 587
Operationelle og strategiske møder
1.   Forbindelsesanklageren, forbindelsesanklagerens assistenter og repræsentanter for andre kompetente myndigheder i Det Forenede Kongerige, herunder kontaktpunktet ved Eurojust, kan deltage i møder vedrørende strategiske spørgsmål efter indbydelse fra Eurojusts formand og i møder vedrørende operationelle spørgsmål med de berørte nationale medlemmers godkendelse.
2.   De nationale medlemmer, deres stedfortrædere og assistenter, den administrerende direktør for Eurojust og Eurojusts personale kan deltage i møder, som afholdes af forbindelsesanklageren, forbindelsesanklagerens assistenter eller andre kompetente myndigheder i Det Forenede Kongerige, herunder kontaktpunktet ved Eurojust.
Artikel 588
Udveksling af andre oplysninger end personoplysninger
Eurojust og de kompetente myndigheder i Det Forenede Kongerige kan udveksle andre oplysninger end personoplysninger, for så vidt disse oplysninger er relevante for samarbejdet i henhold til dette afsnit, og med forbehold af eventuelle begrænsninger i henhold til artikel 593.
Artikel 589
Udveksling af personoplysninger
1.   Personoplysninger, som kompetente myndigheder har anmodet om og modtaget i henhold til dette afsnit, behandler de udelukkende med henblik på de mål, der er fastsat i artikel 580, henset til de specifikke formål, der er omhandlet i stk. 2 i denne artikel, og med forbehold af de begrænsninger med hensyn til adgang eller supplerende anvendelse, der er omhandlet i stk. 3 i denne artikel.
2.   Den overførende kompetente myndighed skal senest ved overførslen af personoplysninger klart angive det eller de formål, hvortil oplysningerne videregives.
3.   Den overførende kompetente myndighed kan på det tidspunkt, hvor personoplysningerne overføres, angive eventuelle begrænsninger i adgangen til eller anvendelsen af dem generelt eller specifikt, herunder for så vidt angår videre overførsel, sletning eller tilintetgørelse efter en vis periode, eller yderligere behandling af dem. Hvis behovet for sådanne begrænsninger viser sig efter videregivelsen af personoplysningerne, underretter den overførende myndighed den modtagende myndighed herom.
4.   Den modtagende kompetente myndighed overholder enhver begrænsning i adgangen til eller yderligere anvendelse af de personoplysninger, der er angivet af den overførende kompetente myndighed som omhandlet i stk. 3.
Artikel 590
Kanaler for udveksling af oplysninger
1.   Der udveksles oplysninger:
a)
mellem enten forbindelsesanklageren eller forbindelsesanklagerens assistenter eller, hvis der ikke er udpeget sådanne, eller disse på anden vis ikke er tilgængelige, Det Forenede Kongeriges kontaktpunkt ved Eurojust og de berørte nationale medlemmer eller kollegiet
b)
hvis Eurojust har udstationeret en forbindelsesretsembedsmand i Det Forenede Kongerige, mellem forbindelsesretsembedsmanden og en kompetent myndighed i Det Forenede Kongerige; i så fald underrettes forbindelsesanklageren om enhver sådan udveksling af oplysninger eller
c)
direkte mellem en kompetent myndighed i Det Forenede Kongerige og de berørte nationale medlemmer eller kollegiet; i så fald underrettes forbindelsesanklageren og, hvis det er relevant, forbindelsesretsembedsmanden om enhver sådan udveksling af oplysninger.
2.   Eurojust og de kompetente myndigheder i Det Forenede Kongerige kan i særlige tilfælde aftale at anvende andre kanaler til udveksling af oplysninger.
3.   Eurojust og de kompetente myndigheder i Det Forenede Kongerige sikrer, at deres respektive repræsentanter er bemyndiget til at udveksle oplysninger på passende niveau i overensstemmelse med henholdsvis Det Forenede Kongeriges lovgivning og Eurojustforordningen, og at de screenes på passende vis.
Artikel 591
Videreoverførsel
De kompetente myndigheder i Det Forenede Kongerige og Eurojust må ikke videregive oplysninger fra den anden part til tredjelande eller internationale organisationer uden samtykke fra den af Det Forenede Kongeriges kompetente myndigheder eller Eurojust, der har videregivet oplysningerne, og uden de fornødne garantier med hensyn til beskyttelse af personoplysninger.
Artikel 592
Ansvar for ulovlig eller ukorrekt behandling af personoplysninger
1.   De kompetente myndigheder er i overensstemmelse med deres respektive retlige rammer ansvarlige for enhver skade, der påføres en person som følge af retlige eller faktuelle fejl i de udvekslede oplysninger. Hverken Eurojust eller de kompetente myndigheder i Det Forenede Kongerige kan påberåbe sig, at den anden kompetente myndighed har overført urigtige oplysninger for at undgå ansvar i henhold til deres respektive retlige rammer over for en skadelidt person.
2.   Hvis der kræves erstatning af enhver kompetent myndighed, fordi den har anvendt oplysninger, der med urette er blevet videregivet af den anden part eller meddelt som følge af en den anden parts misligholdelse af sine forpligtelser, refunderes det beløb, der er udbetalt i erstatning i henhold til stk. 1 af den kompetente myndighed, medmindre oplysningerne er anvendt i strid med bestemmelserne i dette afsnit.
3.   Eurojust og de kompetente myndigheder i Det Forenede Kongerige må ikke kræve, at den anden part betaler bod eller andre former for ikkekompenserende erstatning i henhold til stk. 1 og 2.
Artikel 593
Udveksling af klassificerede oplysninger og følsomme ikkeklassificerede oplysninger
Udveksling og beskyttelse af klassificerede oplysninger og følsomme ikkeklassificerede oplysninger, om nødvendigt i henhold til dette afsnit, reguleres i en samarbejdsordning som omhandlet i artikel 594 indgået mellem Eurojust og de kompetente myndigheder i Det Forenede Kongerige.
Artikel 594
Samarbejdsordning
De nærmere bestemmelser for samarbejdet mellem parterne vedrørende gennemførelsen af dette afsnit fastlægges i en samarbejdsordning mellem Eurojust og de kompetente myndigheder i Det Forenede Kongerige i henhold til artikel 47, stk. 3, og artikel 56, stk. 3, i Eurojustforordningen.
Artikel 595
Eurojusts beføjelser
Intet i dette afsnit må fortolkes som en forpligtelse for Eurojust til at samarbejde med de kompetente myndigheder i Det Forenede Kongerige uden for Eurojusts kompetence som fastsat i den relevante EU-lovgivning.
AFSNIT VII
OVERGIVELSE
Artikel 596
Formål
Formålet med dette afsnit er at sikre, at udleveringsordningen mellem medlemsstaterne på den ene side og Det Forenede Kongerige på den anden side er baseret på en mekanisme for overgivelse i medfør af en arrestordre i overensstemmelse med bestemmelserne i dette afsnit.
Artikel 597
Proportionalitetsprincippet
Samarbejde gennem arrestordren skal være nødvendigt og forholdsmæssigt og tage hensyn til den eftersøgtes rettigheder og ofrenes interesser, samtidig med at der tages hensyn til, hvor alvorlig den pågældende handling er, den sandsynlige straf, som ville blive pålagt, og muligheden for, at en stat kan træffe mindre indgribende foranstaltninger end overgivelse af den eftersøgte, navnlig med henblik på at undgå unødvendigt lange varetægtsfængslinger.
Artikel 598
Definitioner
I dette afsnit forstås ved:
a)
"arrestordre": en retsafgørelse truffet af en stat med det formål, at en anden stat anholder og overgiver en eftersøgt person med henblik på strafforfølgning eller fuldbyrdelse af en frihedsstraf eller en anden frihedsberøvende foranstaltning
b)
"judiciel myndighed": en myndighed, der i henhold til national ret er en dommer, domstol eller offentlig anklager; en offentlig anklager betragtes kun som en retslig myndighed, i det omfang det er fastsat i national lovgivning
c)
"fuldbyrdende judiciel myndighed": den judicielle myndighed i den fuldbyrdende stat, der i henhold til denne stats lovgivning er kompetent til at fuldbyrde en arrestordre
d)
"udstedende judiciel myndighed": den judicielle myndighed i den udstedende stat, der i henhold til denne stats lovgivning er kompetent til at udstede en arrestordre.
Artikel 599
Anvendelsesområde
1.   En arrestordre kan udstedes for handlinger, der ifølge den udstedende stats lovgivning kan straffes med en frihedsstraf eller en anden frihedsberøvende foranstaltning af en maksimal varighed på mindst 12 måneder, eller, hvis der er afsagt en straffedom eller en anden frihedsberøvende foranstaltning, for straffe eller andre frihedsberøvende foranstaltninger af en varighed på mindst fire måneder.
2.   Overgivelse er betinget af, at de handlinger, der ligger til grund for udstedelsen af arrestordren, udgør en lovovertrædelse efter den fuldbyrdende stats lovgivning, uanset gerningsindholdet eller den retlige beskrivelse, jf. dog stk. 3 og 4.
3.   Med forbehold af artikel 600, artikel 601, stk. 1, litra b)-h), artikel 602, artikel 603 og artikel 604, må en stat ikke afslå at fuldbyrde en arrestordre udstedt i forbindelse med nedenstående adfærd, såfremt en sådan adfærd kan straffes med frihedsstraf eller en anden frihedsberøvende foranstaltning af en maksimal varighed på mindst 12 måneder:
a)
den adfærd, hvorved en person medvirker til, at en gruppe personer, som handler med et fælles formål, begår en eller flere af de terrorhandlinger, der er omhandlet i artikel 1 og 2 i den europæiske konvention om bekæmpelse af terrorisme, udfærdiget i Strasbourg den 27. januar 1977, eller i forbindelse med ulovlig handel med narkotika og psykotrope stoffer, eller mord, alvorlig legemsbeskadigelse, bortførelse, frihedsberøvelse, gidseltagning eller voldtægt, selv om denne person ikke deltager i den faktiske gennemførelse af den eller de pågældende lovovertrædelser; et sådant bidrag skal være tilsigtet og udført med viden om, at deltagelsen vil bidrage til at nå gruppens kriminelle aktiviteter eller
b)
terrorisme som defineret i bilag 45.
4.   Det Forenede Kongerige og Unionen på vegne af en hvilken som helst af dens medlemsstater kan underrette Specialudvalget om Retshåndhævelse og Retligt Samarbejde om, at det krav om dobbelt strafbarhed, der er omhandlet i stk. 2, på basis af gensidighedsprincippet ikke anvendes, forudsat at den strafbare handling, der ligger til grund for arrestordren:
a)
er en af de strafbare handlinger anført i stk. 5, som defineret i den udstedende stats lovgivning, og
b)
kan straffes med frihedsstraf eller en anden frihedsberøvende foranstaltning af en maksimal varighed på mindst tre år.
5.   De strafbare handlinger som omhandlet i stk. 4 er:
—
deltagelse i en kriminel organisation
—
terrorisme som defineret i bilag 45
—
menneskehandel
—
seksuel udnyttelse af børn og børnepornografi
—
ulovlig handel med narkotika og psykotrope stoffer
—
ulovlig handel med våben, ammunition og sprængstoffer
—
korruption, inklusive bestikkelse
—
svig, herunder svig, der skader Det Forenede Kongeriges, en medlemsstats eller Unionens finansielle interesser
—
hvidvaskning af udbyttet fra strafbart forhold
—
falskmøntneri
—
internetkriminalitet
—
miljøkriminalitet, herunder ulovlig handel med truede dyrearter og ulovlig handel med truede plantearter og træsorter
—
menneskesmugling
—
manddrab
—
grov legemsbeskadigelse
—
ulovlig handel med menneskevæv og -organer
—
bortførelse, frihedsberøvelse og gidseltagning
—
racisme og fremmedhad
—
organiseret eller væbnet tyveri
—
ulovlig handel med kulturgoder, herunder antikviteter og kunstgenstande
—
bedrageri
—
afkrævning af beskyttelsespenge og pengeafpresning
—
efterligninger og fremstilling af piratudgaver af produkter
—
forfalskning af officielle dokumenter og ulovlig handel med disse
—
forfalskning af betalingsmidler
—
ulovlig handel med hormonpræparater og andre vækstfremmende stoffer
—
ulovlig handel med nukleare og radioaktive materialer
—
ulovlig handel med stjålne motorkøretøjer
—
voldtægt
—
forsætlig brandstiftelse
—
strafbare handlinger omfattet af Den Internationale Straffedomstols straffemyndighed
—
kapring af skibe/fly/rumfartøjer og
—
sabotage.
Artikel 600
Obligatoriske grunde til at afslå fuldbyrdelse af arrestordren
Fuldbyrdelse af arrestordren afslås:
a)
hvis den lovovertrædelse, der ligger til grund for arrestordren, er omfattet af amnesti i den fuldbyrdende stat, og denne stat har kompetence til at retsforfølge lovovertrædelsen i medfør af sin egen strafferet
b)
hvis det af de oplysninger, den fuldbyrdende judicielle myndighed er i besiddelse af, fremgår, at den eftersøgte person er blevet endeligt dømt for de samme forhold af en anden stat, på betingelse af at sanktionen i tilfælde af domfældelse er fuldbyrdet, er ved at blive fuldbyrdet eller ikke længere kan fuldbyrdes efter domsstatens ret eller
c)
hvis den person, der er omfattet af en arrestordre, efter den fuldbyrdende stats ret på grund af sin alder ikke kan gøres strafferetligt ansvarlig for de handlinger, der ligger til grund for arrestordren.
Artikel 601
Andre grunde til at afslå fuldbyrdelse af arrestordren
1.   Fuldbyrdelse af arrestordren kan afslås:
a)
hvis det forhold, der ligger til grund for en arrestordre, i et af de tilfælde, der er nævnt i artikel 599, stk. 2, ikke udgør en lovovertrædelse efter den fuldbyrdende stats ret; for så vidt angår skatter, afgifter, told og valutahandel kan fuldbyrdelse af en arrestordre dog ikke afslås med den begrundelse, at den fuldbyrdende stats ret ikke foreskriver opkrævning af samme type skatter og afgifter eller ikke indeholder samme type regler om skatter, afgifter, told og valutahandel som den udstedende stats ret
b)
hvis den person, der er omfattet af en arrestordre, allerede retsforfølges i den fuldbyrdende stat for det samme forhold som det, der ligger til grund for arrestordren
c)
hvis de judicielle myndigheder i den fuldbyrdende stat har besluttet enten ikke at indlede retsforfølgning for den lovovertrædelse, der ligger til grund for en arrestordre, eller at bringe retsforfølgningen til ophør, eller hvis den eftersøgte i en stat har været genstand for en endelig afgørelse, som er til hinder for yderligere retsforfølgning, for de samme forhold
d)
hvis der er indtrådt forældelse med hensyn til strafferetlig forfølgning eller fuldbyrdelse af straf i henhold til den fuldbyrdende stats ret, og denne stat har jurisdiktionskompetence i medfør af sin egen strafferet
e)
hvis det af de oplysninger, den fuldbyrdende judicielle myndighed er i besiddelse af, fremgår, at den eftersøgte person er blevet endeligt dømt for de samme forhold af et tredjeland, på betingelse af at sanktionen i tilfælde af domfældelse er fuldbyrdet, er ved at blive fuldbyrdet eller ikke længere kan fuldbyrdes efter domslandets ret
f)
hvis arrestordren er udstedt med henblik på fuldbyrdelse af en straffedom eller en anden frihedsberøvende foranstaltning, og den eftersøgte opholder sig i, er statsborger i eller bosat i den fuldbyrdende stat, og denne stat forpligter sig til selv at fuldbyrde straffen eller den anden frihedsberøvende foranstaltning i henhold til sin nationale ret hvis den eftersøgte persons samtykke til overførsel af straffen eller en anden frihedsberøvende foranstaltning til den fuldbyrdende stat er påkrævet, kan den fuldbyrdende stat først afslå at fuldbyrde arrestordren, efter at den eftersøgte har givet sit samtykke til overførsel af straffen eller den anden frihedsberøvende foranstaltning
g)
hvis arrestordren vedrører lovovertrædelser, som:
i)
efter den fuldbyrdende stats ret betragtes som begået helt eller delvist på denne stats område eller på et sted, der ligestilles hermed, eller
ii)
er begået uden for den udstedende stats område, for så vidt den fuldbyrdende stats lovgivning ikke hjemler adgang til retsforfølgning for tilsvarende lovovertrædelser, hvis de er begået uden for den fuldbyrdende stats område
h)
hvis der på grundlag af objektive elementer er grund til at tro, at den nævnte arrestordre er udstedt med det formål at retsforfølge eller straffe en person på grund af dennes køn, race, religion, etniske baggrund, nationalitet, sprog, politiske overbevisning eller seksuelle orientering, eller at den pågældendes situation kan blive skadet af en af disse grunde
i)
hvis arrestordren er udstedt med henblik på fuldbyrdelse af en frihedsstraf eller en anden frihedsberøvende foranstaltning, og den eftersøgte ikke selv var til stede under den retssag, der førte til afgørelsen, medmindre det fremgår af arrestordren, at den pågældende i overensstemmelse med yderligere proceduremæssige krav i den udstedende stats nationale lovgivning:
i)
i rette tid:
A)
enten er blevet indkaldt personligt og derved underrettet om det fastsatte tidspunkt og sted for den retssag, der førte til afgørelsen, eller på anden måde faktisk er blevet officielt underrettet om det fastsatte tidspunkt og sted for den pågældende retssag på en sådan måde, at det entydigt fremgår, at den pågældende var klar over tidspunktet og stedet for den berammede retssag
og
B)
er blevet underrettet om, at der kan afsiges en afgørelse, selv om den pågældende ikke var til stede under retssagen
eller
ii)
havde kendskab til tidspunktet og stedet for den berammede retssag og havde givet mandat til en advokat, som enten blev udpeget af den pågældende person eller af staten til at forsvare ham eller hende under retssagen, og denne advokat faktisk forsvarede den pågældende under retssagen
eller
iii)
efter at have fået afgørelsen forkyndt og udtrykkeligt være blevet underrettet om retten til fornyet prøvelse eller anke, hvor personen har ret til at deltage, og som giver mulighed for, at sagens realiteter inkl. nye beviser bliver taget op igen, og som kan føre til, at den oprindelige afgørelse bliver ændret:
A)
udtrykkeligt har erklæret, at den pågældende ikke anfægtede afgørelsen
eller
B)
ikke har anmodet om fornyet prøvelse eller anke inden for den gældende frist
eller
iv)
ikke har fået afgørelsen forkyndt personligt, men
A)
vil få den forkyndt personligt straks efter overgivelsen og vil udtrykkeligt blive underrettet om retten til fornyet prøvelse eller anke, hvor den pågældende har ret til at deltage, og som giver mulighed for, at sagens realiteter, herunder nye beviser, bliver taget op igen, og som kan føre til, at den oprindelige afgørelse bliver ændret
og
B)
vil blive underrettet om den frist, inden for hvilken den pågældende skal anmode om en sådan fornyet prøvelse eller anke som nævnt i den pågældende arrestordre.
2.   Hvis arrestordren udstedes med henblik på fuldbyrdelse af en frihedsstraf eller en anden frihedsberøvende foranstaltning på de i stk. 1, nr. i), iv), nævnte betingelser, og den pågældende person ikke tidligere har modtaget officielle oplysninger om, at der er indledt en straffesag mod vedkommende, kan den pågældende, når denne underrettes om arrestordrens indhold, anmode om at få en kopi af dommen, inden overgivelsen finder sted. Straks efter at den udstedende myndighed har fået underretning om anmodningen, fremsender den genparten af dommen til den pågældende via den fuldbyrdende myndighed. Anmodningen fra den pågældende må hverken forsinke overgivelsesproceduren eller forsinke afgørelsen om fuldbyrdelse af arrestordren. Dommen fremsendes kun til orientering til den pågældende; den anses ikke for en formel forkyndelse af dommen og igangsætter ikke nogen frister, der finder anvendelse i forbindelse med fornyet prøvelse eller anke.
3.   Hvis personen overgives på de i stk. 1, nr. i) iv), omhandlede vilkår, og den pågældende har anmodet om fornyet prøvelse eller anke, tages frihedsberøvelsen af den pågældende person, der afventer en sådan fornyet prøvelse eller anke, regelmæssigt eller på begæring af den pågældende op til prøvelse efter den udstedende stats lovgivning, indtil den fornyede prøvelse eller anken er færdigbehandlet. En sådan prøvelse omfatter navnlig muligheden af at suspendere eller afbryde frihedsberøvelsen. Den fornyede prøvelse eller anken begynder i rette tid efter overgivelsen.
Artikel 602
Undtagelsesbestemmelse vedrørende politiske lovovertrædelser
1.   Fuldbyrdelse af en arrestordre kan ikke afslås med den begrundelse, at den fuldbyrdende stat kan betragte lovovertrædelsen som en politisk lovovertrædelse, som en strafbar handling, der er forbundet med en politisk lovovertrædelse, eller som en lovovertrædelse, der udspringer af politiske motiver.
2.   Det Forenede Kongerige og Unionen på vegne af en hvilken som helst af dens medlemsstater kan dog hver især underrette Specialudvalget om Retshåndhævelse og Retligt Samarbejde om, at stk. 1 kun finder anvendelse i forbindelse med:
a)
de strafbare handlinger, der er omhandlet i artikel 1 og 2 i den europæiske konvention om bekæmpelse af terrorisme
b)
sammensværgelse eller medvirken til at begå en eller flere af de strafbare handlinger, der er omhandlet i artikel 1 og 2 i den europæiske konvention til bekæmpelse af terrorisme, hvis disse forbrydelser modsvarer beskrivelsen af den adfærd, der er omhandlet i artikel 599, stk. 3, i denne aftale og
c)
terrorisme som defineret i bilag 45 til denne aftale.
3.   Hvis en arrestordre er udstedt af en stat, der har indgivet en underretning som omhandlet i stk. 2, eller af en stat, på hvis vegne en sådan underretning er givet, kan den stat, der fuldbyrder arrestordren, anvende gensidighedsprincippet.
Artikel 603
Undtagelsesbestemmelse vedrørende nationalitet
1.   Fuldbyrdelse af en arrestordre kan ikke afslås med den begrundelse, at den eftersøgte person er statsborger i den fuldbyrdende stat.
2.   Det Forenede Kongerige og Unionen på vegne af en hvilken som helst af sine medlemsstater kan hver især underrette Specialudvalget om Retshåndhævelse og Retligt Samarbejde om, at deres egne statsborgere ikke vil blive overgivet, eller at overgivelse af deres egne statsborgere kun tillades på visse nærmere angivne vilkår. Underretningen skal baseres på de grundlæggende principper eller praksis i den nationale retsorden i Det Forenede Kongerige eller i den stat, på hvis vegne underretningen er foretaget. I så fald kan Unionen på vegne af en hvilken som helst af sine medlemsstater eller Det Forenede Kongerige alt efter omstændighederne underrette Specialudvalget om Retshåndhævelse og Retligt Samarbejde inden for en rimelig frist efter modtagelsen af den anden parts underretning om, at de fuldbyrdende judicielle myndigheder i en medlemsstat eller i Det Forenede Kongerige alt efter omstændighederne kan afslå at overgive statsborgere til den pågældende stat, eller at overgivelse kun er tilladt på visse nærmere angivne betingelser.
3.   Hvis en stat har nægtet at fuldbyrde en arrestordre på det grundlag, at den, i tilfælde af Det Forenede Kongerige, har indgivet en underretning, eller Unionen, i tilfælde af en medlemsstat, har indgivet en underretning på dennes vegne, jf. stk. 2, skal denne stat efter at have taget hensyn til den udstedende stats synspunkter overveje at indlede en retssag mod sin statsborger, som står i et rimeligt forhold til genstanden for arrestordren. I tilfælde, hvor en judiciel myndighed beslutter ikke at indlede en sådan retssag, skal offeret for den lovovertrædelse, der ligger til grund for arrestordren, kunne modtage oplysninger om afgørelsen i overensstemmelse med den fuldbyrdende stats nationale lovgivning.
4.   Hvis en stats kompetente myndigheder i henhold til stk. 3 anlægger sag mod sin egen statsborger, sikrer den, at dens kompetente myndigheder kan træffe passende foranstaltninger til at bistå ofrene og vidnerne, hvis offeret eller vidnet har bopæl i en anden stat, navnlig for så vidt angår den måde, hvorpå retssagen føres.
Artikel 604
Garantier, som den udstedende stat skal give i særlige tilfælde
Den fuldbyrdende judicielle myndigheds fuldbyrdelse af arrestordren kan underlægges følgende garantier:
a)
hvis den lovovertrædelse, der ligger til grund for udstedelsen af arrestordren, kan straffes med en livsvarig fængselsstraf eller en anden livsvarig frihedsberøvende foranstaltning i den udstedende stat, kan den fuldbyrdende stat gøre fuldbyrdelsen af den nævnte arrestordre betinget af, at den udstedende stat giver garanti for, at den fuldbyrdende stat på anmodning eller senest efter 20 år vil tage den pålagte straf eller foranstaltning op til fornyet overvejelse eller vil tilskynde til anvendelse af lempeligere foranstaltninger, som personen har ret til at anmode om efter den udstedende stats lovgivning eller praksis, med det formål ikke at fuldbyrde en sådan straf eller foranstaltning
b)
hvis en person, der er genstand for en arrestordre med henblik på retsforfølgning, er statsborger i eller bosat i den fuldbyrdende stat, kan overgivelsen gøres betinget af, at den pågældende efter at være blevet hørt sendes tilbage til den fuldbyrdende stat med henblik på dér at afsone den straf eller den anden frihedsberøvende foranstaltning, den pågældende er blevet idømt i den udstedende stat hvis den eftersøgte persons samtykke til overførsel af straffen eller den anden frihedsberøvende foranstaltning til den fuldbyrdende stat er påkrævet, er garantien for, at personen tilbagesendes til den fuldbyrdende stat for at afsone sin straf, betinget af, at den eftersøgte efter at være blevet hørt indvilliger i at blive sendt tilbage til den fuldbyrdende stat
c)
hvis der er vægtige grunde til at antage, at der er en reel risiko for beskyttelsen af den eftersøgte persons grundlæggende rettigheder, kan den fuldbyrdende judicielle myndighed i givet fald kræve yderligere garantier med hensyn til behandlingen af den eftersøgte person efter overgivelsen, inden den træffer afgørelse om, hvorvidt arrestordren skal fuldbyrdes.
Artikel 605
Anvendelse af den centrale myndighed
1.   Det Forenede Kongerige og Unionen på vegne af en hvilken som helst af dens medlemsstater kan hver især underrette Specialudvalget om Retshåndhævelse og Retligt Samarbejde om, hvem der i tilfælde af Det Forenede Kongerige er dets centrale myndighed, og hvem der i tilfælde af Unionen er den centrale myndighed i hver stat, der har udpeget en sådan myndighed eller, hvis det er foreskrevet i dens retssystem, flere centrale myndigheder til at bistå de kompetente judicielle myndigheder.
2.   Ved underretningen af Specialudvalget om Retshåndhævelse og Retligt Samarbejde i henhold til stk. 1 kan Det Forenede Kongerige og Unionen på vegne af en hvilken som helst af dens medlemsstater hver især angive, hvilken eller hvilke centrale myndigheder der, afhængigt af opbygningen af de relevante staters interne retssystem, er ansvarlige for den administrative overførsel og modtagelse af arrestordrer samt al anden officiel korrespondance vedrørende den administrative overførsel og modtagelse af arrestordrer. En sådan angivelse forpligter alle myndighederne i den udstedende stat.
Artikel 606
Arrestordrens indhold og form
1.   Arrestordren skal indeholde følgende oplysninger, som er angivet i formularen i bilag 43:
a)
den eftersøgtes identitet og nationalitet
b)
navn, adresse, telefon- og faxnummer samt e-postadresse på den judicielle myndighed i udstedelseslandet
c)
angivelse af, om der foreligger en eksigibel dom, en arrestordre eller en anden eksigibel afgørelse med samme retskraft, som falder ind under anvendelsesområdet for artikel 599
d)
lovovertrædelsens karakter og retlige beskrivelse, navnlig i relation til artikel 599
e)
en beskrivelse af, under hvilke omstændigheder lovovertrædelsen er begået, herunder tidspunkt, sted og omfang af den eftersøgtes deltagelse heri
f)
den idømte straf, hvis der er tale om en endelig dom, eller den strafferamme, der er fastsat for den pågældende lovovertrædelse i henhold til den udstedende stats ret og
g)
så vidt muligt andre følger af lovovertrædelsen.
2.   Arrestordren skal ledsages af en oversættelse til det eller de officielle sprog i den fuldbyrdende stat. Det Forenede Kongerige og Unionen på vegne af en hvilken som helst af dens medlemsstater kan hver især meddele Specialudvalget om Retshåndhævelse og Retligt Samarbejde, at en oversættelse til et eller flere af de officielle sprog i en stat vil blive accepteret.
Artikel 607
Fremsendelse af en arrestordre
Hvis den eftersøgte persons opholdssted er kendt, kan den udstedende judicielle myndighed sende arrestordren direkte til den fuldbyrdende judicielle myndighed.
Artikel 608
Regler for fremsendelse af en arrestordre
1.   Hvis den udstedende judicielle myndighed ikke har kendskab til den kompetente fuldbyrdende judicielle myndighed, foretager den de nødvendige undersøgelser for at indhente oplysninger herom fra den fuldbyrdende stat.
2.   Den udstedende judicielle myndighed kan anmode Den Internationale Kriminalpolitiorganisation ("Interpol") om at fremsende en arrestordre.
3.   Den udstedende judicielle myndighed kan overføre arrestordren på en hvilken som helst sikker måde, der kan efterlade et skriftligt spor, og som giver den fuldbyrdende stat mulighed for at efterprøve arrestordrens ægthed.
4.   Alle vanskeligheder i forbindelse med fremsendelsen eller ægtheden af dokumenter, der er nødvendige for fuldbyrdelsen af arrestordren, løses ved direkte kontakter mellem de berørte judicielle myndigheder eller i givet fald med hjælp fra staternes centrale myndigheder.
5.   Hvis den myndighed, der modtager en arrestordre, ikke er kompetent til at behandle den, sender den straks arrestordren videre til den kompetente myndighed i sin stat og underretter den udstedende judicielle myndighed herom.
Artikel 609
Den eftersøgtes rettigheder
1.   Hvis en eftersøgt person anholdes på grundlag af en arrestordre, skal den fuldbyrdende judicielle myndighed i overensstemmelse med den fuldbyrdende stats nationale ret informere den pågældende om arrestordren og om dens indhold samt om muligheden for at give samtykke til overgivelse til den udstedende stat.
2.   En eftersøgt, der anholdes med henblik på fuldbyrdelse af en arrestordre, og som ikke taler eller forstår det sprog, der anvendes under retssagen, har ret til at blive bistået af en tolk og få tilvejebragt en skriftlig oversættelse på den eftersøgte persons modersmål eller på et andet sprog, som denne taler eller forstår, i overensstemmelse med den fuldbyrdende stats nationale lovgivning.
3.   En eftersøgt har ved anholdelsen ret til advokatbistand i overensstemmelse med den fuldbyrdende stats ret.
4.   Den eftersøgte underrettes om sin ret til at udpege en advokat i den udstedende stat med henblik på at bistå advokaten i den fuldbyrdende stat under retssagen. Dette stykke berører ikke de frister, der er fastsat i artikel 621.
5.   En eftersøgt person, der anholdes, har ret til at få de konsulære myndigheder i den stat, hvor den pågældende er statsborger, eller, hvis den pågældende er statsløs, de konsulære myndigheder i den stat, hvor den pågældende person har sit sædvanlige opholdssted, underrettet om anholdelsen uden unødig forsinkelse og til at kommunikere med disse myndigheder, hvis den pågældende ønsker det.
Artikel 610
Varetægtsfængsling af en person
Når en person anholdes på grundlag af en arrestordre, skal den fuldbyrdende judicielle myndighed afgøre, om den pågældende skal forblive varetægtsfængslet i overensstemmelse med den fuldbyrdende stats nationale ret. Den pågældende kan på et hvilket som helst tidspunkt løslades midlertidigt i overensstemmelse med den fuldbyrdende stats nationale ret, under forudsætning af at denne stats kompetente myndighed træffer alle de nødvendige foranstaltninger til at undgå, at den pågældende stikker af.
Artikel 611
Samtykke til overgivelse
1.   Hvis den anholdte person oplyser, at den pågældende giver sit samtykke til overgivelse, afgives dette samtykke og i givet fald det udtrykkelige afkald på anvendelse af "specialitetsreglen", jf. artikel 625, stk. 2, til den fuldbyrdende judicielle myndighed i overensstemmelse med den fuldbyrdende stats nationale lovgivning.
2.   Staterne træffer de nødvendige foranstaltninger til, at samtykket og i givet fald afkaldet som omhandlet i stk. 1 indhentes på en sådan måde, at det fremgår, at den pågældende frivilligt har afgivet dem med fuldt kendskab til følgerne heraf. Med henblik herpå har den eftersøgte ret til advokatbistand.
3.   Samtykket og i givet fald afkaldet som omhandlet i stk. 1 føres til protokols i overensstemmelse med den fuldbyrdende medlemsstats nationale lovgivning.
4.   Samtykket kan i princippet ikke tilbagekaldes. Staterne kan fastsætte, at samtykket og i givet fald afkaldet som omhandlet i denne artikels stk. 1 kan tilbagekaldes i henhold til deres nationale lovgivning. I så fald medregnes perioden mellem datoen for samtykket og datoen for tilbagekaldelsen ikke ved fastlæggelsen af fristerne i artikel 621. Det Forenede Kongerige og Unionen på vegne af en hvilken som helst af dens medlemsstater kan hver især underrette Specialudvalget om Retshåndhævelse og Retligt Samarbejde om, at de ønsker at gøre brug af denne mulighed og her angive procedurerne for, hvordan samtykket kan tilbagekaldes, og eventuelle ændringer af disse procedurer.
Artikel 612
Afhøring af den eftersøgte
Hvis den anholdte ikke giver sit samtykke til overgivelse som omhandlet i artikel 611, har vedkommende ret til at blive hørt af den fuldbyrdende judicielle myndighed i overensstemmelse med den fuldbyrdende stats lovgivning.
Artikel 613
Afgørelse om overgivelse
1.   Den fuldbyrdende judicielle myndighed træffer inden for de fastsatte frister og på de betingelser, der er fastsat i dette afsnit, og navnlig ud fra proportionalitetsprincippet som omhandlet i artikel 597, afgørelse om, hvorvidt den pågældende skal overgives.
2.   Hvis den fuldbyrdende judicielle myndighed finder, at de oplysninger, som den udstedende stat har fremsendt, ikke er tilstrækkelige til, at den kan træffe afgørelse om overgivelsen, anmoder den om, at de nødvendige supplerende oplysninger, navnlig med hensyn til artikel 597, artikel 600 til 602, artikel 604 og artikel 606 hurtigst muligt udstedes, og den kan fastsætte en frist for modtagelse heraf under hensyntagen til fristerne i artikel 615.
3.   Den udstedende judicielle myndighed kan til enhver tid fremsende yderligere nyttige oplysninger til den fuldbyrdende judicielle myndighed.
Artikel 614
Afgørelse i tilfælde af konkurrerende anmodninger
1.   Hvis to eller flere stater har udstedt en europæisk arrestordre eller en arrestordre vedrørende den samme person, træffes afgørelsen om, hvilken af disse arrestordrer der skal fuldbyrdes, af den fuldbyrdende judicielle myndighed under behørig hensyntagen til samtlige omstændigheder, herunder navnlig lovovertrædelsernes relative grovhed og det sted, de er begået, de respektive datoer for arrestordrerne eller de europæiske arrestordrer, og om de er udstedt med henblik på retsforfølgning eller fuldbyrdelse af en frihedsstraf eller en anden frihedsberøvende foranstaltning, og til medlemsstaternes retlige forpligtelser i henhold til EU-retten vedrørende navnlig principperne om fri bevægelighed og ikkeforskelsbehandling på grundlag af nationalitet.
2.   Den fuldbyrdende judicielle myndighed i en medlemsstat kan rådføre sig med Eurojust med henblik på at træffe den i stk. 1 nævnte afgørelse.
3.   Hvis der opstår konflikt mellem en arrestordre og en udleveringsanmodning fra et tredjeland, afgør den kompetente myndighed i den fuldbyrdende stat, om det er den europæiske arrestordre eller udleveringsanmodningen, der skal have forrang, under behørig hensyntagen til alle forhold, herunder navnlig de forhold, der er omhandlet i stk. 1, samt dem, der er nævnt i den konvention eller aftale, der finder anvendelse.
4.   Denne artikel berører ikke staternes forpligtelser i henhold til statutten for Den Internationale Straffedomstol.
Artikel 615
Frister og procedurer i forbindelse med afgørelsen om fuldbyrdelse af arrestordren
1.   En arrestordre behandles og fuldbyrdes som hastesag.
2.   I tilfælde, hvor den eftersøgte giver sit samtykke til overgivelse, træffes den endelige afgørelse om fuldbyrdelsen af arrestordren inden for en frist på ti dage, efter at samtykket er givet.
3.   I andre tilfælde træffes den endelige afgørelse om fuldbyrdelse af arrestordren senest 60 dage efter anholdelsen af den eftersøgte.
4.   I konkrete tilfælde, hvor arrestordren ikke kan fuldbyrdes inden for de i stk. 2 og 3 fastsatte frister, underretter den fuldbyrdende judicielle myndighed straks den udstedende judicielle myndighed herom og om grundene hertil. I så fald kan fristerne forlænges med yderligere 30 dage.
5.   Så længe den fuldbyrdende judicielle myndighed ikke har truffet endelig afgørelse om fuldbyrdelse af arrestordren, sikrer den, at de materielle betingelser for overgivelse fortsat er opfyldt.
6.   Ethvert afslag på fuldbyrdelse af en arrestordre skal begrundes.
Artikel 616
Forholdsregler i forbindelse med afgørelsen
1.   Hvis arrestordren er udstedt med henblik på strafforfølgning, skal den fuldbyrdende judicielle myndighed enten:
a)
give samtykke til, at den eftersøgte afhøres i overensstemmelse med artikel 617 eller
b)
give samtykke til, at den eftersøgte overføres midlertidigt.
2.   Betingelserne for midlertidig overførelse og dennes varighed aftales mellem den udstedende judicielle myndighed og den fuldbyrdende judicielle myndighed.
3.   I tilfælde af midlertidig overførelse skal den eftersøgte kunne vende tilbage til den fuldbyrdende stat for at overvære de retsmøder, der vedrører den pågældende som en del af overgivelsesproceduren.
Artikel 617
Afhøring af personen i forbindelse med afgørelsen
1.   Den eftersøgte afhøres af en judiciel myndighed. Den eftersøgte skal i denne forbindelse bistås af en advokat, der udpeges efter den udstedende stats lovgivning.
2.   Den eftersøgte afhøres i overensstemmelse med retten i den fuldbyrdende stat og på de betingelser, der er aftalt mellem den udstedende judicielle myndighed og den fuldbyrdende judicielle myndighed.
3.   Den kompetente fuldbyrdende judicielle myndighed kan udpege en anden judiciel myndighed i sin stat til at deltage i afhøringen af den eftersøgte med henblik på at sikre korrekt anvendelse af denne artikel.
Artikel 618
Privilegier og immuniteter
1.   Hvis den eftersøgte person nyder et privilegium eller en immunitet i forbindelse med fuldbyrdelse eller retsforfølgning i den fuldbyrdende stat, løber de frister, der er omhandlet i artikel 615, først fra det tidspunkt, hvor eller hvis den fuldbyrdende judicielle myndighed er blevet underrettet om, at privilegiet eller immuniteten er blevet ophævet.
2.   Den fuldbyrdende stat sikrer, at de materielle betingelser for overgivelse er opfyldt, hvis den eftersøgte ikke længere nyder et sådant privilegium eller en sådan immunitet.
3.   Påhviler ophævelsen af privilegiet eller immuniteten en myndighed i den fuldbyrdende stat, anmoder den fuldbyrdende judicielle myndighed straks den pågældende myndighed derom. Påhviler ophævelsen af privilegiet eller immuniteten en myndighed i en anden stat, et tredjeland eller en international organisation, anmoder den udstedende judicielle myndighed den pågældende myndighed derom.
Artikel 619
Konkurrerende internationale forpligtelser
1.   Denne aftale anfægter ikke den fuldbyrdende stats forpligtelser, når den eftersøgte er udleveret til denne stat fra et tredjeland, og den pågældende er beskyttet af specialitetsreglen i henhold til de regler, hvorefter udleveringen fandt sted. Den fuldbyrdende stat træffer alle nødvendige foranstaltninger for straks at anmode om samtykke fra det tredjeland, som har udleveret den eftersøgte, således at den eftersøgte kan overgives til den stat, der har udstedt arrestordren. Fristerne i artikel 615 løber først fra den dag, hvor specialitetsreglen ophører med at finde anvendelse.
2.   Indtil der er truffet afgørelse i det tredjeland, hvorfra den eftersøgte er udleveret, sikrer den fuldbyrdende stat, at de materielle betingelser, der er nødvendige for effektiv overgivelse, fortsat er opfyldt.
Artikel 620
Underretning om afgørelsen
Den fuldbyrdende judicielle myndighed underretter straks den udstedende judicielle myndighed om, hvorvidt arrestordren vil blive fuldbyrdet.
Artikel 621
Frist for overgivelse af den eftersøgte
1.   Den eftersøgte overgives snarest muligt på en dato, der aftales mellem de berørte myndigheder.
2.   Den eftersøgte overgives, senest ti dage efter at den endelige afgørelse om fuldbyrdelse af arrestordren er truffet.
3.   Hvis det på grund af omstændigheder, som ikke kan tilskrives nogen af staterne, viser sig umuligt at overgive den eftersøgte inden for den i stk. 2 fastsatte frist, kontakter den fuldbyrdende judicielle myndighed og den udstedende judicielle myndighed straks hinanden og aftaler en ny dato for overgivelse. I så fald finder overgivelsen sted senest ti dage efter den således aftalte nye dato.
4.   En overgivelse kan undtagelsesvis udsættes midlertidigt af tungtvejende humanitære grunde, f.eks. hvis der er vægtige grunde til at antage, at overgivelsen klart ville bringe den eftersøgtes liv eller helbred i fare. Arrestordren skal fuldbyrdes, så snart disse grunde ikke længere foreligger. Den fuldbyrdende judicielle myndighed underretter straks den udstedende judicielle myndighed herom, og de aftaler en ny dato for overgivelsen. I så fald finder overgivelsen sted senest ti dage efter den aftalte nye dato.
5.   Hvis den eftersøgte stadig er varetægtsfængslet efter udløbet af de i stk. 2-4 nævnte frister, løslades vedkommende. De fuldbyrdende og udstedende judicielle myndigheder kontakter hinanden, så snart det viser sig, at en person skal løslades i henhold til dette stykke, og aftaler de nærmere bestemmelser for overgivelsen af den pågældende person.
Artikel 622
Udsættelse af overgivelsen eller betinget overgivelse
1.   Den fuldbyrdende judicielle myndighed kan efter at have besluttet at fuldbyrde arrestordren udsætte overgivelsen af den eftersøgte, for at vedkommende kan retsforfølges i den fuldbyrdende stat, eller, hvis den eftersøgte allerede er dømt, for at vedkommende på den udstedende stats område kan afsone en straf for en anden overtrædelse end den, der ligger til grund for arrestordren.
2.   I stedet for at udsætte overgivelsen kan den fuldbyrdende judicielle myndighed midlertidigt overgive den eftersøgte til den udstedende stat på betingelser, der skal aftales mellem de fuldbyrdende judicielle myndigheder og de udstedende judicielle myndigheder. Aftalen skal være skriftlig, og betingelserne er bindende for alle myndigheder i den udstedende stat.
Artikel 623
Transit
1.   Hver stat tillader transit gennem sit område af en eftersøgt person, der er overgivet, forudsat at staten har modtaget oplysninger om:
a)
identiteten og nationaliteten på den person, der er omfattet af en arrestordre
b)
eksistensen af en arrestordre
c)
lovovertrædelsens karakter og retlige beskrivelse og
d)
omstændighederne ved lovovertrædelsen, herunder tid og sted.
2.   Den stat, på hvis vegne der er indgivet meddelelse i overensstemmelse med artikel 603, stk. 2, således at statsborgere ikke vil blive overgivet, eller at overgivelse kun tillades på visse bestemte vilkår, kan på samme betingelser nægte at give tilladelse til transit af dens egne statsborgere gennem dens område eller underkaste den de samme betingelser.
3.   Staterne udpeger en myndighed, der er ansvarlig for at modtage transitanmodninger og de nødvendige dokumenter samt al anden officiel korrespondance vedrørende transitanmodninger.
4.   Transitanmodningen og de i stk. 1 nævnte oplysninger kan meddeles den myndighed, der er udpeget i medfør af stk. 3, på en hvilken som helst måde, der kan efterlade et skriftligt spor. Transitstaten meddeler sin afgørelse på samme måde.
5.   Dette afsnit finder ikke anvendelse i forbindelse med flyrejser uden planlagt mellemlanding. Finder der imidlertid i forbindelse med en sådan flyrejse en uforudset landing sted, giver den udstedende stat den myndighed, der er udpeget i medfør af stk. 3, de i stk. 1 nævnte oplysninger.
6.   Når en person, der skal udleveres fra et tredjeland til en stat, befinder sig i transit, finder denne artikel tilsvarende anvendelse. Navnlig skal henvisninger til en "arrestordre" betragtes som henvisninger til en "udleveringsanmodning".
Artikel 624
Fratrækning af varigheden af varetægtsfængslingen i den fuldbyrdende stat
1.   Den udstedende stat fradrager enhver periode, hvor den eftersøgte har været varetægtsfængslet i forbindelse med fuldbyrdelsen af en arrestordre, i den samlede varighed af den periode, den pågældende skal afsone i den udstedende stat som følge af idømmelsen af en frihedsstraf eller en anden frihedsberøvende foranstaltning.
2.   Den fuldbyrdende judicielle myndighed eller den centrale myndighed, der er udpeget i medfør af artikel 605, fremsender samtidig med overgivelsen alle oplysninger om varigheden af den eftersøgtes varetægtsfængsling på grundlag af arrestordren, til den udstedende judicielle myndighed.
Artikel 625
Eventuel retsforfølgning for andre lovovertrædelser
1.   Det Forenede Kongerige og Unionen på vegne af en hvilken som helst af dens medlemsstater kan hver især meddele Specialudvalget om Retshåndhævelse og Retligt Samarbejde, at i forhold til andre stater, der er omfattet af samme meddelelse, formodes samtykke at være givet til retsforfølgning, idømmelse af straf eller tilbageholdelse med henblik på fuldbyrdelse af en straffedom eller en anden frihedsberøvende foranstaltning for andre inden overgivelsen begåede lovovertrædelser end den, for hvilken den pågældende er overgivet, medmindre den fuldbyrdende judicielle myndighed i en konkret sag anfører andet i sin afgørelse om overgivelse.
2.   Bortset fra de i stk. 1 og 3 omhandlede tilfælde kan en person, der er overgivet, ikke retsforfølges, idømmes straf eller på anden måde tilbageholdes for andre inden overgivelsen begåede lovovertrædelser end den, for hvilken den pågældende er overgivet.
3.   Stk. 2 i denne artikel gælder ikke i følgende tilfælde:
a)
den pågældende har efter at have haft mulighed for at forlade den stat, han er overgivet til, undladt dette inden for 45 dage efter den endelige løsladelse eller er vendt tilbage til denne medlemsstats område efter at have forladt det
b)
lovovertrædelsen kan ikke straffes med frihedsberøvelse
c)
retsforfølgningen medfører ikke anvendelse af en foranstaltning, der begrænser den pågældendes personlige frihed
d)
den pågældende vil blive pålagt en straf eller en foranstaltning, der ikke indebærer frihedsberøvelse, herunder bødestraf eller en anden foranstaltning, der måtte træde i stedet for bøde, også selv om denne straf eller foranstaltning begrænser den pågældendes personlige frihed
e)
den pågældende har givet sit samtykke til overgivelse, eventuelt samtidig med at den pågældende har givet afkald på anvendelse af specialitetsreglen, i henhold til artikel 611
f)
den pågældende giver efter overgivelsen udtrykkeligt afkald på anvendelse af specialitetsreglen for specifikke lovovertrædelser, der er begået inden overgivelsen; afkaldet skal afgives til den kompetente udstedende judicielle myndighed og føres til protokols i overensstemmelse med den udstedende stats nationale lovgivning; afkaldet skal indhentes på en sådan måde, at det fremgår, at den pågældende har givet det frivilligt og med fuldt kendskab til følgerne; med henblik herpå har den pågældende ret til en advokat og
g)
den fuldbyrdende judicielle myndighed, der har overgivet den pågældende, giver sit samtykke i henhold til denne artikels stk. 4.
4.   Anmodningen om samtykke skal indgives til den fuldbyrdende judicielle myndighed med de oplysninger, der er nævnt i artikel 606, stk. 1, og være ledsaget af en oversættelse som omhandlet i artikel 606, stk. 2. Samtykke skal gives, når den lovovertrædelse, for hvilken der er anmodet om samtykke, i sig selv giver anledning til overgivelse i henhold til bestemmelserne i denne afsnit. Samtykke skal nægtes af de grunde, der henvises til i artikel 600, og må ellers kun nægtes af de grunde, der henvises til i artikel 601 eller artikel 602, stk. 2, og 603, stk. 2. Afgørelsen skal træffes senest 30 dage efter modtagelse af anmodningen. I situationer, der er omhandlet i artikel 604, skal den udstedende stat give de deri fastsatte garantier.
Artikel 626
Overgivelse eller senere udlevering
1.   Det Forenede Kongerige og Unionen på vegne af en hvilken som helst af dens medlemsstater kan hver især meddele Specialudvalget om Retshåndhævelse og Retligt Samarbejde, at i forhold til andre stater, der er omfattet af samme meddelelse, formodes samtykke at være givet til overgivelse af en person til en anden stat end fuldbyrdelsesstaten i henhold til en arrestordre eller en europæisk arrestordre, der er udstedt for en lovovertrædelse, som er begået inden overgivelsen, medmindre den fuldbyrdende judicielle myndighed i en konkret sag anfører andet i sin afgørelse om overgivelse.
2.   En person, der er overgivet til den udstedende stat i henhold til en arrestordre eller en europæisk arrestordre, kan under alle omstændigheder uden den fuldbyrdende medlemsstats samtykke overgives til en anden stat end den fuldbyrdende stat i henhold til en arrestordre eller en europæisk arrestordre, der er udstedt for en lovovertrædelse, som er begået inden overgivelsen, i følgende tilfælde:
a)
den eftersøgte har efter at have haft mulighed for at forlade den stat, han er overgivet til, undladt dette inden for 45 dage efter den endelige løsladelse eller er vendt tilbage til denne medlemsstats område efter at have forladt det
b)
den eftersøgte giver sit samtykke til at blive overgivet til en anden stat end den fuldbyrdende stat i henhold til en arrestordre eller europæisk arrestordre; samtykket skal afgives til de kompetente udstedende judicielle myndigheder og føres til protokols i overensstemmelse med den udstedende stats nationale lovgivning; samtykket skal gives på en sådan måde, at det fremgår, at den pågældende frivilligt har givet det med fuldt kendskab til følgerne; med henblik herpå har den eftersøgte person ret til en advokat og
c)
den eftersøgte er ikke omfattet af specialitetsreglen i overensstemmelse med artikel 625, stk. 3, litra a), e), f) eller g).
3.   Den fuldbyrdende judicielle myndighed skal give sit samtykke til overgivelsen til en anden stat i overensstemmelse med følgende regler:
a)
anmodningen om samtykke skal indgives i overensstemmelse med artikel 607 og være ledsaget af de oplysninger, der er nævnt i artikel 606, stk. 1, og en oversættelse som omhandlet i artikel 606, stk. 2
b)
samtykke skal gives, når den lovovertrædelse, for hvilken der er anmodet om samtykke, i sig selv giver anledning til overgivelse i henhold til bestemmelserne i denne aftale
c)
afgørelsen skal træffes senest 30 dage efter modtagelse af anmodningen og
d)
samtykke skal nægtes af de grunde, der henvises til i artikel 600, og må ellers kun nægtes af de grunde, der henvises til i artikel 601, artikel 602, stk. 2, og artikel 603, stk. 2.
4.   I situationer, der er omhandlet i artikel 604, skal den udstedende stat give de deri fastsatte garantier.
5.   Uanset stk. 1 må en person, der er overgivet i henhold til en arrestordre, ikke udleveres til et tredjeland uden samtykke fra den kompetente myndighed i den stat, der har overgivet den pågældende. Samtykke skal gives i overensstemmelse med de konventioner, som denne stat er bundet af, samt i overensstemmelse med dens nationale lovgivning.
Artikel 627
Overgivelse af genstande
1.   Den fuldbyrdende judicielle myndighed skal i overensstemmelse med den fuldbyrdende stats nationale lovgivning og efter anmodning fra den udstedende judicielle myndighed, eller på eget initiativ, beslaglægge og overgive genstande:
a)
som er påkrævede som bevismateriale, eller
b)
som den eftersøgte har erhvervet som resultat af lovovertrædelsen.
2.   De i stk. 1 nævnte genstande skal udleveres, selv om arrestordren ikke kan fuldbyrdes på grund af den eftersøgtes død eller undvigelse.
3.   Hvis de i stk. 1 nævnte genstande beslaglægges eller konfiskeres på den fuldbyrdende stats område, kan denne stat i forbindelse med verserende strafforfølgning midlertidigt tilbageholde eller udlevere dem til den udstedende stat på betingelse af, at de senere tilbageleveres.
4.   Enhver rettighed, som den fuldbyrdende stat eller tredjemand måtte have over de i stk. 1 nævnte genstande, bevares. Hvis der findes sådanne rettigheder, skal den udstedende stat straks efter retsforfølgningen vederlagsfrit tilbagelevere genstandene til den fuldbyrdende stat.
Artikel 628
Udgifter
1.   Den fuldbyrdende stat afholder de udgifter på sit område, der følger af fuldbyrdelsen af en arrestordre.
2.   Alle andre udgifter afholdes af den udstedende stat.
Artikel 629
Forholdet til andre juridiske instrumenter
1.   Dette afsnit træder fra datoen for denne aftales ikrafttræden i stedet for de tilsvarende bestemmelser i følgende konventioner, der finder anvendelse på udlevering mellem Det Forenede Kongerige på den ene side og medlemsstaterne på den anden side, med forbehold af deres anvendelse i forholdet mellem stater og tredjelande:
a)
den europæiske konvention om udlevering, udfærdiget i Paris den 13. december 1957, med tilhørende tillægsprotokoller og
b)
den europæiske konvention om bekæmpelse af terrorisme for så vidt angår udlevering.
2.   I det omfang de i stk. 1 omhandlede konventioner finder anvendelse på staternes territorier eller på territorier, hvis udenrigsanliggender varetages af en stat, og på hvilke dette afsnit ikke finder anvendelse, regulerer de pågældende konventioner fortsat forbindelserne mellem disse territorier og de øvrige stater.
Artikel 630
Gennemgang af meddelelser
Når parterne i fællesskab gennemgår dette afsnit, jf. artikel 691, stk. 1, skal parterne også overveje nødvendigheden af at opretholde de underretninger, der er indgivet i henhold til artikel 599, stk. 4, artikel 602, stk. 2, og artikel 603, stk. 2. Hvis de underretninger, der er omhandlet i artikel 603, stk. 2, ikke fornys, udløber de fem år efter datoen for denne aftales ikrafttræden. De i artikel 603, stk. 2, omhandlede meddelelser kan kun fornys eller udfærdiges på ny inden for de tre måneder, der går forud for femårsdagen for denne aftales ikrafttræden, og derefter hvert femte år, forudsat at betingelserne i artikel 603, stk. 2, er opfyldt på det pågældende tidspunkt.
Artikel 631
Igangværende arrestordrer i tilfælde af ikkeanvendelse
Uanset artikel 526, artikel 692 og artikel 693 finder bestemmelserne i dette afsnit anvendelse på arrestordrer, hvor den eftersøgte er blevet anholdt inden ikkeanvendelsen af dette afsnit, med henblik på fuldbyrdelse af en arrestordre, uanset om den fuldbyrdende judicielle myndighed har truffet afgørelse om, hvorvidt den eftersøgte person skal forblive varetægtsfængslet eller midlertidigt løslades.
Artikel 632
Anvendelse på eksisterende europæiske arrestordrer
Dette afsnit finder anvendelse på europæiske arrestordrer, der er udstedt i overensstemmelse med Rådets rammeafgørelse 2002/584/RIA 
(
81
)
 af en stat inden overgangsperiodens udløb, hvis den eftersøgte ikke er blevet anholdt med henblik på fuldbyrdelse inden overgangsperiodens udløb.
AFSNIT VIII
GENSIDIG BISTAND
Artikel 633
Formål
1.   Formålet med dette afsnit er at supplere bestemmelserne og lette anvendelsen mellem medlemsstaterne på den ene side og Det Forenede Kongerige på den anden side af:
a)
den europæiske konvention om gensidig retshjælp i straffesager, udfærdiget i Strasbourg den 20. april 1959, "den europæiske konvention om gensidig retshjælp"
b)
tillægsprotokollen til den europæiske konvention om gensidig retshjælp, udfærdiget i Strasbourg den 17. marts 1978 og
c)
den 2. tillægsprotokol til den europæiske konvention om gensidig retshjælp, udfærdiget i Strasbourg den 8. november 2001.
2.   Dette afsnit berører ikke bestemmelserne i afsnit IX, som har forrang for dette afsnit.
Artikel 634
Definition af kompetent myndighed
I dette afsnit forstås ved "kompetent myndighed" enhver myndighed, der har kompetence til at sende eller modtage anmodninger om gensidig bistand i overensstemmelse med bestemmelserne i den europæiske konvention om gensidig retshjælp og protokollerne hertil, og som defineret af staterne i deres respektive erklæringer til Europarådets generalsekretær. "Kompetent myndighed" omfatter også EU-organer, der er underrettet i overensstemmelse med artikel 690, stk. 7, litra d); bestemmelserne i dette afsnit finder tilsvarende anvendelse på sådanne EU-organer.
Artikel 635
Formular til anmodning om gensidig bistand
1.   Specialudvalget om Retshåndhævelse og Retligt Samarbejde udarbejder en standardformular til anmodninger om gensidig bistand ved at vedtage et bilag til denne aftale.
2.   Hvis Specialudvalget om Retshåndhævelse og Retligt Samarbejde har vedtaget en afgørelse i henhold til stk. 1, skal anmodningerne om gensidig bistand fremsættes ved hjælp af standardformularen.
3.   Specialudvalget om Retshåndhævelse og Retligt Samarbejde kan om nødvendigt ændre standardformularen til anmodninger om gensidig bistand.
Artikel 636
Betingelser for anmodning om gensidig bistand
1.   Den kompetente myndighed i den bistandssøgende stat kan kun fremsætte en anmodning om gensidig bistand, hvis den finder det godtgjort, at følgende betingelser er opfyldt:
a)
anmodningen er nødvendig og står i et rimeligt forhold til formålet med retssagen under hensyntagen til den mistænktes eller tiltaltes rettigheder og
b)
der kunne være blevet udstedt kendelse om den eller de efterforskningsforanstaltninger, der er anført i anmodningen, under samme omstændigheder i en lignende national sag.
2.   Den bistandssøgte stat kan konsultere den bistandssøgende stat, hvis den kompetente myndighed i den bistandssøgte stat er af den opfattelse, at betingelserne i stk. 1 ikke er opfyldt. Efter konsultationen kan den bistandssøgende stats kompetente myndighed beslutte at trække anmodningen om gensidig bistand tilbage.
Artikel 637
Benyttelse af alternative efterforskningsforanstaltninger
1.   Hvor det er muligt, skal den kompetente myndighed i den bistandssøgte stat overveje at anvende en anden efterforskningsforanstaltning end den foranstaltning, der er fastsat i anmodningen om gensidig bistand, hvis:
a)
efterforskningsforanstaltningen i anmodningen ikke findes i henhold til lovgivningen i den bistandssøgte stat eller
b)
efterforskningsforanstaltningen i anmodningen ikke ville være tilgængelig i en lignende national sag.
2.   Uden at det berører de begrundelser for afslag, der er tilgængelige i henhold til den europæiske konvention om gensidig retshjælp og protokollerne hertil og i henhold til artikel 639, finder nærværende artikels stk. 1 ikke anvendelse på følgende efterforskningsforanstaltninger, der altid skal være tilgængelige i henhold til den bistandssøgte stats lovgivning:
a)
fremskaffelse af oplysninger fra politiets eller de judicielle myndigheders databaser, som den kompetente myndighed i den bistandssøgte stat har direkte adgang til inden for rammerne af straffesager
b)
afhøring af vidner, eksperter, ofre, mistænkte eller tiltalte eller tredjemand på den bistandssøgte stats område
c)
enhver ikkeindgribende efterforskningsforanstaltning som defineret i den bistandssøgte stats lovgivning og
d)
identificering af personer, der har abonnement på et bestemt telefonnummer eller en bestemt IP-adresse.
3.   Den bistandssøgte stats kompetente myndighed kan også anvende en anden efterforskningsforanstaltning end den foranstaltning, der er anført i anmodningen om gensidig bistand, hvis den efterforskningsforanstaltning, som den kompetente myndighed i den bistandssøgte stat har valgt, ville føre til samme resultat med mindre indgribende midler, end den efterforskningsforanstaltning, der er anført i anmodningen.
4.   Hvis den kompetente myndighed i den bistandssøgte stat beslutter at anvende en anden foranstaltning end den, der er anført i anmodningen, jf. stk. 1 og 3, skal den først underrette den kompetente myndighed i den bistandssøgende stat, som kan beslutte at trække anmodningen tilbage eller supplere den.
5.   Hvis den efterforskningsforanstaltning, der anføres i anmodningen, ikke findes i henhold til lovgivningen i den bistandssøgte stat eller ikke ville være tilgængelig i en lignende national sag, og hvis der ikke findes nogen anden efterforskningsforanstaltning, der kan give samme resultat som den ønskede efterforskningsforanstaltning, underretter den kompetente myndighed i den bistandssøgte stat den kompetente myndighed i den bistandssøgende stat om, at det ikke har været muligt at yde den ønskede bistand.
Artikel 638
Pligt til underretning
Den kompetente myndighed i den bistandssøgte stat underretter straks den kompetente myndighed i den bistandssøgende stat på en hvilken som helst måde, hvis:
a)
det er umuligt at efterkomme anmodningen om gensidig bistand, fordi anmodningen er ufuldstændig eller åbenlyst ukorrekt, eller
b)
den kompetente myndighed i den bistandssøgte stat i forbindelse med fuldbyrdelsen af anmodningen om gensidig bistand uden yderligere forespørgsler finder, at det kan være hensigtsmæssigt at gennemføre efterforskningsmæssige foranstaltninger, som ikke oprindeligt var planlagt, eller som ikke kunne præciseres, da anmodningen om gensidig bistand blev indgivet, for at gøre det muligt for den bistandssøgende stats kompetente myndighed at træffe yderligere foranstaltninger i den konkrete sag.
Artikel 639
Forbud mod dobbelt strafforfølgning (ne bis in idem)
I tillæg til de begrundelser for afslag, der er anført i den europæiske konvention om gensidig retshjælp og protokollerne hertil, kan gensidig bistand afslås med begrundelse i, at den person, for hvem der anmodes om bistand, og som er genstand for strafferetlig efterforskning, retsforfølgning eller andre procedurer, herunder retssager, i den bistandssøgende stat, er blevet endeligt dømt af en anden stat for de samme forhold, forudsat at en sanktion, hvis den er blevet pålagt, er fuldbyrdet, er ved at blive fuldbyrdet eller ikke længere kan fuldbyrdes i henhold til domsstatens lovgivning.
Artikel 640
Tidsfrister
1.   Den bistandssøgte stat træffer afgørelse om fuldbyrdelse af anmodningen om gensidig bistand snarest muligt, og under alle omstændigheder senest 45 dage efter modtagelsen af anmodningen, og underretter den bistandssøgende stat om sin afgørelse.
2.   En anmodning om gensidig bistand indgives hurtigst muligt, og under alle omstændigheder senest 90 dage efter den i denne artikels stk. 1 omhandlede afgørelse eller efter den konsultation, der er omhandlet i artikel 636, stk. 2.
3.   Hvis det i anmodningen om gensidig bistand er angivet, at der på grund af proceduremæssige frister, lovovertrædelsens alvor eller andre særligt hastende omstændigheder er nødvendigt med en kortere frist end den, der er fastsat i stk. 1 eller 2, eller hvis det i anmodningen er angivet, at en foranstaltning til gensidig bistand skal gennemføres på en bestemt dato, tager den bistandssøgte stat så vidt muligt hensyn til dette krav.
4.   Hvis der anmodes om gensidig bistand for at træffe midlertidige foranstaltninger i henhold til artikel 24 i anden tillægsprotokol til den europæiske konvention om gensidig retshjælp, træffer den kompetente myndighed i den bistandssøgte stat afgørelse om den midlertidige foranstaltning og underretter den kompetente myndighed i den bistandssøgende stat om denne afgørelse snarest muligt efter modtagelsen af anmodningen. Inden ophævelse af nogen midlertidig foranstaltning, der er truffet i henhold til denne artikel, giver den kompetente myndighed i den bistandssøgte stat, når det er muligt, den kompetente myndighed i den bistandssøgende stat lejlighed til at begrunde en videreførelse af foranstaltningen.
5.   Hvis fristen, der er fastsat i stk. 1 eller 2, eller fristen eller den specifikke dato, der er fastsat i stk. 3, ikke kan overholdes i et specifikt tilfælde, eller hvis afgørelsen om at træffe midlertidige foranstaltninger i henhold til stk. 4 forsinkes, underretter den kompetente myndighed i den bistandssøgte stat straks og på en hvilken som helst måde den kompetente myndighed i den bistandssøgende stat om grundene til forsinkelsen og konsulterer den kompetente myndighed i den bistandssøgende stat om en passende tidsplan for efterkommelse af anmodningen om gensidig bistand.
6.   De frister, der er fastsat i denne artikel, finder ikke anvendelse, hvis anmodningen om gensidig bistand fremsættes i forbindelse med nogen af følgende strafbare handlinger eller overtrædelser, der falder ind under anvendelsesområdet for den europæiske konvention om gensidig retshjælp og protokollerne hertil, som defineret i den bistandssøgende stats lovgivning:
a)
hastighedsoverskridelser, hvis en anden person ikke blev kvæstet eller døde, og hvis overskridelsen ikke var signifikant
b)
kørsel uden sikkerhedssele
c)
fremkørsel mod rødt lys eller et andet obligatorisk stopsignal
d)
kørsel uden styrthjelm eller
e)
kørsel i en forbudt bane (f.eks. forbudt brug af en nødbane, en kørebane forbeholdt offentlig transport eller en på grund af vejarbejde lukket kørebane).
7.   Specialudvalget om Retshåndhævelse og Retligt Samarbejde overvåger anvendelsen af stk. 6. Det forpligter sig til at fastsætte frister for de anmodninger, som stk. 6 finder anvendelse på, senest tre år efter denne aftales ikrafttræden under hensyntagen til antallet af anmodninger. Det kan også beslutte, at stk. 6 ikke længere finder anvendelse.
Artikel 641
Fremsendelse af anmodninger om gensidig bistand
1.   Foruden de kommunikationskanaler, der foreligger i henhold til den europæiske konvention om gensidig retshjælp og protokollerne hertil, kan anmodninger om gensidig bistand også sendes direkte af anklagemyndighederne i Det Forenede Kongerige til medlemsstaternes kompetente myndigheder, hvis direkte fremsendelse er fastsat i henhold til de respektive bestemmelser.
2.   Ud over de kommunikationskanaler, der foreligger i henhold til den europæiske konvention om gensidig retshjælp og protokollerne hertil, kan enhver anmodning om gensidig retshjælp samt meddelelser uden forudgående anmodning i hastetilfælde videregives via Europol eller Eurojust i overensstemmelse med bestemmelserne i de respektive afsnit i denne aftale.
Artikel 642
Fælles efterforskningshold
Hvis staters kompetente myndigheder opretter et fælles efterforskningshold, underlægges forholdet mellem medlemsstaterne i det fælles efterforskningshold EU-retten, uanset det retsgrundlag, der henvises til i aftalen om oprettelse af et fælles efterforskningshold.
AFSNIT IX
UDVEKSLING AF STRAFFEREGISTEROPLYSNINGER
Artikel 643
Formål
1.   Formålet med dette afsnit er at muliggøre udveksling mellem medlemsstaterne på den ene side og Det Forenede Kongerige på den anden side af oplysninger fra strafferegistret.
2.   I forbindelserne mellem Det Forenede Kongerige og medlemsstaterne er formålet med bestemmelserne i dette afsnit:
a)
at supplere artikel 13 og artikel 22, stk. 2, i den europæiske konvention om gensidig retshjælp i straffesager og tillægsprotokollerne hertil af 17. marts 1978 og 8. november 2001 og
b)
at erstatte artikel 22, stk. 1, i den europæiske konvention om gensidig retshjælp i straffesager som suppleret af artikel 4 i tillægsprotokollen af 17. marts 1978.
3.   I forbindelserne mellem medlemsstaterne på den ene side og Det Forenede Kongerige på den anden side giver hver part afkald på at påberåbe sig deres forbehold over for artikel 13 i den europæiske konvention om gensidig retshjælp i straffesager og artikel 4 i tillægsprotokollen hertil af 17. marts 1978.
Artikel 644
Definitioner
I dette afsnit forstås ved:
a)
"straffedom": enhver endelig afgørelse truffet af en straffedomstol over for en fysisk person i forbindelse med en strafbar handling, for så vidt afgørelsen indlæses i domsstatens strafferegister
b)
"straffesag": fasen før retssagen, selve retssagen og fuldbyrdelsen af straffedommen
c)
"strafferegister": det eller de nationale registre, der indeholder oplysninger om afsagte domme i henhold til national ret.
Artikel 645
Centralmyndigheder
Hver stat udpeger en eller flere centrale myndigheder, der har kompetence til at udveksle oplysninger fra strafferegisteret i henhold til dette afsnit og til de udvekslinger, der henvises til i artikel 22, stk. 2, i den europæiske konvention om gensidig retshjælp i straffesager.
Artikel 646
Underretninger
1.   Hver stat træffer de nødvendige foranstaltninger for at sikre, at det i forbindelse med alle domme, der afsiges på dens område, ved overførslen til det nationale strafferegister anføres, hvilken nationalitet eller hvilke nationaliteter domfældte har, hvis vedkommende er statsborger i en anden stat.
2.   Den centrale myndighed i hver stat underretter den centrale myndighed i enhver anden stat om alle straffedomme afsagt på dens område over for sidstnævnte stats statsborgere samt om eventuelle efterfølgende ændringer eller sletninger af oplysninger, der er indeholdt i strafferegistret, således som de er registreret i strafferegistret. Staternes centrale myndigheder meddeler hinanden disse oplysninger mindst én gang om måneden.
3.   Hvis en stats centrale myndighed bliver opmærksom på, at en dømt person er statsborger i to eller flere andre stater, overfører den de relevante oplysninger til hver af disse stater, selv om den dømte er statsborger i den stat, på hvis område den pågældende er blevet dømt.
Artikel 647
Opbevaring af domme
1.   Hver stats centrale myndighed opbevarer alle de oplysninger, der er meddelt i henhold til artikel 646.
2.   Den centrale myndighed i hver stat sikrer, at der foretages en identisk ændring eller sletning af de oplysninger, der er opbevaret i overensstemmelse med denne artikels stk. 1, hvis der sker en efterfølgende ændring eller sletning i henhold til artikel 646, stk. 2.
3.   Hver stats centrale myndighed sikrer, at kun oplysninger, som er blevet ajourført i overensstemmelse med denne artikels stk. 2, stilles til rådighed, når de besvarer anmodninger i henhold til artikel 648.
Artikel 648
Anmodninger om oplysninger
1.   Hvis der anmodes om oplysninger fra en stats strafferegister på nationalt plan til brug for en straffesag mod en person eller med andet formål end en straffesag, kan den centrale myndighed i denne stat i overensstemmelse med national ret sende en anmodning til den centrale myndighed i en anden stat om udskrift af oplysninger og tilknyttede data fra strafferegistret.
2.   Hvis en person anmoder den centrale myndighed i en anden stat end den stat, hvori den pågældende person er statsborger, om oplysninger fra sit eget strafferegister, indgiver den pågældende centrale myndighed en anmodning til den centrale myndighed i den stat, hvori den pågældende person er statsborger, om oplysninger og tilknyttede data fra strafferegistret med henblik på at indsætte sådanne oplysninger og tilknyttede data i den udskrift, som den pågældende modtager.
Artikel 649
Svar på anmodninger
1.   Den anmodede stats centrale myndighed sender svar på anmodninger om oplysninger til den centrale myndighed i den anmodende stat snarest muligt og under alle omstændigheder inden for en frist på tyve arbejdsdage fra den dato, hvor anmodningen blev modtaget.
2.   Den centrale myndighed i hver stat skal svare på anmodninger, der fremsættes til andre formål end en straffesag i overensstemmelse med national ret.
3.   Uanset stk. 2 skal staterne, når de besvarer anmodninger med henblik på rekruttering til professionelle eller organiserede frivillige aktiviteter, der indebærer direkte og regelmæssig kontakt med børn, medtage oplysninger om eksistensen af straffedomme for lovovertrædelser, der vedrører seksuelt misbrug eller seksuel udnyttelse af børn, børnepornografi, hvervning af børn til seksuelle formål, herunder tilskyndelse, medvirken til eller forsøg på at begå en af disse strafbare handlinger, samt oplysninger om udelukkelse fra at udøve aktiviteter, der indebærer direkte og regelmæssig kontakt med børn, som følge af sådanne straffedomme.
Artikel 650
Kommunikationskanal
Udveksling mellem stater af oplysninger fra strafferegistret finder sted elektronisk i overensstemmelse med de tekniske og proceduremæssige specifikationer, der er fastsat i bilag 44.
Artikel 651
Betingelser for anvendelsen af personoplysninger
1.   Hver stat må kun anvende personoplysninger modtaget som svar på sin anmodning i henhold til artikel 649 til de formål, hvortil de blev anmodet.
2.   Hvis der er anmodet om oplysninger til andre formål end en straffesag, kan den anmodende stat anvende de personoplysninger, der modtages i henhold til artikel 649, i overensstemmelse med sin nationale lovgivning og kun inden for de grænser, som den anmodede stat har fastsat i formularen i kapitel 2 i bilag 44.
3.   Uanset denne artikels stk. 1 og 2 kan den anmodende stat anvende personoplysninger, der videregives af en stat som svar på en anmodning i henhold til artikel 649, til at forebygge en umiddelbar og alvorlig trussel mod den offentlige sikkerhed.
4.   Hver stat sikrer, at deres centrale myndigheder ikke videregiver personoplysninger, der er indberettet i henhold til artikel 646, til myndigheder i tredjelande, medmindre følgende betingelser er opfyldt:
a)
personoplysningerne videregives kun under hensyn til sagens konkrete omstændigheder
b)
personoplysningerne videregives til myndigheder, hvis funktioner er direkte forbundet med de formål, hvortil personoplysningerne videregives i henhold til litra c), i dette stykke
c)
personoplysningerne videregives kun, hvis det er nødvendigt:
i)
med henblik på straffesager
ii)
til andre formål end straffesager eller
iii)
for at forebygge en umiddelbar og alvorlig trussel mod den offentlige sikkerhed
d)
personoplysningerne må kun anvendes af det anmodende tredjeland til de formål, hvortil der blev anmodet om oplysningerne, og inden for de grænser, der er fastsat af den stat, der meddelte personoplysningerne i henhold til artikel 646 og
e)
personoplysningerne videregives kun, hvis den centrale myndighed efter at have vurderet alle omstændighederne i forbindelse med videregivelsen af personoplysningerne til tredjelandet konkluderer, at der foreligger passende garantier til beskyttelse af personoplysningerne.
2.   Denne artikel finder ikke anvendelse på personoplysninger, der er indhentet af en stat i henhold til dette afsnit, og som har oprindelse i den pågældende stat.
AFSNIT X
BEKÆMPELSE AF HVIDVASKNING AF PENGE OG AF FINANSIERING AF TERRORISME
Artikel 652
Formål
Formålet med dette afsnit er at støtte og styrke Unionens og Det Forenede Kongeriges foranstaltninger til forebyggelse og bekæmpelse af hvidvaskning af penge og finansiering af terrorisme.
Artikel 653
Foranstaltninger til forebyggelse og bekæmpelse af hvidvaskning af penge og finansiering af terrorisme
1.   Parterne er enige om at støtte internationale bestræbelser på at forebygge og bekæmpe hvidvaskning af penge og finansiering af terrorisme. Parterne erkender, at der er behov for at samarbejde om at forhindre, at deres finansielle systemer bruges til at hvidvaske indtægter fra kriminel aktivitet, f.eks. ulovlig narkotikahandel og korruption, og for at bekæmpe finansiering af terrorisme.
2.   Parterne udveksler relevante oplysninger inden for deres respektive retlige rammer, hvis det er relevant.
3.   Parterne opretholder hver især en omfattende ordning til bekæmpelse af hvidvaskning af penge og finansiering af terrorisme og gennemgår regelmæssigt behovet for at forbedre denne ordning under hensyntagen til principperne og målene i henstillingerne fra Den Finansielle Aktionsgruppe.
Artikel 654
Gennemsigtighed i reelt ejerskab for virksomheder og andre juridiske enheder
1.   I denne artikel forstås ved:
a)
"reel ejer": enhver fysisk person, som i forhold til en selskabsenhed og i overensstemmelse med partens love og forskrifter:
i)
udøver eller har ret til at udøve endelig kontrol over forvaltningen af enheden
ii)
i sidste ende ejer eller direkte eller indirekte kontrollerer mere end 25 % af stemmerettighederne eller aktierne eller andre ejerandele i enheden, uden at dette berører hver parts ret til at fastsætte en lavere procentsats eller
iii)
på anden måde kontrollerer eller har ret til at kontrollere enheden.
For så vidt angår juridiske enheder såsom stiftelser, en "Anstalt" eller partnerskaber med begrænset ansvar har hver part ret til at fastsætte lignende kriterier for identifikation af den reelle ejer eller, hvis de vælger det, at anvende definitionen i artikel 655, stk. 1, litra a), under hensyntagen til sådanne enheders form og struktur.
For så vidt angår andre retlige enheder, der ikke er nævnt ovenfor, tager hver part hensyn til sådanne enheders forskellige former og strukturer og til den grad af risici for hvidvaskning af penge og finansiering af terrorisme, der er forbundet med sådanne enheder, med henblik på at fastlægge passende gennemsigtighedsniveauer for reelt ejerskab.
b)
"grundlæggende oplysninger om en reel ejer": den reelle ejers navn, fødselsmåned og fødselsår, bopælsland og nationalitet samt arten og omfanget af de interesser, som den reelle ejer besidder, eller den kontrol, som den reelle ejer udøver over enheden
c)
"kompetente myndigheder":
i)
offentlige myndigheder, herunder finansielle efterretningsenheder, der særligt har ansvaret for at bekæmpe hvidvaskning af penge eller finansiering af terrorisme
ii)
offentlige myndigheder, der har til opgave at efterforske eller retsforfølge i sager om hvidvaskning af penge, tilknyttede underliggende forbrydelser eller finansiering af terrorisme, eller som har til opgave at opspore, beslaglægge eller indefryse og konfiskere kriminelle aktiver
iii)
offentlige myndigheder med ansvar for tilsyn eller overvågning, der har til formål at sikre overholdelse af kravene vedrørende bekæmpelse af hvidvaskning af penge eller finansiering af terrorisme.
Denne definition berører ikke parternes ret til at identificere yderligere kompetente myndigheder, der kan få adgang til oplysninger om reelle ejere.
2.   Hver part sikrer, at retlige enheder på deres område opretholder tilstrækkelige, nøjagtige og ajourførte oplysninger om reelle ejere. Hver part indfører mekanismer til at sikre, at deres kompetente myndigheder har rettidig adgang til sådanne oplysninger.
3.   Hver part opretter eller fører et centralt register, der indeholder tilstrækkelige, ajourførte og nøjagtige oplysninger om reelle ejere. For Unionens vedkommende oprettes de centrale registre på medlemsstatsniveau. Denne forpligtelse gælder ikke for juridiske enheder, der er noteret på en fondsbørs, og som er underlagt oplysningskrav med hensyn til en passende grad af gennemsigtighed. Hvis der ikke er identificeret en reel ejer af en enhed, skal registret indeholde alternative oplysninger som f.eks. en erklæring om, at der ikke er identificeret en reel ejer eller oplysninger om den eller de fysiske personer, der bestrider stillingen som ledende embedsmand i den juridiske enhed.
4.   Hver part sikrer, at de oplysninger, der opbevares i dens centrale register eller registre, stilles til rådighed for deres kompetente myndigheder uden begrænsninger og rettidigt.
5.   Hver part sikrer, at grundlæggende oplysninger om reelle ejere stilles til rådighed for alle medlemmer af offentligheden. Der kan gøres begrænsede undtagelser fra den offentlige tilgængelighed af oplysninger i henhold til dette stykke i tilfælde, hvor offentlig adgang ville udsætte den reelle ejer for uforholdsmæssige risici såsom risiko for svig, kidnapning, pengeafpresning, andre former for afpresning, chikane, vold eller intimidering, eller hvor den reelle ejer er mindreårig eller på anden måde retligt uegnet.
6.   Hver part sikrer, at der findes effektive, forholdsmæssige og afskrækkende sanktioner over for juridiske eller fysiske personer, der ikke opfylder de krav, der pålægges dem i forbindelse med de spørgsmål, der er omhandlet i denne artikel.
7.   Hver part sikrer, at de kompetente myndigheder er i stand til rettidigt og vederlagsfrit at give de oplysninger, der er omhandlet i stk. 2 og 3, til den anden parts kompetente myndigheder. Med henblik herpå overvejer parterne, hvordan der kan sikres sikker udveksling af oplysninger.
Artikel 655
Gennemsigtighed i reelt ejerskab i forbindelse med juridiske arrangementer
1.   I denne artikel forstås ved:
a)
"reel ejer": stifteren, protektoren (hvis en sådan findes), trustforvaltere, den begunstigede eller gruppen af begunstigede, enhver person, der har en tilsvarende stilling i forbindelse med et juridisk arrangement med en struktur eller funktion svarende til en egentlig trust, og enhver anden fysisk person, der i sidste ende udøver effektiv kontrol over en trust eller et lignende juridisk arrangement
b)
"kompetente myndigheder":
i)
offentlige myndigheder, herunder finansielle efterretningsenheder, der særligt har ansvaret for at bekæmpe hvidvaskning af penge eller finansiering af terrorisme
ii)
offentlige myndigheder, der har til opgave at efterforske eller retsforfølge i sager om hvidvaskning af penge, tilknyttede underliggende forbrydelser eller finansiering af terrorisme, eller som har til opgave at opspore, beslaglægge eller indefryse og konfiskere kriminelle aktiver
iii)
offentlige myndigheder med ansvar for tilsyn eller overvågning, der har til formål at sikre overholdelse af kravene vedrørende bekæmpelse af hvidvaskning af penge eller finansiering af terrorisme.
Denne definition berører ikke parternes ret til at identificere yderligere kompetente myndigheder, der kan få adgang til oplysninger om reelle ejere.
2.   Hver part sikrer, at forvaltere af viljesbestemte truster på deres område opretholder tilstrækkelige, nøjagtige og ajourførte oplysninger om reelle ejere. Disse foranstaltninger finder også anvendelse på andre juridiske arrangementer, som hver part har identificeret som havende en struktur eller funktion, der svarer til truster.
3.   Hver part indfører mekanismer til sikring af, at dens kompetente myndigheder har rettidig adgang til passende, nøjagtige og ajourførte oplysninger om reelle ejere af viljesbestemte truster og andre juridiske arrangementer med en struktur eller funktion, der svarer til truster på dens område.
4.   Hvis oplysningerne om reelt ejerskab af truster eller lignende juridiske arrangementer opbevares i et centralt register, sikrer den pågældende stat, at oplysningerne er tilstrækkelige, nøjagtige og ajourførte, og at de kompetente myndigheder har rettidig og ubegrænset adgang til sådanne oplysninger. Parterne bestræber sig på at overveje, hvordan der kan gives adgang til oplysninger om reelt ejerskab af truster og lignende juridiske arrangementer for enkeltpersoner eller organisationer, der kan påvise en legitim interesse i at se sådanne oplysninger.
5.   Hver part sikrer, at der findes effektive, forholdsmæssige og afskrækkende sanktioner over for juridiske eller fysiske personer, der ikke opfylder de krav, der pålægges dem i forbindelse med de spørgsmål, der er omhandlet i denne artikel.
6.   Hver part sikrer, at de kompetente myndigheder er i stand til rettidigt og vederlagsfrit at give de oplysninger, der er omhandlet i stk. 3, til den anden parts kompetente myndigheder. Med henblik herpå overvejer parterne, hvordan der kan sikres sikker udveksling af oplysninger.
AFSNIT XI
INDEFRYSNING OG KONFISKATION
Artikel 656
Mål og principper for samarbejdet
1.   Formålet med dette afsnit er, at Det Forenede Kongerige på den ene side og medlemsstaterne på den anden side samarbejder med hinanden i videst muligt omfang inden for efterforskninger og retssager, der sigter mod at indefryse formuegoder med henblik på efterfølgende konfiskation, og efterforskninger og retssager, der sigter mod at konfiskere formuegoder inden for rammerne af straffesager. Dette udelukker ikke andet samarbejde i henhold til artikel 665, stk. 5 og 6. Dette afsnit indeholder også bestemmelser om samarbejde med EU-organer, der er udpeget af Unionen med henblik på dette afsnit.
2.   Hver stat skal på de i dette afsnit fastsatte betingelser efterkomme anmodninger fra en anden stat:
a)
om konfiskation af specifikke formuegoder samt konfiskation af udbytte i form af et krav om betaling af et pengebeløb, der svarer til værdien af udbyttet
b)
om efterforskningsbistand og midlertidige foranstaltninger med henblik på en af de former for konfiskation, der er omhandlet i litra a).
3.   Den efterforskningsbistand og de midlertidige foranstaltninger, der anmodes om i stk. 2, litra b), udføres som tilladt af og i overensstemmelse med den bistandssøgte stats nationale lovgivning. Hvis anmodningen vedrørende en af disse foranstaltninger angiver de formaliteter eller procedurer, der er nødvendige i henhold til den bistandssøgende stats nationale lovgivning, skal den bistandssøgte stat, selv om denne ikke er bekendt med sådanne formaliteter eller procedurer, efterkomme disse anmodninger i det omfang, de ønskede foranstaltninger ikke er i strid med de grundlæggende principper i den bistandssøgte stats nationale lovgivning.
4.   Den bistandssøgte stat sikrer, at anmodninger fra en anden stat med henblik på at identificere, spore, indefryse eller beslaglægge udbytte og redskaber gives samme prioritet som anmodninger, der fremsættes i forbindelse med nationale procedurer.
5.   Ved anmodning om konfiskation, efterforskningsbistand og midlertidige foranstaltninger med henblik på konfiskation sikrer den bistandssøgende stat, at principperne om nødvendighed og proportionalitet overholdes.
6.   Bestemmelserne i dette afsnit finder anvendelse i stedet for kapitlerne om "internationalt samarbejde" i Europarådets konvention om hvidvask, efterforskning, beslaglæggelse og konfiskation af udbytte fra strafbare handlinger samt finansiering af terrorisme, udfærdiget i Warszawa den 16. maj 2005 ("konventionen af 2005"), og konventionen om hvidvaskning, efterforskning samt beslaglæggelse og konfiskation af udbyttet fra strafbart forhold, udfærdiget i Strasbourg den 8. november 1990 ("konventionen af 1990"). Artikel 657 i nærværende aftale erstatter de tilsvarende definitioner i artikel 1 i konventionen af 2005 og artikel 1 i konventionen af 1990. Bestemmelserne i dette afsnit berører ikke staternes forpligtelser i henhold til de øvrige bestemmelser i konventionen af 2005 og konventionen af 1990.
Artikel 657
Definitioner
I dette afsnit forstås ved:
a)
"konfiskation": en sanktion eller en foranstaltning, der pålægges af en domstol efter en retssag vedrørende en eller flere kriminelle handlinger, og som medfører en endelig berøvelse af formuegoder
b)
"indefrysning" eller "beslaglæggelse": midlertidigt forbud mod overdragelse, destruktion, omdannelse, disponering over eller flytning af formuegoder eller midlertidig overtagelse af formuegoder på grundlag af en kendelse afsagt af en domstol eller en anden kompetent myndighed
c)
"redskaber": enhver form for formuegode, der anvendes eller påtænkes anvendt på en hvilken som helst måde, helt eller delvist, til at begå en eller flere strafbare handlinger
d)
"judiciel myndighed": en myndighed, der i henhold til national ret er en dommer, domstol eller offentlig anklager; en offentlig anklager betragtes kun som en retslig myndighed, i det omfang det er fastsat i national lovgivning
e)
"udbytte": enhver form for økonomisk gode, der stammer fra eller er opnået direkte eller indirekte fra strafbare handlinger, eller et beløb, der svarer til dette økonomiske udbytte; det kan bestå af enhver form for formuegode som defineret i denne artikel
f)
"formuegoder": omfatter alle formuegoder af enhver art, det være sig rørlige eller urørlige formuegoder, fast ejendom eller løsøre samt juridiske dokumenter eller papirer, der beviser adkomst til eller rettigheder over sådanne formuegoder, som den bistandssøgende stat anser for at:
i)
være udbyttet af en strafbar handling eller helt eller delvist svare til værdien af et sådant udbytte
ii)
være redskaber anvendt i forbindelse med en strafbar handling eller værdien af sådanne redskaber
iii)
være underlagt konfiskation i henhold til andre bestemmelser om beføjelser til konfiskation i henhold til lovgivningen i den bistandssøgende stat efter en retssag i forbindelse med en strafbar handling, herunder konfiskation hos tredjepart, udvidet konfiskation og konfiskation uden endelige domfældelse.
Artikel 658
Forpligtelse til bistand
Efter anmodning yder staterne hinanden den videst mulige bistand til indkredsning og sporing af redskaber, udbytte og andre formuegoder, der kan konfiskeres. Denne bistand omfatter enhver foranstaltning, der har til formål at tilvejebringe og sikre beviser med hensyn til det pågældende formuegodes eksistens, placering eller bevægelse, art, juridiske status eller værdi.
Artikel 659
Anmodninger om oplysninger om bankkonti og bankbokse
1.   Den anmodede stat træffer på de betingelser, der er fastsat i denne artikel, de foranstaltninger, som svar på en anmodning fra en anden stat, der er nødvendige for at afgøre, om en fysisk eller juridisk person, der er genstand for en strafferetlig efterforskning, er indehaver af eller kontrollerer en eller flere konti af en hvilken som helst art, i en bank, der er beliggende i statens område, og, hvis dette er tilfældet, fremlægger nærmere oplysninger om de fundne konti. Disse oplysninger skal navnlig omfatte navnet på kundekontohaveren og IBAN-nummeret og, hvis der er tale om bankbokse, lejerens navn eller et unikt identifikationsnummer.
2.   De forpligtelser, der er fastsat i stk. 1, finder kun anvendelse, i det omfang den kontoførende bank ligger inde med oplysningerne.
3.   Ud over kravene i artikel 680 skal den anmodende stat i anmodningen:
a)
angive, hvorfor den finder, at de ønskede oplysninger sandsynligvis vil være af væsentlig betydning for den strafferetlige efterforskning af lovovertrædelsen
b)
angive, på hvilket grundlag den antager, at banker i den anmodede stat fører kontoen, og i videst muligt omfang angive, hvilke banker og konti der kan være involveret, og
c)
medtage eventuelle yderligere oplysninger, der kan gøre det lettere at efterkomme anmodningen.
4.   Det Forenede Kongerige og Unionen, der handler på vegne af en af dets medlemsstater, kan hver især meddele Specialudvalget om Retshåndhævelse og Retligt Samarbejde, at denne artikel vil blive udvidet til at omfatte konti i andre finansielle institutioner end banker. Sådanne meddelelser kan gøres til genstand for princippet om gensidighed.
Artikel 660
Anmodninger om oplysninger om banktransaktioner
1.   Efter anmodning fra en anden stat skal den anmodede stat fremsende oplysninger om angivne bankkonti og banktransaktioner, der er foretaget i en nærmere angivet periode, gennem en eller flere konti, der er anført i anmodningen, herunder oplysninger om en afsender- eller modtagerkonto.
2.   De forpligtelser, der er fastsat i stk. 1, finder kun anvendelse, i det omfang den kontoførende bank ligger inde med oplysningerne.
3.   Ud over kravene i artikel 680 skal den anmodende stat i sin anmodning angive, hvorfor den anser de ønskede oplysninger for at være relevante for den strafferetlige efterforskning af lovovertrædelsen.
4.   Den anmodede stat kan gøre fuldbyrdelsen af en sådan anmodning afhængig af de samme betingelser, som gælder for anmodninger om ransagning og beslaglæggelse.
5.   Det Forenede Kongerige og Unionen, der handler på vegne af en af dets medlemsstater, kan hver især meddele Specialudvalget om Retshåndhævelse og Retligt Samarbejde, at denne artikel vil blive udvidet til at omfatte konti i andre finansielle institutioner end banker. Sådanne meddelelser kan gøres til genstand for princippet om gensidighed.
Artikel 661
Anmodninger om overvågning af banktransaktioner
1.   Den anmodede stat sikrer efter anmodning fra en anden stat, at den er i stand til i en angivet periode at overvåge de banktransaktioner, der gennemføres via en eller flere konti, der er anført i anmodningen, og meddele den anmodende stat resultaterne af overvågningen.
2.   Ud over kravene i artikel 680 skal den anmodende stat i sin anmodning angive, hvorfor den anser de ønskede oplysninger for at være relevante for den strafferetlige efterforskning af lovovertrædelsen.
3.   Afgørelsen om overvågning træffes i hvert enkelt tilfælde af de kompetente myndigheder i den anmodede stat i overensstemmelse med den nationale lovgivning.
4.   De praktiske ordninger i forbindelse med overvågningen aftales mellem de kompetente myndigheder i den anmodende og den anmodede stat.
5.   Det Forenede Kongerige og Unionen, der handler på vegne af en af dets medlemsstater, kan hver især meddele Specialudvalget om Retshåndhævelse og Retligt Samarbejde, at denne artikel vil blive udvidet til at omfatte konti i andre finansielle institutioner end banker. Sådanne meddelelser kan gøres til genstand for princippet om gensidighed.
Artikel 662
Meddelelser uden forudgående anmodning
Uden at det berører dens egne efterforskninger eller retssager, kan en stat uden forudgående anmodning fremsende oplysninger om redskaber, udbytte og andre formuegoder, der kan konfiskeres, til en anden stat, hvis den finder, at videregivelse af sådanne oplysninger kan hjælpe den modtagende stat med at indlede eller gennemføre efterforskninger eller retssager eller kan føre til en anmodning fra den pågældende stat i henhold til dette afsnit.
Artikel 663
Forpligtelse til at træffe midlertidige foranstaltninger
1.   Efter anmodning fra en anden stat, som har indledt en strafferetlig efterforskning eller straffesag, eller en efterforskning eller procedurer med henblik på konfiskation, træffer dens bistandssøgte stat de nødvendige midlertidige foranstaltninger, såsom indefrysning eller beslaglæggelse, for at forhindre enhver handel med, overdragelse eller afhændelse af formuegoder, som på et senere tidspunkt kan gøres til genstand for en anmodning om konfiskation, eller som kan efterkomme anmodningen.
2.   En stat, som har modtaget en anmodning om konfiskation i henhold til artikel 665, træffer på anmodning herom de i denne artikels stk. 1 omhandlede foranstaltninger for så vidt angår formuegoder, der er omfattet af anmodningen, eller som kan imødekomme anmodningen.
3.   Når der modtages en anmodning i henhold til denne artikel, træffer den bistandsøgte stat alle de foranstaltninger, som er nødvendige for straks og med samme hurtighed og prioritet som i en tilsvarende national sag at efterkomme anmodningen, og sender straks ved hjælp af ethvert middel en bekræftelse til den bistandsøgende stat, hvorved der efterlades et skriftligt spor.
4.   Hvis den bistandsøgende stat erklærer, at øjeblikkelig indefrysning er nødvendig, fordi der er legitime grunde til at antage, at de pågældende formuegoder straks vil blive fjernet eller tilintetgjort, træffer den bistandsøgte stat alle de foranstaltninger, som er nødvendige for at efterkomme anmodningen senest 96 timer efter modtagelsen af anmodningen, og sender straks ved hjælp af ethvert middel en bekræftelse til den bistandsøgende stat, hvorved der efterlades et skriftligt spor.
5.   Hvis den bistandssøgte stat ikke er i stand til at overholde fristerne i stk. 4, underretter den bistandssøgte stat straks den bistandssøgende stat og rådfører sig med den bistandssøgende stat vedrørende de næste hensigtsmæssige skridt.
6.   Udløbet af de frister, der er fastsat i stk. 4, ophæver ikke de krav, der i henhold til denne artikel stilles til den stat, som anmodningen rettes til.
Artikel 664
Gennemførelse af midlertidige foranstaltninger
1.   Efter gennemførelsen af de midlertidige foranstaltninger, som der anmodes om i overensstemmelse med artikel 663, stk. 1, giver den bistandssøgende stat spontant og hurtigst muligt den bistandssøgte stat alle oplysninger, der kan anfægte eller ændre omfanget af disse foranstaltninger. Den bistandssøgende stat fremsender også straks alle supplerende oplysninger, som den bistandssøgte stat har brug for, og som er nødvendige for gennemførelsen af og opfølgningen på de midlertidige foranstaltninger.
2.   Inden ophævelse af nogen midlertidig foranstaltning, der er truffet i henhold til artikel 663, giver den bistandssøgte stat, når det er muligt, den kompetente myndighed i den bistandssøgende stat lejlighed til at begrunde en videreførelse af foranstaltningen.
Artikel 665
Forpligtelse til konfiskation
1.   Den stat, som har modtaget en anmodning om konfiskation af formuegoder, der befinder sig på dens område, skal:
a)
fuldbyrde en afgørelse om konfiskation truffet af en domstol i en bistandssøgende stat vedrørende sådan ejendom eller
b)
indgive anmodningen til de kompetente myndigheder med henblik på at opnå en afgørelse om konfiskation og, hvis en sådan afgørelse gives, håndhæve den.
2.   Med henblik på stk. 1, litra b), har medlemsstaterne, når det er nødvendigt, kompetence til at iværksætte konfiskationsprocedurer i henhold til deres egen nationale lovgivning.
3.   Stk. 1 finder også anvendelse på konfiskation, der består i et krav om betaling af et pengebeløb, der svarer til udbyttet, hvis det formuegode, som konfiskationen kan fuldbyrdes over for, befinder sig i den bistandssøgte stat. I sådanne tilfælde skal den bistandssøgte stat i forbindelse med fuldbyrdelse af konfiskation i henhold til stk. 1, hvis betaling ikke opnås, realisere fordringen ved brug af enhver form for formuegode, der er tilgængeligt til dette formål.
4.   Hvis en anmodning om konfiskation vedrører et bestemt formuegode, kan den bistandssøgende stat og den bistandssøgte stat aftale, at den bistandssøgte stat kan fuldbyrde konfiskationen i form af et krav om betaling af et pengebeløb svarende til formuegodets værdi.
5.   En stat samarbejder i videst muligt omfang i henhold til sin nationale lovgivning med en stat, der anmoder om gennemførelse af foranstaltninger svarende til konfiskation af formuegoder, hvis anmodningen ikke er blev udstedt inden for rammerne af straffesager, for så vidt som sådanne foranstaltninger pålægges af en judiciel myndighed i den bistandssøgende stat i forbindelse med en strafbar handling, forudsat at det er godtgjort, at formuegodet udgør udbyttet eller:
a)
andre formuegoder, som udbyttet er blevet omdannet eller konverteret til
b)
formuegoder erhvervet fra legitime kilder, hvis udbyttet er blevet blandet, helt eller delvist, med sådanne formuegoder, op til den anslåede værdi af det blandede udbytte eller
c)
udbytte eller andre goder afledt fra udbytte, fra formuegoder, som udbyttet af kriminalitet er blevet omdannet eller konverteret til, eller fra formuegoder, som udbyttet fra kriminalitet er blevet blandet med, op til den anslåede værdi af det blandede udbytte, på samme måde og i samme omfang som udbyttet.
6.   De i stk. 5 omhandlede foranstaltninger omfatter foranstaltninger, der gør det muligt at beslaglægge, tilbageholde og konfiskere formuegoder og aktiver ved hjælp af anmodninger til civile domstole.
7.   Den bistandssøgte stat træffer straks afgørelse om fuldbyrdelsen af afgørelsen om konfiskation og, uden at det berører denne artikels stk. 8, senest 45 dage efter modtagelsen af anmodningen. Den bistandssøgte stat sender straks en bekræftelse til bistandssøgende stat ved hjælp af enhver form for skriftlig protokol. Medmindre der foreligger grunde til udsættelse i henhold til artikel 672, træffer den bistandssøgte stat de konkrete foranstaltninger, der er nødvendige for at fuldbyrde afgørelsen om konfiskation, straks og mindst med samme fart og prioritet som i en tilsvarende national sag.
8.   Hvis den bistandssøgte stat ikke er i stand til at overholde fristen i stk. 7, underretter den bistandssøgte stat straks den bistandssøgende stat og rådfører sig med den bistandssøgende stat vedrørende de næste hensigtsmæssige skridt.
9.   Udløbet af den frist, der er fastsat i stk. 7, ophæver ikke de krav, der i henhold til denne artikel stilles til den stat, som anmodningen rettes til.
Artikel 666
Fuldbyrdelse af konfiskation
1.   Procedurerne for opnåelse og fuldbyrdelse af konfiskation i henhold til artikel 665 er underlagt den nationale lovgivning i den bistandssøgte medlemsstat.
2.   Den bistandssøgte stat er bundet af de faktiske omstændigheder, for så vidt som de er anført i en dom eller en retsafgørelse, der er truffet af en domstol i den bistandssøgende stat, eller i det omfang en sådan domfældelse eller retsafgørelse implicit er baseret på dem.
3.   Hvis konfiskationen består af et krav om betaling af et pengebeløb, omregner den kompetente myndighed i den bistandssøgte stat det pågældende beløb til valutaen i den pågældende stat til den vekselkurs, der er gældende på det tidspunkt, hvor afgørelsen om at fuldbyrde konfiskationen træffes.
Artikel 667
Konfiskerede formuegoder
1.   Med forbehold af denne artikels stk. 2 og 3 skal formuegoder, der konfiskeres i henhold til artikel 665 og 666, disponeres over af den bistandssøgte stat i overensstemmelse med dens nationale lovgivning og administrative procedurer.
2.   Når den bistandssøgte stat handler efter anmodning fra en anden stat i henhold til artikel 665, lægger den i det omfang, det er tilladt i henhold til national lovgivning, og efter anmodning herom, særlig vægt på tilbagelevering af de konfiskerede formuegoder til den bistandssøgende stat, således at den kan yde erstatning til ofre for forbrydelsen eller tilbagelevere formuegoderne til deres reelle ejere.
3.   Når den bistandssøgte stat handler efter anmodning fra en anden stat i henhold til artikel 665 og efter at have taget højde for et offers ret til tilbagegivelse af eller godtgørelse for formuegoder i henhold til denne artikels stk. 2, skal den bistandssøgte stat disponere over de midler, der opnås ved fuldbyrdelse af en afgørelse om konfiskation, som følger:
a)
hvis beløbet er lig med eller under 10 000 EUR, tilfalder beløbet den bistandssøgte stat eller
b)
hvis beløbet overstiger 10 000 EUR, overfører den bistandssøgte stat 50 % af det inddrevne beløb til den bistandssøgende stat.
4.   Uanset stk. 3 kan den bistandssøgende stat og den bistandssøgte stat i hvert enkelt tilfælde lægge særlig vægt på at indgå andre aftaler eller ordninger om disponering over formuegoder, som de finder passende.
Artikel 668
Ret til fuldbyrdelse og maksimalt beslaglæggelsesbeløb
1.   En anmodning om konfiskation indgivet i henhold til artikel 665 berører ikke den bistandssøgende stats ret til selv at fuldbyrde afgørelsen om konfiskation.
2.   Intet i dette afsnit skal fortolkes således, at den samlede værdi af konfiskationen må overstige det pengebeløb, der er angivet i afgørelsen om konfiskation. Hvis en stat konstaterer, at dette kan ske, indleder de berørte stater konsultationer for at undgå et sådant resultat.
Artikel 669
Fængsling ved misligholdelse
Den bistandssøgte stat må ikke pålægge en person fængsling ved misligholdelse eller nogen anden foranstaltning, der begrænser en persons frihed, som følge af en anmodning i henhold til artikel 665, uden samtykke fra den bistandssøgende stat.
Artikel 670
Årsager til afslag
1.   Samarbejde i henhold til dette afsnit kan nægtes, hvis:
a)
den bistandssøgte stat mener, at fuldbyrdelsen af anmodningen ville være i strid med princippet om "ne bis in idem" eller
b)
den lovovertrædelse, som anmodningen vedrører, ikke udgør en lovovertrædelse i henhold til den bistandssøgte stats lovgivning, hvis den begås inden for dens jurisdiktion; denne årsag til afslag finder imidlertid kun anvendelse på samarbejde i henhold til artikel 658 til 662, for så vidt som den ønskede bistand indebærer tvangsforanstaltninger.
2.   Det Forenede Kongerige og Unionen på vegne af en hvilken som helst af dens medlemsstater kan underrette Specialudvalget om Retshåndhævelse og Retligt Samarbejde om, at det krav om dobbelt strafbarhed, der er omhandlet i denne artikels stk. 1, litra b), på basis af gensidighedsprincippet ikke anvendes, forudsat at den strafbare handling, der ligger til grund for anmodningen:
a)
er en af de strafbare handlinger anført i artikel 599, stk. 5, som defineret i den bistandssøgende stats lovgivning, og
b)
kan straffes af den bistandssøgende stat med frihedsstraf eller en anden frihedsberøvende foranstaltning af en maksimal varighed på mindst tre år.
3.   Samarbejde i henhold til artikel 658 til 662, for så vidt som den begærede bistand indebærer tvangsforanstaltninger, og i henhold til artikel 663 og 664 kan også nægtes, hvis de begærede foranstaltninger ikke kan træffes i henhold til den bistandssøgte medlemsstats nationale lovgivning med henblik på efterforskninger eller retssager i en tilsvarende national sag.
4.   Hvis krævet af den nationale lovgivning i den bistandssøgte stat, kan samarbejde i henhold til artikel 658 til 662, for så vidt som den begærede bistand indebærer tvangsforanstaltninger, og i henhold til artikel 663 og 664 også nægtes, hvis de begærede foranstaltninger eller andre foranstaltninger med tilsvarende virkninger ikke er tilladt i henhold til den bistandssøgende medlemsstats nationale lovgivning, eller, for så vidt angår de kompetente myndigheder i den bistandssøgende stat, hvis anmodningen ikke er godkendt af en judiciel myndighed, der handler i forbindelse med strafbare handlinger.
5.   Samarbejde i henhold til artikel 665 til 669 kan også nægtes, hvis:
a)
der i henhold til national lovgivning i den bistandssøgte stat ikke er hjemmel for konfiskation for den type lovovertrædelse, som anmodningen vedrører
b)
det, uden at dette berører forpligtelsen i henhold til artikel 665, stk. 3, ville være i strid med principperne i den bistandssøgte stats nationale lovgivning vedrørende grænserne for konfiskation for så vidt angår forholdet mellem en lovovertrædelse og:
i)
en økonomisk fordel, der kan betegnes som dens udbytte eller
ii)
formuegoder, der kan betegnes som dens redskaber
c)
konfiskation i henhold til national lovgivning i den bistandssøgte stat ikke længere kan pålægges eller fuldbyrdes på grund af den tid, der er gået
d)
anmodningen, uden at dette berører artikel 665, stk. 5 og 6, ikke vedrører en tidligere dom eller en afgørelse af retslig karakter eller en erklæring i en sådan afgørelse om, at der er begået en eller flere strafbare handlinger, på grundlag af hvilken der er truffet afgørelse om eller anmodes om konfiskation
e)
konfiskation enten ikke kan fuldbyrdes i den bistandssøgende stat eller stadig er omfattet af almindelige retsmidler eller
f)
anmodningen vedrører en afgørelse om konfiskation, der er truffet i henhold til en afgørelse afsagt i en sag, hvor den person, der er genstand for afgørelsen, har været in absentia, og hvor den retssag, som den bistandssøgende stat har gennemført, og som førte til en sådan afgørelse, efter den bistandssøgte stats opfattelse ikke opfylder de mindsterettigheder til forsvar, som tilkommer enhver, mod hvem der rettes en strafferetlig anklage.
6.   Med henblik på stk. 5, litra f), anses en afgørelse ikke for at være afsagt in absentia, hvis:
a)
det er blevet bekræftet eller udtalt, efter at den pågældende person har gjort indsigelse, eller
b)
den er appelleret, forudsat at appellen er indgivet af den berørte person.
7.   Når der med henblik på stk. 5, litra f), tages hensyn til, om mindsteretten til et forsvar er blevet opfyldt, tager den bistandssøgte stat hensyn til, at den pågældende person bevidst har forsøgt at unddrage sig retsforfølgning, eller at den pågældende person, efter at have haft mulighed for at indbringe en klage mod afgørelsen afsagt in absentia, valgte ikke at gøre det. Det samme gælder, hvis den pågældende person efter lovlig forkyndelse af stævningen til at give møde, valgte ikke at gøre det eller anmode om udsættelse.
8.   Staterne må ikke påberåbe sig bankhemmelighed som grund til at nægte noget samarbejde i henhold til dette afsnit. Hvis den pågældende stats nationale lovgivning kræver det, kan en bistandssøgt stat kræve, at en anmodning om samarbejde, som indebærer, at bankhemmeligheden hæves, skal være godkendt af en judiciel myndighed, der agerer i forbindelse med strafbare handlinger.
9.   Den bistandssøgte stat kan ikke påberåbe sig:
a)
at den person, der er genstand for efterforskning eller en afgørelse om konfiskation, der er truffet af myndighederne i den bistandssøgende stat, er en juridisk person som en hindring for at yde samarbejde i henhold til dette afsnit
b)
at den fysiske person, mod hvem der er afsagt kendelse om konfiskation af udbytte, er afgået ved døden, eller at en juridisk person, mod hvem der er afsagt kendelse om konfiskation af udbytte, efterfølgende er blevet opløst, som en hindring for at yde bistand i henhold til artikel 665, stk. 1, litra a), eller
c)
at den person, der er genstand for efterforskning eller en afgørelse om konfiskation, som er truffet af myndighederne i den bistandssøgende stat, er nævnt i anmodningen som både ophavsmand til den underliggende strafbare handling og til hvidvaskning af penge, som en hindring for at yde samarbejde i henhold til dette afsnit.
Artikel 671
Høring og information
Hvis der er vægtige grunde til at antage, at fuldbyrdelsen af en afgørelse om indefrysning eller konfiskation vil indebære en reel risiko for beskyttelsen af de grundlæggende rettigheder, konsulterer den bistandsøgte stat, inden den træffer afgørelse om fuldbyrdelse af afgørelsen om indefrysning eller konfiskation, den bistandssøgende stat og kan kræve, at der gives de nødvendige oplysninger.
Artikel 672
Udsættelse
Den bistandssøgte stat kan udsætte behandlingen af en anmodning, hvis en sådan indgriben vil være til skade for dens myndigheders efterforskninger eller retsforfølgning.
Artikel 673
Delvis eller betinget imødekommelse af en anmodning
Før samarbejde afvises eller udskydes i henhold til dette afsnit, skal den bistandssøgte stat, hvis det er relevant efter at have konsulteret den bistandssøgende stat, overveje, om anmodningen kan imødekommes delvist eller underlægges sådanne betingelser, som den anser for nødvendige.
Artikel 674
Meddelelse af dokumenter
1.   Medlemsstaterne yder hinanden den størst mulige grad af gensidig bistand ved forkyndelse af retslige dokumenter til personer, der er berørt af midlertidige foranstaltninger og konfiskation.
2.   Intet i denne artikel har til formål at gribe ind i:
a)
muligheden for at sende retslige dokumenter direkte til personer i udlandet via postforsendelse og
b)
muligheden for, at stævningsmænd, tjenestemænd eller andre kompetente myndigheder i den pågældende stat forkynder retslige dokumenter direkte gennem den pågældende stats konsulære myndigheder eller gennem de judicielle myndigheder, herunder stævningsmænd og tjenestemænd, eller andre kompetente myndigheder i bestemmelsesstaten.
3.   Ved forkyndelse af retslige dokumenter til personer i udlandet, der er berørt af midlertidige foranstaltninger eller afgørelser om konfiskation truffet i afsendelsesstaten, skal denne stat angive, hvilke retsmidler der er til rådighed i statens nationale lovgivning for sådanne personer.
Artikel 675
Anerkendelse af udenlandske afgørelser
1.   Når den bistandssøgte stat behandler en anmodning om samarbejde i henhold til artikel 663 til 669, anerkender den bistandssøgte stat enhver retsafgørelse, der er truffet af en domstol eller anklagemyndighed i den bistandssøgende stat, vedrørende tredjeparters rettigheder.
2.   Anerkendelse kan nægtes, hvis:
a)
tredjeparter ikke havde tilstrækkelig mulighed for at gøre deres rettigheder gældende
b)
afgørelsen er uforenelig med en afgørelse, der allerede er truffet i den bistandssøgte stat om samme emne
c)
det er uforeneligt med de grundlæggende retsprincipper i den bistandssøgte stat eller
d)
afgørelsen blev truffet i strid med bestemmelser om enekompetence i henhold til national lovgivning i den bistandssøgte stat.
Artikel 676
Myndigheder
1.   Hver stat udpeger en central myndighed med ansvar for at sende og besvare anmodninger, der er indgivet i henhold til dette afsnit, efterkommelsen af sådanne anmodninger eller fremsendelsen af dem til de myndigheder, der er kompetente med hensyn til deres fuldbyrdelse.
2.   Unionen kan udpege et EU-organ, der ud over medlemsstaternes kompetente myndigheder kan fremsætte og i givet fald efterkomme anmodninger i henhold til dette afsnit. En sådan anmodning skal med henblik på dette afsnit behandles som en anmodning fra en medlemsstat. Unionen kan også udpege dette EU-organ til at være den centrale myndighed, der er ansvarlig for at sende og besvare anmodninger fra eller til dette organ i henhold til dette afsnit.
Artikel 677
Direkte kommunikation
1.   De centrale myndigheder kommunikerer direkte med hinanden.
2.   I hastetilfælde kan anmodninger eller meddelelser i henhold til dette afsnit sendes direkte af de judicielle myndigheder i den bistandssøgende stat til judicielle myndigheder i den bistandssøgte stat. I sådanne tilfælde sendes der samtidig en kopi til den centrale myndighed i den bistandssøgte stat via den centrale myndighed i den bistandssøgende stat.
3.   Hvis der fremsættes en anmodning i henhold til stk. 2, og myndigheden ikke har kompetence til at behandle anmodningen, henviser den anmodningen til den kompetente nationale myndighed og underretter den bistandssøgende stat direkte om, at den har gjort dette.
4.   Anmodninger og meddelelser i henhold til artikel 658 til 662, som ikke indebærer tvangsforanstaltninger, kan fremsendes direkte af de kompetente myndigheder i den bistandssøgende stat til de kompetente myndigheder i den bistandssøgte stat.
5.   Udkast til anmodninger eller meddelelser i henhold til dette afsnit kan sendes direkte af de judicielle myndigheder i den bistandssøgende stat til judicielle myndigheder i den bistandssøgte stat forud for en formel anmodning for at sikre, at den formelle anmodning kan behandles effektivt ved modtagelsen, og at den indeholder tilstrækkelige oplysninger og dokumentation til, at den kan opfylde kravene i den bistandssøgte stats lovgivning.
Artikel 678
Anmodningers form og sprog
1.   Alle anmodninger i henhold til dette afsnit skal fremsættes skriftligt. De kan sendes elektronisk eller ved hjælp af et hvilket som helst andet telekommunikationsmiddel, forudsat at den bistandssøgte stat på anmodning er forberedt på til enhver tid at frembringe et skriftligt spor af en sådan kommunikation samt originalen.
2.   Anmodninger i henhold til stk. 1 fremsættes på et af den bistandssøgte stats officielle sprog eller på et andet sprog, som den bistandssøgte stat har givet meddelelse om i overensstemmelse med stk. 3, eller på dennes vegne.
3.   Det Forenede Kongerige og Unionen på vegne af en hvilken som helst af dens medlemsstater kan hver især meddele Specialudvalget om Retshåndhævelse og Retligt Samarbejde om det eller de sprog, som ud over den pågældende stats officielle sprog kan anvendes til at fremsætte anmodninger i henhold til dette afsnit.
4.   Anmodninger i henhold til artikel 663 om foreløbige foranstaltninger fremsættes under anvendelse af formularen i bilag 46.
5.   Anmodninger i henhold til artikel 665 om konfiskation fremsættes under anvendelse af formularen i bilag 46.
6.   Specialudvalget om Retshåndhævelse og Retligt Samarbejde kan ændre de formularer, der er omhandlet i stk. 4 og 5, hvis det er nødvendigt.
7.   Det Forenede Kongerige og Unionen på vegne af en hvilken som helst af dens medlemsstater kan hver især meddele Specialudvalget om Retshåndhævelse og Retligt Samarbejde, at det/den kræver oversættelse af alle bilag til et af den bistandssøgte stats officielle sprog eller til et andet sprog angivet i overensstemmelse med denne artikels stk. 3. I tilfælde af anmodninger i henhold til artikel 663, stk. 4, kan en sådan oversættelse af bilag fremsendes til den bistandssøgte stat inden for 48 timer efter fremsendelsen af anmodningen, uden at dette berører de frister, der er fastsat i artikel 663, stk. 4.
Artikel 679
Legalisering
Dokumenter, der fremsendes i henhold til dette afsnit, er fritaget for alle formaliteter i forbindelse med legalisering.
Artikel 680
Anmodningens indhold
1.   Enhver anmodning om samarbejde i henhold til dette afsnit skal indeholde nærmere oplysninger om:
a)
den myndighed, der fremsætter anmodningen, og den myndighed, der foretager efterforskningen eller procedurerne
b)
formålet med og begrundelsen for anmodningen
c)
de forhold, herunder relevante omstændigheder (såsom dato, sted og omstændigheder for den strafbare handling), som efterforskningen eller procedurerne vedrører, medmindre der er tale om en anmodning om meddelelse
d)
for så vidt samarbejdet omfatter tvangsforanstaltninger:
i)
teksten til lovbestemmelserne eller, hvis dette ikke er muligt, en erklæring om den relevante lovgivning, der finder anvendelse, og
ii)
en angivelse af, at den ønskede foranstaltning eller enhver anden foranstaltning med tilsvarende virkning kan træffes på den bistandssøgende stats område i henhold til den bistandssøgende stats egen nationale lovgivning
e)
om nødvendigt og så vidt muligt:
i)
oplysninger om den eller de pågældende personer, herunder navn, fødselsdato og fødested, nationalitet og opholdssted samt, hvis der er tale om en juridisk person, dens hjemsted og
ii)
det formuegode, som der anmodes om samarbejde i forbindelse med, dets beliggenhed, dets forbindelse til den eller de pågældende personer, enhver forbindelse med den strafbare handling samt alle tilgængelige oplysninger om andre personer og interesser i formuegodet og
f)
enhver særlig procedure, som den anmodende stat ønsker at få efterlevet.
2.   En anmodning om midlertidige foranstaltninger i henhold til artikel 663 vedrørende beslaglæggelse af formuegoder, hvor en afgørelse om konfiskation, der består af et krav om betaling af et pengebeløb, kan realiseres, skal også angive et maksimumsbeløb, som der søges inddrivelse af i det pågældende formuegode.
3.   Ud over de i denne artikels stk. 1 nævnte oplysninger skal enhver anmodning i henhold til artikel 665 indeholde:
a)
for så vidt angår artikel 665, stk. 1, litra a):
i)
en bekræftet genpart af afgørelsen om konfiskation truffet af retten i den bistandssøgende stat og en erklæring af de grunde, som afgørelsen er baseret på, hvis disse ikke fremgår af selve afgørelsen
ii)
en erklæring fra den kompetente myndighed i den bistandssøgende stat om, at afgørelsen om konfiskation kan fuldbyrdes og ikke er omfattet af almindelige retsmidler
iii)
oplysning om, i hvilket omfang der anmodes om fuldbyrdelse af afgørelsen, og
iv)
oplysning om nødvendigheden af at træffe eventuelle midlertidige foranstaltninger
b)
for så vidt angår artikel 665, stk. 1, litra b), en angivelse af de faktiske omstændigheder, som den bistandssøgende stat har påberåbt sig, der er tilstrækkelig til at sætte den bistandssøgte stat i stand til at anmode om afgørelsen i henhold til dens nationale lovgivning
c)
i tilfælde, hvor tredjeparter har haft mulighed for at påberåbe sig rettigheder, dokumenter, der viser, at dette har været tilfældet.
Artikel 681
Mangelfulde anmodninger
1.   Hvis en anmodning ikke er i overensstemmelse med bestemmelserne i dette afsnit, eller hvis de afgivne oplysninger ikke er tilstrækkelige til, at den bistandssøgte stat kan behandle anmodningen, kan den pågældende stat bede den bistandssøgende stat om at ændre anmodningen eller supplere den med yderligere oplysninger.
2.   Den bistandssøgte stat kan fastsætte en frist for modtagelsen af sådanne ændringer eller oplysninger.
3.   Indtil de ønskede ændringer eller oplysninger er modtaget i forbindelse med en anmodning i henhold til artikel 665, kan den bistandssøgte stat træffe enhver af de foranstaltninger, der er omhandlet i artikel 658 til 664.
Artikel 682
Flere forskellige anmodninger
1.   Hvis den bistandssøgte stat modtager mere end én anmodning i henhold til artikel 663 eller artikel 665, er disse flere forskellige anmodninger ikke til hinder for, at den pågældende stat behandler anmodninger, der indebærer iværksættelse af midlertidige foranstaltninger.
2.   Hvis der foreligger flere forskellige anmodninger i henhold til artikel 665, overvejer den bistandssøgte stat at konsultere de bistandssøgende stater.
Artikel 683
Begrundelsespligt
Den bistandssøgte stat skal begrunde enhver beslutning om at afvise, udsætte eller betinge enhver form for samarbejde i henhold til dette afsnit.
Artikel 684
Information
1.   Den bistandssøgte stat underretter straks den bistandssøgende stat om:
a)
den foranstaltning, der er iværksat på grundlag af en anmodning i henhold til dette afsnit
b)
det endelige resultat af den foranstaltning, der er gennemført på grundlag af anmodningen i henhold til dette afsnit
c)
en afgørelse om helt eller delvist at afvise, udsætte eller betinge enhver form for samarbejde i henhold til dette afsnit
d)
enhver form for omstændigheder, der gør det umuligt at gennemføre den pågældende handling, eller som kan forsinke den i væsentlig grad og
e)
såfremt der træffes midlertidige foranstaltninger som følge af en anmodning i henhold til artikel 658 til 663, sådanne bestemmelser i den nationale lovgivning, som automatisk ville føre til ophævelse af den midlertidige foranstaltning.
2.   Den bistandssøgende stat underretter straks den bistandssøgte stat om:
a)
enhver fornyet prøvelse, afgørelse eller ethvert andet forhold, som bevirker, at afgørelsen om konfiskation ophører med helt eller delvist at kunne fuldbyrdes og
b)
enhver udvikling, det være sig faktuel eller retlig, som bevirker, at der ikke længere er grund til at træffe foranstaltninger i henhold til dette afsnit.
3.   Hvis en stat på grundlag af den samme afgørelse om konfiskation anmoder om konfiskation i mere end én stat, underretter den alle de stater, som berøres af fuldbyrdelsen af afgørelsen om anmodningen.
Artikel 685
Begrænsninger for anvendelse
1.   Den bistandssøgte stat kan gøre fuldbyrdelsen af en anmodning betinget af, at de indhentede oplysninger eller bevismidler ikke uden dens forudgående samtykke anvendes eller videregives af myndighederne i den bistandssøgende stat til brug i andre efterforskninger eller procedurer end dem, der er anført i anmodningen.
2.   Uden forudgående samtykke fra den bistandssøgte stat må de oplysninger og beviser, som den bistandssøgte stat har fremlagt i henhold til dette afsnit, ikke anvendes eller videregives af den bistandssøgende stats myndigheder til andre efterforskninger eller procedurer end dem, der er anført i anmodningen.
3.   Personoplysninger, der meddeles i henhold til dette afsnit, kan anvendes af den stat, hvortil de er videregivet:
a)
med henblik på procedurer, der er omfattet af dette afsnit
b)
andre retslige og administrative procedurer, som hænger direkte sammen med de procedurer, der er omhandlet i litra a)
c)
for at forebygge en umiddelbar og alvorlig trussel mod den offentlige sikkerhed eller
d)
til ethvert andet formål, kun med forudgående samtykke fra den videregivende stat, medmindre den pågældende stat har indhentet samtykke fra den registrerede.
4.   Denne artikel finder også anvendelse på personoplysninger, der ikke meddeles, men er indhentet på anden måde i henhold til dette afsnit.
5.   Denne artikel finder ikke anvendelse på personoplysninger, der er indhentet af Det Forenede Kongerige eller en medlemsstat i henhold til dette afsnit, og som har oprindelse i den pågældende stat.
Artikel 686
Fortrolighed
1.   Den bistandssøgende stat kan kræve, at den bistandssøgte stat behandler anmodningens omstændigheder og indhold fortroligt, undtagen i det omfang efterkommelse af anmodningen tilsiger andet. Hvis den bistandssøgte stat ikke kan opfylde kravet om fortrolighed, underretter den omgående den bistandssøgende stat herom.
2.   Den bistandssøgende stat skal, hvis det ikke er i modstrid med de grundlæggende principper i den nationale lovgivning, og hvis den anmodes herom, behandle alle beviser og oplysninger, som den bistandssøgte stat har fremlagt, fortroligt, medmindre videregivelsen er nødvendig i forbindelse med de efterforskninger eller procedurer, der er beskrevet i anmodningen.
3.   Med forbehold af bestemmelserne i den nationale lovgivning skal en stat, som har modtaget meddelelser uden forudgående anmodning i henhold til artikel 662, overholde ethvert krav om fortrolighed som krævet af den stat, der giver oplysningerne. Hvis den modtagende stat ikke kan opfylde et sådant krav, underretter den straks den fremsendende stat.
Artikel 687
Omkostninger
De ordinære omkostninger til efterkommelse af en anmodning afholdes af den bistandssøgte stat. Hvis omkostninger af væsentlig eller ekstraordinær karakter er nødvendige for at efterkomme en anmodning, skal den bistandssøgende stat og den bistandssøgte stat konsultere hinanden for at nå til enighed om betingelserne for gennemførelsen af anmodningen og om, hvordan omkostningerne skal afholdes.
Artikel 688
Skadeserstatninger
1.   Når en person har indledt en retssag om ansvar for skader som følge af en handling eller undladelse i forbindelse med samarbejdet i henhold til dette afsnit, skal de berørte stater overveje at konsultere hinanden, hvis det er relevant, for at fastslå, hvordan de skyldige skadeserstatninger skal fordeles.
2.   En stat, som er blevet genstand for et erstatningssøgsmål, bestræber sig på at underrette den anden stat om sådanne tvister, hvis den pågældende stat kan have en interesse i sagen.
Artikel 689
Retsmidler
1.   Hver stat sikrer, at personer, der berøres af foranstaltninger i henhold til artikel 663 til 666 har effektive retsmidler med henblik på at sikre deres rettigheder.
2.   De materielle grunde til de foranstaltninger, der anmodes om i henhold til artikel 663 til 666, kan ikke anfægtes ved en domstol i den bistandssøgte stat.
AFSNIT XII
ANDRE BESTEMMELSER
Artikel 690
Underretninger
1.   Senest på datoen for denne aftales ikrafttræden foretager Unionen og Det Forenede Kongerige en af de underretninger, der er omhandlet i artikel 602, stk. 2, artikel 603, stk. 2, og artikel 611, stk. 4, og meddeler i det omfang, det er muligt, om en sådan underretning ikke skal foretages.
I det omfang en sådan underretning eller meddelelse ikke er foretaget i forhold til en stat på det tidspunkt, der er nævnt i første afsnit, kan der hurtigst muligt og senest to måneder efter denne aftales ikrafttræden foretages underretning herom i forhold til den pågældende stat.
I denne mellemliggende periode kan enhver stat, for hvilken der ikke er foretaget underretning i henhold til artikel 602, stk. 2, artikel 603, stk. 2, eller artikel 611, stk. 4, og som ikke har været genstand for en angivelse af, at der ikke skal gives en sådan underretning, benytte sig af de muligheder, der er fastsat i nævnte artikel, som om en sådan underretning var blevet foretaget i forhold til den pågældende stat. I forbindelse med artikel 603, stk. 2, kan en stat kun benytte sig af de muligheder, der er fastsat i nævnte artikel, i det omfang dette er foreneligt med kriterierne for at foretage en underretning.
2.   De underretninger, der er omhandlet i artikel 599, stk. 4, artikel 605, stk. 1, artikel 606, stk. 2, artikel 625, stk. 1, artikel 626, stk. 1, artikel 659, stk. 4, artikel 660, stk. 5, artikel 661, stk. 5, artikel 670, stk. 2, og artikel 678, stk. 3 og 7, kan foretages på ethvert tidspunkt.
3.   De underretninger, der er omhandlet i artikel 605, stk. 1, artikel 606, stk. 2, og artikel 678, stk. 3 og 7, kan til enhver tid ændres.
4.   De underretninger, der er omhandlet i artikel 602, stk. 2, artikel 603, stk. 2, artikel 605, stk. 1, artikel 611, stk. 4, artikel 659, stk. 4, artikel 660, stk. 5, og artikel 661, stk. 5, kan til enhver tid trækkes tilbage.
5.   Unionen offentliggør oplysninger om underretninger fra Det Forenede Kongerige, jf. artikel 605, stk. 1, i 
Den Europæiske Unions Tidende
.
6.   Senest på datoen for denne aftales ikrafttræden meddeler Det Forenede Kongerige Unionen navnet på følgende myndigheder:
a)
den myndighed, der er ansvarlig for at modtage og behandle PNR-oplysninger i henhold til afsnit III
b)
den myndighed, der betragtes som den kompetente retshåndhævende myndighed med henblik på afsnit V, og en kort beskrivelse af dens beføjelser
c)
det nationale kontaktpunkt, der er udpeget i henhold til artikel 568, stk. 1
d)
den myndighed, der betragtes som den kompetente myndighed med henblik på afsnit VI, og en kort beskrivelse af dens beføjelser
e)
det nationale kontaktpunkt, der er udpeget i henhold til artikel 584, stk. 1
f)
Det Forenede Kongeriges nationale korrespondent på terrorismeområdet, der er udpeget i henhold til artikel 584, stk. 2
g)
den myndighed, der i henhold til Det Forenede Kongeriges nationale lovgivning har beføjelse til at udstede en arrestordre som omhandlet i artikel 598, litra c), og den myndighed, der i henhold til Det Forenede Kongeriges nationale lovgivning har beføjelse til at udstede en arrestordre som omhandlet i artikel 598, litra d)
h)
den myndighed, som Det Forenede Kongerige har udpeget i henhold til artikel 623, stk. 3
i)
den centrale myndighed, som Det Forenede Kongerige har udpeget i henhold til artikel 645
j)
den centrale myndighed, som Det Forenede Kongerige har udpeget i henhold til artikel 676, stk. 1.
Unionen offentliggør oplysninger om de i stk. 1 nævnte myndigheder i 
Den Europæiske Unions Tidende
.
7.   Senest på datoen for denne aftales ikrafttræden meddeler Unionen på egne vegne eller på vegne af medlemsstaterne, alt efter hvad der er relevant, Det Forenede Kongerige navnet på følgende myndigheder:
a)
de passageroplysningsenheder, som hver medlemsstat har oprettet eller udpeget med henblik på at modtage og behandle PNR-oplysninger i henhold til afsnit III
b)
den myndighed, der i henhold til hver enkelt medlemsstats nationale lovgivning har beføjelse til at udstede en arrestordre som omhandlet i artikel 598, litra c), og den myndighed, der i henhold til hver enkelt medlemsstats nationale lovgivning har beføjelse til at udstede en arrestordre som omhandlet i artikel 598, litra d)
c)
den myndighed, som hver enkelt medlemsstat har udpeget i henhold til artikel 623, stk. 3
d)
det EU-organ, der er omhandlet i artikel 634
e)
den centrale myndighed, som hver enkelt medlemsstat har udpeget i henhold til artikel 645
f)
den centrale myndighed, som hver enkelt medlemsstat har udpeget i henhold til artikel 676, stk. 1
g)
ethvert EU-organ, der er udpeget i henhold til artikel 676, stk. 2, og om det også er udpeget som en central myndighed i henhold til sidste punktum i samme stykke.
8.   De meddelelser, der gives i henhold til stk. 6 eller 7, kan til enhver tid ændres. Sådanne ændringer sendes til Specialudvalget om Retshåndhævelse og Retligt Samarbejde.
9.   Det Forenede Kongerige og Unionen kan underrette mere end én myndighed for så vidt angår henholdsvis stk. 6, litra a), b), d), e), g), h), i) og j), og stk. 7 og kan begrænse sådanne underretninger til kun særlige formål.
10.   Når Unionen foretager de meddelelser, der er omhandlet i denne artikel, angiver den, hvilke af dens medlemsstater meddelelsen gælder for, eller om den foretager meddelelsen på egne vegne.
Artikel 691
Revision og evaluering
1.   Denne del revideres i fællesskab i overensstemmelse med artikel 776 eller efter anmodning fra en af parterne, hvis det er aftalt i fællesskab.
2.   Parterne træffer på forhånd afgørelse om, hvordan revisionen skal gennemføres, og meddeler hinanden sammensætningen af deres respektive revisionshold. Revisionsholdene skal omfatte personer med passende ekspertise med hensyn til de spørgsmål, der undersøges. Med forbehold af gældende lovgivning kræves det, at alle deltagere i den fælles evaluering respekterer tavshedspligten vedrørende drøftelserne og har den fornødne sikkerhedsgodkendelse. Med henblik på en sådan revision sørger Det Forenede Kongerige og Unionen for passende adgang til relevant dokumentation, systemer og personale.
3.   Revisionen skal navnlig vedrøre den praktiske gennemførelse, fortolkning og udvikling af denne del, jf. dog stk. 2.
Artikel 692
Ophør
1.   Med forbehold af artikel 779 kan hver part til enhver tid bringe denne del til ophør ved skriftlig meddelelse ad diplomatisk vej. I så tilfælde ophører denne del med at være i kraft på den første dag i den niende måned efter datoen for meddelelse heraf.
2.   Hvis denne del bringes til ophør, fordi Det Forenede Kongerige eller en medlemsstat har opsagt den europæiske menneskerettighedskonvention eller protokol nr. 1, 6 eller 13 hertil, ophører denne del dog med at være i kraft fra den dato, hvor opsigelsen får virkning, eller, hvis meddelelsen om opsigelsen sker efter denne dato, på femtendedagen efter denne meddelelse.
3.   Hvis en af parterne i henhold til denne artikel giver meddelelse om ophør, mødes Specialudvalget om Retshåndhævelse og Retligt Samarbejde for at afgøre, hvilke foranstaltninger der er nødvendige for at sikre, at ethvert samarbejde, der indledes i henhold til denne del, og som berøres af ophøret, indgås på passende vis. For så vidt angår alle personoplysninger, der indhentes gennem samarbejde i henhold til denne del, inden det ophører med at være i kraft, sikrer parterne under alle omstændigheder, at det beskyttelsesniveau, som personoplysningerne blev videregivet under, opretholdes, efter at ophøret får virkning.
Artikel 693
Suspension
1.   I tilfælde af alvorlige og systemiske mangler hos den ene part med hensyn til beskyttelsen af de grundlæggende rettigheder eller retsstatsprincippet kan den anden part ved skriftlig meddelelse via de diplomatiske kanaler suspendere denne del eller afsnittene deri. I en sådan meddelelse angives de alvorlige og systemiske mangler, der ligger til grund for suspensionen.
2.   I tilfælde af alvorlige og systemiske mangler hos den ene part med hensyn til beskyttelse af personoplysninger, herunder hvis disse mangler har ført til, at en relevant afgørelse om tilstrækkeligheden af beskyttelsesniveauet er ophørt, kan den anden part ved skriftlig meddelelse via de diplomatiske kanaler suspendere denne del eller afsnittene deri. I en sådan meddelelse angives de alvorlige og systemiske mangler, der ligger til grund for suspensionen.
3.   Med henblik på stk. 2 forstås ved "relevant afgørelse om tilstrækkeligheden af beskyttelsesniveauet" følgende:
a)
for så vidt angår Det Forenede Kongerige, en afgørelse vedtaget af Europa-Kommissionen i overensstemmelse med artikel 36 i Europa-Parlamentets og Rådets direktiv (EU) 2016/680 
(
82
)
 eller tilsvarende efterfølgende lovgivning, der attesterer et tilstrækkeligt beskyttelsesniveau
b)
for så vidt angår Unionen, en afgørelse vedtaget af Det Forenede Kongerige, der attesterer et tilstrækkeligt beskyttelsesniveau med henblik på videregivelse, der er omfattet af del 3 i Data Protection Act 2018 
(
83
)
 eller tilsvarende efterfølgende lovgivning.
4.   I forbindelse med suspensionen af afsnit III eller afsnit X omfatter henvisninger til en "relevant afgørelse om tilstrækkeligheden af beskyttelsesniveauet" også:
a)
for så vidt angår Det Forenede Kongerige, en afgørelse vedtaget af Europa-Kommissionen i overensstemmelse med artikel 45 i Europa-Parlamentets og Rådets forordning (EU) 2016/679 
(
84
)
 (generel forordning om databeskyttelse) eller tilsvarende efterfølgende lovgivning, der attesterer et tilstrækkeligt beskyttelsesniveau
b)
for så vidt angår Unionen, en afgørelse vedtaget af Det Forenede Kongerige, der attesterer et tilstrækkeligt beskyttelsesniveau med henblik på videregivelse, der er omfattet af del 2 i Data Protection Act 2018 eller tilsvarende efterfølgende lovgivning.
5.   De afsnit, der er berørt af suspensionen, ophører midlertidigt med at finde anvendelse den første dag i den tredje måned efter datoen for den i stk. 1 eller 2 omhandlede meddelelse, medmindre den part, der har givet meddelelse om suspensionen, senest to uger inden udløbet af denne periode, alt efter omstændighederne, i henhold til stk. 7, litra d), via de diplomatiske kanaler skriftligt underretter den anden part om sin tilbagetrækning af den første meddelelse eller om en indskrænkning af suspensionens omfang. I sidstnævnte tilfælde ophører kun de afsnit, der er omhandlet i den anden meddelelse, midlertidigt med at finde anvendelse.
6.   Hvis en part giver meddelelse om suspensionen af et eller flere afsnit i denne del i henhold til stk. 1 eller 2, kan den anden part ved skriftlig meddelelse via de diplomatiske kanaler suspendere alle de resterende afsnit med tre måneders varsel.
7.   Ved den i stk. 1 eller 2 omhandlede meddelelse om suspension forelægges sagen straks for Partnerskabsrådet. Partnerskabsrådet undersøger mulighederne for at give den part, der har givet meddelelse om suspensionen, mulighed for at udsætte dens ikrafttræden, begrænse dens anvendelsesområde eller trække den tilbage. Med henblik herpå kan Partnerskabsrådet efter henstilling fra Specialudvalget om Retshåndhævelse og Retligt Samarbejde:
a)
nå til enighed om fælles fortolkninger af bestemmelserne i denne del
b)
anbefale parterne passende foranstaltninger
c)
vedtage passende tilpasninger af denne del, som er nødvendige for at tage højde for årsagerne til suspensionen, og som højst er gyldige i 12 måneder, og
d)
forlænge den i stk. 5 omhandlede periode med op til tre måneder.
8.   Hvis en af parterne i henhold til denne artikel giver meddelelse om suspension, mødes Specialudvalget om Retshåndhævelse og Retligt Samarbejde for at afgøre, hvilke foranstaltninger der er nødvendige for at sikre, at ethvert samarbejde, der indledes i henhold til denne del, og som berøres af meddelelsen, indgås på passende vis. Under alle omstændigheder sikrer parterne med hensyn til alle personoplysninger, der er indhentet gennem samarbejde i henhold til denne del, inden de afsnit, der er berørt af suspensionen, midlertidigt ophører med at finde anvendelse, at det beskyttelsesniveau, som personoplysningerne blev videregivet under, opretholdes, efter at suspensionen får virkning.
9.   De suspenderede afsnit genindsættes den første dag i måneden efter den dato, hvor den part, der har givet meddelelse om suspensionen i henhold til stk. 1 eller 2, ad diplomatisk vej skriftligt har underrettet den anden part om sin hensigt om at genindføre de suspenderede afsnit. Den part, der har givet meddelelse om suspensionen i henhold til stk. 1 eller 2, skal gøre dette straks efter, at de alvorlige og systemiske mangler hos den anden part, som lå til grund for suspensionen, er ophørt med at eksistere.
10.   Efter meddelelsen om, at det er hensigten at genindføre de suspenderede afsnit i overensstemmelse med stk. 9, genindsættes de resterende afsnit, der er suspenderet i henhold til stk. 6, samtidig med at de afsnit, der er suspenderet i henhold til stk. 1 eller 2, genindsættes.
Artikel 694
Udgifter
Parterne og medlemsstaterne, herunder parternes eller medlemsstaternes institutioner, organer og kontorer, afholder deres egne udgifter i forbindelse med gennemførelsen af denne del, medmindre andet er fastsat i denne aftale.
AFSNIT XIII
TVISTBILÆGGELSE
Artikel 695
Formål
Formålet med dette afsnit er at etablere en hurtig, effektiv og virkningsfuld ordning til at forebygge og bilægge tvister mellem parterne vedrørende denne del, herunder tvister, der vedrører denne del, når det finder anvendelse i forbindelse med situationer, der er omfattet af andre bestemmelser i denne aftale, med henblik på at nå frem til gensidigt acceptable løsninger, når det er muligt.
Artikel 696
Anvendelsesområde
1.   Dette afsnit finder anvendelse på tvister mellem parterne vedrørende denne del ("de omfattede bestemmelser").
2.   De omfattede bestemmelser skal omfatte alle bestemmelser i denne del med undtagelse af artikel 526 og 541, artikel 552, stk. 14, artikel 562, 692, 693 og 700.
Artikel 697
Eksklusivitet
Parterne forpligter sig til ikke at forelægge en tvist mellem dem vedrørende denne del for en anden mekanisme til tvistbilæggelse end dem, der er fastsat i dette afsnit.
Artikel 698
Konsultationer
1.   Hvis en part ("den klagende part") mener, at den anden part ("den besvarende part") har tilsidesat en forpligtelse i henhold til denne del, bestræber parterne sig på at finde en løsning ved at indlede konsultationer i god tro med det formål at nå frem til en gensidigt acceptabel løsning.
2.   Den klagende part kan indkalde til konsultationer ved indgivelse af en skriftlig anmodning til den besvarende part. Den klagende part angiver i sin skriftlige anmodning årsagerne til anmodningen, herunder angivelse af de handlinger eller undladelser, som den klagende part anser for at give anledning til, at den besvarende part misligholder en forpligtelse, med angivelse af de omfattede bestemmelser, som den anser for gældende.
3.   Den besvarende part besvarer anmodningen med det samme og senest to uger efter datoen for indgivelse heraf. Der holdes regelmæssige konsultationer inden for en periode på tre måneder efter datoen for indgivelsen af anmodningen ved personligt fremmøde eller ved andre kommunikationsmåder, der aftales af parterne.
4.   Konsultationerne afsluttes senest tre måneder efter indgivelsen af anmodningen, medmindre parterne er enige om at fortsætte konsultationerne.
5.   Den klagende part kan anmode om, at konsultationerne afholdes inden for rammerne af Specialudvalget om Retshåndhævelse og Retligt Samarbejde eller inden for rammerne af Partnerskabsrådet. Det første møde finder sted senest en måned efter anmodningen om konsultationer, jf. denne artikels stk. 2. Specialudvalget om Retshåndhævelse og Retligt Samarbejde eller Partnerskabsrådet kan til enhver tid beslutte at henvise sagen til Partnerskabsrådet. Partnerskabsrådet kan også selv tage sig af sagen. Specialudvalget om Retshåndhævelse og Retligt Samarbejde eller i givet fald Partnerskabsrådet kan bilægge tvisten ved en afgørelse. En sådan afgørelse betragtes som en gensidigt acceptabel løsning som omhandlet i artikel 699.
6.   Den klagende part kan til enhver tid ensidigt trække sin anmodning om konsultationer tilbage. I så fald afsluttes konsultationerne straks.
7.   Konsultationer og navnlig alle oplysninger, der betegnes som fortrolige, og holdninger, som parterne indtager under konsultationerne, er fortrolige.
Artikel 699
Gensidigt acceptabel løsning
1.   Parterne kan til enhver tid nå frem til en gensidigt acceptabel løsning vedrørende tvister i henhold til artikel 696.
2.   Den gensidigt acceptable løsning kan vedtages ved en afgørelse truffet af Specialudvalget om Retshåndhævelse og Retligt Samarbejde eller Partnerskabsrådet. Hvis den gensidigt acceptable løsning består af en aftale om parternes fælles fortolkning af bestemmelserne i denne del, vedtages denne gensidigt acceptabel løsning ved en afgørelse truffet af Partnerskabsrådet.
3.   Hver part træffer de nødvendige foranstaltninger for at gennemføre den gensidigt acceptable løsning inden for den aftalte frist.
4.   Den gennemførende part giver senest ved udløbet af den aftalte frist den anden part skriftlig meddelelse om enhver foranstaltning, som den har truffet for at gennemføre den gensidigt acceptable løsning.
Artikel 700
Suspension
1.   Hvis konsultationerne i henhold til artikel 698 ikke har ført til en gensidigt acceptabel løsning som omhandlet i artikel 699, forudsat at den klagende part ikke har trukket sin anmodning om konsultationer tilbage i henhold til artikel 698, stk. 6, og hvis den klagende part finder, at den besvarende part alvorligt misligholder sine forpligtelser i henhold til de bestemmelser, der er omhandlet i artikel 698, stk. 2, kan den klagende part ved skriftlig meddelelse via diplomatiske kanaler suspendere de afsnit i denne del, som den alvorlige misligholdelse vedrører. I en sådan meddelelse angives, hvilken alvorlig misligholdelse af forpligtelser der ligger til grund for suspensionen.
2.   De afsnit, der berøres af suspensionen, ophører midlertidigt med at finde anvendelse den første dag i den tredje måned efter datoen for den i stk. 1 omhandlede meddelelse eller enhver anden dato, som parterne er blevet enige om, medmindre den klagende part senest to uger inden udløbet af denne frist skriftligt underretter den besvarende part via de diplomatiske kanaler om sin tilbagetrækning af den første meddelelse eller om en indskrænkning af suspensionens anvendelsesområde. I sidstnævnte tilfælde ophører kun de afsnit, der er omhandlet i den anden meddelelse, midlertidigt med at finde anvendelse.
3.   Hvis den klagende part giver meddelelse om suspensionen af et eller flere afsnit i denne del i henhold til stk. 1, kan den besvarende part ved skriftlig meddelelse via de diplomatiske kanaler suspendere alle de resterende afsnit med tre måneders varsel.
4.   Hvis der gives meddelelse om suspension i henhold til denne artikel, mødes Specialudvalget om Retshåndhævelse og Retligt Samarbejde for at afgøre, hvilke foranstaltninger der er nødvendige for at sikre, at ethvert samarbejde, der indledes i henhold til denne del, og som berøres af meddelelsen, indgås på passende vis. Under alle omstændigheder sikrer parterne med hensyn til alle personoplysninger, der er indhentet gennem samarbejde i henhold til denne del, inden de afsnit, der er berørt af suspensionen, midlertidigt ophører med at finde anvendelse, at det beskyttelsesniveau, som personoplysningerne blev videregivet under, opretholdes, efter at suspensionen får virkning.
5.   De suspenderede afsnit genindsættes den første dag i måneden efter den dato, hvor den klagende part ad diplomatisk vej skriftligt har underrettet den besvarende part om sin hensigt om at genindføre de suspenderede afsnit. Den klagende part gør straks dette, når den finder, at den alvorlige misligholdelse af de forpligtelser, der lå til grund for suspensionen, er ophørt med at eksistere.
6.   Efter meddelelse fra den klagende part om, at den agter at genindføre de suspenderede afsnit i henhold til stk. 5, genindsættes de resterende afsnit, som den besvarende part har suspenderet i henhold til stk. 3, samtidig med at de afsnit, der suspenderes af den klagende part i henhold til stk. 1, genindsættes.
Artikel 701
Frister
1.   Alle frister, der er omhandlet i dette afsnit, er alt efter omstændighederne regnet i uger eller måneder fra dagen efter den handling, de refererer til.
2.   Alle frister, der er omhandlet i dette afsnit, kan ændres ved aftale mellem parterne.
FJERDE DEL
TEMATISK SAMARBEJDE
AFSNIT I
SUNDHEDSMÆSSIG SIKKERHED
Artikel 702
Samarbejde om sundhedsmæssig sikkerhed
1.   I denne artikel forstås ved en "alvorlig grænseoverskridende sundhedstrussel" en livstruende eller anden alvorlig fare for sundheden af biologisk, kemisk, miljømæssig eller ukendt oprindelse, som spreder sig eller indebærer en betydelig risiko for spredning på tværs af grænserne af mindst én medlemsstat og Det Forenede Kongerige.
2.   Parterne underretter hinanden om en alvorlig grænseoverskridende sundhedstrussel, der berører den anden part, og bestræber sig på at gøre dette rettidigt.
3.   Hvis der foreligger en alvorlig grænseoverskridende sundhedstrussel, kan Unionen efter skriftlig anmodning fra Det Forenede Kongerige give Det Forenede Kongerige ad hoc-adgang til sit system for tidlig varsling og reaktion i forbindelse med den særlige trussel, således at parterne og medlemsstaternes kompetente myndigheder kan udveksle relevante oplysninger, vurdere risici for folkesundheden og koordinere de foranstaltninger, der kan være nødvendige for at beskytte folkesundheden. Unionen bestræber sig på at reagere rettidigt på Det Forenede Kongeriges skriftlige anmodning.
Unionen kan desuden opfordre Det Forenede Kongerige til at deltage i et udvalg, der er nedsat i Unionen, og som består af repræsentanter for medlemsstaterne, med henblik på at støtte udvekslingen af oplysninger og koordineringen i forbindelse med den alvorlige grænseoverskridende sundhedstrussel.
Begge ordninger skal være midlertidige og under alle omstændigheder ikke vare længere end, hvad parterne efter at have hørt hinanden vurderer er nødvendigt for den pågældende alvorlige grænseoverskridende sundhedstrussel.
4.   Med henblik på den i stk. 2 omhandlede informationsudveksling og eventuelle anmodninger i henhold til stk. 3 udpeger hver af parterne et kontaktpunkt og underretter den anden part herom. Kontaktpunkterne skal også:
a)
bestræbe sig på at gøre det lettere for parterne at forstå, om en trussel udgør en alvorlig grænseoverskridende sundhedstrussel eller ej
b)
søge gensidigt acceptable løsninger på alle tekniske spørgsmål, der måtte opstå i forbindelse med gennemførelsen af dette afsnit.
5.   Det Forenede Kongerige overholder alle gældende betingelser for anvendelse af systemet for tidlig varsling og reaktion samt det i stk. 3 omhandlede udvalgs forretningsorden i den pågældende adgangsperiode, der vedrører en særlig alvorlig grænseoverskridende sundhedstrussel. Hvis, efter at der er udvekslet oplysninger mellem parterne,
a)
Unionen vurderer, at Det Forenede Kongerige ikke har overholdt ovennævnte betingelser eller forretningsorden, kan Unionen indstille Det Forenede Kongeriges adgang til systemet for tidlig varsling og reaktion eller landets deltagelse i dette udvalg, alt efter hvad der er relevant, for så vidt angår den pågældende trussel
b)
Det Forenede Kongerige vurderer, at det ikke kan acceptere betingelserne eller forretningsordenen, kan Det Forenede Kongerige trække sin deltagelse i systemet for tidlig varsling og reaktion eller sin deltagelse i dette udvalg tilbage for så vidt angår den pågældende trussel.
6.   Når det er i parternes gensidige interesse, samarbejder de i internationale fora om forebyggelse, opdagelse, forberedelse og reaktion på etablerede og nye trusler mod den sundhedsmæssige sikkerhed.
7.   Det Europæiske Center for Forebyggelse af og Kontrol med Sygdomme og Det Forenede Kongeriges relevante organ med ansvar for overvågning, epidemiske efterretninger og videnskabelig rådgivning om smitsomme sygdomme samarbejder om tekniske og videnskabelige spørgsmål af fælles interesse for parterne og kan med henblik herpå indgå et aftalememorandum.
AFSNIT II
CYBERSIKKERHED
Artikel 703
Dialog om cyberspørgsmål
Parterne bestræber sig på at etablere en regelmæssig dialog for at udveksle oplysninger om relevante politikudviklinger, herunder om international sikkerhed, sikkerhed i forbindelse med nye teknologier, forvaltning af internettet, cybersikkerhed, cyberforsvar og cyberkriminalitet.
Artikel 704
Samarbejde om cyberspørgsmål
1.   Når det er i parternes gensidige interesse, samarbejder de om cyberspørgsmål gennem udveksling af bedste praksis og praktiske samarbejdsforanstaltninger med henblik på at fremme og beskytte et åbent, frit, stabilt og sikkert cyberspace, baseret på anvendelse af gældende folkeret og internationale normer for ansvarlig statslig adfærd og regionale cybertillidsskabende foranstaltninger.
2.   Parterne bestræber sig også på at samarbejde i relevante internationale organer og fora og bestræbe sig på at styrke den globale cyberrobusthed og øge tredjelandes evne til effektivt at bekæmpe cyberkriminalitet.
Artikel 705
Samarbejde med IT-Beredskabsenheden for Den Europæiske Union
Med forbehold af forudgående godkendelse fra styrelsesrådet for IT-Beredskabsenheden – Den Europæiske Union (CERT-EU) skal CERT-EU og Det Forenede Kongeriges nationale IT-beredskabshold på et frivilligt, rettidigt og gensidigt grundlag samarbejde om at udveksle oplysninger om værktøjer og metoder såsom teknikker, taktikker, procedurer og bedste praksis og om generelle trusler og sårbarheder.
Artikel 706
Deltagelse i specifikke aktiviteter i samarbejdsgruppen,  der er nedsat ved direktiv (EU) 2016/1148
1.   Med henblik på at fremme samarbejdet om cybersikkerhed og samtidig sikre, at Unionens beslutningsproces er uafhængig, kan de relevante nationale myndigheder i Det Forenede Kongerige efter indbydelse, som Det Forenede Kongerige også kan anmode om, fra formanden for samarbejdsgruppen i samråd med Kommissionen deltage i følgende af samarbejdsgruppens aktiviteter:
a)
udveksling af bedste praksis med hensyn til opbygning af kapacitet til sikring af net- og informationssystemer
b)
udveksling af oplysninger omhandlende øvelser vedrørende sikkerheden i net- og informationssystemer
c)
udveksling af oplysninger, erfaringer og bedste praksis vedrørende risici og hændelser
d)
udveksling af oplysninger og bedste praksis for oplysningskampagner, uddannelsesprogrammer og uddannelse og
e)
udveksling af oplysninger og bedste praksis for forskning og udvikling i forbindelse med sikkerheden i net- og informationssystemer.
2.   Enhver udveksling af oplysninger, erfaringer eller bedste praksis mellem samarbejdsgruppen og Det Forenede Kongeriges relevante nationale myndigheder er frivillig og, hvis det er relevant, gensidig.
Artikel 707
Samarbejde med Den Europæiske Unions Agentur for Cybersikkerhed (ENISA)
1.   Med henblik på at fremme samarbejdet om cybersikkerhed og samtidig sikre, at Unionens beslutningsproces er uafhængig, kan Det Forenede Kongerige efter indbydelse, som Det Forenede Kongerige også kan anmode om, fra bestyrelsen for Den Europæiske Unions Agentur for Cybersikkerhed (ENISA) deltage i følgende aktiviteter, der udføres af ENISA:
a)
kapacitetsopbygning
b)
viden og information og
c)
oplysningsaktiviteter og uddannelse.
2.   Betingelserne for Det Forenede Kongeriges deltagelse i ENISA's aktiviteter som omhandlet i stk. 1, herunder et passende finansielt bidrag, fastsættes i samarbejdsordninger vedtaget af ENISA's bestyrelse efter forhåndsgodkendelse af Kommissionen og aftale med Det Forenede Kongerige.
3.   Udvekslingen af oplysninger, erfaringer og bedste praksis mellem ENISA og Det Forenede Kongerige er frivillig og, hvor det er relevant, gensidig.
FEMTE DEL
DELTAGELSE I EU-PROGRAMMER, FORSVARLIG ØKONOMISK FORVALTNING  OG FINANSIELLE BESTEMMELSER
Artikel 708
Anvendelsesområde
1.   Denne del finder anvendelse på Det Forenede Kongeriges deltagelse i Unionens programmer, aktiviteter og tjenester i henhold hertil, hvori parterne er blevet enige om, at Det Forenede Kongerige deltager.
2.   Denne del finder ikke anvendelse på Det Forenede Kongeriges deltagelse i samhørighedsprogrammer under målet om europæisk territorialt samarbejde eller tilsvarende programmer med samme mål, når deltagelsen sker på grundlag af en eller flere EU-institutioners retsakter, der finder anvendelse på de pågældende programmer.
De gældende betingelser for deltagelse i de i første afsnit omhandlede programmer fastsættes i den gældende basisretsakt og den finansieringsaftale, der indgås i henhold dertil. Parterne når til enighed om bestemmelser med tilsvarende virkning som kapitel 2 om Det Forenede Kongeriges deltagelse i disse programmer.
Artikel 709
Definitioner
I denne del forstås ved:
a)
"basisretsakt":
i)
en retsakt fra en eller flere EU-institutioner om oprettelse af et program eller aktivitet, der udgør et retsgrundlag for en foranstaltning og for afholdelsen af den dertil svarende udgift, der er opført på Unionens budget, eller for en budgetgaranti, som understøttes af Unionens budget, herunder alle ændringer heraf og alle en EU-institutions relevante retsakter, der supplerer eller gennemfører retsakten, bortset fra retsakter om vedtagelse af arbejdsprogrammer, eller
ii)
en retsakt fra en eller flere EU-institutioner om oprettelse af en aktivitet, der finansieres over EU-budgettet og ikke indgår i programmer
b)
"finansieringsaftale": aftaler vedrørende EU-programmer og -aktiviteter i henhold til protokol I om programmer og aktiviteter, som Det Forenede Kongerige deltager i, som gennemfører EU-midler som f.eks. tilskudsaftaler, bidragsaftaler, rammeaftaler om finansielt partnerskab, finansieringsaftaler og garantiaftaler
c)
"andre regler vedrørende gennemførelsen af EU-programmet og -aktiviteten": regler, der er fastsat i Europa-Parlamentets og Rådets forordning (EU, Euratom) 2018/1046 
(
85
)
 ("finansforordningen"), der finder anvendelse på Unionens almindelige budget, og i arbejdsprogrammet eller i indkaldelser eller andre EU-tildelingsprocedurer
d)
"Union": Unionen, Det Europæiske Atomenergifællesskab eller begge, afhængigt af sammenhængen
e)
"EU-tildelingsprocedure": en procedure om tildeling af EU-finansiering, der iværksættes af Unionen eller af personer eller enheder, som har fået overdraget gennemførelsen af EU-midler
f)
"enhed i Det Forenede Kongerige": enhver form for enhed, hvad enten det er en fysisk person, juridisk person eller anden type enhed, der kan deltage i aktiviteter inden for rammerne af et EU-program eller en EU-aktivitet i overensstemmelse med basisretsakten, og som har ophold i eller er etableret i Det Forenede Kongerige.
KAPITEL 1
DET FORENEDE KONGERIGES DELTAGELSE I EU-PROGRAMMER  OG -AKTIVITETER
AFDELING 1
GENERELLE BETINGELSER FOR DELTAGELSE I EU-PROGRAMMER  OG -AKTIVITETER
Artikel 710
Fastlæggelse af deltagelsen
1.   Det Forenede Kongerige deltager i og bidrager til EU-programmer, -aktiviteter eller i særlige tilfælde dele af EU-programmer eller -aktiviteter, som er åbne for dets deltagelse, og som opføres i en protokol om programmer og aktiviteter, som Det Forenede Kongerige deltager i ("protokol I").
2.   Protokol I aftales mellem parterne. Den vedtages og kan ændres af Specialudvalget om Deltagelse i EU-Programmer.
3.   I protokol I:
a)
identificeres Unionens programmer, aktiviteter eller i særlige tilfælde den del af Unionens programmer eller aktiviteter, som Det Forenede Kongerige deltager i
b)
fastsættes deltagelsens varighed, hvorved forstås den periode, hvor Det Forenede Kongerige og enheder i Det Forenede Kongerige kan ansøge om EU-finansiering eller kan få overdraget gennemførelsen af EU-finansiering
c)
fastsættes specifikke deltagelsesbetingelser for Det Forenede Kongerige og enheder i Det Forenede Kongerige, herunder de nærmere bestemmelser for gennemførelsen af de finansielle betingelser, jf. artikel 714, de nærmere bestemmelser for korrektionsmekanismen, jf. artikel 716, og betingelserne for deltagelse i strukturer, der er oprettet med henblik på at gennemføre disse EU-programmer eller -aktiviteter. Disse betingelser skal være i overensstemmelse med denne aftale og basisretsakterne samt retsakterne fra en eller flere EU-institutioner om oprettelse af de pågældende strukturer
d)
fastsættes, når det er relevant, beløbet for Det Forenede Kongeriges bidrag til et EU-program, der gennemføres gennem et finansielt instrument eller en budgetgaranti, og, når det er relevant, de nærmere bestemmelser, jf. artikel 717.
Artikel 711
Overholdelse af programregler
1.   Det Forenede Kongerige deltager i EU-programmer og -aktiviteter eller de dele heraf, der er anført i protokol I, på de betingelser, som er fastsat i denne aftale, i basisretsakterne og andre regler vedrørende gennemførelsen af EU-programmer og -aktiviteter.
2.   Vilkårene og betingelserne i stk. 1 omfatter:
a)
støtteberettigelsen af enheder i Det Forenede Kongerige og andre støtteberettigelsesbetingelser vedrørende Det Forenede Kongerige, særlig med hensyn til oprindelse, aktivitetssted eller nationalitet
b)
vilkårene og betingelserne for indgivelse, vurdering og udvælgelse af ansøgninger og for støtteberettigede enheder i Det Forenede Kongeriges gennemførelse af aktionerne.
3.   De vilkår og betingelser, der er omhandlet i stk. 2, litra b), svarer til dem, der gælder for støtteberettigede enheder i medlemsstaterne, undtagen i behørigt begrundede særlige tilfælde som fastsat i de vilkår og betingelser, der er omhandlet i stk. 1. Hver af parterne kan gøre Specialudvalget om Deltagelse i EU-Programmer opmærksom på behovet for drøftelse af behørigt begrundede udelukkelser.
Artikel 712
Betingelser for deltagelse
1.   Det Forenede Kongeriges deltagelse i et EU-program eller en EU-aktivitet eller dele heraf, jf. artikel 708, er betinget af, at Det Forenede Kongerige:
a)
inden for rammerne af sin nationale lovgivning gør alt, hvad der står i dets magt, for at lette indrejsen og opholdet for personer, der deltager i gennemførelsen af disse programmer og aktiviteter eller dele heraf, herunder studerende, forskere, praktikanter eller volontører
b)
sikrer, i det omfang det er under Det Forenede Kongeriges myndigheders kontrol, at betingelserne for, at de i litra a) omhandlede personer kan få adgang til tjenester i Det Forenede Kongerige, som er direkte knyttet til gennemførelsen af programmerne eller aktiviteterne, er de samme som for statsborgere i Det Forenede Kongerige, herunder med hensyn til eventuelle gebyrer
c)
for så vidt angår deltagelse, der indebærer udveksling af eller adgang til klassificerede eller følsomme ikkeklassificerede oplysninger, har indgået passende aftaler i overensstemmelse med artikel 777.
2.   For så vidt angår Det Forenede Kongeriges deltagelse i et EU-program eller en EU-aktivitet eller dele heraf, jf. artikel 708, skal Unionen og medlemsstaterne:
a)
inden for rammerne af EU-retten eller medlemsstaternes lovgivning gøre alt, hvad der står i deres magt, for at lette indrejsen og opholdet for statsborgere i Det Forenede Kongerige, der deltager i gennemførelsen af disse programmer og aktiviteter eller dele heraf, herunder studerende, forskere, praktikanter eller volontører
b)
sikre, i det omfang det er under Unionens og medlemsstaternes myndigheders kontrol, at betingelserne for, at de i litra a) omhandlede statsborgere i Det Forenede Kongerige kan få adgang til tjenester i Unionen, som er direkte knyttet til gennemførelsen af programmerne eller aktiviteterne, er de samme som for EU-borgere, herunder med hensyn til eventuelle gebyrer.
3.   I Protokol I kan der fastsættes yderligere specifikke betingelser, der omhandler denne artikel, og som er nødvendige for Det Forenede Kongeriges deltagelse i et EU-program eller en EU-aktivitet eller dele heraf.
4.   Denne artikel berører ikke artikel 711.
5.   Denne artikel og artikel 718 berører heller ikke eventuelle ordninger mellem Det Forenede Kongerige og Irland vedrørende det fælles rejseområde.
Artikel 713
Det Forenede Kongeriges deltagelse i forvaltningen af programmer eller aktiviteter
1.   Repræsentanterne for eller eksperterne fra Det Forenede Kongerige eller eksperter udpeget af Det Forenede Kongerige kan, medmindre der er tale om punkter, som kun er forbeholdt medlemsstaterne, eller et program eller en aktivitet, som Det Forenede Kongerige ikke deltager i, deltage som observatører i møder i udvalg eller komitéer eller ekspertgrupper eller andre lignende møder, hvor repræsentanter for eller eksperter fra medlemsstaterne eller eksperter udpeget af medlemsstaterne deltager, og som bistår Europa-Kommissionen ved gennemførelsen og forvaltningen af de programmer, aktiviteter eller dele deraf, som Det Forenede Kongerige deltager i, jf. artikel 708, eller som Europa-Kommissionen har oprettet med henblik på at gennemføre EU-retten i forbindelse med disse programmer, aktiviteter eller dele deraf. Repræsentanterne for eller eksperterne fra Det Forenede Kongerige eller eksperter udpeget af Det Forenede Kongerige må ikke være til stede på afstemningstidspunktet. Det Forenede Kongerige informeres om afstemningsresultatet.
2.   Såfremt eksperter eller bedømmere ikke udpeges på grundlag af nationalitet, må statsborgere i Det Forenede Kongerige ikke udelukkes på grund af nationalitet.
3.   Forudsat at betingelserne i stk. 1 er opfyldt, er deltagelsen af repræsentanter for Det Forenede Kongerige i de i stk. 1 omhandlede møder eller i andre møder vedrørende gennemførelsen af programmer eller aktiviteter underkastet samme regler og procedurer, som gælder for repræsentanter for medlemsstaterne, navnlig med hensyn til taleret, modtagelse af oplysninger og dokumentation, medmindre der er tale om punkter, som kun er forbeholdt medlemsstaterne, eller i forbindelse med et program eller en aktivitet, som Det Forenede Kongerige ikke deltager i, og godtgørelse af rejse- og opholdsudgifter.
4.   I protokol I kan de nærmere bestemmelser fastsættes om eksperters deltagelse samt Det Forenede Kongeriges deltagelse i bestyrelser og strukturer, der er oprettet med henblik på at gennemføre EU-programmerne eller -aktiviteterne, jf. denne protokol.
AFDELING 2
REGLER FOR FINANSIERING AF DELTAGELSEN I EU-PROGRAMMER  OG -AKTIVITETER
Artikel 714
Finansielle betingelser
1.   Deltagelse af Det Forenede Kongerige eller enheder i Det Forenede Kongerige i EU-programmer, -aktiviteter eller dele heraf forudsætter, at Det Forenede Kongerige bidrager finansielt til den dertil svarende finansiering under Unionens budget.
2.   Det finansielle bidrag har form af summen af:
a)
et deltagelsesgebyr og
b)
et operationelt bidrag.
3.   Det finansielle bidrag ydes i form af en årlig betaling i en eller flere rater.
4.   Med forbehold af artikel 733 udgør deltagelsesgebyret 4 % af det årlige operationelle bidrag og underkastes ikke justeringer med tilbagevirkende kraft, undtagen i forbindelse med suspension i henhold til artikel 718, stk. 7, litra b), og indstilling i henhold til artikel 720, stk. 6, litra c). Fra 2028 kan deltagelsesgebyrets størrelse justeres af Specialudvalget om Deltagelse i EU-Programmer.
5.   Det operationelle bidrag dækker aktions- og støtteudgifter og supplerer for så vidt angår både forpligtelses- og betalingsbevillinger de beløb, der er opført på det endeligt vedtagne EU-budget for programmer eller aktiviteter eller undtagelsesvis dele deraf, og som alt efter omstændighederne forøges med eksterne formålsbestemte indtægter, der ikke vedrører finansielle bidrag til EU-programmer og -aktiviteter fra andre donorer, jf. protokol I.
6.   Det operationelle bidrag baseres på en fordelingsnøgle defineret som forholdet mellem Det Forenede Kongeriges bruttonationalprodukt (BNP) i markedspriser og Unionens BNP i markedspriser. De BNP'er i markedspriser, der skal anvendes, skal være de senest tilgængelige ifølge Den Europæiske Unions Statistiske Kontor (Eurostat) fra den 1. januar i det år, hvor den årlige betaling foretages, så snart den ordning, der er omhandlet i artikel 730, finder anvendelse i henhold til bestemmelserne i denne ordning. Før denne ordning finder anvendelse, er Det Forenede Kongeriges BNP det, der er fastlagt på grundlag af data fra Organisationen for Økonomisk Samarbejde og Udvikling (OECD).
7.   Det operationelle bidrag baseres på anvendelsen af fordelingsnøglen for de oprindelige forpligtelsesbevillinger, som eventuelt forøges som angivet i stk. 5, og som er opført på det endeligt vedtagne EU-budget for det relevante år til finansiering af EU-programmer eller -aktiviteter eller undtagelsesvis dele deraf, som Det Forenede Kongerige deltager i.
8.   Det operationelle bidrag for et program, en aktivitet eller en del deraf for et år N kan opjusteres eller nedjusteres med tilbagevirkende kraft i et eller flere efterfølgende år på basis af de budgetmæssige forpligtelser, der er indgået på grundlag af forpligtelsesbevillingerne for det pågældende år, deres gennemførelse og deres frigørelse.
Den første justering foretages i år N+1, hvor det oprindelige bidrag op- eller nedjusteres i forhold til forskellen mellem det oprindelige bidrag og et justeret bidrag beregnet ved hjælp af bidragsnøglen for år N på summen af
a)
beløbet for de budgetmæssige forpligtelser, der er indgået på grundlag af forpligtelsesbevillinger, der er godkendt i år N inden for rammerne af det vedtagne EU-budget, og forpligtelsesbevillinger svarende til genopførte frigørelser, og
b)
eventuelle eksterne formålsbestemte indtægter, der ikke hidrører fra finansielle bidrag til EU-programmer og -aktiviteter fra andre donorer som defineret i protokol I, og som var disponible ved udgangen af år N.
Hvert efterfølgende år beregner Unionen, indtil alle budgetforpligtelser, der finansieres over forpligtelsesbevillinger fra år N, er betalt eller frigjort, og senest tre år efter programmets afslutning eller efter udløbet af den flerårige finansielle ramme svarende til år N, alt efter hvad der indtræffer først, en justering af bidraget for år N ved at reducere Det Forenede Kongeriges bidrag med det beløb, der fremkommer ved at anvende bidragsnøglen for år N på de frigørelser, der hvert år er foretaget på forpligtelser i år N, der finansieres over Unionens budget, eller fra genopførte frigørelser.
Hvis eksterne formålsbestemte indtægter, der ikke hidrører fra finansielle bidrag til Unionens programmer og aktiviteter fra andre donorer som defineret i protokol I, annulleres, nedsættes Det Forenede Kongeriges bidrag med det beløb, der fremkommer ved at anvende bidragsnøglen for år N på det annullerede beløb.
I år n+2 eller i efterfølgende år, efter at have foretaget de justeringer, der er omhandlet i andet, tredje og fjerde afsnit, nedsættes Det Forenede Kongeriges bidrag for år N også med et beløb, der fremkommer ved at gange Det Forenede Kongeriges bidrag for år N og forholdet mellem
a)
de retlige forpligtelser for år N, der finansieres over eventuelle disponible forpligtelsesbevillinger i år N, og som følger af konkurrencebaserede tildelingsprocedurer,
i)
fra hvilke Det Forenede Kongerige og enheder i Det Forenede Kongerige er blevet udelukket, eller
ii)
for hvilke Specialudvalget om Deltagelse i EU-Programmer i overensstemmelse med proceduren i artikel 715 har besluttet at kvasi-udelukke Det Forenede Kongerige eller enheder i Det Forenede Kongerige, eller
iii)
for hvilke fristen for indgivelse af ansøgninger er udløbet under den suspension, der er omhandlet i artikel 718, eller efter den indstilling, der er omhandlet i artikel 720, er trådt i kraft, eller
iv)
for hvilke deltagelsen af Det Forenede Kongeriges og enheder i Det Forenede Kongerige er blevet begrænset i overensstemmelse med artikel 722, stk. 3, og
b)
det samlede beløb for retlige forpligtelser, der finansieres over eventuelle forpligtelsesbevillinger for år N.
Dette beløb for retlige forpligtelser beregnes ved at tage alle de budgetmæssige forpligtelser, der er indgået i år N, og fratrække de frigørelser, der er indgået for disse forpligtelser i år N+1.
9.   Efter anmodning forelægger Unionen Det Forenede Kongerige oplysninger om dets finansielle deltagelse som fastsat i de budget-, regnskabs-, resultat- og evalueringsrelaterede oplysninger, der er fremsendt til Unionens budget- og dechargemyndigheder vedrørende de EU-programmer og -aktiviteter, som Det Forenede Kongerige deltager i. Disse oplysninger forelægges under behørig hensyntagen til Unionens og Det Forenede Kongeriges fortroligheds- og databeskyttelsesregler og berører ikke de oplysninger, som Det Forenede Kongerige har ret til at modtage i henhold til kapitel 2.
10.   Alle bidrag fra Det Forenede Kongerige eller betalinger fra Unionen og beregningen af beløb, der forfalder til betaling, eller modtages, foretages i euro.
11.   Bilag 47 indeholder de nærmere bestemmelser for gennemførelsen af denne artikel, jf. dog stk. 5 og stk. 8, andet afsnit, heri. Bilag 47 kan ændres af Specialudvalget om Deltagelse i EU-Programmer.
Artikel 715
Kvasi-udelukkelse fra konkurrencebaserede tildelingsprocedurer
1.   Hvis Det Forenede Kongerige finder, at visse betingelser, der er fastsat i en konkurrencebaseret tildelingsprocedure, udgør en kvasi-udelukkelse af enheder i Det Forenede Kongerige, underretter Det Forenede Kongerige Specialudvalget om Deltagelse i EU-Programmer inden fristen for indgivelse af ansøgninger i den pågældende procedure og giver en begrundelse herfor.
2.   Inden for tre måneder efter fristen for indgivelse af ansøgninger i forbindelse med den pågældende tildelingsprocedure gennemgår Specialudvalget om Deltagelse i EU-Programmer den i stk. 1 omhandlede meddelelse, forudsat at deltagelsesprocenten for enheder i Det Forenede Kongerige i den pågældende tildelingsprocedure er mindst 25 % lavere end:
a)
den gennemsnitlige deltagelsesprocent for enheder i Det Forenede Kongerige i lignende konkurrencebaserede tildelingsprocedurer, der ikke indeholder en sådan betingelse, og som er iværksat inden for de seneste tre år forud for meddelelsen eller
b)
den gennemsnitlige deltagelsesprocent for enheder i Det Forenede Kongerige i alle tildelingsprocedurer, der iværksættes som led i programmet eller det foregående program, alt efter hvad der er relevant, inden for de seneste tre år forud for meddelelsen, såfremt der ikke foreligger lignende konkurrencebaserede tildelingsprocedurer.
3.   Specialudvalget om Deltagelse i EU-Programmer beslutter ved udgangen af den periode, der er omhandlet i stk. 2, om der har været tale om en kvasi-udelukkelse af enheder i Det Forenede Kongerige fra den pågældende tildelingsprocedure i lyset af den begrundelse, som Det Forenede Kongerige har givet i henhold til stk. 1, og den reelle deltagelsesprocent i den pågældende tildelingsprocedure.
4.   Med henblik på stk. 2 og 3 er deltagelsesprocenten forholdet mellem antallet af ansøgninger, der er indgivet af enheder i Det Forenede Kongerige, og det samlede antal ansøgninger, der er indgivet inden for samme tildelingsprocedure.
Artikel 716
Programmer, for hvilke en automatisk korrektionsmekanisme finder anvendelse
1.   En automatisk korrektionsmekanisme finder anvendelse i forbindelse med de EU-programmer, -aktiviteter eller dele deraf, for hvilke anvendelsen af en automatisk korrektionsmekanisme er fastsat i protokol I. Anvendelsen af denne automatiske korrektionsmekanisme kan begrænses til dele af det program eller den aktivitet, der er fastsat i protokol I, og som gennemføres ved hjælp af tilskud, som er omfattet af konkurrencebaserede indkaldelser af forslag. De nærmere regler for identificering af de dele af programmet eller aktiviteten, som den automatiske korrektionsmekanisme finder eller ikke finder anvendelse på, kan fastsættes i protokol I.
2.   Det automatiske korrektionsbeløb for et program eller en aktivitet eller dele deraf er forskellen mellem de oprindelige beløb for de retlige forpligtelser, der faktisk er indgået med Det Forenede Kongerige eller enheder i Det Forenede Kongerige, og som er finansieret over forpligtelsesbevillinger for det pågældende år, og det tilsvarende operationelle bidrag, som Det Forenede Kongerige har betalt som justeret i henhold til artikel 714, stk. 8, eksklusive støtteudgifter, der dækker samme periode, hvis dette beløb er positivt.
3.   Ethvert beløb, der er omhandlet i denne artikels stk. 2, og som hvert år i to på hinanden følgende år overstiger 8 % af det tilsvarende bidrag fra Det Forenede Kongerige til programmet som justeret i henhold til artikel 714, stk. 8, forfalder til betaling af Det Forenede Kongerige som et supplerende bidrag i henhold til den automatiske korrektionsmekanisme for hvert af disse to år.
4.   De nærmere regler for fastlæggelsen af de relevante beløb for de retlige forpligtelser, der er omhandlet i denne artikels stk. 2, herunder for så vidt angår konsortier, og for beregningen af den automatiske korrektion kan fastsættes i protokol I.
Artikel 717
Finansiering i forbindelse med programmer, der gennemføres via finansielle instrumenter  eller budgetgarantier
1.   Når Det Forenede Kongerige deltager i et program, en aktivitet eller dele deraf, der gennemføres via et finansielt instrument eller en budgetgaranti, betales Det Forenede Kongeriges bidrag til programmer, der gennemføres via finansielle instrumenter eller budgetgarantier i henhold til EU-budgettet gennemført ved afsnit X i finansforordningen, i form af kontantbidrag. Det tilførte kontantbidrag forhøjer Unionens budgetgaranti eller det finansielle instruments finansieringsramme.
2.   Når Det Forenede Kongerige deltager i et program, jf. denne artikels stk. 1, som gennemføres af Den Europæiske Investeringsbank-Gruppe, skal Det Forenede Kongerige, hvis Den Europæiske Investeringsbank-Gruppe skal dække tab, som ikke er dækket af den garanti, der stilles af Unionens budget, betale en procentdel af disse tab til Den Europæiske Investeringsbank-Gruppe svarende til forholdet mellem Det Forenede Kongeriges bruttonationalprodukt i markedspriser og summen af bruttonationalproduktet i markedspriser i medlemsstaterne, i Det Forenede Kongerige og i ethvert andet tredjeland, der deltager i dette program. Det bruttonationalprodukt i markedspriser, der skal anvendes, skal være det senest tilgængelige ifølge Eurostat fra den 1. januar i det år, hvor betalingen skal foretages, så snart den ordning, der er omhandlet i artikel 730, finder anvendelse i henhold til bestemmelserne i denne ordning. Før denne ordning finder anvendelse, er Det Forenede Kongeriges BNP det, der er fastlagt på grundlag af data fra OECD.
3.   De nærmere bestemmelser for gennemførelsen af denne artikel, navnlig for at sikre, at Det Forenede Kongerige modtager sin andel af uudnyttede bidrag til budgetgarantier og finansielle instrumenter, præciseres yderligere i protokol I, hvor det er relevant.
AFDELING 3
SUSPENSION OG INDSTILLING AF DELTAGELSE I EU-PROGRAMMER
Artikel 718
Unionens suspension af Det Forenede Kongeriges deltagelse i et EU-program
1.   Unionen kan ensidigt suspendere anvendelsen af protokol I i forbindelse med en eller flere EU-programmer, -aktiviteter eller undtagelsesvis dele deraf i overensstemmelse med denne artikel, hvis Det Forenede Kongerige ikke betaler sit finansielle bidrag i overensstemmelse med afdeling 2 i dette kapitel, eller hvis Det Forenede Kongerige foretager væsentlige ændringer af en af nedenstående betingelser, der var gældende på det tidspunkt, hvor Det Forenede Kongeriges deltagelse i et program, en aktivitet eller undtagelsesvis en del deraf blev aftalt og inkluderet i protokol I, og hvis sådanne ændringer har betydelig indvirkning på deres gennemførelse:
a)
betingelserne for indrejse og ophold i Det Forenede Kongerige for personer, der deltager i gennemførelsen af disse programmer og aktiviteter eller dele heraf, herunder studerende, forskere, praktikanter eller volontører, ændres. Dette gælder navnlig, hvis Det Forenede Kongerige indfører en ændring af sin nationale lovgivning for så vidt angår betingelserne for indrejse og ophold i Det Forenede Kongerige for disse personer, hvilket fører til forskelsbehandling mellem medlemsstaterne
b)
der er en ændring i de finansielle udgifter, herunder gebyrer, der gælder for de personer, der er omhandlet i litra a), med henblik på udførelse af de aktiviteter, de skal udføre for at gennemføre programmet
c)
betingelserne i artikel 712, stk. 3, ændres.
2.   Unionen meddeler Specialudvalget om Deltagelse i EU-Programmer, at den har til hensigt at suspendere Det Forenede Kongeriges deltagelse i det pågældende EU-program eller den pågældende aktivitet. Unionen fastlægger omfanget af suspensionen og giver en behørig begrundelse herfor. Medmindre Unionen trækker sin meddelelse tilbage, får suspensionen virkning 45 dage efter datoen for Unionens meddelelse. Den dato, hvor suspensionen får virkning, udgør referencedatoen for suspensionen med henblik på denne artikel.
Specialudvalget om Deltagelse i EU-Programmer kan inden meddelelse og suspension og i suspensionsperioden drøfte passende foranstaltninger til at undgå eller ophæve suspensionen. Hvis Specialudvalget om Deltagelse i EU-Programmer når til enighed om at undgå suspensionen inden for den frist, der er omhandlet i første afsnit, træder suspensionen ikke i kraft.
Under alle omstændigheder mødes Specialudvalget om Deltagelse i EU-Programmer inden for perioden på 45 dage for at drøfte spørgsmålet.
3.   Efter referencedatoen for suspensionen behandles Det Forenede Kongerige ikke som et land, der deltager i det EU-program, den EU-aktivitet eller de dele deraf, der er berørt af suspensionen, og navnlig er Det Forenede Kongerige eller enheder i Det Forenede Kongerige ikke længere omfattet af de betingelser, der er fastsat i artikel 711 og protokol I, for så vidt angår Unionens tildelingsprocedurer, som endnu ikke er afsluttet på denne dato. En tildelingsprocedure anses for afsluttet, når der er indgået retlige forpligtelser som følge af proceduren.
4.   Suspensionen berører ikke de retlige forpligtelser, der er indgået før referencedatoen for suspensionen. Denne aftale finder fortsat anvendelse på sådanne retlige forpligtelser.
5.   Det Forenede Kongerige meddeler Unionen, så snart det vurderer, at overholdelsen af betingelserne for deltagelse er genoprettet, og forelægger Unionen relevante beviser herfor.
Senest 30 dage efter denne meddelelse vurderer Unionen sagen og kan med henblik herpå anmode Det Forenede Kongerige om at fremlægge yderligere beviser. Den tid, det tager at fremskaffe sådanne yderligere beviser, tages ikke i betragtning i den samlede vurderingsperiode.
Hvis Union konstaterer, at overholdelsen af betingelserne for deltagelse er genoprettet, meddeler den uden unødigt ophold Specialudvalget om Deltagelse i EU-Programmer om, at suspensionen ophæves. Ophævelsen får virkning dagen efter datoen for meddelelsen.
Hvis Unionen konstaterer, at overholdelsen af deltagelsesbetingelserne ikke er genoprettet, forbliver suspensionen i kraft.
6.   Det Forenede Kongerige behandles igen som et land, der deltager i det pågældende EU-program eller den pågældende EU-aktivitet, og navnlig er Det Forenede Kongerige og enheder i Det Forenede Kongerige igen omfattet af de betingelser, der er fastsat i artikel 711 og protokol I, for så vidt angår Unionens tildelingsprocedurer under nævnte EU-program eller EU-aktivitet, der blev iværksat efter den dato, hvor ophævelsen af suspensionen træder i kraft, eller som blev iværksat inden denne dato, og for hvilke fristen for indgivelse af ansøgninger ikke er udløbet.
7.   Hvis Det Forenede Kongeriges deltagelse i et program, en aktivitet eller en del heraf suspenderes, fastsættes Det Forenede Kongeriges finansielle bidrag, der forfalder i suspensionsperioden, som følger:
a)
Unionen foretager en ny beregning af det operationelle bidrag efter proceduren i artikel 714, stk. 8, femte afsnit, litra a), nr. iii)
b)
deltagelsesgebyret justeres i overensstemmelse med justeringen af det operationelle bidrag.
Artikel 719
Unionens suspension af Det Forenede Kongeriges deltagelse i et EU-program
1.   Hvis Unionen et år efter den referencedato, der er omhandlet i artikel 718, stk. 2, ikke har ophævet suspensionen i henhold til artikel 718, skal Unionen enten:
a)
revurdere, på hvilke betingelser den kan tilbyde Det Forenede Kongerige at fortsætte med at deltage i de pågældende EU-programmer, -aktiviteter eller dele deraf, og foreslå Specialudvalget om Deltagelse i EU-Programmer disse betingelser senest 45 dage efter udløbet af suspensionsperioden på et år med henblik på at ændre protokol I. Hvis Specialudvalget om Deltagelse i EU-Programmer ikke når til enighed om disse foranstaltninger inden for en periode på yderligere 45 dage, træder indstillingen i kraft som omhandlet i dette stykkes litra b) eller
b)
ensidigt bringe anvendelsen af protokol I i forbindelse med de pågældende EU-programmer, -aktiviteter eller dele heraf til ophør i overensstemmelse med denne artikel under hensyntagen til virkningen af den ændring, der er omhandlet i artikel 718 på gennemførelsen af programmet eller aktiviteten eller undtagelsesvis dele heraf eller størrelsen af det ubetalte bidrag.
2.   Unionen meddeler Specialudvalget om Deltagelse i EU-Programmer, at den agter at indstille Det Forenede Kongeriges deltagelse i et eller flere EU-programmer eller -aktiviteter i henhold til stk. 1, litra b). Unionen fastlægger indstillingens omfang og giver en behørig begrundelse herfor. Medmindre Unionen trækker sin meddelelse tilbage, får indstillingen virkning 45 dage efter datoen for Unionens meddelelse. Den dato, hvor indstillingen får virkning, udgør referencedatoen for indstillingen med henblik på denne artikel.
3.   Efter referencedatoen for indstillingen behandles Det Forenede Kongerige ikke som et land, der deltager i det EU-program eller den EU-aktivitet, der er berørt af indstillingen, og navnlig er Det Forenede Kongerige eller enheder i Det Forenede Kongerige ikke længere støtteberettiget på de betingelser, der er fastsat i artikel 711 og i protokol I, for så vidt angår Unionens tildelingsprocedurer, som endnu ikke er afsluttet på denne dato. En tildelingsprocedure anses for afsluttet, hvis der er indgået retlige forpligtelser som følge af proceduren.
4.   Indstillingen berører ikke de retlige forpligtelser, som er indgået før den referencedato for suspensionen, der er omhandlet i artikel 718, stk. 2. Denne aftale finder fortsat anvendelse på sådanne retlige forpligtelser.
5.   Hvis anvendelsen af protokol I eller en del heraf indstilles for så vidt angår de pågældende programmer eller aktiviteter eller undtagelsesvis dele deraf:
a)
forfalder det operationelle bidrag, der dækker støtteudgifter i forbindelse med retlige forpligtelser, der allerede er indgået, indtil de retlige forpligtelser er opfyldt, eller indtil udløbet af den flerårige finansielle ramme, i henhold til hvilken den retlige forpligtelse er blevet finansieret
b)
ydes der i de følgende år ikke noget bidrag ud over det bidrag, der er omhandlet i litra a).
Artikel 720
Indstilling af deltagelse i et program eller en aktivitet  i tilfælde af en væsentlig ændring af EU-programmer
1.   Det Forenede Kongerige kan ensidigt indstille sin deltagelse i et EU-program eller en EU-aktivitet eller en del deraf, der er omhandlet i protokol I, hvis:
a)
basisretsakten for dette EU-program eller denne EU-aktivitet ændres i et sådant omfang, at deltagelsesbetingelserne for Det Forenede Kongerige eller enheder i Det Forenede Kongerige i dette EU-program eller denne EU-aktivitet er blevet ændret væsentligt, navnlig som følge af en ændring af programmets eller aktivitetens mål og af de tilhørende foranstaltninger, eller
b)
de samlede forpligtelsesbevillinger som omhandlet i artikel 714 er forhøjet med mere end 15 % i forhold til den oprindelige finansieringsramme for programmet eller aktiviteten eller en del deraf, som Det Forenede Kongerige deltager i, og enten det tilsvarende loft i den flerårige finansielle ramme er blevet forhøjet, eller beløbet for de eksterne indtægter, der er omhandlet i artikel 714, stk. 5, er blevet forhøjet for hele deltagelsesperioden, eller
c)
Det Forenede Kongerige eller enheder i Det Forenede Kongerige er udelukket fra at deltage i en del af et program eller en aktivitet af behørigt begrundede årsager, og denne udelukkelse vedrører forpligtelsesbevillinger, der overstiger 10 % af forpligtelsesbevillingerne på det endeligt vedtagne EU-budget for år N for dette program eller denne aktivitet.
2.   Med henblik herpå meddeler Det Forenede Kongerige Specialudvalget om Deltagelse i EU-Programmer, at det i forbindelse med det pågældende EU-program eller den pågældende EU-aktivitet agter at indstille protokol I, senest 60 dage efter offentliggørelsen af ændringen eller af det vedtagne årlige budget eller en ændring heraf i 
Den Europæiske Unions Tidende
. Det Forenede Kongerige begrunder, hvorfor Det Forenede Kongerige anser dette for en væsentlig ændring af deltagelsesbetingelserne. Specialudvalget om Deltagelse i EU-Programmer mødes inden for perioden på 45 dage efter modtagelse af meddelelsen for at drøfte spørgsmålet.
3.   Medmindre Det Forenede Kongerige trækker sin meddelelse tilbage, får indstillingen virkning 45 dage efter datoen for Det Forenede Kongeriges meddelelse. Den dato, hvor indstillingen får virkning, udgør referencedatoen med henblik på denne artikel.
4.   Efter referencedatoen behandles Det Forenede Kongerige ikke som et land, der deltager i det EU-program eller den EU-aktivitet, der er berørt af indstillingen, og navnlig er Det Forenede Kongerige eller enheder i Det Forenede Kongerige ikke længere støtteberettiget på de betingelser, der er fastsat i artikel 711 og i protokol I, for så vidt angår Unionens tildelingsprocedurer, som endnu ikke er afsluttet på denne dato. En tildelingsprocedure anses for afsluttet, hvis der er indgået retlige forpligtelser som følge af proceduren.
5.   Indstillingen berører ikke de retlige forpligtelser, der er indgået før referencedatoen. Denne aftale finder fortsat anvendelse på sådanne retlige forpligtelser.
6.   I tilfælde af indstilling i henhold til denne artikel for så vidt angår de pågældende programmer eller aktiviteter:
a)
forfalder det operationelle bidrag, der dækker støtteudgifter i forbindelse med retlige forpligtelser, der allerede er indgået, indtil de retlige forpligtelser er opfyldt, eller indtil udløbet af den flerårige finansielle ramme, i henhold til hvilken den retlige forpligtelse er blevet finansieret
b)
foretager Unionen en ny beregning af det operationelle bidrag for det år, hvor indstillingen finder sted, under anvendelse af proceduren i artikel 714, stk. 8, femte afsnit, litra a), nr. iii); der ydes i de følgende år ikke noget bidrag ud over det bidrag, der er omhandlet i nærværende artikels litra a)
c)
deltagelsesgebyret justeres i overensstemmelse med justeringen af det operationelle bidrag.
AFDELING 4
GENNEMGANG AF RESULTATER OG FINANSIELLE FORHØJELSER
Artikel 721
Gennemgang af resultater
1.   En procedure for gennemgang af resultater finder anvendelse i overensstemmelse med betingelserne i denne artikel for så vidt angår de dele af EU-programmet eller -aktiviteten, som den korrektionsmekanisme, der er omhandlet i artikel 716, finder anvendelse på.
2.   Det Forenede Kongerige kan anmode Specialudvalget om Deltagelse i EU-Programmer om at indlede proceduren for gennemgang af resultater, når det beløb, der beregnes i overensstemmelse med metoden i artikel 716, stk. 2, er negativt, og når dette beløb er højere end 12 % af de tilsvarende bidrag fra Det Forenede Kongerige til programmet eller aktiviteten som justeret i henhold til artikel 714, stk. 8.
3.   Specialudvalget om Deltagelse i EU-Programmer analyserer inden for en periode på tre måneder fra datoen for den anmodning, der er omhandlet i stk. 2, de relevante resultatrelaterede data og vedtager en rapport med forslag til passende foranstaltninger til håndtering af resultatrelaterede spørgsmål.
De foranstaltninger, der er omhandlet i første afsnit, anvendes i en periode på 12 måneder efter vedtagelsen af rapporten. Efter anvendelsen af foranstaltningerne bruges resultatdata for den pågældende periode til at beregne forskellen mellem de oprindelige beløb i henhold til de retlige forpligtelser, der faktisk er indgået med Det Forenede Kongerige eller enheder i Det Forenede Kongerige inden for det pågældende kalenderår, og det tilsvarende operationelle bidrag, som Det Forenede Kongerige har betalt for samme år.
Hvis den forskel, der er omhandlet i andet afsnit, er negativ og overstiger 16 % af det tilsvarende operationelle bidrag, kan Det Forenede Kongerige:
a)
meddele sin hensigt om at indstille sin deltagelse i EU-programmet eller en del af et berørt program senest 45 dage før den planlagte dato for indstillingen og kan indstille sin deltagelse i overensstemmelse med artikel 720, stk. 3-6, eller
b)
anmode Specialudvalget om Deltagelse i EU-Programmer om at vedtage yderligere foranstaltninger for at imødegå utilfredsstillende resultater, herunder ved at foretage tilpasninger af Det Forenede Kongeriges deltagelse i det pågældende EU-program og tilpasse fremtidige finansielle bidrag fra Det Forenede Kongerige til dette program.
Artikel 722
Gennemgang af finansielle forhøjelser
1.   Det Forenede Kongerige kan meddele Specialudvalget om Deltagelse i EU-Programmer, at det gør indsigelse mod størrelsen af sit bidrag til et EU-program eller en EU-aktivitet, hvis det samlede beløb for forpligtelsesbevillinger som omhandlet i artikel 714 er forhøjet med mere end 5 % i forhold til den oprindelige finansieringsramme for EU-programmet eller -aktiviteten, og enten det tilsvarende loft er blevet forhøjet, eller beløbet for de eksterne indtægter, der er omhandlet i artikel 714, stk. 5, er blevet forhøjet for hele deltagelsesperioden.
2.   Den meddelelse, der er omhandlet i denne artikels stk. 1, foretages senest 60 dage efter offentliggørelsen af det vedtagne årlige budget eller en ændring heraf i 
Den Europæiske Unions Tidende
. Meddelelsen berører ikke Det Forenede Kongeriges forpligtelse til at betale sit bidrag og anvendelsen af den justeringsmekanisme, der er omhandlet i artikel 714, stk. 8.
3.   Specialudvalget om Deltagelse i EU-Programmer udarbejder en rapport, foreslår og vedtager passende foranstaltninger senest tre måneder efter datoen for den meddelelse, der er omhandlet i denne artikels stk. 2. Disse foranstaltninger kan omfatte, at deltagelsen af Det Forenede Kongerige og enheder i Det Forenede Kongerige begrænses til visse typer foranstaltninger eller tildelingsprocedurer eller, hvis det er relevant, en ændring af protokol I. Begrænsningen af Det Forenede Kongeriges deltagelse vil blive behandlet som en udelukkelse med henblik på den justeringsmekanisme, der er omhandlet i artikel 714, stk. 8.
4.   Hvis de betingelser, der er omhandlet i artikel 720, stk. 1, litra b), er opfyldt, kan Det Forenede Kongerige indstille sin deltagelse i et EU-program eller en EU-aktivitet, der er omhandlet i protokol I, i overensstemmelse med artikel 720, stk. 2-6.
KAPITEL 2
FORSVARLIG ØKONOMISK FORVALTNING
Artikel 723
Anvendelsesområde
Dette kapitel finder anvendelse på de EU-programmer, -aktiviteter og -tjenester under de EU-programmer, der er omhandlet i protokol I og protokol II om Det Forenede Kongeriges adgang til tjenester oprettet under visse EU-programmer og -aktiviteter, som Det Forenede Kongerige ikke deltager i (protokol II).
AFDELING 1
BESKYTTELSE AF FINANSIELLE INTERESSER OG INDDRIVELSE
Artikel 724
Gennemførelse af aktiviteter med henblik på forsvarlig økonomisk forvaltning
Med henblik på anvendelsen af dette kapitel arbejder de myndigheder i Det Forenede Kongerige og Unionen, der er omhandlet i dette kapitel, tæt sammen i overensstemmelse med deres respektive lovgivning og forskrifter.
Under udøvelsen af deres hverv på Det Forenede Kongeriges område skal Unionens ansatte og undersøgelsesinstanser handle i overensstemmelse med Det Forenede Kongeriges lovgivning.
Artikel 725
Gennemgang og revision
1.   Unionen har ret til i overensstemmelse med relevante finansieringsaftaler eller kontrakter og gældende retsakter fra en eller flere EU-institutioner at foretage tekniske, videnskabelige, finansielle eller andre typer gennemgange og revisioner på stedet hos enhver fysisk person, der har ophold i, eller juridisk enhed, der er etableret i Det Forenede Kongerige, og som modtager EU-finansiering, samt hos enhver tredjepart, der er involveret i gennemførelsen af EU-finansiering, og som har ophold i eller er etableret i Det Forenede Kongerige. Sådanne gennemgange og revisioner kan foretages af ansatte i EU-institutionerne og -organerne, navnlig Europa-Kommissionen og Den Europæiske Revisionsret, eller af andre personer, som er bemyndiget hertil af Europa-Kommissionen i overensstemmelse med EU-retten.
2.   Ansatte i EU-institutionerne og -organerne, navnlig ansatte i Europa-Kommissionen og Den Europæiske Revisionsret, samt øvrige personer, der er bemyndiget af Europa-Kommissionen, skal have passende adgang til websteder, værker og dokumenter (i elektronisk form, papirudgaver eller begge dele) og til alle de oplysninger, der er nødvendige for at foretage sådanne gennemgange og revisioner, jf. stk. 1. En sådan adgang omfatter retten til at modtage fysiske eller elektroniske kopier og uddrag af ethvert dokument eller indholdet af ethvert datamedium, som den reviderede fysiske eller juridiske person eller den reviderede tredjepart ligger inde med.
3.   Det Forenede Kongerige må ikke forhindre eller lægge særlige hindringer i vejen for, at de i stk. 2 omhandlede ansatte og andre personer kan udøve retten til at indrejse i Det Forenede Kongerige eller til at få adgang til de reviderede personers lokaler under udførelsen af deres opgaver som omhandlet i denne artikel.
4.   Uanset suspensionen eller indstillingen af Det Forenede Kongeriges deltagelse i et program eller en aktivitet, suspensionen af en del af eller alle bestemmelserne i denne del og/eller protokol I eller indstillingen af denne aftale kan gennemgange og revisioner også foretages efter den dato, hvor den relevante suspension eller indstilling træder i kraft, på de i en eller flere EU-institutioners gældende retsakter fastsatte betingelser, og som fastsat i relevante finansieringsaftaler eller kontrakter i forbindelse med enhver retlig forpligtelse til gennemførelse af EU-budgettet som indgået af Unionen inden ikrafttrædelsesdatoen for den relevante suspension eller indstilling.
Artikel 726
Bekæmpelse af uregelmæssigheder og svig samt andre strafbare handlinger,  der skader Unionens finansielle interesser
1.   Europa-Kommissionen og Det Europæiske Kontor for Bekæmpelse af Svig (OLAF) bemyndiges til at foretage administrative undersøgelser på Det Forenede Kongeriges område, herunder kontrol og inspektion på stedet. Europa-Kommissionen og OLAF handler i overensstemmelse med de EU-retsakter, der regulerer nævnte kontrol, inspektion og undersøgelser.
2.   Det Forenede Kongeriges kompetente myndigheder meddeler inden for en rimelig frist Europa-Kommissionen eller OLAF alle oplysninger eller mistanke om uregelmæssigheder, svig eller anden ulovlig aktivitet, der skader Den Europæiske Unionens finansielle interesser.
3.   Der kan foretages kontrol og inspektion på stedet hos enhver fysisk person, der har ophold i, eller juridisk enhed, der er etableret i Det Forenede Kongerige, og som modtager EU-finansiering i henhold til en finansieringsaftale eller en kontrakt, samt hos enhver tredjepart, der er involveret i gennemførelsen af en sådan EU-finansiering i henhold til en finansieringsaftale, og som har ophold i eller er etableret i Det Forenede Kongerige. En sådan kontrol og inspektion forberedes og gennemføres af Europa-Kommissionen eller OLAF i tæt samarbejde med Det Forenede Kongeriges kompetente myndighed, der er udpeget af Det Forenede Kongerige. Den udpegede myndighed meddeles inden for en rimelig frist kontrollens og inspektionens indhold, formål og retsgrundlag, så der kan ydes den fornødne bistand. Med henblik herpå kan Det Forenede Kongeriges kompetente myndigheder deltage i kontrollen og inspektionen på stedet.
4.   Europa-Kommissionens og OLAF's ansatte har adgang til alle oplysninger og al dokumentation (i elektronisk form, papirudgaver eller begge dele) om de i stk. 3 omhandlede operationer, som er nødvendige for, at kontrollen og inspektionen på stedet kan gennemføres korrekt. Navnlig kan Europa-Kommissionens og OLAF's ansatte kopiere relevante dokumenter.
5.   Europa-Kommissionen eller OLAF og Det Forenede Kongeriges kompetente myndigheder afgør fra sag til sag, om kontrol og inspektion på stedet skal foretages i fællesskab, også når begge parter har kompetence til at foretage undersøgelser.
6.   Hvis en person, enhed eller anden tredjepart, der er genstand for kontrol eller inspektion på stedet, modsætter sig kontrol eller inspektion på stedet, yder Det Forenede Kongeriges myndigheder i overensstemmelse med de nationale regler og bestemmelser Europa-Kommissionen eller OLAF den fornødne bistand til, at de kan udføre den kontrol og inspektion på stedet, som de er blevet pålagt. Sådan bistand omfatter, at der træffes passende retsbevarende foranstaltninger i henhold til national ret, herunder foranstaltninger til sikring af bevismateriale.
7.   Europa-Kommissionen eller OLAF meddeler Det Forenede Kongeriges kompetente myndigheder resultatet af denne kontrol og inspektion. Navnlig meddeler Europa-Kommissionen eller OLAF så hurtigt som muligt Det Forenede Kongeriges kompetente myndighed alle oplysninger om uregelmæssigheder eller mistanke om uregelmæssigheder, som de har fået kendskab til under gennemførelsen af kontrollen eller inspektionen på stedet.
8.   Uden at det berører anvendelsen af Det Forenede Kongeriges lovgivning, kan Europa-Kommissionen pålægge juridiske eller fysiske personer, der deltager i gennemførelsen af et program eller en aktivitet, administrative foranstaltninger og sanktioner i overensstemmelse med EU-lovgivningen.
9.   Med henblik på en korrekt gennemførelse af denne artikel udveksler Europa-Kommissionen eller OLAF og Det Forenede Kongeriges kompetente myndigheder regelmæssigt oplysninger og rådfører sig med hinanden efter anmodning fra en af parterne i denne aftale, medmindre EU-lovgivningen eller Det Forenede Kongeriges lovgivning forbyder det.
10.   For at fremme effektivt samarbejde og udveksling af oplysninger med OLAF udpeger Det Forenede Kongerige et kontaktpunkt.
11.   Udvekslingen af oplysninger mellem Europa-Kommissionen eller OLAF og Det Forenede Kongeriges kompetente myndigheder skal overholde gældende fortrolighedskrav. Personoplysninger, der indgår i udvekslingen af oplysninger, beskyttes i overensstemmelse med gældende regler.
12.   Uden at det berører anvendelsen af artikel 634, skal Det Forenede Kongerige, hvis en statsborger i Det Forenede Kongerige eller fysiske personer, der er bosiddende i Det Forenede Kongerige, eller retlige enheder, der er etableret i Det Forenede Kongerige, direkte eller indirekte modtager EU-finansiering i henhold til EU-programmer og -aktiviteter, der er anført i protokol I, herunder i forbindelse med enhver tredjepart, der deltager i gennemførelsen af en sådan EU-finansiering, samarbejde med de EU-myndigheder eller myndigheder i EU-medlemsstater, der er ansvarlige for efterforskning, retsforfølgning og domfældelse af gerningsmænd og medvirkende til strafbare handlinger til skade for Unionens finansielle interesser i forbindelse med sådanne midler, i overensstemmelse med gældende lovgivning og internationale instrumenter, således disse myndigheder kan udføre deres opgaver.
Artikel 727
Ændring af artikel 708, 723, 725 og 726
Specialudvalget om Deltagelse i EU-Programmer kan ændre artikel 725 og 726, navnlig for at tage hensyn til ændringer i retsakter fra en eller flere EU-institutioner.
Specialudvalget om Deltagelse i EU-Programmer kan ændre artikel 708 og artikel 723 for at udvide anvendelsen af dette kapitel til andre EU-programmer, -aktiviteter og -tjenester.
Artikel 728
Inddrivelse og tvangsfuldbyrdelse
1.   Afgørelser vedtaget af Europa-Kommissionen, der indebærer en forpligtelse for juridiske eller fysiske personer, der ikke er stater, til at betale en pengeydelse i forbindelse med krav hidrørende fra EU-programmer, -aktiviteter, -aktioner eller -projekter, kan tvangsfuldbyrdes i Det Forenede Kongerige. Fuldbyrdelsespåtegning skal efter en prøvelse, der kun omfatter ægtheden af det pågældende fuldbyrdelsesgrundlag, påføres af den nationale myndighed, som Det Forenede Kongerige har udpeget. Det Forenede Kongerige meddeler Kommissionen og Den Europæiske Unions Domstol sin udpegede nationale myndighed. I overensstemmelse med artikel 729 har Europa-Kommissionen ret til at anmelde sådanne eksigible afgørelser direkte til personer, der har ophold i, og juridiske enheder, der er etableret i Det Forenede Kongerige. Fuldbyrdelsen af disse afgørelser foretages i overensstemmelse med Det Forenede Kongeriges lovgivning.
2.   Domme og kendelser afsagt af Den Europæiske Unions Domstol i medfør af en voldgiftsbestemmelse, som indeholdes i en kontrakt eller aftale vedrørende EU-programmer, -aktiviteter eller dele deraf i henhold til protokol I, kan tvangsfuldbyrdes i Det Forenede Kongerige på samme måde som afgørelser fra Europa-Kommissionen, jf. denne artikels stk. 1.
3.   Den Europæiske Unions Domstol har kompetence til at prøve lovligheden af de i stk. 1 omhandlede afgørelser vedtaget af Kommissionen og til at udsætte tvangsfuldbyrdelsen af sådanne afgørelser. Det Forenede Kongeriges retter har dog kompetence til at træffe afgørelse i sager, hvori det gøres gældende, at tvangsfuldbyrdelsen foretages i strid med reglerne.
AFDELING 2
ANDRE REGLER FOR GENNEMFØRELSE AF EU-PROGRAMMER
Artikel 729
Kommunikation og udveksling af oplysninger
De EU-institutioner og -organer, der er involveret i gennemførelsen af EU-programmer eller -aktiviteter eller i kontrollen med sådanne programmer eller -aktiviteter, har ret til at kommunikere direkte, herunder gennem elektroniske udvekslingssystemer, med enhver fysisk person, der har ophold i Det Forenede Kongerige, eller juridisk enhed, der er etableret i Det Forenede Kongerige, og som modtager EU-finansiering, samt med enhver tredjepart, der er involveret i gennemførelsen af EU-finansiering, og som har ophold i eller er etableret i Det Forenede Kongerige. Sådanne personer, enheder og tredjeparter kan direkte forelægge EU-institutionerne og -organerne al den relevante information og dokumentation, som de er forpligtet til at forelægge i henhold til den EU-lovgivning, der finder anvendelse på EU-programmet eller -aktiviteten, eller på grundlag af de kontrakter eller finansieringsaftaler, der er indgået med henblik på gennemførelse af det pågældende program eller den pågældende aktivitet.
Artikel 730
Statistisk samarbejde
Eurostat og Det Forenede Kongeriges statistikmyndighed kan etablere en ordning, der muliggør samarbejde om relevante statistiske spørgsmål og omfatter, at Eurostat efter aftale med Det Forenede Kongeriges statistikmyndighed leverer statistiske data om Det Forenede Kongerige med henblik på denne del, herunder navnlig data om Det Forenede Kongeriges BNP.
KAPITEL 3
DET FORENEDE KONGERIGES ADGANG TIL TJENESTER  INDEN FOR RAMMERNE AF EU-PROGRAMMER
Artikel 731
Regler om adgang til tjenester
1.   Hvis Det Forenede Kongerige ikke deltager i et EU-program eller en EU-aktivitet i overensstemmelse med i kapitel 1, kan det ikke desto mindre få adgang til tjenester, der ydes i henhold til EU-programmer og -aktiviteter, på de vilkår og betingelser, der er fastsat i denne aftale, basisretsakterne og alle andre regler vedrørende gennemførelsen af EU-programmer og -aktiviteter.
2.   Protokol II skal, hvor det er relevant:
a)
identificere de tjenester inden for rammerne af EU-programmer og -aktiviteter, som Det Forenede Kongerige og enheder i Det Forenede Kongerige skal have adgang til
b)
fastsætte særlige adgangsbetingelser for Det Forenede Kongerige og enheder i Det Forenede Kongerige. Disse betingelser skal følge de betingelser, der er fastsat i denne aftale og i basisretsakterne
c)
fastsætte Det Forenede Kongeriges finansielle bidrag eller bidrag i form af naturalier til en tjeneste, der ydes i henhold til sådanne EU-programmer og -aktiviteter.
3.   Protokol II vedtages og kan ændres af Specialudvalget om Deltagelse i EU-Programmer.
4.   Det Forenede Kongerige og offentlige og private ejere og operatører af rumfartøjer, der opererer i eller fra Det Forenede Kongerige, har adgang til de tjenester, der ydes i henhold til artikel 5, stk. 1, i Europa-Parlamentets og Rådets afgørelse nr. 541/2014/EU 
(
86
)
 i overensstemmelse med samme afgørelses artikel 5, stk. 2, indtil bestemmelserne om tilsvarende adgang er medtaget i protokol II eller indtil den 31. december 2021.
KAPITEL 4
REVISION
Artikel 732
Revisionsklausul
Fire år efter at protokol I og II er trådt i kraft, tager Specialudvalget om Deltagelse i EU-Programmer gennemførelsen heraf op til revision på grundlag af oplysningerne om deltagelsen af enheder i Det Forenede Kongeriget i indirekte og direkte aktioner i henhold til programmet eller dele heraf, aktiviteter og tjenester, der er omfattet af protokol I og II.
Efter anmodning fra en af parterne vil Specialudvalget om Deltagelse i EU-Programmer drøfte ændringer eller foreslåede ændringer, der berører betingelserne for Det Forenede Kongeriges deltagelse i de programmer eller dele heraf, aktiviteter og tjenester, der er opført i protokol I og II, og kan om nødvendigt foreslå passende foranstaltninger inden for denne aftales anvendelsesområde.
KAPITEL 5
DELTAGELSESGEBYR I ÅRENE 2021-2026
Artikel 733
Deltagelsesgebyr i årene 2021-2026
Det deltagelsesgebyr, der er omhandlet i artikel 714, stk. 4, har følgende værdi i årene 2021-2026:
—
i 2021: 0,5 %
—
i 2022: 1 %
—
i 2023: 1,5 %
—
i 2024: 2 %
—
i 2025: 2,5 %
—
i 2026: 3 %.
SJETTE DEL
TVISTBILÆGGELSE OG HORISONTALE BESTEMMELSER
AFSNIT I
TVISTBILÆGGELSE
KAPITEL 1
ALMINDELIGE BESTEMMELSER
Artikel 734
Formål
Formålet med dette afsnit er at etablere en effektiv mekanisme til at forebygge og bilægge tvister mellem parterne vedrørende fortolkningen og anvendelsen af denne aftale og supplerende aftaler med henblik på at nå frem til gensidigt acceptable løsninger, når det er muligt.
Artikel 735
Anvendelsesområde
1.   Dette afsnit finder, med forbehold af stk. 2, 3, 4 og 5, anvendelse på tvister mellem parterne vedrørende fortolkningen og anvendelsen af bestemmelserne i denne aftale eller eventuelle supplerende aftaler ("omfattede bestemmelser").
2.   De omfattede bestemmelser omfatter alle bestemmelser i denne aftale og eventuelle supplerende aftaler med undtagelse af:
a)
artikel 32, stk. 1-6, og artikel 36
b)
bilag 12
c)
afsnit VII i anden del, sektion et
d)
afsnit X i anden del, sektion et
e)
artikel 355, stk. 1, 2, og 4, artikel 356, stk. 1 og 3, kapitel 2 i anden del, sektion et, afsnit XI, artikel 371 og 372, kapitel 5 i anden del, sektion et, afsnit XI, og artikel 411, stk. 4-9
f)
tredje del, herunder når den finder anvendelse i forbindelse med situationer, der er omfattet af andre bestemmelser i denne aftale
g)
fjerde del
h)
afsnit II i sjette del
i)
artikel 782 og
j)
aftalen om sikkerhedsprocedurer for udveksling og beskyttelse af klassificerede oplysninger.
3.   Partnerskabsrådet kan blive inddraget af en part med henblik på bilæggelse af en tvist vedrørende de forpligtelser, der følger af bestemmelserne i stk. 2.
4.   Artikel 736 finder anvendelse på de i nærværende artikels stk. 2 omhandlede bestemmelser.
5.   Uanset stk. 1 og 2 finder dette afsnit ikke anvendelse på tvister vedrørende fortolkningen og anvendelsen af bestemmelserne i protokollen om koordinering af sociale sikringsordninger eller bilagene hertil i individuelle tilfælde.
Artikel 736
Eksklusivitet
Parterne forpligter sig til ikke at forelægge en tvist mellem dem vedrørende fortolkningen eller anvendelsen af bestemmelserne i denne aftale eller vedrørende en eventuel supplerende aftale for en anden mekanisme til tvistbilæggelse end dem, der er fastsat i denne aftale.
Artikel 737
Valg af værneting i tilfælde af en i væsentlig grad tilsvarende forpligtelse  i henhold til en anden international aftale
1.   Hvis der opstår en tvist vedrørende en foranstaltning i forbindelse med en påstået tilsidesættelse af en forpligtelse i henhold til denne aftale eller en eventuel supplerende aftale og en anden international aftale, der i alt væsentligt svarer til hinanden, og som begge parter er part i, herunder WTO-overenskomsten, vælger den klagende part det værneting, hvor tvisten skal bilægges.
2.   Når en part har valgt værneting og indledt tvistbilæggelsesprocedurer enten i henhold til dette afsnit eller en anden international aftale, kan denne part ikke indlede sådanne procedurer i henhold til den anden internationale aftale angående den særlige foranstaltning omhandlet i stk. 1, medmindre det valgte værneting af proceduremæssige eller kompetencemæssige grunde ikke når frem til en afgørelse.
3.   Med henblik på denne artikel:
a)
anses tvistbilæggelsesprocedurer i henhold til dette afsnit for at være indledt, når en part anmoder om, at der nedsættes et voldgiftspanel i henhold til artikel 739
b)
anses tvistbilæggelsesprocedurer i henhold til WTO-overenskomsten for at være indledt, når en part anmoder om, at der nedsættes et panel i henhold til artikel 6 i WTO's forståelse vedrørende reglerne og procedurerne for tvistbilæggelse, og
c)
anses tvistbilæggelsesprocedurer i henhold til enhver anden aftale for at være indledt, hvis de er indledt i overensstemmelse med de relevante bestemmelser i denne aftale.
4.   Uden at det berører stk. 2, er intet i denne aftale eller en eventuel supplerende aftale til hinder for, at en part suspenderer forpligtelser, der er godkendt af WTO's tvistbilæggelsesorgan eller godkendt i henhold til tvistbilæggelsesprocedurerne i en anden international aftale, som parterne er part i. WTO-overenskomsten eller en anden international aftale mellem parterne kan ikke påberåbes for at forhindre en part i at suspendere forpligtelser i henhold til dette afsnit.
KAPITEL 2
PROCEDURE
Artikel 738
Konsultationer
1.   Hvis en part ("den klagende part") mener, at den anden part ("den svarende part") har tilsidesat en forpligtelse i henhold til denne aftale eller en eventuel supplerende aftale, bestræber parterne sig på at finde en løsning ved at indlede konsultationer i god tro med det formål at nå frem til en gensidigt acceptabel løsning.
2.   Den klagende part kan indkalde til konsultationer ved indgivelse af en skriftlig anmodning til den svarende part. Den klagende part angiver i den skriftlige anmodning begrundelserne for anmodningen, herunder redegørelse for de omhandlede foranstaltninger og retsgrundlaget for anmodningen, og de omfattede bestemmelser, som den klagende part anser som gældende.
3.   Den svarende part besvarer anmodningen med det samme og under alle omstændigheder senest 10 dage efter datoen for indgivelse heraf. Konsultationerne holdes senest 30 dage efter datoen for indgivelsen af anmodningen ved personligt fremmøde eller ved andre kommunikationsmåder, der aftales af parterne. Hvis konsultationerne holdes med personligt fremmøde, holdes de på den svarende parts område, medmindre parterne aftaler andet.
4.   Konsultationerne anses for at være afsluttet senest 30 dage efter indgivelsen af anmodningen, medmindre parterne enes om at fortsætte dem.
5.   Konsultationer om sager af hastende karakter, herunder om letfordærvelige varer eller sæsonvarer eller -tjenester, afholdes senest 20 dage efter datoen for indgivelsen af anmodningen. Konsultationerne anses for at være afsluttet inden for 20 dage, medmindre parterne enes om at fortsætte dem.
6.   Hver part fremlægger tilstrækkelige faktuelle oplysninger, så der kan gennemføres en udførlig undersøgelse af den anfægtede foranstaltning, herunder en undersøgelse af, hvordan foranstaltningen kan påvirke gennemførelsen af denne aftale eller en eventuel supplerende aftale. Hver part bestræber sig på at sikre, at personale fra deres kompetente myndigheder med ekspertise på det område, der er genstand for konsultationerne, deltager.
7.   Ved tvister vedrørende andre områder end dem i afsnit I-VII, afsnit VIII, kapitel 4, og afsnit IX-XII i anden del, sektion et eller sektion seks, afholdes konsultationer, jf. denne artikels stk. 3, på anmodning af den klagende part inden for rammerne af et specialudvalg eller Partnerskabsrådet. Specialudvalget kan til enhver tid beslutte at henvise sagen til Partnerskabsrådet. Partnerskabsrådet kan også selv tage sig af sagen. Specialudvalg eller i givet fald Partnerskabsrådet kan bilægge tvisten ved en afgørelse. Fristerne i denne artikels stk. 3 finder anvendelse. Mødestedet er underlagt specialudvalgets eller i givet fald Partnerskabsrådets forretningsorden.
8.   Konsultationerne, og især de oplysninger, der angives som fortrolige, og de holdninger, parterne indtager under konsultationerne, er fortrolige og berører ikke parternes rettigheder i et eventuelt videre sagsforløb.
Artikel 739
Voldgiftsprocedure
1.   Den klagende part kan anmode om, at der nedsættes en voldgiftsret, hvis:
a)
den svarende part ikke svarer på anmodningen om konsultationer senest 10 dage efter indgivelse heraf
b)
konsultationerne ikke holdes inden for de frister, der er omhandlet i artikel 738, stk. 3, 4 eller 5
c)
parterne aftaler ikke at holde konsultationer eller
d)
konsultationerne er afsluttet, uden at parterne er nået til enighed om en gensidigt acceptabel løsning.
2.   Anmodningen om nedsættelse af en voldgiftsret sker ved indgivelse af en skriftlig anmodning til den svarende part. I anmodningen angiver den klagende part eksplicit den anfægtede foranstaltning og redegør for, hvordan foranstaltningen udgør en overtrædelse af de omfattede bestemmelser i et omfang, der klart er tilstrækkeligt til at danne retsgrundlag for klagen.
Artikel 740
Nedsættelse af en voldgiftsret
1.   Voldgiftsretten består af tre voldgiftsmænd.
2.   Senest 10 dage efter datoen for indgivelse af anmodningen om nedsættelse af en voldgiftsret rådfører parterne sig med hinanden for at blive enige om sammensætningen af voldgiftsretten.
3.   Hvis parterne ikke er enige om voldgiftsrettens sammensætning inden for den i denne artikels stk. 2 fastsatte frist, udpeger hver part en voldgiftsmand fra deres respektive delliste, der er opstillet efter artikel 752, senest fem dage efter udløbet af fristen i medfør af denne artikels stk. 2. Undlader en part at udpege en voldgiftsmand fra sin delliste inden for denne frist, vælger Partnerskabsrådets medformand fra den klagende part senest fem dage efter udløbet af fristen ved lodtrækning en voldgiftsmand fra dellisten fra den part, der har undladt at udpege en voldgiftsmand. Partnerskabsrådets medformand fra den klagende part kan uddelegere lodtrækningen til valg af voldgiftsmand.
4.   Hvis parterne ikke bliver enige om at udpege en formand for voldgiftsretten inden for den i denne artikels stk. 2 fastsatte frist, vælger Partnerskabsrådets medformand fra den klagende part senest fem dage efter udløbet af fristen ved lodtrækning en formand for voldgiftsretten fra dellisten over formænd, der er udarbejdet efter artikel 752. Partnerskabsrådets medformand fra den klagende part kan uddelegere lodtrækningen af formand for voldgiftsretten.
5.   Hvis en af de i artikel 752 omhandlede lister ikke er blevet udarbejdet eller ikke indeholder et tilstrækkeligt antal navne på tidspunktet for udvælgelsen efter nærværende artikels stk. 3 eller 4, udvælges voldgiftsmændene ved lodtrækning blandt de personer, som en af parterne eller begge parter formelt har foreslået i overensstemmelse med bilag 48.
6.   Datoen for nedsættelse af voldgiftsretten er den dato, på hvilken den sidste af de tre voldgiftsmænd har meddelt parterne om sin accept af udnævnelsen i overensstemmelse med bilag 48.
Artikel 741
Krav til voldgiftsmænd
1.   Alle voldgiftsmænd skal:
a)
dokumentere, at de har erfaring på det retlige område og med international handel, herunder særlige spørgsmål, der er omfattet af afsnit I-VII, afsnit VIII, kapitel 4, afsnit IX-XII i anden del, sektion et, eller anden del, sektion seks, eller på det retlige område og ethvert andet område omfattet af denne aftale eller eventuelle supplerende aftaler samt for formænd ligeledes erfaring med tvistbilæggelsesprocedurer
b)
være uafhængige og må ikke være tilknyttet eller modtage instruktioner fra nogen af parterne
c)
handle efter deres egen overbevisning og må ikke modtage instruktioner fra nogen organisation eller regering i spørgsmål vedrørende tvisten og
d)
overholde bilag 49.
2.   Voldgiftsmændene skal være personer, hvis uafhængighed er uomtvistelig, som i deres hjemland opfylder betingelserne for at indtage de højeste dommerembeder, eller som er jurister, hvis faglige kvalifikationer er almindeligt anerkendt.
3.   Med hensyn til tvistens genstand kan parterne i konkrete tilfælde aftale at fravige kravene anført i stk. 1, litra a).
Artikel 742
Voldgiftsrettens funktion
Voldgiftsretten:
a)
foretager en objektiv vurdering af den sag, den har fået forelagt, herunder en objektiv vurdering af sagens omstændigheder, anvendeligheden af de omfattede bestemmelser og de omtvistede foranstaltningers overensstemmelse med disse bestemmelser
b)
skal i sine afgørelser og kendelser fremlægge de faktiske og retlige konstateringer og rationalet for alle sine konstateringer og
c)
bør regelmæssigt føre konsultationer med parterne og give passende muligheder for at nå til enighed om en gensidigt acceptabel løsning.
Artikel 743
Kommissorium
1.   Medmindre parterne aftaler andet senest fem dage efter nedsættelsen af voldgiftsretten, er voldgiftsrettens kommissorium:
"på baggrund af de relevante omfattede bestemmelser i denne aftale eller en supplerende aftale at undersøge det anliggende, hvortil der henvises i anmodningen om nedsættelse af voldgiftsretten, at fastslå, hvorvidt den pågældende foranstaltning er forenelig med de i artikel 735, omhandlede bestemmelser, og at afsige en kendelse i overensstemmelse med artikel 745".
2.   Hvis parterne når til enighed om et andet kommissorium end det i stk. 1 omhandlede, meddeler de det aftalte kommissorium til voldgiftsretten inden for den i stk. 1 fastsatte frist.
Artikel 744
Hasteprocedurer
1.   Senest 10 dage efter nedsættelsen af voldgiftsretten træffer voldgiftsretten afgørelse om, hvorvidt sagen vedrører anliggender af hastende karakter, hvis en af parterne anmoder om det.
2.   I sager af hastende karakter nedsættes de gældende frister fastsat i artikel 745 til den halve tid.
Artikel 745
Voldgiftsrettens kendelser
1.   Voldgiftsretten forelægger en foreløbig rapport for parterne senest 100 dage efter datoen for nedsættelsen af voldgiftsretten. Hvis voldgiftsretten finder, at denne frist ikke kan overholdes, meddeler formanden for retten parterne dette skriftligt med angivelse af årsagerne til forsinkelsen og datoen for, hvornår retten agter at forelægge sin foreløbige rapport. Voldgiftsretten forelægger under ingen omstændigheder den foreløbige rapport senere end 130 dage efter datoen for nedsættelsen af voldgiftsretten.
2.   Hver part kan skriftligt anmode voldgiftsretten om at genbehandle bestemte punkter i den foreløbige rapport senest 14 dage efter indgivelse heraf. En part kan fremsætte kommentarer om den anden parts anmodning frem til seks dage efter indgivelse af anmodningen.
3.   Hvis der ikke indgives skriftlige anmodninger om genbehandling af bestemte punkter i den foreløbige rapport inden for den i stk. 2 fastlagte frist, anses den foreløbige rapport som voldgiftsrettens kendelse.
4.   Voldgiftsretten forelægger sin kendelse for parterne senest 130 dage efter datoen for nedsættelsen af voldgiftsretten. Finder voldgiftsretten, at fristen ikke kan overholdes, meddeler formanden parterne dette skriftligt med angivelse af årsagerne til forsinkelsen og datoen for, hvornår retten agter at forelægge sin kendelse. Voldgiftsretten indgiver under ingen omstændigheder sin kendelse senere end 160 dage efter datoen for nedsættelsen af voldgiftsretten.
5.   Kendelsen skal indeholde en redegørelse for eventuelle skriftlige anmodninger fra parterne vedrørende den foreløbige rapport og tydeligt behandle parternes kommentarer.
6.   Det præciseres, at en "kendelse" eller "kendelser" i henhold til artikel 742, 743 og 753 og artikel 754, stk. 1, 3, 4 og 6, også omfatter voldgiftsrettens foreløbige rapport.
KAPITEL 3
OVERHOLDELSE
Artikel 746
Foranstaltninger til overholdelse
1.   Finder voldgiftsretten i sin kendelse i henhold til artikel 745, stk. 4, at den svarende part har overtrådt en forpligtelse i henhold til denne aftale eller eventuelle supplerende aftaler, skal denne part omgående træffe de nødvendige foranstaltninger til omgående at efterleve voldgiftsrettens kendelse med henblik på overholdelse af de omfattede bestemmelser.
2.   Den svarende part indgiver senest 30 dage efter indgivelse af kendelsen en meddelelse til den klagende part vedrørende de foranstaltninger, der er truffet eller planlagt med henblik på overholdelse af bestemmelserne.
Artikel 747
Rimelig frist
1.   Er øjeblikkelig efterlevelse ikke mulig, indgiver den svarende part senest 30 dage efter indgivelse af kendelsen i henhold til artikel 745, stk. 4, en meddelelse til den klagende part om den rimelige frist, der er nødvendig for at efterleve den i artikel 745, stk. 4, omhandlede kendelse. Parterne bestræber sig på at nå til enighed om længden af den rimelige frist, fra hvilken kendelsen skal efterleves.
2.   Hvis parterne ikke når til enighed om længden af den rimelige frist, kan den klagende part tidligst 20 dage efter indgivelse af den i stk. 1 omhandlede meddelelse skriftligt anmode den oprindelige voldgiftsret om at fastlægge længden af den rimelige frist. Voldgiftsretten forelægger sin afgørelse for parterne senest 20 dage efter datoen for indgivelse af anmodningen.
3.   Den svarende part underretter skriftligt den klagende part om status på at efterkomme voldgiftspanelets kendelse, jf. artikel 745, stk. 4, mindst en måned inden udløbet af den rimelige frist.
4.   Parterne kan enes om at forlænge den rimelige frist.
Artikel 748
Evaluering af overholdelse
1.   Den svarende part indgiver senest på datoen for udløbet af den rimelige frist en meddelelse til den klagende part om de foranstaltninger, den pågældende har truffet for at overholde kendelsen i medfør af artikel 745, stk. 4.
2.   Hvis der er uenighed mellem parterne om, hvorvidt der er truffet foranstaltninger til overholdelse, eller om sådanne foranstaltninger er i overensstemmelse med de pågældende bestemmelser, kan den klagende part indgive en skriftlig anmodning til den oprindelige voldgiftsret om at træffe afgørelse i sagen. I anmodningen skal den anfægtede foranstaltning angives, og der skal redegøres for, hvordan foranstaltningen udgør en overtrædelse af de omfattede bestemmelser i et omfang, der klart er tilstrækkeligt til at danne retsgrundlag for klagen. Voldgiftsretten forelægger sin afgørelse for parterne senest 45 dage efter datoen for indgivelse af anmodningen.
Artikel 749
Midlertidige foranstaltninger
1.   Den svarende part fremlægger på anmodning af og efter konsultationer med den klagende part et tilbud om midlertidig kompensation, hvis:
a)
den svarende part indgiver meddelelse til den klagende part om, at det ikke er muligt at overholde den i artikel 745, stk. 4, omhandlede kendelse, eller
b)
den svarende part undlader at indgive meddelelse om trufne foranstaltninger til overholdelse inden for den i artikel 746 omhandlede frist eller før datoen for udløbet af den rimelige frist eller
c)
voldgiftsretten finder, at der ikke er truffet foranstaltninger til overholdelse, eller at de trufne foranstaltninger til overholdelse ikke er i overensstemmelse med de omfattede bestemmelser.
2.   Under de betingelser, der er omhandlet i stk. 1, litra a), b) og c), kan den klagende part indgive en skriftlig meddelelse til den svarende part om, at den klagende part ønsker at suspendere anvendelsen af forpligtelserne i henhold til de omfattede bestemmelser, hvis:
a)
den klagende part beslutter ikke at indgive en anmodning i henhold til stk. 1 eller
b)
parterne ikke når til enighed om den midlertidige kompensation inden for 20 dage efter udløbet af den rimelige frist eller indgivelse af voldgiftsrettens afgørelse i henhold til artikel 748, når en anmodning efter stk. 1 indgives.
I meddelelsen specificeres omfanget af den påtænkte suspension af forpligtelser.
3.   Suspension af forpligtelser er underlagt følgende betingelser:
a)
forpligtelserne i henhold til anden del, sektion fire, protokollen om koordinering af sociale sikringsordninger eller bilagene hertil eller femte del kan ikke suspenderes i henhold til denne artikel
b)
uanset litra a) kan forpligtelser i henhold til femte del kun suspenderes, hvis den kendelse, der er omhandlet i artikel 745, stk. 4, vedrører fortolkningen og gennemførelsen af femte del
c)
forpligtelser, som ikke er omfattet af femte del, kan ikke suspenderes, hvis den kendelse, der er omhandlet i artikel 745, stk. 4, vedrører fortolkningen og gennemførelsen af femte del, og
d)
forpligtelser i henhold til andel del, sektion et, afsnit II, vedrørende finansielle tjenesteydelser kan ikke suspenderes i henhold til denne artikel, medmindre den kendelse, der er omhandlet i artikel 745, stk. 4, vedrører fortolkningen og anvendelsen af forpligtelser i henhold til anden del, sektion et, afsnit II, vedrørende finansielle tjenesteydelser.
4.   Hvis en part fortsat ikke efterkommer en kendelse fra et voldgiftspanel, der er nedsat i henhold til en tidligere aftale mellem parterne, kan den anden part suspendere forpligtelser i henhold til de i artikel 735 omhandlede bestemmelser. Med undtagelse af reglen i denne artikels stk. 3, litra a), er alle regler vedrørende midlertidige retsmidler i tilfælde af manglende overholdelse og prøvelse af sådanne foranstaltninger omfattet af bestemmelserne i den tidligere aftale.
5.   Suspensionen af forpligtelserne må ikke overstige det omfang, der svarer til den annullering eller forringelse, som overtrædelsen har forårsaget.
6.   Hvis voldgiftsretten har konstateret en overtrædelse af bestemmelserne i anden del, sektion et eller sektion tre, kan suspensionen anvendes i et andet afsnit i samme sektion som den, hvor retten har konstateret overtrædelsen, navnlig hvis den klagende part er af den opfattelse, at en sådan suspension er effektiv med henblik på at opnå overholdelse.
7.   Hvis voldgiftsretten har konstateret overtrædelsen i anden del, sektion to:
a)
den klagende part bør først søge at suspendere forpligtelser i samme afsnit som det, voldgiftsretten har konstateret overtrædelsen i
b)
hvis den klagende part finder, at det ikke er praktisk muligt eller effektivt at suspendere forpligtelser med hensyn til samme afsnit som det afsnit, hvori retten har konstateret overtrædelsen, kan parten søge at suspendere forpligtelser i det andet afsnit i samme sektion.
8.   Hvis voldgiftsretten har konstateret overtrædelsen i anden del, sektion et, sektion to, sektion tre eller sektion fem, og hvis den klagende part finder, at det ikke er praktisk muligt eller effektivt at suspendere forpligtelser inden for samme sektion som den, hvori voldgiftsretten har konstateret overtrædelsen, og at omstændighederne er alvorlige nok, kan vedkommende søge at suspendere forpligtelser i henhold til andre omfattede bestemmelser.
9.   I det i stk. 7, litra b), og stk. 8 omhandlede tilfælde skal den klagende part begrunde sin afgørelse.
10.   Den klagende part kan suspendere forpligtelserne 10 dage efter datoen for indgivelse af den i stk. 2 omhandlede meddelelse, medmindre den svarende part har fremsat en anmodning i henhold til stk. 11.
11.   Hvis den svarende part mener, at omfanget af den meddelte suspension af forpligtelser overstiger et omfang, der svarer til den annullering eller forringelse, som overtrædelsen har forårsaget, eller at de principper og procedurer, der er fastsat i stk. 7, litra b), stk. 8 eller stk. 9, ikke er fulgt, kan vedkommende inden udløbet af den periode på 10 dage, der er fastsat i stk. 10, indgive en skriftlig anmodning til den oprindelige voldgiftsret om, at voldgiftsretten skal træffe afgørelse i sagen. Voldgiftsretten meddeler sin afgørelse om omfanget af suspensionen af forpligtelser til parterne senest 30 dage fra datoen for anmodningen. Forpligtelserne bliver ikke suspenderet, før voldgiftsretten har meddelt sin afgørelse. Suspensionen af forpligtelser skal ske i henhold til afgørelsen.
12.   Voldgiftsretten, der handler i henhold til stk. 11, undersøger ikke arten af de forpligtelser, der skal suspenderes, men afgør, om omfanget af en sådan suspension overstiger et omfang, der svarer til den annullering eller forringelse, som overtrædelsen har forårsaget. Hvis det anliggende, der er henvist til voldgift, omfatter en påstand om, at principperne og procedurerne i stk. 7, litra b), stk. 8, eller stk. 9 ikke er fulgt, undersøger voldgiftsretten denne påstand. Hvis voldgiftsretten fastslår, at de pågældende principper og procedurer ikke er fulgt, anvender den klagende part dem i overensstemmelse med stk. 7, litra b), stk. 8, og stk. 9. Parterne accepterer voldgiftsrettens afgørelse som endelig og må ikke anmode om en ny voldgiftsprocedure. Dette stykke må under ingen omstændigheder forsinke den dato, fra hvilken den klagende part har ret til at suspendere forpligtelser i henhold til denne artikel.
13.   Den i denne artikel omhandlede suspension af forpligtelser eller kompensation er midlertidig og anvendes ikke efter, at:
a)
parterne er nået til enighed om en gensidigt acceptabel løsning i henhold til artikel 756
b)
parterne er nået til enighed om, at overholdelsesforanstaltningen bringer den svarende part i overensstemmelse med de omfattede bestemmelser, eller
c)
en eventuel overholdelsesforanstaltning, som voldgiftsretten anser for ikke at være i overensstemmelse med de omhandlede bestemmelser, er blevet trukket tilbage eller ændret, så den svarende part bringes i overensstemmelse med de omfattede bestemmelser.
Artikel 750
Prøvelse af eventuelle overholdelsesforanstaltninger,  der er truffet efter vedtagelse af midlertidige retsmidler
1.   Den svarende part indgiver meddelelse til den klagende part om overholdelsesforanstaltninger, der er truffet efter suspension af forpligtelserne eller efter anvendelse af midlertidig kompensation, alt efter omstændighederne. Undtagen i de i stk. 2 omhandlede tilfælde skal den klagende part afslutte suspensionen af forpligtelser senest 30 dage efter indgivelse af meddelelsen. I tilfælde, hvor kompensation er blevet anvendt, og med undtagelse af tilfælde omfattet af stk. 2, kan den svarende part afslutte anvendelsen af en sådan kompensation inden for 30 dage fra indgivelse af sin meddelelse om, at forholdene er bragt i overensstemmelse.
2.   Hvis parterne ikke når til enighed om, hvorvidt den meddelte foranstaltning bringer den svarende part i overensstemmelse med de omfattede bestemmelser senest 30 dage efter indgivelse af meddelelsen, anmoder den klagende part skriftligt den oprindelige voldgiftsret om at afgøre spørgsmålet. Voldgiftsretten forelægger sin afgørelse for parterne senest 46 dage efter datoen for indgivelsen af anmodningen. Hvis voldgiftsretten finder, at de trufne foranstaltninger er i overensstemmelse med de omfattede bestemmelser, bringes suspensionen af forpligtelser eller kompensationen til ophør. Hvis det er relevant, tilpasses omfanget af suspension af forpligtelser eller kompensationen efter voldgiftsrettens afgørelse.
KAPITEL 4
FÆLLES PROCESSUELLE BESTEMMELSER
Artikel 751
Modtagelse af oplysninger
1.   Voldgiftsretten kan efter anmodning fra en part eller på eget initiativ anmode parterne om relevante oplysninger, som den finder nødvendige og passende. Parterne skal straks svare udtømmende på enhver anmodning fra voldgiftsretten om alle sådanne oplysninger.
2.   Voldgiftsretten kan efter anmodning fra en part eller på eget initiativ anmode alle andre kilder om oplysninger, som den finder passende. Voldgiftsretten kan også søge sagkyndig rådgivning efter eget skøn og i henhold til eventuelle vilkår og betingelser aftalt af parterne.
3.   Voldgiftsretten tager amicus curiae-indlæg fra fysiske personer fra en part eller juridiske personer, der er etableret i en parts territorium, i betragtning i overensstemmelse med bilag 48.
4.   Alle oplysninger, der kommer voldgiftsretten i hænde i medfør af denne artikel, gøres tilgængelige for parterne, og parterne kan indsende kommentarer til oplysningerne til voldgiftsretten.
Artikel 752
Liste over voldgiftsmænd
1.   Partnerskabsrådet udarbejder senest 180 dage efter datoen for dennes aftales ikrafttræden en liste over personer med ekspertise inden for særlige områder omfattet af denne aftale eller supplerende aftaler hertil, der har vilje og evne til at fungere som medlemmer af en voldgiftsret. Listen skal omfatte mindst 15 personer og være inddelt i tre dellister:
a)
en delliste over personer udarbejdet efter forslag fra Unionen
b)
en delliste over personer udarbejdet efter forslag fra Det Forenede Kongerige og
c)
en delliste over personer, som ikke er statsborgere i nogen af parterne, og som skal varetage formandshvervet i voldgiftsretten.
Hver delliste skal bestå af mindst fem personer. Partnerskabsrådet sørger for, at listen altid som minimum indeholder dette antal personer.
2.   Partnerskabsrådet kan udarbejde supplerende lister over personer med ekspertise inden for særlige dele af denne aftale eller eventuelle supplerende aftaler. Efter aftale mellem parterne kan sådanne supplerende lister anvendes til at sammensætte voldgiftsretten i henhold til den procedure, der er beskrevet i artikel 740, stk. 3 og 5. Supplerende lister skal bestå af to dellister:
a)
en delliste over personer udarbejdet efter forslag fra Unionen og
b)
en delliste over personer udarbejdet efter forslag fra Det Forenede Kongerige.
3.   De i stk. 1 og 2 omhandlede lister må ikke omfatte personer, der er medlemmer af eller tjenestemænd eller øvrige ansatte i Unionens institutioner, en medlemsstats regering eller Det Forenede Kongeriges regering.
Artikel 753
Udskiftning af voldgiftsmænd
Hvis en voldgiftsmand under en tvistbilæggelsesprocedure i henhold til dette afsnit ikke kan deltage, trækker sig tilbage eller skal udskiftes, fordi voldgiftsmanden ikke opfylder kravene i adfærdskodeksen, anvendes den procedure, der er fastsat i artikel 740. Fristen for indgivelse af voldgiftsrettens kendelse eller afgørelse forlænges med den periode, der er nødvendig for at udpege den nye voldgiftsmand.
Artikel 754
Voldgiftsrettens afgørelser og kendelser
1.   Voldgiftsrettens drøftelser er fortrolige. Voldgiftsretten udarbejder i videst muligt omfang kendelser og træffer afgørelser ved enstemmighed. Hvis det ikke er muligt, træffer voldgiftsretten afgørelse ved flertalsafstemning. Særskilte udtalelser offentliggøres ikke.
2.   Voldgiftsrettens afgørelser og kendelser er bindende for Unionen og Det Forenede Kongerige. De skaber ikke rettigheder eller forpligtelser for fysiske eller juridiske personer.
3.   Voldgiftsrettens afgørelser og kendelser kan ikke udvide eller indskrænke parternes rettigheder og forpligtelser i medfør af denne aftale eller eventuelle supplerende aftaler.
4.   Det præciseres, at voldgiftsretten ikke har kompetence til at efterprøve lovligheden af en foranstaltning, der hævdes at udgøre en overtrædelse af denne aftale eller eventuelle supplerende aftaler, i henhold til en parts interne ret. Konklusioner fremsat af voldgiftsretten i kendelser vedrørende tvister mellem parterne er ikke bindende for parternes domstole eller retsinstanser med hensyn til den betydning, som tillægges denne parts interne lovgivning.
5.   Det præciseres, at retterne i hver af parterne ikke har kompetence til at bilægge tvister mellem parterne i henhold til denne aftale.
6.   Parterne gør voldgiftsrettens kendelser og afgørelser offentligt tilgængelige, dog således, at fortrolige oplysninger beskyttes.
7.   Oplysninger fremlagt for voldgiftsretten af parterne behandles i overensstemmelse med reglerne for fortrolighed fastsat i bilag 48.
Artikel 755
Suspension og ophør af voldgiftsprocedurer
Efter fælles anmodning fra parterne skal voldgiftsretten til enhver tid suspendere arbejdet i en af parterne aftalt periode på højst 12 på hinanden følgende måneder. Voldgiftsretten genoptager arbejdet før suspensionsperiodens udløb på skriftlig anmodning fra begge parter eller ved suspensionsperiodens udløb på skriftlig anmodning fra en af parterne. Den anmodende part indgiver meddelelse herom til den anden part. Hvis en part ikke anmoder om genoptagelse af voldgiftsrettens arbejde ved udløbet af en suspensionsperiode, bortfalder voldgiftsrettens bemyndigelse, og tvistbilæggelsesproceduren afsluttes. Hvis voldgiftsrettens arbejde indstilles, forlænges de relevante tidsfrister med den periode, hvor voldgiftsrettens arbejde var indstillet.
Artikel 756
Gensidigt acceptabel løsning
1.   Parterne kan til enhver tid nå frem til en gensidigt acceptabel løsning vedrørende tvister i henhold til artikel 735.
2.   Findes der frem til en gensidigt acceptabel løsning i løbet af panelproceduren, skal parterne i fællesskab meddele den aftalte løsning til voldgiftsrettens formand. Voldgiftsprocedurer afsluttes ved en sådan meddelelse.
3.   Løsningen kan vedtages ved en afgørelse, der træffes af Partnerskabsrådet. Gensidigt acceptable løsninger offentliggøres. Den offentliggjorte udgave må ikke indeholde oplysninger, der af enhver part er udpeget som fortrolige.
4.   Hver part træffer de nødvendige foranstaltninger for at gennemføre den gensidigt acceptable løsning inden for den aftalte frist.
5.   Den gennemførende part giver senest ved udløbet af den aftalte frist den anden part skriftlig meddelelse om enhver foranstaltning, som den har truffet for at gennemføre den gensidigt acceptable løsning.
Artikel 757
Frister
1.   Alle frister, der er omhandlet i dette afsnit, er regnet i dage fra dagen efter den handling, de refererer til.
2.   Alle frister, der er omhandlet i dette afsnit, kan ændres ved aftale mellem parterne.
3.   Voldgiftsretten kan til enhver tid foreslå parterne at ændre en frist, der er omhandlet i dette afsnit, med angivelse af begrundelsen for et sådant forslag.
Artikel 758
Omkostninger
1.   Hver part afholder sine egne udgifter til deltagelse i voldgiftsproceduren.
2.   Parterne deler ligeligt udgifterne til organisatoriske aspekter, herunder vederlag og udgifter for voldgiftsrettens medlemmer. Voldgiftsmændenes vederlag fastsættes i overensstemmelse med bilag 48.
Artikel 759
Bilag
1.   Tvistbilæggelsesprocedurer beskrevet i dette afsnit reguleres af den forretningsorden, der er beskrevet i bilag 48, og gennemføres i overensstemmelse med bilag 49.
2.   Partnerskabsrådet kan ændre bilag 48 og 49.
KAPITEL 5
SÆRLIGE ORDNINGER FOR ENSIDIGE FORANSTALTNINGER
Artikel 760
Særlige procedurer for afhjælpende foranstaltninger og genskabelse af ligevægt
1.   Med henblik på artikel 374 og artikel 411, stk. 2 og 3, finder dette afsnit anvendelse med de ændringer, der er fastsat i denne artikel.
2.   Uanset artikel 740 og bilag 48 vælger Partnerskabsrådets medformand fra den klagende part, hvis parterne ikke er enige om voldgiftsrettens sammensætning inden for to dage, senest en dag efter udløbet af fristen på to dage en voldgiftsmand ved lodtrækning fra hver parts delliste og formanden for voldgiftsretten ved lodtrækning fra den delliste over formænd, der er udarbejdet i henhold til artikel 752. Partnerskabsrådets medformand fra den klagende part kan uddelegere valget ved lodtrækning af voldgiftsmand eller formand. Hver af disse personer bekræfter sin disponibilitet over for begge parter senest to dage fra den dato, hvor vedkommende blev underrettet om sin udpegelse. Det organisatoriske møde, der er omhandlet i regel 10 i bilag 48, afholdes senest to dage efter nedsættelsen af voldgiftsretten.
3.   Uanset regel 11 i bilag 48 afgiver den klagende part sit skriftlige indlæg senest syv dage efter datoen for nedsættelsen af voldgiftsretten. Den svarende part afgiver sit skriftlige indlæg senest syv dage efter datoen for den klagende parts afgivelse af det skriftlige indlæg. Voldgiftsretten justerer eventuelle andre relevante frister i tvistbilæggelsesproceduren, i det omfang det er nødvendigt for at sikre rettidig fremsendelse af rapporten.
4.   Artikel 745 finder ikke anvendelse, og henvisninger til kendelsen i dette afsnit læses som henvisninger til den kendelse, der henvises til i artikel 374, stk. 10, eller artikel 411, stk. 3, litra c).
5.   Uanset artikel 748, stk. 2, forelægger voldgiftsretten sin afgørelse for parterne senest 30 dage efter datoen for indgivelse af anmodningen.
Artikel 761
Suspension af forpligtelser med henblik på artikel 374, stk. 12, artikel 501, stk. 5, og artikel 506, stk. 7
1.   Omfanget af suspensionen af forpligtelser må ikke overstige et omfang, der svarer til den annullering eller forringelse af fordele i henhold til denne aftale eller i henhold til en supplerende aftale, som er direkte forårsaget af de afhjælpende eller kompenserende foranstaltninger, fra den dato, hvor de afhjælpende eller kompenserende foranstaltninger træder i kraft, og indtil datoen for afsigelsen af voldgiftskendelsen.
2.   Omfanget af suspensionen af forpligtelser, som den klagende part har anmodet om, og voldgiftsrettens fastsættelse af omfanget af suspension af forpligtelser skal baseres på kendsgerninger, der viser, at annulleringen eller forringelsen er en direkte følge af anvendelsen af den afhjælpende eller kompenserende foranstaltning og påvirker specifikke varer, tjenesteydere, investorer eller andre økonomiske aktører, og ikke blot på påstande, formodninger eller fjerne muligheder.
3.   Omfanget af annullerede eller forringede fordele, som den klagende part har anmodet om, eller som voldgiftsretten har fastsat:
a)
omfatter ikke erstatning med karakter af bod, renter eller hypotetiske tab af fortjeneste eller forretningsmuligheder
b)
nedsættes med eventuelle forudgående tilbagebetalinger af afgifter, skadeserstatninger eller andre former for kompensation, som de berørte operatører eller den berørte part allerede har modtaget, og
c)
må ikke omfatte bidrag til annulleringen eller forringelsen ved forsætlig eller forsømmelig handling eller undladelse fra den berørte parts eller en persons eller enheds side, over for hvem der iværksættes retsmidler i henhold til den påtænkte suspension af forpligtelser.
Artikel 762
Betingelser for genskabelse af ligevægt, afhjælpende foranstaltninger  samt kompensations- og beskyttelsesforanstaltninger
Hvis en part træffer en foranstaltning i henhold til artikel 374, artikel 411, artikel 469, artikel 501, artikel 506 eller artikel 773, anvendes den pågældende foranstaltning kun med hensyn til de omfattede bestemmelser, jf. artikel 735, og overholder med de fornødne ændringer betingelserne i artikel 749, stk. 3.
AFSNIT II
GRUNDLAG FOR SAMARBEJDE
Artikel 763
Demokrati, retsstatsforhold og menneskerettigheder
1.   Parterne fortsætter med at værne om de fælles værdier og principperne om demokrati, retsstatsprincippet og respekt for menneskerettighederne, som ligger til grund for deres interne og internationale politikker. I denne forbindelse bekræfter parterne på ny deres respekt for verdenserklæringen om menneskerettigheder og de relevante internationale menneskerettighedskonventioner, som de er part i.
2.   Parterne fremmer sådanne fælles værdier og principper i internationale fora. Parterne samarbejder om at fremme disse værdier og principper, herunder med eller i tredjelande.
Artikel 764
Bekæmpelse af klimaændringer
1.   Parterne mener, at klimaændringer udgør en eksistentiel trussel mod menneskeheden og bekræfter på ny deres vilje til at styrke den globale reaktion på denne trussel. Kampen mod menneskeskabte klimaændringer som omhandlet i De Forenede Nationers rammekonvention om klimaændringer ("UNFCCC"), og navnlig Parisaftalen, der blev vedtaget på den 21. partskonference under De Forenede Nationers rammekonvention om klimaændringer ("Parisaftalen"), danner baggrund for Unionens og Det Forenede Kongeriges interne og eksterne politikker. Hver part respekterer i overensstemmelse hermed Parisaftalen og de rammer, UNFCCC har opstillet, og afstår fra handlinger eller undladelser, der vil være til væsentlig skade for Parisaftalens og UNFCCC's mål eller formål.
2.   Parterne fremmer bekæmpelsen af klimaændringer i internationale fora, herunder ved at samarbejde med andre lande og regioner for at øge deres ambitionsniveau med hensyn til reduktion af drivhusgasemissioner.
Artikel 765
Bekæmpelse af spredning af masseødelæggelsesvåben
1.   Parterne finder, at spredning af masseødelæggelsesvåben og deres fremføringsmidler både til statslige og ikkestatslige aktører udgør en af de alvorligste trusler mod den internationale stabilitet og sikkerhed. Parterne er derfor enige om at samarbejde og bidrage til at bekæmpe spredning af masseødelæggelsesvåben og deres fremføringsmidler ved hjælp af fuldstændig overholdelse og national gennemførelse af gældende forpligtelser i henhold til internationale traktater og aftaler om nedrustning og ikkespredning og andre relevante internationale forpligtelser.
2.   Parterne er endvidere enige om at samarbejde om og bidrage til bekæmpelse af spredning af masseødelæggelsesvåben og deres fremføringsmidler ved at:
a)
tage initiativer til undertegnelse, ratifikation eller tiltrædelse af og fuldstændig gennemførelse af alle andre relevante internationale instrumenter og
b)
indføre en effektiv ordning for national eksportkontrol til at overvåge eksport og overførsel af varer med relation til masseødelæggelsesvåben, herunder kontrol med, at teknologi med dobbelt anvendelsesformål ikke anvendes til fremstilling af masseødelæggelsesvåben, samt til at iværksætte effektive sanktioner mod omgåelse af eksportkontrollen.
3.   Parterne er enige om at etablere en løbende dialog om disse spørgsmål.
Artikel 766
Håndvåben og lette våben samt andre konventionelle våben
1.   Parterne erkender, at ulovlig fremstilling, overførsel og omsætning af håndvåben og lette våben, herunder ammunition hertil, og overdreven akkumulering heraf, dårlig forvaltning, dårligt sikrede lagre og ukontrolleret spredning fortsat udgør en alvorlig trussel for fred og sikkerhed i verden.
2.   Parterne er enige om at ville iagttage og fuldt ud opfylde deres respektive forpligtelser til at bekæmpe ulovlig handel med håndvåben og lette våben, inklusive ammunition hertil, i henhold til eksisterende internationale aftaler og FN's Sikkerhedsråds resolutioner, samt deres respektive tilsagn inden for rammerne af andre internationale instrumenter på dette område, som for eksempel FN's handlingsprogram til forhindring, bekæmpelse og udryddelse af alle former for ulovlig handel med håndvåben og lette våben.
3.   Parterne anerkender betydningen af nationale kontrolsystemer for overførsel af konventionelle våben i overensstemmelse med eksisterende internationale standarder. Parterne anerkender betydningen af at foretage sådanne kontroller på en ansvarlig måde som et bidrag til international og regional fred, sikkerhed og stabilitet og til begrænsning af menneskelig lidelse samt til forebyggelse af omdirigering af konventionelle våben.
4.   Parterne forpligter sig i denne henseende til fuldt ud at gennemføre våbenhandelstraktaten og samarbejde med hinanden inden for rammerne af traktaten, herunder om at fremme universalisering og fuldstændig gennemførelse af traktaten i alle FN's medlemsstater.
5.   Parterne forpligter sig derfor til at samarbejde i deres bestræbelser på at regulere eller forbedre reguleringen af international handel med konventionelle våben og til at forebygge, bekæmpe og udrydde ulovlig handel med våben.
6.   Parterne er enige om at etablere en løbende dialog om disse spørgsmål.
Artikel 767
De mest alvorlige forbrydelser, som berører det internationale samfund
1.   Parterne bekræfter på ny, at de mest alvorlige forbrydelser, der berører det internationale samfund som helhed, ikke må forblive ustraffede, og at de skal forfølges effektivt ved at træffe foranstaltninger på nationalt plan og ved at styrke det internationale samarbejde, herunder med Den Internationale Straffedomstol. Parterne er enige om fuldt ud at støtte universaliteten og integriteten for Romstatutten for Den Internationale Straffedomstol og tilknyttede instrumenter.
2.   Parterne er enige om at etablere en løbende dialog om disse spørgsmål.
Artikel 768
Bekæmpelse af terrorisme
1.   Parterne samarbejder på bilateralt, regionalt og internationalt plan for at forebygge og bekæmpe alle former og udtryk for terrorisme i overensstemmelse med international ret, herunder, når det er relevant, internationale aftaler vedrørende terrorbekæmpelse, humanitær folkeret og international menneskerettighedslovgivning, som finder anvendelse på parterne, samt i overensstemmelse med grundsætningerne i De Forenede Nationers pagt.
2.   Parterne styrker samarbejdet om terrorbekæmpelse, herunder om forebyggelse og bekæmpelse af voldelig ekstremisme og finansiering af terrorisme med henblik på at fremme deres fælles sikkerhedsinteresser under hensyntagen til FN's globale strategi for bekæmpelse af terrorisme og de relevante resolutioner fra FN's Sikkerhedsråd, uden at dette berører samarbejdet om retshåndhævelse og det retlige samarbejde i straffesager og udvekslingen af efterretninger.
3.   Parterne er enige om at etablere en løbende dialog om disse spørgsmål. Denne dialog skal bl.a. fremme og lette:
a)
udvekslingen af vurderinger af terrortruslen
b)
udvekslingen af bedste praksis og ekspertise inden for terrorbekæmpelse
c)
operationelt arbejde og udveksling af oplysninger og
d)
drøftelser om samarbejde inden for rammerne af multilaterale organisationer.
Artikel 769
Beskyttelse af personoplysninger
1.   Parterne bekræfter deres tilsagn om at sikre et højt niveau for beskyttelse af personoplysninger. De bestræber sig på at samarbejde om at fremme høje internationale standarder.
2.   Parterne anerkender, at enkeltpersoner har ret til beskyttelse af personoplysninger og privatlivets fred, og at høje standarder i denne henseende bidrager til tilliden til den digitale økonomi og til udviklingen af handelen og er en vigtig katalysator for samarbejde om retshåndhævelse. Med henblik herpå forpligter parterne sig til hver især inden for rammerne af deres respektive love og forskrifter at overholde de forpligtelser, de har indgået i denne aftale vedrørende denne ret.
3.   Parterne samarbejder bilateralt og multilateralt under overholdelse af deres respektive love og forskrifter. Dette kan omfatte dialog, udveksling af ekspertise og samarbejde om håndhævelse, alt efter hvad der er relevant, inden for beskyttelse af personoplysninger.
4.   Når denne aftale eller en eventuel supplerende aftale indeholder bestemmelser om overførsel af personoplysninger, sker en sådan overførsel i overensstemmelse med den overførende parts regler om internationale overførsler af personoplysninger. Det præciseres, at dette stykke ikke berører anvendelsen af specifikke bestemmelser i denne aftale vedrørende overførsel af personoplysninger, navnlig artikel 202 og artikel 525, og vedrørende afsnit I i sjette del. Hver part bestræber sig, hvor det er nødvendigt, bedst muligt og under overholdelse af sine regler om internationale overførsler af personoplysninger på at indføre de nødvendige garantier for overførsel af personoplysninger under hensyntagen til eventuelle henstillinger fra Partnerskabsrådet i henhold til artikel 7, stk. 4, litra h).
Artikel 770
Globalt samarbejde om spørgsmål af fælles økonomisk,  miljømæssig og samfundsmæssig interesse
1.   Parterne anerkender betydningen af globalt samarbejde for at håndtere spørgsmål af fælles økonomisk, miljømæssig og social interesse. Hvis det er i begge parters interesse, fremmer de multilaterale løsninger på fælles problemer.
2.   Parterne bevarer deres beslutningsautonomi, men bestræber sig på at samarbejde om aktuelle og nye globale spørgsmål af fælles interesse såsom fred og sikkerhed, klimaændringer, bæredygtig udvikling, grænseoverskridende forurening, miljøbeskyttelse, digitalisering, folkesundhed og forbrugerbeskyttelse, beskatning, finansiel stabilitet og fri og fair handel og investeringer med forbehold af andre bestemmelser i denne aftale eller eventuelle supplerende aftaler. Med henblik herpå bestræber de sig på at opretholde en løbende og effektiv dialog og koordinere deres holdninger i multilaterale organisationer og fora, som parterne deltager i, f.eks. FN, G7 og G20, Organisationen for Økonomisk Samarbejde og Udvikling, Den Internationale Valutafond, Verdensbanken og Verdenshandelsorganisationen.
Artikel 771
Væsentlige elementer
Artikel 763, stk. 1, artikel 764, stk. 1, og artikel 765, stk. 1, udgør væsentlige elementer i det partnerskab, der er oprettet ved denne aftale og eventuelle supplerende aftaler.
AFSNIT III
OPFYLDELSE AF FORPLIGTELSER OG BESKYTTELSESFORANSTALTNINGER
Artikel 772
Opfyldelse af forpligtelser beskrevet som væsentlige elementer
1.   Hvis en af parterne finder, at den anden part har gjort sig skyldig i alvorlig og væsentlig overtrædelse af en af de forpligtelser, der er beskrevet som væsentlige elementer i artikel 771, kan den beslutte helt eller delvis at ophæve eller suspendere anvendelsen af denne aftale eller en eventuel supplerende aftale.
2.   Forinden anmoder den part, der påberåber sig anvendelsen af denne artikel, Partnerskabsrådet om at mødes omgående med henblik på at finde en rettidig og gensidigt acceptabel løsning. Hvis der ikke findes en gensidigt acceptabel løsning senest 30 dage efter datoen for anmodningen til Partnerskabsrådet, kan parten træffe de i stk. 1 omhandlede foranstaltninger.
3.   Foranstaltninger i medfør af stk. 1 fortolkes med fuld overholdelse af folkeretten og skal være forholdsmæssige. Der gives prioritet til de foranstaltninger, som forstyrrer denne aftales samt eventuelle supplerende aftalers funktion mindst muligt.
4.   For at en situation kan udgøre en alvorlig og væsentlig overtrædelse af en af de forpligtelser, der er beskrevet som væsentlige elementer i artikel 771, skal dens alvor og karakter ifølge parterne være så ekstraordinær, at den truer freden og sikkerheden eller har internationale følgevirkninger. Det præciseres, at en handling eller undladelse, som materielt tilsidesætter Parisaftalens genstand og formål, altid betragtes som en alvorlig og væsentlig overtrædelse i forbindelse med denne artikel.
Artikel 773
Beskyttelsesforanstaltninger
1.   Hvis der opstår alvorlige økonomiske, samfundsmæssige eller miljømæssige vanskeligheder af sektoriel eller regional karakter, herunder i forbindelse med fiskeriaktiviteter og lokalsamfund, der er afhængige deraf, som kan antages at vare ved, kan den pågældende part unilateralt træffe passende beskyttelsesforanstaltninger. Sådanne beskyttelsesforanstaltninger skal med hensyn til anvendelsesområde og varighed begrænses til, hvad der er strengt nødvendigt til at afhjælpe situationen. Der vælges fortrinsvis foranstaltninger, som forstyrrer denne aftales funktion mindst muligt.
2.   Den pågældende part underretter straks den anden part gennem Partnerskabsrådet og fremlægger alle relevante oplysninger. Parterne indleder straks konsultationer i Partnerskabsrådet for at finde en gensidigt acceptabel løsning.
3.   Den berørte part må først træffe beskyttelsesforanstaltninger en måned efter tidspunktet for den i stk. 2 nævnte underretning, medmindre den i stk. 2 nævnte konsultationsprocedure er afsluttet i fællesskab inden udløbet af nævnte tidsfrist. Når ekstraordinære omstændigheder, som kræver omgående indgriben, umuliggør forudgående undersøgelse, kan den berørte part straks anvende beskyttelsesforanstaltninger, der dog ikke må gå ud over, hvad der er strengt nødvendigt til at afhjælpe situationen.
Den pågældende part underretter straks Partnerskabsrådet om de trufne foranstaltninger og fremlægger alle relevante oplysninger.
4.   Hvis en beskyttelsesforanstaltning truffet af den pågældende part skaber uligevægt mellem rettighederne og forpligtelserne i henhold til denne aftale eller i henhold til en eventuel supplerende aftale, kan den anden part træffe sådanne forholdsmæssige udligningsforanstaltninger, som er strengt nødvendige for at rette op på uligevægten. Der vælges fortrinsvis foranstaltninger, som forstyrrer denne aftales funktion mindst muligt. Stk. 2 til 4 finder tilsvarende anvendelse på sådanne udlignende foranstaltninger.
5.   Hver part kan uden forudgående afholdelse af konsultationer i henhold til artikel 738 indlede den voldgiftsprocedure, der er omhandlet i artikel 739, for at anfægte en foranstaltning truffet af den anden part i medfør af denne artikels stk. 1-5.
6.   De beskyttelsesforanstaltninger, der er omhandlet i stk. 1, og de udligningsforanstaltninger, der er omhandlet i stk. 5, kan også træffes i forbindelse med en supplerende aftale, medmindre andet er fastsat deri.
SYVENDE DEL
AFSLUTTENDE BESTEMMELSER
Artikel 774
Territorialt anvendelsesområde
1.   Denne aftale finder anvendelse på:
a)
de territorier, hvor TEU, TEUF og traktaten om oprettelse af Det Europæiske Atomenergifællesskab finder anvendelse, og på de betingelser, der er fastlagt i disse traktater og
b)
Det Forenede Kongeriges område.
2.   Denne aftale finder tillige anvendelse på Bailiwick of Guernsey, Bailiwick of Jersey samt Isle of Man, i det omfang det er fastsat i anden del, sektion fem, og artikel 520.
3.   Denne aftale finder ikke anvendelse på Gibraltar og har ingen retsvirkning der.
4.   Denne aftale finder ikke anvendelse på oversøiske territorier med særlige forbindelser til Det Forenede Kongerige: Anguilla, Bermuda, Det Britiske Antarktiske Territorium, Det Britiske Territorium i Det Indiske Ocean, De Britiske Jomfruøer, Caymanøerne, Falklandsøerne, Montserrat, Pitcairn, Henderson, Ducie og Oeno, Saint Helena, Ascension og Tristan da Cunha, Sydgeorgien og Sydsandwichøerne samt Turks- og Caicosøerne.
Artikel 775
Forhold til andre aftaler
Denne aftale og eventuelle supplerende aftaler berører ikke tidligere bilaterale aftaler mellem Det Forenede Kongerige på den ene side og Den Europæiske Union og Det Europæiske Atomenergifællesskab på den anden side. Parterne bekræfter deres forpligtelse til at gennemføre en sådan aftale.
Artikel 776
Evaluering
Parterne evaluerer i fællesskab gennemførelsen af denne aftale og supplerende aftaler samt eventuelle sager i relation hertil fem år efter denne aftales ikrafttræden og derefter hvert femte år.
Artikel 777
Klassificerede oplysninger og følsomme ikkeklassificerede oplysninger
Intet i denne aftale eller i eventuelle supplerende aftaler kan fortolkes således, at en part skal gøre klassificerede oplysninger tilgængelige.
Klassificerede oplysninger eller klassificeret materiale, der stilles til rådighed af eller udveksles mellem parterne i henhold til denne aftale eller eventuelle supplerende aftaler, skal behandles og beskyttes i overensstemmelse med aftalen om sikkerhedsprocedurer for udveksling og beskyttelse af klassificerede informationer samt eventuelle gennemførelsesordninger, der er indgået i henhold hertil.
Parterne enes om håndteringsinstrukser for at sikre beskyttelsen af følsomme ikkeklassificerede oplysninger, der udveksles mellem dem.
Artikel 778
Integrerede dele af denne aftale
1.   Protokollerne, bilagene, tillæggene og fodnoterne til denne aftale udgør en integreret del af denne aftale.
2.   Hvert af bilagene til denne aftale, herunder dens tillæg, udgør en integreret del af den afdeling, det kapitel, det afsnit, den sektion eller den protokol, der henviser til det pågældende bilag, eller hvortil der henvises i det pågældende bilag. Det præciseres, at:
a)
Bilag 1 udgør en integreret del af afsnit III i første del.
b)
Bilag 2, 3, 4, 5, 6, 7, 8 og 9 udgør en integreret del af anden del, sektion et, afsnit I, kapitel 2.
c)
Bilag 10 udgør en integreret del af anden del, sektion et, afsnit I, kapitel 3.
d)
Bilag 11, 12, 13, 14, 15, 16 og 17 udgør en integreret del af anden del, sektion et, afsnit I, kapitel 4.
e)
Bilag 18 udgør en integreret del af anden del, sektion et, afsnit I, kapitel 5.
f)
Bilag 19, 20, 21, 22, 23 og 24 udgør en integreret del af anden del, sektion et, afsnit II.
g)
Bilag 25 udgør en integreret del af anden del, sektion et, afsnit VI.
h)
Bilag 26, 27, 28 og 29 udgør en integreret del af anden del, sektion et, afsnit VIII.
i)
Bilag 27 udgør en integreret del af anden del, sektion et, afsnit XI.
j)
Bilag 30 og eventuelle bilag, der er vedtaget i overensstemmelse med artikel 454, udgør en integreret del af anden del, sektion to, afsnit II.
k)
Bilag 31 udgør en integreret del af anden del, sektion tre, afsnit I.
l)
Bilag 32, 33 og 34 udgør en integreret del af anden del, sektion tre, afsnit II.
m)
Bilag 35, 36, 37 og 38 udgør en integreret del af anden del, sektion fem.
n)
Bilag 39 udgør en integreret del af tredje del, afsnit II.
o)
Bilag 40 udgør en integreret del af tredje del, afsnit III.
p)
Bilag 41 udgør en integreret del af tredje del, afsnit V.
q)
Bilag 42 udgør en integreret del af tredje del, afsnit VI.
r)
Bilag 43 udgør en integreret del af tredje del, afsnit VII.
s)
Bilag 44 udgør en integreret del af tredje del, afsnit IX.
t)
Bilag 45 udgør en integreret del af tredje del, afsnit III, afsnit VII og afsnit XI.
u)
Bilag 46 udgør en integreret del af tredje del, afsnit XI.
v)
Bilag 47 udgør en integreret del af femte del, kapitel 1, afdeling 2.
w)
Bilag 48 og 49 udgør en integreret del af sjette del, afsnit I.
x)
Bilaget til protokollen om administrativt samarbejde og bekæmpelse af svig vedrørende merværdiafgift og om gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter udgør en integreret del af protokollen om administrativt samarbejde og bekæmpelse af svig vedrørende merværdiafgift og om gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter.
y)
Bilag SSC-1, SSC-2, SSC-3, SSC-4, SSC-5, SSC-6, SSC-7 og SSC-8 samt tillæggene hertil udgør en integreret del af protokollen om koordinering af de sociale sikringsordninger.
Artikel 779
Ophør
Hver af parterne kan ved skriftlig meddelelse via de diplomatiske kanaler opsige denne aftale. Denne aftale og eventuelle supplerende aftaler ophører med at være i kraft på den første dag i den tolvte måned efter datoen for meddelelse af opsigelsen.
Artikel 780
Autentiske tekster
Denne aftale er udfærdiget i to eksemplarer på bulgarsk, dansk, engelsk, estisk, finsk, fransk, græsk, irsk, italiensk, kroatisk, lettisk, litauisk, maltesisk, nederlandsk, polsk, portugisisk, rumænsk, slovakisk, slovensk, spansk, svensk, tjekkisk, tysk og ungarsk. Alle sprogudgaver af aftalen underkastes en endelig juridisk-sproglig gennemgang senest den 30. april 2021. Uanset foregående punktum skal den endelige juridisk-sproglige gennemgang af den engelske udgave af aftalen være afsluttet senest den dato, der er omhandlet i artikel 783, stk. 1, såfremt denne dato indtræffer før den 30. april 2021.
De sprogudgaver, der følger af ovennævnte proces med endelig juridisk-sproglig gennemgang, træder ab initio i stedet for de undertegnede udgaver af aftalen og anses som autentiske og endelige ved udveksling af diplomatiske noter mellem parterne.
Artikel 781
Fremtidige tiltrædelser af Den Europæiske Union
1.   Unionen underretter Det Forenede Kongerige i tilfælde af, at yderligere tredjelande ansøger om tiltrædelse af Unionen.
2.   Under forhandlingerne mellem Unionen og et tredjeland, der ansøger om tiltrædelse af Unionen 
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, tilstræber Unionen:
a)
på anmodning fra Det Forenede Kongerige og i det omfang, det er muligt, at fremlægge eventuelle oplysninger vedrørende områder omfattet af denne aftale og eventuelle supplerende aftaler og
b)
at tage hensyn til eventuelle betænkeligheder, som Det Forenede Kongerige måtte give udtryk for.
3.   Partnerskabsrådet undersøger eventuelle indvirkninger på denne aftale og eventuelle supplerende aftaler af et tredjelands tiltrædelse af Unionen i tilstrækkelig tid forud for datoen for en sådan tiltrædelse.
4.   I det omfang, det er nødvendigt, tager Det Forenede Kongerige og Unionen, før ikrafttrædelsen af en aftale om et tredjelands tiltrædelse af Unionen, initiativ til følgende:
a)
at ændre denne aftale eller eventuelle supplerende aftaler
b)
ved Partnerskabsrådets afgørelse at fastsætte eventuelle andre nødvendige tilpasninger eller overgangsordninger vedrørende denne aftale eller eventuelle supplerende aftaler hertil eller
c)
at træffe afgørelse i Partnerskabsrådet om:
i)
at anvende artikel 492 på det pågældende tredjelands statsborgere eller
ii)
at indføre overgangsordninger for så vidt angår artikel 492 gældende for det pågældende tredjeland og dets statsborgere, når landet tiltræder Unionen.
5.   Foreligger der ikke nogen afgørelse i henhold til denne artikels stk. 4, litra c), nr. i) eller ii), på grund af ikrafttrædelsen af aftalen om det pågældende tredjelands tiltrædelse af Unionen, finder artikel 492 ikke anvendelse på det pågældende tredjelands statsborgere.
6.   Hvis Partnerskabsrådet indfører overgangsordninger som omhandlet i stk. 4, litra c), nr. ii), fastsætter det disses varighed. Partnerskabsrådet kan forlænge varigheden af disse overgangsordninger.
7.   Inden udløbet af de overgangsordninger, der er omhandlet i denne artikels stk. 4, litra c), nr. ii), træffer Partnerskabsrådet afgørelse om, hvorvidt artikel 492 finder anvendelse på det pågældende tredjelands statsborgere efter udløbet af overgangsordningerne. Foreligger der ikke en sådan afgørelse, finder artikel 492 ikke anvendelse på det pågældende tredjelands statsborgere efter udløbet af overgangsordningerne.
8.   Stk. 4, litra c), og stk. 5-7 berører ikke Unionens prærogativer i henhold til dens nationale lovgivning.
9.   Det præciseres, at denne aftale i forbindelse med en ny medlemsstat af Unionen finder anvendelse fra datoen for den nye medlemsstats tiltrædelse af Unionen, jf. dog stk. 4, litra c), og stk. 5-7.
Artikel 782
Midlertidig bestemmelse om videregivelse af personoplysninger til Det Forenede Kongerige
1.   I den angivne periode betragtes videregivelse af personoplysninger fra Unionen til Det Forenede Kongerige ikke som en overførsel til et tredjeland i henhold til EU-retten, forudsat at Det Forenede Kongeriges databeskyttelseslovgivning af 31. december 2020, som den er fastsat og inkorporeret i Det Forenede Kongeriges lovgivning ved European Union (Withdrawal) Act 2018 og som ændret ved Data Protection, Privacy and Electronic Communications (Amendments etc) (EU Exit) Regulations 2019 (SI 2019/419) 
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 ("den gældende databeskyttelsesordning"), finder anvendelse, og forudsat at Det Forenede Kongerige ikke udøver sine definerede beføjelser uden aftale med Unionen i Partnerskabsrådet.
2.   Med forbehold af stk. 3-11 finder stk. 1 også anvendelse på overførsler af personoplysninger fra Island, Fyrstendømmet Liechtenstein og Kongeriget Norge til Det Forenede Kongerige i den angivne periode i henhold til EU-retten som anvendt i disse stater i henhold til aftalen om Det Europæiske Økonomiske Samarbejdsområde, der blev indgået i Porto den 2. maj 1992, så længe stk. 1 finder anvendelse på overførsler af personoplysninger fra Unionen til Det Forenede Kongerige, forudsat at disse stater skriftligt meddeler begge parter deres udtrykkelige accept af at anvende denne bestemmelse.
3.   I denne artikel forstås ved "definerede beføjelser":
a)
at fastsætte forskrifter i henhold til afsnit 17A, 17C og 74A i UK Data Protection Act 2018
b)
at udstede et nyt dokument med standardbestemmelser om databeskyttelse i henhold til afsnit 119A i UK Data Protection Act 2018
c)
at godkende et nyt udkast til adfærdskodeks i henhold til artikel 40, stk. 5, i Det Forenede Kongeriges generelle forordning om databeskyttelse ("UK GDPR"), bortset fra en adfærdskodeks, som ikke kan give passende garantier ved overførsel af personoplysninger til et tredjeland i henhold til artikel 46, stk. 2, litra e), i UK GDPR
d)
at godkende nye certificeringsmekanismer i henhold til artikel 42, stk. 5, i UK GDPR, bortset fra certificeringsmekanismer, som ikke kan give passende garantier ved overførsel af personoplysninger til et tredjeland i henhold til artikel 46, stk. 2, litra f), i UK GDPR
e)
at godkende nye bindende virksomhedsregler i henhold til artikel 47 i UK GDPR
f)
at tillade nye kontraktbestemmelser, som omhandlet i artikel 46, stk. 3, litra a), i UK GDPR eller
g)
at tillade nye administrative ordninger, som omhandlet i artikel 46, stk. 3, litra b), i UK GDPR.
4.   Den "angivne periode" begynder på datoen for denne aftales ikrafttræden og slutter, jf. dog stk. 5, på den af følgende datoer, der indtræffer først:
a)
den dato, hvor Europa-Kommissionen vedtager afgørelser om tilstrækkeligheden af beskyttelsesniveauet vedrørende Det Forenede Kongerige i henhold til artikel 36, stk. 3, i direktiv (EU) 2016/680 og artikel 45, stk. 3, i forordning (EU) 2016/679, eller
b)
fire måneder efter datoen for den angivne periodes begyndelse, som forlænges med yderligere to måneder, medmindre en af parterne gør indsigelse.
5.   Med forbehold af stk. 6 og 7 ophører Det Forenede Kongerige, hvis det i løbet af den angivne periode ændrer den gældende databeskyttelsesordning eller udøver de definerede beføjelser uden Unionens samtykke i Partnerskabsrådet, på den dato, hvor beføjelserne udøves eller ændringen træder i kraft.
6.   Henvisningerne til udøvelse af de definerede beføjelser i stk. 1 og 5 omfatter ikke udøvelse af sådanne beføjelser, hvis virkning er begrænset til at afstedkomme tilpasning til den relevante EU-lovgivning om databeskyttelse.
7.   Alt, hvad der ellers ville være en ændring af den gældende databeskyttelsesordning, som er:
a)
foretaget efter aftale med Unionen i Partnerskabsrådet, eller
b)
begrænset til at afstedkomme tilpasning til den relevante EU-lovgivning om databeskyttelse,
må ikke behandles som en ændring af den gældende databeskyttelsesordning med henblik på stk. 5 og bør i stedet behandles som en del af den gældende databeskyttelsesordning med henblik på stk. 1.
8.   Med henblik på stk. 1, 5 og 7 forstås ved "Unionens samtykke i Partnerskabsrådet":
a)
en afgørelse, der er truffet af Partnerskabsrådet, som beskrevet i stk. 11 eller
b)
anses for at være en aftale som beskrevet i stk. 10.
9.   Hvis Det Forenede Kongerige meddeler Unionen, at det agter at udøve de definerede beføjelser, eller foreslår at ændre den gældende databeskyttelsesordning, kan hver part inden for fem arbejdsdage anmode om et møde i Partnerskabsrådet, som skal finde sted senest to uger efter en sådan anmodning.
10.   Hvis der ikke anmodes om et sådant møde, anses Unionen for at have givet sit samtykke til en sådan udøvelse eller ændring i den angivne periode.
11.   Hvis der anmodes om et sådant møde, tager Partnerskabsrådet på dette møde stilling til den foreslåede udøvelse eller ændring og kan vedtage en afgørelse, hvori det erklærer sig indforstået med udøvelsen eller ændringen i den angivne periode.
12.   Det Forenede Kongerige underretter, så vidt det med rimelighed lader sig gøre, Unionen, hvis det i den angivne periode indfører et nyt instrument, som kan anvendes til at overføre personoplysninger til et tredjeland i henhold til artikel 46, stk. 2, litra a), i UK GDPR eller afsnit 75, stk. 1, litra a), i UK Data Protection Act 2018, i den angivne periode. Efter en meddelelse fra Det Forenede Kongerige, jf. dette stykke, kan Unionen anmode om et møde i Partnerskabsrådet for at drøfte det pågældende instrument.
13.   Sjette del, afsnit I, finder ikke anvendelse på tvister, der vedrører fortolkningen og anvendelsen af denne artikel.
Artikel 783
Ikrafttræden og midlertidig anvendelse
1.   Denne aftale træder i kraft den første dag i måneden efter den måned, hvor begge parter har meddelt hinanden, at deres respektive interne krav og procedurer, der er nødvendige for at kunne erklære sig indforstået med at være bundet af aftalen, er afsluttet.
2.   Parterne er enige om at anvende denne aftale midlertidigt fra den 1. januar 2021, forudsat at de forud for denne dato har meddelt hinanden, at deres respektive interne krav og procedurer, der er nødvendige for midlertidig anvendelse, er afsluttet. Den midlertidige anvendelse ophører på den af følgende datoer, der indtræffer først:
a)
den 28. februar 2021 eller en anden dato, som er fastsat af Partnerskabsrådet, eller
b)
den dato, der er omhandlet i stk. 1.
3.   Fra den dato, hvor denne aftale anvendes midlertidigt, skal parterne opfatte henvisninger i denne aftale til "datoen for denne aftales ikrafttræden" eller til "denne aftales ikrafttræden" som henvisninger til den dato, fra hvilken denne aftale anvendes midlertidigt.
Съставено в Брюксел и Лондон на тридесети декември две хиляди и двадесета година.
Hecho en Bruselas y Londres, el treinta de diciembre de dos mil veinte.
V Bruselu a v Londýně dne třicátého prosince dva tisíce dvacet.
Udfærdiget i Bruxelles og London, den tredivte december to tusind og tyve.
Geschehen zu Brüssel und London am dreißigsten Dezember zweitausendzwanzigt.
Kahe tuhande kahekümnenda aasta detsembrikuu kolmekümnendal päeval Brüsselis ja Londonis.
Έγινε στις Βρυξέλλες και στο Λονδίνο, στις τριάντα Δεκεμβρίου δύο χιλιάδες είκοσι.
Done at Brussels and London on the thirtieth day of December in the year two thousand and twenty.
Fait à Bruxelles et à Londres, le trente décembre deux mille vingt.
Arna dhéanamh sa Bhruiséil agus i Londain, an tríochadú lá de mhí na Nollag an bhliain dhá mhíle fiche.
Sastavljeno u Bruxellesu i Londonu tridesetog prosinca godine dvije tisuće dvadesete.
Fatto a Bruxelles e Londra, addì trenta dicembre duemilaventi.
Briselē un Londonā, divi tūkstoši divdesmitā gada trīsdesmitajā decembrī.
Priimta du tūkstančiai dvidešimtų metų gruodžio trisdešimtą dieną Briuselyje ir Londone.
Kelt Brüsszelben és Londonban, a kétezer-huszadik év december havának harmincadik napján.
Magħmul fi Brussell u Londra, fit-tletin jum ta’ Diċembru fis-sena elfejn u għoxrin.
Gedaan te Brussel en Londen, dertig december tweeduizend twintig.
Sporządzono w Brukseli i Londynie dnia trzydziestego grudnia roku dwa tysiące dwudziestego.
Feito em Bruxelas e em Londres, em trinta de dezembro de dois mil e vinte.
Întocmit la Bruxelles și la Londra la treizeci decembrie două mii douăzeci.
V Bruseli a Londýne tridsiateho decembra dvetisícdvadsať.
V Bruslju in Londonu, tridesetega decembra dva tisoč dvajset.
Tehty Brysselissä ja Lontoossa kolmantenakymmenentenä päivänä joulukuuta vuonna kaksituhattakaksikymmentä.
Som skedde i Bryssel och i London den trettionde december år tjugohundratjugo.
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  I denne artikel defineres interesserede parter i overensstemmelse med antidumpingaftalens artikel 6, stk. 11, og SCM-aftalens artikel 12.9.
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  Processer som f.eks. nedkøling, frysning eller ventilation anses for utilstrækkelige i henhold til litra a), hvorimod processer som f.eks. anbringelse i saltlage, tørring eller rygning, der har til formål at give et produkt særlige eller forskellige egenskaber, ikke anses for utilstrækkelige.
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  Perioden er på 12 måneder for anmodninger om oplysninger i henhold til artikel 62, stk. 2, rettet til den eksporterende parts toldmyndighed i løbet af de første tre måneder af denne aftales anvendelse.
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  G/TBT/9, 13.11.2000, bilag 4.
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  Det præciseres, og navnlig i forbindelse med dette kapitel, at begrebet "person" omfatter enhver sammenslutning af personer, der ikke har status som juridisk person, men som i henhold til gældende ret er anerkendt som havende rets- og handleevne.
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  Luftfartstjenesteydelser eller tilknyttede tjenesteydelser til støtte for luftfartstjenesteydelser omfatter, men er ikke begrænset til, følgende tjenesteydelser: lufttransport, tjenesteydelser, der leveres ved brug af et luftfartøj, hvis hovedformål ikke er transport af gods eller passagerer, såsom brandbekæmpelse fra luften, flyvetræning, sightseeing, sprøjtning, landmåling, kortlægning, fotografering, faldskærmsudspring, slæb af svævefly, helikopterløft i forbindelse med skovhugst og byggeri samt andre luftbårne landbrugs-, industri- og tilsynstjenester, udlejning af luftfartøjer med besætning og lufthavnstjenesteydelser.
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7
)
  National cabotagesejlads til søs omfatter: For Unionen, og uden at det berører de aktiviteter, der kan betragtes som "cabotage" under den relevante nationale lovgivning, dækker national cabotagesejlads til søs transport af passagerer eller varer mellem en havn eller et sted i en medlemsstat og en anden havn eller et andet sted i samme medlemsstat, herunder på landets kontinentalsokkel som defineret i De Forenede Nationers havretskonvention, og trafik, der starter og slutter i samme havn eller på samme sted i en medlemsstat. For Det Forenede Kongerige, transport af passagerer eller gods mellem en havn eller et sted i Det Forenede Kongerige og en anden havn eller et andet sted i Det Forenede Kongerige, herunder på landets kontinentalsokkel, som fastsat i De Forenede Nationers havretskonvention, og trafik, der starter og slutter i samme havn eller på samme sted i Det Forenede Kongerige.
(
8
)
  Det præciseres, at udtrykket "aktiviteter, der udføres under udøvelse af offentlig myndighed", når det anvendes i forbindelse med en parts foranstaltninger, der påvirker leveringen af tjenesteydelser, omfatter "tjenesteydelser, der leveres under udøvelse af offentlig myndighed" som defineret i artikel 124, litra p).
(
9
)
  Det præciseres, at de rederier, der er nævnt i dette punkt, kun betragtes som juridiske personer i en part med hensyn til deres aktiviteter i forbindelse med levering af søtransporttjenesteydelser.
(
10
)
  Artikel 128, litra a), nr. i)-iii), omfatter ikke foranstaltninger, der træffes for at begrænse produktionen af et landbrugs- eller fiskeriprodukt.
(
11
)
  Artikel 128, litra a), nr. iii), omfatter ikke en parts foranstaltninger, der begrænser produktionsfaktorerne for levering af tjenesteydelser.
(
12
)
  Det præciseres, at artikel 132, stk. 1, litra f), ikke berører bestemmelserne i artikel 207.
(
13
)
  Artikel 135, litra a), nr. iii), omfatter ikke en parts foranstaltninger, der begrænser produktionsfaktorerne for levering af tjenesteydelser.
(
14
)
  Er universitetsgraden eller det kompetencegivende bevis ikke opnået i den part, hvor tjenesteydelsen leveres, er det op til denne part at vurdere, om de svarer til en universitetsgrad på dens område.
(
15
)
  Er universitetsgraden eller det kompetencegivende bevis ikke opnået i den part, hvor tjenesteydelsen leveres, er det op til denne part at vurdere, om de svarer til en universitetsgrad på dens område.
(
16
)
  Ledere og specialister skal muligvis dokumentere, at de er i besiddelse af de faglige kvalifikationer og den erfaring, der er nødvendig i den juridiske person, hvortil de overføres.
(
17
)
  Selv om ledere ikke direkte udfører opgaver i forbindelse med den egentlige levering af de pågældende tjenester, forhindrer det dem ikke, i forbindelse med udførelsen af deres opgaver som beskrevet ovenfor, i at udføre sådanne opgaver, som måtte være nødvendige for leveringen af tjenesteydelserne.
(
18
)
  Den modtagende virksomhed kan blive bedt om, med henblik på forudgående godkendelse, at fremlægge et uddannelsesprogram, der dækker opholdets varighed, og hvoraf det fremgår, at formålet med opholdet er uddannelse. I AT, CZ, DE, FR, ES, HU og LT: Uddannelsen skal være knyttet til den opnåede universitetsgrad.
(
19
)
  I tilfælde, hvor det er rimeligt at afveje ressourcemæssige begrænsninger i forhold til virksomhedernes potentielle byrde, kan de kompetente myndigheder kræve, at alle oplysninger indgives i et nærmere angivet format for at anse dem for at være "fuldstændige med henblik på behandling".
(
20
)
  De kompetente myndigheder kan opfylde kravet i nr. ii) ved på forhånd at underrette en ansøger skriftligt, herunder gennem en offentliggjort foranstaltning, om, at manglende svar efter et bestemt tidsrum fra datoen for indgivelse af ansøgningen betyder, at ansøgningen er accepteret. Henvisningen til "skriftligt" bør forstås som omfattende elektronisk format.
(
21
)
  En sådan "mulighed" kræver ikke, at den kompetente myndighed forlænger fristerne.
(
22
)
  De kompetente myndigheder er ikke ansvarlige for forsinkelser af årsager, der ligger uden for deres kompetence.
(
23
)
  Det præciseres, at denne artikel ikke må fortolkes således, at den er til hinder for forhandling og indgåelse af en eller flere aftaler mellem parterne om anerkendelse af erhvervskvalifikationer på andre betingelser og krav end dem, der er fastsat i denne artikel.
(
24
)
  Det præciseres, at sådanne ordninger ikke fører til automatisk anerkendelse af kvalifikationer, men herigennem fastsættes i begge parters gensidige interesse betingelserne for de kompetente myndigheder, der foretager anerkendelsen.
(
25
)
  De ønskede oplysninger behandles i overensstemmelse med fortrolighedskravene.
(
26
)
  Disse administrationsomkostninger omfatter ikke betalinger for rettigheder til brug af knappe ressourcer og ej heller obligatoriske bidrag til forsyningspligtydelser.
(
27
)
  I denne artikel forstås ved "ikkediskriminerende" mestbegunstigelsesbehandling og national behandling som defineret i artikel 129, 130, 136 og 137 samt på vilkår og betingelser, der ikke er mindre gunstige end dem, der gives andre brugere af tilsvarende offentlige telekommunikationsnet eller -tjenester i lignende situationer.
(
28
)
  Denne artikel finder ikke anvendelse på roamingtjenester inden for EU, som er kommercielle mobiltjenester, der leveres i henhold til en forretningsaftale mellem leverandører af offentlige telekommunikationstjenesteydelser, der gør det muligt for en slutbruger at benytte sin mobiltelefon eller andre anordninger til stemme-, data- eller meddelelsestjenester, mens den pågældende befinder sig uden for den medlemsstat, hvor slutbrugerens hjemlands offentlige telekommunikationsnet dækker.
(
29
)
  Det præciseres, at denne ændring finder anvendelse på "tjenesteydelser, der leveres under udøvelse af offentlig myndighed" i artikel 124, litra o), da den finder anvendelse på "aktiviteter, der udføres under udøvelse af offentlig myndighed" i artikel 124, litra f).
(
30
)
  Det præciseres, at dette ikke er til hinder for, at en part kan indføre eller opretholde foranstaltninger af forsigtighedshensyn over for filialer, der er etableret på dens område af juridiske personer i den anden part.
(
31
)
  Det præciseres, at EU-retten med henblik på dette afsnit er en del af lovgivningen om hjemstedskompetence for de advokater, der er omhandlet i denne artikels, litra e), nr. i).
(
32
)
  
            "Juridisk voldgift, forlig og mægling": udarbejdelse af dokumenter, der skal forelægges for, forberedelse på møde med og møde for en voldgiftsmand, forligsmand eller mægler i enhver tvist, der vedrører anvendelsen og fortolkningen af lovgivningen. Det omfatter ikke voldgift, forlig og mægling i tvister, der ikke vedrører anvendelse og fortolkning af lovgivning, og som henhører under tjenesteydelser i tilknytning til virksomhedsrådgivning. Det omfatter heller ikke det at fungere som voldgiftsmand, forligsmand eller mægler. Som underkategori henviser internationale juridiske voldgifts-, mæglings- eller mæglingstjenesteydelser til de samme tjenesteydelser, når tvisten involverer parter fra to eller flere lande.
(
33
)
  Det præciseres, at i dette stykke forstås der ved "udpegede juridiske tjenesteydelser" for tjenesteydelser, der leveres i Unionen, juridiske tjenesteydelser i relation til Det Forenede Kongeriges ret eller dele heraf og folkeretten (med undtagelse af EU-retten) og for tjenesteydelser, der leveres i Det Forenede Kongerige, juridiske tjenesteydelser i relation til medlemsstaternes ret (herunder EU-retten) og folkeretten (med undtagelse af EU-retten).
(
34
)
  Det præciseres, at "alment gældende betingelser" henviser til betingelser, der er formuleret i objektive termer, og som gælder horisontalt for et ukendt antal økonomiske aktører og således dækker en række situationer og tilfælde.
(
35
)
  Det præciseres, at alvorlige betalingsbalanceproblemer eller udefra kommende finansielle vanskeligheder eller en trussel herom kan skyldes andre faktorer som følge af alvorlige vanskeligheder i forbindelse med penge- eller valutapolitikken eller en trussel herom.
(
36
)
  Hver part kan fastsætte den relevante dato for indgivelse af ansøgningen i overensstemmelse med sin egen lovgivning.
(
37
)
  Denne afdeling finder ikke anvendelse på den beskyttelse, der i Det Forenede Kongerige er kendt som en designret.
(
38
)
  I dette afsnit defineres udtrykket "plantebeskyttelsesmiddel" for hver part i parternes respektive lovgivninger.
(
39
)
  Det præciseres, at i det omfang det er muligt efter lovgivningen i den ene part, omfatter udtrykket "sammenslutninger og foreninger" som minimum organer til forvaltning af kollektive rettigheder og faglige interesseorganisationer, der i almindelighed er anerkendt som berettigede til at repræsentere indehavere af intellektuelle ejendomsrettigheder.
(
40
)
  For Unionens vedkommende forstås ved den kompetente myndighed toldmyndighederne.
(
41
)
  Det præciseres, at anvendelsen af forpligtelsen til national behandling i henhold til denne artikel er underlagt de undtagelser, der er omhandlet i bilag 25, afdeling B, underafdeling B1 og B2, note 3.
(
42
)
  Europa-Parlamentets og Rådets forordning (EU) 2019/942 af 5. juni 2019 om oprettelse af Den Europæiske Unions Agentur for Samarbejde mellem Energireguleringsmyndigheder (
EUT L 158 af 14.6.2019, s. 22
).
(
43
)
  Europa-Parlamentets og Rådets forordning (EU) 2019/943 af 5. juni 2019 om det indre marked for elektricitet (
EUT L 158 af 14.6.2019, s. 54
) eller dens forgængere: 
EUT L 176 af 15.7.2003, s. 1
, og 
EUT L 211 af 14.8.2009, s. 15
.
(
44
)
  Europa-Parlamentets og Rådets direktiv 2009/73/EF af 13. juli 2009 om fælles regler for det indre marked for naturgas (
EUT L 211 af 14.8.2009, s. 94
) ellers dets forgænger: 
EUT L 176 af 15.7.2003, s. 57
.
(
45
)
  Kommissionens forordning (EU) nr. 838/2010 af 23. september 2010 om retningslinjer for ordningen for kompensation mellem transmissionssystemoperatører og en fælles fremgangsmåde for regulering af transmissionsafgifter (
EUT L 250 af 24.9.2010, s. 5
).
(
46
)
  Europa-Parlamentets og Rådets forordning (EF) nr. 715/2009 af 13. juli 2009 om betingelserne for adgang til naturgastransmissionsnet og om ophævelse af forordning (EF) nr. 1775/2005 (
EUT L 211 af 14.8.2009, s. 36
).
(
47
)
  Europa-Parlamentets og Rådets direktiv (EU) 2018/2001 af 11. december 2018 om fremme af anvendelsen af energi fra vedvarende energikilder (
EUT L 328 af 21.12.2018, s. 82
).
(
48
)
  Europa-Parlamentets og Rådets direktiv 2012/27/EU af 25. oktober 2012 om energieffektivitet (
EUT L 315 af 14.11.2012, s. 1
).
(
49
)
  For Unionen omfatte disse principper forsigtighedsprincippet.
(
50
)
  For så vidt angår Det Forenede Kongerige forstås ved "små og mellemstore virksomheder" små virksomheder og mikrovirksomheder.
(
51
)
  For så vidt angår Det Forenede Kongerige forstås ved større reguleringsforanstaltninger væsentlige reguleringsforanstaltninger i overensstemmelse med definitionen af sådanne foranstaltninger i Det Forenede Kongeriges regler og procedurer.
(
52
)
  Det præciseres, at i forbindelse med gennemførelsen af denne aftale på Unionens område henviser forsigtighedstilgangen til forsigtighedsprincippet.
(
53
)
  Ved diskriminerende forstås i denne forbindelse, at en økonomisk aktør behandles mindre gunstigt end andre i lignende situationer, og at forskelsbehandlingen ikke er begrundet i objektive kriterier.
(
54
)
  Det præciseres, at denne standard er opfyldt, når de faktiske omstændigheder viser, at ydelsen af subsidier, der ikke er gjort retligt betinget af eksportresultater, reelt er knyttet til faktisk eller forventet eksport eller eksportindtægter. Den blotte kendsgerning, at der ydes subsidier til økonomiske aktører, der eksporterer, betyder ikke, at sådanne subsidier alene af denne grund skal betragtes som eksportsubsidier som omhandlet i denne bestemmelse.
(
55
)
  Landene med ordinære risici er Det Forenede Kongerige, EU-medlemsstaterne, Australien, Canada, Island, Japan, New Zealand, Norge, Schweiz og Amerikas Forenede Stater.
(
56
)
  Det præciseres, at dette ikke berører artikel 364, stk. 1 og 2.
(
57
)
  Det præciseres, at Det Forenede Kongeriges lovgivning i forbindelse med denne artikel ikke omfatter nogen lov [i] med virkning i medfør af § 2, stk. 1, i lov om De Europæiske Fællesskaber af 1972, som gemt ved § 1A i lov om Den Europæiske Union (udtræden) af 2018, eller [ii] vedtaget eller udstedt i henhold til eller til et formål, der er angivet i § 2, stk. 2, i lov om De Europæiske Fællesskaber af 1972.
(
58
)
  For Det Forenede Kongeriges vedkommende kræves det i henhold til denne artikel, at der indføres et nyt retsmiddel for tilbagesøgning, som skal kunne tages i anvendelse, når domstolsprøvelsen, som indledes inden for den fastsatte frist og forløber i overensstemmelse med standarden for prøvelse i henhold til national ret, er afsluttet; sådanne prøvelser udvides ikke på nogen anden måde, jf. artikel 372, stk. 3. Ingen modtager af subsidier vil kunne påberåbe sig princippet om berettiget forventning for at modsætte sig en sådan tilbagesøgning.
(
59
)
  Parterne noterer sig, at Det Forenede Kongerige har til hensigt at gennemføre en ny ordning for kontrol med subsidier efter denne aftales ikrafttræden.
(
60
)
  National cabotagesejlads til søs omfatter: For Unionen, uden at det berører de aktiviteter, der kan betragtes som "cabotage" under den relevante nationale lovgivning, dækker national cabotagesejlads til søs transport af passagerer eller varer mellem en havn eller et sted i en EU-medlemsstat og en anden havn eller et andet sted i samme EU-medlemsstat, herunder på landets kontinentalsokkel som defineret i De Forenede Nationers havretskonvention, og trafik, der starter og slutter i samme havn eller på samme sted i en EU-medlemsstat. For Det Forenede Kongerige transport af passagerer eller gods mellem en havn eller et sted i Det Forenede Kongerige og en anden havn eller et andet sted i Det Forenede Kongerige, herunder på landets kontinentalsokkel, som fastsat i De Forenede Nationers havretskonvention, og trafik, der starter og slutter i samme havn eller på samme sted i Det Forenede Kongerige.
(
61
)
  Det præciseres, at dette stykke ikke finder anvendelse med hensyn til køb og salg af en omfattet enheds aktier, værdipapirer eller andre former for ejerandelsbeviser med henblik på dens kapitalandel i en anden virksomhed.
(
62
)
  Det præciseres, at dette kapitel og artikel 411 ikke finder anvendelse på parternes lovgivning og standarder vedrørende social sikring og pensioner.
(
63
)
  Hver part bekræfter, at den har ret til at fastlægge prioriteter, politikker og tildeling af ressourcer til den effektive gennemførelse af ILO-konventioner og de relevante bestemmelser i den europæiske socialpagt på en måde, der er i overensstemmelse med partens internationale forpligtelser, herunder dens forpligtelser i henhold til dette kapitel. Europarådet, der blev oprettet i 1949, vedtog i 1961 den europæiske socialpagt, der blev revideret 1996. Alle medlemsstaterne har ratificeret den europæiske socialpagt i den oprindelige eller den reviderede udgave. For så vidt angår Det Forenede Kongerige vedrører henvisningen i stk. 5 den oprindelige udgave af den europæiske socialpagt fra 1961.
(
64
)
  Det præciseres, at i dette tilfælde kan parten ikke gøre brug af forudgående konsultationer i henhold til artikel 738.
(
65
)
  Sådanne foranstaltninger kan i givet fald omfatte tilbagetrækning eller tilpasning af udligningsforanstaltningerne.
(
66
)
  Suspension af forpligtelser i henhold til artikel 749 er kun tilgængelige, hvis udligningsforanstaltninger faktisk har fundet anvendelse.
(
67
)
  Undtagelserne vedrørende den offentlige sikkerhed og den offentlige orden må kun påberåbes, hvis der består en reel og tilstrækkeligt alvorlig trussel mod en grundlæggende samfundsinteresse.
(
68
)
  Det præciseres, at en sådan afgørelse ikke berører sjette del, afsnit I.
(
69
)
  Foranstaltninger, der har til formål at sikre en retfærdig eller effektiv pålæggelse eller opkrævning af direkte skatter, omfatter foranstaltninger, der træffes af en part i henhold til dens skattesystem, og som:
i)
anvendes på ikkebosiddende leverandører af tjenesteydelser i erkendelse af, at ikkebosiddendes skattepligt fastslås for så vidt angår skattepligtige genstande, der har oprindelse eller befinder sig på partens område, eller
ii)
finder anvendelse på ikkebosiddende for at sikre pålæggelse eller opkrævning af skatter på partens område eller
iii)
finder anvendelse på ikkebosiddende eller bosiddende for at forhindre skattesvig og -unddragelse, herunder fuldbyrdelsesforanstaltninger, eller
iv)
finder anvendelse på forbrugere af tjenesteydelser, der leveres i eller fra den anden parts eller en tredjeparts område, for at sikre pålæggelse eller opkrævning af skatter hos sådanne forbrugere fra kilder på partens område eller
v)
skelner mellem tjenesteleverandører, der er skattepligtige af globale skattegrundlag, og andre tjenesteleverandører i erkendelse af deres skattegrundlags forskellige karakter eller
vi)
fastslår, tildeler eller fordeler indkomst, fortjeneste, gevinst, tab, fradrag eller kredit for bosiddende personer eller filialer eller mellem forbundne personer eller filialer af samme person med henblik på at sikre partens skattegrundlag.
(
70
)
  Europa-Parlamentets og Rådets forordning (EF) nr. 1073/2009 af 21. oktober 2009 om fælles regler for adgang til det internationale marked for buskørsel og om ændring af forordning (EF) nr. 561/2006 (omarbejdning) (
EUT L 300 af 14.11.2009, s. 88
).
(
71
)
  Det præciseres, at udtrykket "foranstaltning" omfatter manglende handling.
(
72
)
  Dette omfatter ikke fysiske personer, der er bosiddende på det område, der er omhandlet i artikel 774, stk. 3.
(
73
)
  Definitionen af fysisk person fra en part omfatter også personer, som er fast bosiddende i Republikken Letland, og som ikke er statsborgere i Republikken Letland eller nogen anden stat, men som i henhold til Republikken Letlands love og forskrifter er berettiget til at få et pas for ikkestatsborgere.
(
74
)
  Det præciseres, at "GPA-aftalen" skal forstås som GPA-aftalen, som ændret ved protokollen om ændring af aftalen om offentlige udbud, udfærdiget den 30. marts 2012 i Genève.
(
75
)
  Europa-Parlamentets og Rådets forordning (EU) nr. 952/2013 af 9. oktober 2013 om EU-toldkodeksen (omarbejdning) (
EUT L 269 af 10.10.2013, s. 1
).
(
76
)
  Det præciseres, at for Unionen skal områder uden for hver parts territorialfarvand forstås som EU-medlemsstaternes respektive områder.
(
77
)
  Rådets afgørelse 2008/615/RIA af 23. juni 2008 om intensivering af det grænseoverskridende samarbejde, navnlig om bekæmpelse af terrorisme og grænseoverskridende kriminalitet (
EUT L 210 af 6.8.2008, s. 1
).
(
78
)
  Rådets afgørelse 2008/616/RIA af 23. juni 2008 om gennemførelse af afgørelse 2008/615/RIA om intensivering af det grænseoverskridende samarbejde, navnlig om bekæmpelse af terrorisme og grænseoverskridende kriminalitet (
EUT L 210 af 6.8.2008, s. 12
).
(
79
)
  Europa-Parlamentets og Rådets forordning (EU) 2016/794 af 11. maj 2016 om Den Europæiske Unions Agentur for Retshåndhævelsessamarbejde (Europol) og om erstatning og ophævelse af Rådets afgørelse 2009/371/RIA, 2009/934/RIA, 2009/935/RIA, 2009/936/RIA og 2009/968/RIA, (
EUT L 135 af 24.5.2016, s. 53
).
(
80
)
  Europa-Parlamentets og Rådets forordning (EU) 2018/1727 af 14. november 2018 om Den Europæiske Unions Agentur for Strafferetligt Samarbejde (Eurojust), og om erstatning og ophævelse af Rådets afgørelse 2002/187/RIA (
EUT L 295 af 21.11.2018, s. 138
).
(
81
)
  Rådets rammeafgørelse 2002/584/RIA af 13. juni 2002 om den europæiske arrestordre og om procedurerne for overgivelse mellem medlemsstaterne (
EFT L 190 af 18.7.2002, s. 1
).
(
82
)
  Europa-Parlamentets og Rådets direktiv (EU) 2016/680 af 27. april 2016 om beskyttelse af fysiske personer i forbindelse med kompetente myndigheders behandling af personoplysninger med henblik på at forebygge, efterforske, afsløre eller retsforfølge strafbare handlinger eller fuldbyrde strafferetlige sanktioner og om fri udveksling af sådanne oplysninger og om ophævelse af Rådets rammeafgørelse 2008/977/RIA (
EUT L 119 af 4.5.2016, s. 89
).
(
83
)
  2018, kapitel 12.
(
84
)
  Europa-Parlamentets og Rådets forordning (EU) 2016/679 af 27. april 2016 om beskyttelse af fysiske personer i forbindelse med behandling af personoplysninger og om fri udveksling af sådanne oplysninger og om ophævelse af direktiv 95/46/EF (generel forordning om databeskyttelse) (EØS-relevant tekst) (
EUT L 119 af 4.5.2016, s. 1
).
(
85
)
  Europa-Parlamentets og Rådets forordning (EU, Euratom) 2018/1046 af 18. juli 2018 om de finansielle regler vedrørende Unionens almindelige budget, om ændring af forordning (EU) nr. 1296/2013, (EU) nr. 1301/2013, (EU) nr. 1303/2013, (EU) nr. 1304/2013, (EU) nr. 1309/2013, (EU) nr. 1316/2013, (EU) nr. 223/2014, (EU) nr. 283/2014 og afgørelse nr. 541/2014/EU og om ophævelse af forordning (EU, Euratom) nr. 966/2012 (
EUT L 193 af 30.7.2018, s. 1
).
(
86
)
  Europa-Parlamentets og Rådets afgørelse nr. 541/2014/EU af 16. april 2014 om oprettelse af en støtteramme for overvågning og sporing i rummet (
EUT L 158 af 27.5.2014, s. 227
).
(
87
)
  Det præciseres, at stk. 2-9 finder anvendelse på forhandlinger mellem Unionen og et tredjeland om tiltrædelse af Unionen, der finder sted efter denne aftales ikrafttræden, uanset at en ansøgning om tiltrædelse er blevet indgivet inden denne aftales ikrafttræden.
(
88
)
  Som ændret ved Data Protection, Privacy and Electronic Communications (Amendments etc) (EU Exit) Regulations 2020 (SI 2020/1586).
BILAG 1
PARTNERSKABSRÅDETS OG UDVALGENES FORRETNINGSORDEN
Regel 1
Formand
1.   Unionen og Det Forenede Kongerige underretter hinanden om navn, stilling og kontaktoplysninger for deres respektive udpegede formænd. En formand anses for at have bemyndigelse til at repræsentere henholdsvis Unionen og Det Forenede Kongerige indtil den dato, hvor den anden part giver meddelelse om en ny formand.
2.   Formændenes afgørelser i henhold til denne forretningsorden træffes efter fælles overenskomst.
3.   En stedfortræder kan træde i stedet for en formand til en specifikt møde. Den pågældende formand eller dennes stedfortræder underretter så tidligt som muligt den anden formand og Partnerskabsrådets sekretariat om udpegelsen. Enhver henvisning i denne forretningsorden til formændene forstås således, at det omfatter en stedfortræder.
Regel 2
Sekretariat
Partnerskabsrådets sekretariat ("sekretariatet") består af en embedsmand fra Unionen og en embedsmand fra Det Forenede Kongeriges regering. Sekretariatet varetager de opgaver, det pålægges i henhold til denne forretningsorden.
Unionen og Det Forenede Kongerige underretter hinanden om navn, stilling og kontaktoplysninger for den embedsmand, der er medlem af Partnerskabsrådets sekretariat for henholdsvis Unionen og Det Forenede Kongerige. Denne embedsmand anses for fortsat at fungere som medlem af sekretariatet for Unionen eller Det Forenede Kongerige indtil den dato, hvor enten Unionen eller Det Forenede Kongerige har givet meddelelse om et nyt medlem.
Regel 3
Møder
1.   Sekretariatet indkalder til møderne i Partnerskabsrådet på en dato og et tidspunkt, som formændene aftaler. Hvis Unionen eller Det Forenede Kongerige har sendt en anmodning om et møde gennem sekretariatet, bestræber Partnerskabsrådet sig på at mødes senest 30 dage efter en sådan anmodning eller tidligere i de i denne aftale omhandlede tilfælde.
2.   Partnerskabsrådet afholder sine møder skiftevis i Bruxelles og London, medmindre formændene bestemmer andet.
3.   Uanset stk. 2 kan formændene aftale, at et møde i Partnerskabsrådet skal afholdes som video- eller telekonference.
Regel 4
Deltagelse i møder
1.   I rimelig tid forud for hvert møde underretter Unionen og Det Forenede Kongerige gennem sekretariatet hinanden om den planlagte sammensætning af deres respektive delegationer og angiver navn og stilling for hvert medlem af delegationen.
2.   Hvis det er relevant, kan formændene efter fælles aftale indbyde eksperter (dvs. ikkestatslige embedsmænd) til at deltage i Partnerskabsrådets møder og fremlægge oplysninger om specifikke emner; eksperterne deltager kun i de dele af mødet, hvor sådanne specifikke emner drøftes.
Regel 5
Dokumenter
Skriftlige dokumenter, der danner grundlag for Partnerskabsrådets drøftelser, nummereres og rundsendes af sekretariatet til Unionen og Det Forenede Kongerige.
Regel 6
Korrespondance
1.   Unionen og Det Forenede Kongerige sender deres korrespondance stilet til Partnerskabsrådet via sekretariatet. En sådan korrespondance kan fremsendes i enhver skriftlig form, herunder via elektronisk post.
2.   Sekretariatet sikrer, at korrespondance stilet til Partnerskabsrådet sendes til formændene og i givet fald rundsendes i overensstemmelse med regel 5.
3.   Al korrespondance fra eller stilet direkte til formændene videresendes til sekretariatet og rundsendes i givet fald i overensstemmelse med regel 5.
Regel 7
Dagsorden for møderne
1.   Sekretariatet udarbejder et udkast til foreløbig dagsorden for hvert møde. Det fremsendes sammen med de relevante dokumenter til formændene senest 10 dage inden datoen for mødet.
2.   Den foreløbige dagsorden skal indeholde de punkter, som Unionen eller Det Forenede Kongerige har anmodet om. Alle sådanne anmodninger fremsendes sammen med eventuelle relevante dokumenter til sekretariatet senest 15 dage inden mødets begyndelse.
3.   Formændene træffer senest 5 dage inden datoen for mødet beslutning om den foreløbige dagsorden for et møde.
4.   Dagsordenen vedtages af Partnerskabsrådet ved hvert mødes begyndelse. Efter anmodning fra Unionen eller Det Forenede Kongerige kan et andet punkt end dem, der er opført på den foreløbige dagsorden, optages på dagsordenen ved konsensus.
5.   Formændene kan ved fælles overenskomst afkorte eller forlænge de i stk. 1, 2 og 3 omhandlede tidsfrister for at tage hensyn til en bestemt sags særlige omstændigheder.
Regel 8
Referater
1.   Den embedsmand, der fungerer som medlem af sekretariatet for den part, der er vært for mødet, udarbejder et udkast til mødereferat senest 15 dage efter mødets afslutning, medmindre formændene træffer anden afgørelse. Udkastet til mødereferat sendes til den anden parts medlem af sekretariatet, som kan fremsætte bemærkninger hertil. Sidstnævnte kan fremsætte bemærkninger senest syv dage efter modtagelsen af udkastet til referat.
2.   Referatet indeholder som hovedregel en sammenfatning af hvert punkt på dagsordenen og i givet fald oplysninger om:
a)
de dokumenter, der er blevet forelagt for Partnerskabsrådet
b)
eventuelle erklæringer, som en af formændene har anmodet om at få optaget i referatet og
c)
de vedtagne afgørelser, fremsatte henstillinger, vedtagne erklæringer samt konklusioner, der er vedtaget om specifikke spørgsmål.
3.   Referatet indeholder som bilag en liste over deltagere, der for hver af delegationerne angiver navn og stilling for alle de personer, der deltog i mødet.
4.   Sekretariatet retter udkastet til mødereferat på grundlag af de modtagne bemærkninger, og det ændrede udkast godkendes af formændene senest 28 dage efter datoen for mødet eller på en anden dato, der aftales af formændene. Når referatet er godkendt, autentificeres de to eksemplarer af referatet med underskrift af sekretariatets medlemmer. Unionen og Det Forenede Kongerige modtager hver en af disse autentiske udgaver. Formændene kan aftale, at undertegnelse og udveksling af elektroniske kopier opfylder dette krav.
Regel 9
Afgørelser og henstillinger
1.   I perioden mellem møderne kan Partnerskabsrådet vedtage afgørelser eller henstillinger ved skriftlig procedure. Formanden forelægger teksten til et udkast til afgørelse eller henstilling skriftligt for den anden formand på Partnerskabsrådets arbejdssprog. Den anden part har en måned eller en længere frist, der er fastsat af den forslagsstillende part, til at give udtryk for sin tilslutning til udkastet til afgørelse eller henstilling. Hvis den anden part ikke giver udtryk for sin tilslutning, drøftes den foreslåede afgørelse eller henstilling og kan vedtages på Partnerskabsrådets næste møde. Udkast til afgørelser eller henstillinger anses for vedtaget, når den anden part giver udtryk for sin tilslutning, og optages i mødereferatet af Partnerskabsrådets næste møde i henhold til regel 8.
2.   Når Partnerskabsrådet vedtager afgørelser eller henstillinger, skal ordene "afgørelse" henholdsvis "henstilling" indgå i titlen på sådanne retsakter. Sekretariatet registrerer alle afgørelser og henstillinger med et løbenummer og en henvisning til datoen for vedtagelsen.
3.   Afgørelser vedtaget af Partnerskabsrådet skal indeholde datoen for deres ikrafttræden.
4.   Afgørelser og henstillinger vedtaget af Partnerskabsrådet udfærdiges i to eksemplarer på det autentiske sprog og undertegnes af formændene og sendes af sekretariatet til Unionen og Det Forenede Kongerige umiddelbart efter undertegnelsen. Formændene kan aftale, at undertegnelse og udveksling af elektroniske kopier opfylder dette undertegnelseskrav.
Regel 10
Gennemsigtighed
1.   Formændene kan aftale, at Partnerskabsrådet holder et offentligt møde.
2.   Hver part kan træffe beslutning om at offentliggøre Partnerskabsrådets afgørelser og henstillinger i deres respektive officielle tidende eller online.
3.   Hvis Unionen eller Det Forenede Kongerige forelægger oplysninger for Partnerskabsrådet, der i henhold til deres love og forskrifter er fortrolige eller beskyttede mod videregivelse, behandler den anden part de pågældende oplysninger som fortrolige.
4.   De foreløbige dagsordener for møderne offentliggøres forud for Partnerskabsrådets møde. Mødereferaterne offentliggøres efter deres godkendelse i henhold til regel 8.
5.   Offentliggørelse af de i stk. 2, 3 og 4 omhandlede dokumenter sker under overholdelse af begge parters gældende databeskyttelsesregler.
Regel 11
Sprog
1.   Partnerskabsrådets officielle sprog er Unionens og Det Forenede Kongeriges officielle sprog.
2.   Partnerskabsrådets arbejdssprog er engelsk. Medmindre formændene bestemmer andet, baserer Partnerskabsrådet sine forhandlinger på dokumenter, der er udarbejdet på engelsk.
3.   Partnerskabsrådet træffer afgørelse om ændring eller fortolkning af denne aftale på de sprog, som de autentiske udgaver af denne aftale er udfærdiget på. Alle andre afgørelser, der træffes af Partnerskabsrådet, herunder de afgørelser, der danner grundlag for den nuværende forretningsorden, vedtages på det i stk. 2 omhandlede arbejdssprog.
Regel 12
Udgifter
1.   Unionen og Det Forenede Kongerige afholder hver især de udgifter, der påløber som følge af deltagelse i Partnerskabsrådets møder.
2.   Udgifter i forbindelse med tilrettelæggelse af møder og reproduktion af dokumenter afholdes af den part, der er vært for mødet.
3.   Udgifter i forbindelse med tolkning til og fra Partnerskabsrådets arbejdssprog på møder afholdes af den part, der anmoder om tolkning.
4.   Hver part er ansvarlig for oversættelse af afgørelser og andre dokumenter til sit/sine officielle sprog, hvis det er påkrævet i henhold til regel 11, og afholder de dermed forbundne udgifter.
Regel 13
Udvalg
1.   Regel 1 til 12 finder tilsvarende anvendelse på udvalgene, jf. dog stk. 2.
2.   Udvalgene underretter Partnerskabsrådet om deres mødeplaner og dagsordener i tilstrækkelig god tid inden deres møder og aflægger rapport til Partnerskabsrådet om resultaterne og konklusionerne af disse møder.
BILAG 2
INDLEDENDE BEMÆRKNINGER TIL PRODUKTSPECIFIKKE OPRINDELSESREGLER
BEMÆRKNING 1
Almindelige principper
1.
I dette bilag fastsættes de almindelige bestemmelser for de gældende krav i bilag 3, jf. denne aftales artikel 39, stk. 1, litra c).
2.
I dette bilag og bilag 3 er kravene for et produkt med oprindelsesstatus i henhold til denne aftales artikel 39, stk. 1, litra c), en ændring i tariferingen, en produktionsproces, en maksimumsværdi eller -vægt af materialer uden oprindelsesstatus eller ethvert andet krav, der er angivet i dette bilag og bilag 3.
3.
En henvisning til vægt i en produktspecifik oprindelsesregel betyder nettovægt, som er vægten af et materiale eller produkt uden vægten af enhver emballage.
4.
Dette bilag og bilag 3 er baseret på det harmoniserede system som ændret den 1. januar 2017.
BEMÆRKNING 2
Strukturen af listen over produktspecifikke oprindelsesregler
1.
Bemærkninger om afsnit eller kapitler skal, hvor det er relevant, læses sammen med de produktspecifikke oprindelsesregler for det relevante afsnit eller kapitel eller den relevante position eller underposition.
2.
De enkelte produktspecifikke oprindelsesregler i kolonne 2 i bilag 3 finder anvendelse på det tilsvarende produkt, som er angivet i kolonne 1 i bilag 3.
3.
Hvis et produkt er underlagt alternative produktspecifikke oprindelsesregler, anses produktet for at have oprindelsesstatus i en part, hvis det opfylder et af alternativerne.
4.
Hvis et produkt er underlagt produktspecifikke oprindelsesregler, som omfatter flere krav, anses produktet kun for at have oprindelsesstatus i en part, hvis det opfylder alle kravene.
5.
I dette bilag og bilag 3 forstås ved:
a)
"afsnit": et afsnit i det harmoniserede system
b)
"kapitel": de første to cifre i tariferingsnummeret i det harmoniserede system
c)
"position": de første fire cifre i tariferingsnummeret i det harmoniserede system og
d)
"underposition": de første seks cifre i tariferingsnummeret i det harmoniserede system.
6.
I de produktspecifikke oprindelsesregler forstås ved:
"CC": produktion på basis af materialer uden oprindelsesstatus fra ethvert kapitel, bortset fra produktets; dette betyder, at ethvert materiale uden oprindelsesstatus, der anvendes i produktionen af produktet, skal tariferes under et andet kapitel (2-ciffer-niveau i det harmoniserede system) end det for det pågældende produkt (dvs. en ændring i kapitel)
"CTH": produktion på basis af materialer uden oprindelsesstatus fra enhver position, bortset fra produktets; dette betyder, at ethvert materiale uden oprindelsesstatus, der anvendes i produktionen af produktet, skal tariferes under en anden position (4-ciffer-niveau i det harmoniserede system) end den for det pågældende produkt (dvs. en ændring i positionen)
"CTSH": produktion på basis af materialer uden oprindelsesstatus fra enhver underposition, bortset fra produktets; dette betyder, at ethvert materiale uden oprindelsesstatus, der anvendes i produktionen af produktet, skal tariferes under en anden underposition (6-ciffer-niveau i det harmoniserede system) end den for det pågældende produkt (dvs. en ændring i underpositionen).
BEMÆRKNING 3
Anvendelse af de produktspecifikke oprindelsesregler
1.
Denne aftales artikel 39 vedrørende produkter, der har opnået oprindelsesstatus, og som bruges i produktionen af andre produkter, finder anvendelse, uanset om denne status er opnået i samme fabrik i en part, hvor disse produkter anvendes.
2.
Hvis en produktspecifik oprindelsesregel udelukker et bestemt materiale uden oprindelsesstatus og fastsætter, at værdien eller vægten af et bestemt materiale uden oprindelsesstatus ikke må overstige en bestemt tærskel, finder disse betingelser ikke anvendelse på materialer uden oprindelsesstatus, der er tariferet andetsteds i harmoniserede system.
Eksempel 1: Når reglen for bulldozere (underposition 8429.11) kræver "CTH, undtagen materialer uden oprindelsesstatus henhørende under position 84.31", er anvendelse af materialer uden oprindelsesstatus, der er tariferet andetsteds end 84.29 og 84.31, f.eks. skruer (HS-position 73.18), isolerede tråde og elektriske ledere (position 85.44) og forskellige elektroniske systemer (kapitel 85), ikke begrænset.
Eksempel 2: Når reglen for position 35.05 (dextrin og anden modificeret stivelse; lim på basis af stivelse osv.) kræver "CTH, undtagen materialer uden oprindelsesstatus henhørende under position 11.08", er anvendelse af materialer uden oprindelsesstatus, der er tariferet andetsteds end 11.08 (stivelse, inulin), f.eks. materialer henhørende under kapitel 10 (korn), ikke begrænset.
3.
Hvis et produkt i henhold til en produktspecifik oprindelsesregel skal være fremstillet af et bestemt materiale, betyder dette ikke, at andre materialer, der ikke opfylder kravet på grund af deres art, ikke kan anvendes.
BEMÆRKNING 4
Beregning af maksimumsværdien af materialer uden oprindelsesstatus
I de produktspecifikke oprindelsesregler forstås ved:
a)
"toldværdi": den værdi, der er fastsat i overensstemmelse med aftalen om anvendelsen af artikel VII i GATT 1994
b)
"EXW" eller "prisen ab fabrik":
i)
prisen, der betales eller skal betales for produktet til den producent, i hvis virksomhed den sidste bearbejdning eller forarbejdning har fundet sted, forudsat at prisen indbefatter værdien af alle anvendte materialer og alle andre omkostninger i tilknytning til produktionen af et produkt, minus alle interne afgifter, der tilbagebetales eller kan tilbagebetales, når det fremstillede produkt eksporteres, eller
ii)
hvis der ikke er nogen pris, der betales eller skal betales, eller hvis den faktiske pris ikke afspejler værdien af alle omkostninger i tilknytning til produktionen af varen, som faktisk er påløbet, værdien af alle de anvendte materialer og alle andre omkostninger i tilknytning til produktionen af varen i den eksporterede part:
A)
inkl. generalomkostninger, salgs- og administrationsomkostninger samt fortjeneste, som med rimelighed kan henføres til varen, og
B)
ekskl. omkostningerne til fragt, forsikring og alle andre omkostninger i forbindelse med transport af varen og interne afgifter for den eksporterende part, der tilbagebetales eller kan tilbagebetales, når den producerede vare eksporteres
iii)
med henblik på nr. i): Hvis den sidste produktion er blevet givet i underentreprise til en producent, henviser udtrykket "producent" i nr. i) til den person, der har ansat underentreprenøren
c)
"MaxNOM": maksimumsværdien af materialer uden oprindelsesstatus udtrykt i procent og beregnet efter følgende formel:
d)
"VNM": værdien af materialer uden oprindelsesstatus, der anvendes i produktionen af produktet, som er toldværdien på tidspunktet for importen, herunder fragt, forsikring, hvor det relevant, emballage og alle andre omkostninger i tilknytning til transport af materialerne til importhavnen i den part, hvor producenten af produktet befinder sig; når værdien af materialer uden oprindelsesstatus ikke er kendt og ikke kan opgøres, anvendes den første registrerede pris, der er betalt for materialer uden oprindelsesstatus i Unionen eller Det Forenede Kongerige; værdienJ af de materialer uden oprindelsesstatus, der anvendes til fremstillingen af produktet, kan beregnes på grundlag af den vægtede gennemsnitlige værdiformel eller andre lagerværdiansættelsesmetoder i henhold til regnskabsprincipper, som er almindeligt anerkendt af parten.
BEMÆRKNING 5
Definitioner af processer, der er omhandlet i afsnit V til VII i bilag 3
I de produktspecifikke oprindelsesregler forstås ved:
a)
"bioteknologisk behandling":
i)
biologisk eller bioteknologisk dyrkning (herunder cellekulturer), hybridisering eller genetisk modificering af mikroorganismer (bakterier, vira (herunder fager) osv.) eller menneske-, dyre- eller planteceller og
ii)
produktion, isolering eller rensning af cellulære eller intercellulære strukturer (såsom isolerede gener, genfragmenter eller plasmider) eller fermentering
b)
"ændring i partikelstørrelse": bevidst og kontrolleret modificering af partikelstørrelse for et produkt, bortset fra ved knusning eller presning, som frembringer et produkt med en defineret partikelstørrelse, en defineret partikelstørrelsesfordeling eller et defineret overfladeareal, som er relevant i forbindelse med det fremstillede produkt, og med andre fysiske eller kemiske egenskaber end råmaterialernes
c)
"kemisk reaktion": en proces (herunder biokemisk behandling), som resulterer i et molekyle med en ny struktur ved brydning af de intramolekylære bindinger og ved dannelse af nye intramolekylære bindinger eller ved at ændre den rumlige struktur for atomerne i et molekyle, bortset fra følgende, som ikke betragtes som kemiske reaktioner i henhold til denne definition:
i)
opløsning i vand eller andre opløsningsmidler
ii)
fjernelse af opløsningsmidler, herunder opløsningsmidlet vand, eller
iii)
tilsætning eller fjernelse af krystalvand
d)
"destillation":
i)
atmosfærisk destillation: en separationsproces, hvor jordolier i et destillationstårn konverteres til fraktioner efter deres kogepunkt, og dampen derefter kondenseres til forskellige flydende fraktioner; produkter, der fremstilles ved destillation af jordolie, kan bl.a. omfatte flydende gas, nafta, benzin, petroleum, diesel eller fyringsolie, brændselsolie og smøreolie, og
ii)
vakuumdestillation: destillation under et tryk, som er lavere end atmosfæretrykket, men ikke så lavt, at det ville blive kategoriseret som molekylær destillation; vakuumdestillation anvendes til destillering af højtkogende og varmefølsomme materialer såsom tunge destillater i jordolie til at frembringe let til tung vakuumgasolie og remanens
e)
"isomerseparation": isolation eller udskillelse af isomerer fra en blanding af isomerer
f)
"blanding og opblanding": bevidst og proportionelt kontrolleret blanding eller opblanding (herunder dispergering) af materialer, bortset fra tilsætning af fortyndere, udelukkende for at opfylde på forhånd fastsatte specifikationer, som resulterer i produktion af et produkt, der har fysiske eller kemiske egenskaber, der er relevante for produktets formål eller anvendelser og ikke er de samme som råmaterialernes
g)
"produktion af standardmaterialer" (herunder standardopløsninger): produktion af et præparat, der er egnet til analyse-, kalibrerings- eller referenceformål, hvis præcise renhedsgrader eller proportioner er attesteret af producenten, og
h)
"rensning": en proces, der resulterer i fjernelse af mindst 80 % af de eksisterende urenheder eller reduktion eller fjernelse af urenheder, som resulterer i, at varen er egnet til en eller flere af følgende anvendelser:
i)
stoffer af farmaceutisk, medicinsk, kosmetisk, dyremedicinsk eller fødevaremæssige kvalitet
ii)
kemiske produkter og reagenser til analytisk, diagnostisk eller laboratoriebrug
iii)
elementer og komponenter til brug i mikroelektronik
iv)
specialiserede optiske anvendelser
v)
bioteknologiske anvendelser, f.eks. cellekulturer, genetisk teknologi eller som katalysator
vi)
bærestof i en adskillelsesproces eller
vii)
gradering af cellekerner.
BEMÆRKNING 6
Definitioner af udtryk, der er anvendt i afsnit XI i bilag 3
I de produktspecifikke oprindelsesregler forstås ved:
a)
"korte kemofibre": syntetiske eller regenererede bånd (tow), korte fibre eller affald henhørende under position 55.01-55.07
b)
"naturlige fibre": alle andre fibre end syntetiske og regenererede fibre, hvis anvendelse er begrænset til stadiet, inden spinding foretages, herunder også affald, og omfatter, medmindre andet er angivet, fibre, der er kartede, kæmmede eller på anden måde beredt, men ikke spundet; "naturlige fibre" omfatter også hestehår henhørende under position 05.11, natursilke henhørende under position 50.02 og 50.03, uld og fine eller grove dyrehår henhørende under position 51.01-51.05, bomuldsfibre henhørende under position 52.01-52.03 og andre vegetabilske fibre henhørende under position 53.01-53.05
c)
"trykning": en teknik, hvor en objektivt vurderet funktion, såsom farve, design eller teknisk ydeevne, overføres til et tekstilsubstrat permanent ved hjælp af rastererings-, valsnings-, digitale eller overtrykningsteknikker, og
d)
"trykning (som selvstændig behandling)": en teknik, hvor en objektivt vurderet funktion, såsom farve, design eller teknisk ydeevne, overføres til at tekstilsubstrat permanent ved hjælp af rastererings-, valsnings-, digitale eller overtrykningsteknikker kombineret med mindst to indledende eller afsluttende behandlinger (såsom affedtning, blegning, mercerisering, varmefiksering, opruning, kalandering, krympefri behandling, krølfri behandling, dekatering, imprægnering, reparering og nopning, klipning, svidning, behandling med lufttumbler, behandling med spændramme, valkning, dampning og krympning og våddekatering), forudsat at værdien af alle anvendte materialer uden oprindelsesstatus ikke overstiger 50 % af produktets pris ab fabrik.
BEMÆRKNING 7
Tolerancer for produkter indeholdende to eller flere basistekstilmaterialer
1.
I denne bemærkning omfatter basistekstilmaterialer følgende:
a)
silke
b)
uld
c)
grove dyrehår
d)
fine dyrehår
e)
hestehår
f)
bomuld
g)
materialer til papirfremstilling og papir
h)
hør
i)
hamp
j)
jute og andre bastfibre
k)
sisal og andre agavefibre
l)
kokos, abaca, ramie og andre vegetabilske tekstilfibre
m)
endeløse syntetiske fibre
n)
endeløse regenererede fibre
o)
strømførende fibre
p)
korte syntetiske fibre af polypropylen
q)
korte syntetiske fibre af polyester
r)
korte syntetiske fibre af polyamid
s)
korte syntetiske fibre af polyacrylonitril
t)
korte syntetiske fibre af polyimid
u)
korte syntetiske fibre af polytetrafluorethylen
v)
korte syntetiske fibre af poly(phenylensulfid)
w)
korte syntetiske fibre af poly(vinylchlorid)
x)
andre korte syntetiske fibre
y)
korte regenererede fibre af viskose
z)
andre korte regenererede fibre
aa)
garn af polyurethan opdelt af fleksible polyethersegmenter, også overspundet
bb)
garn af polyurethan opdelt af fleksible polyestersegmenter, også overspundet
cc)
produkter henhørende under position 56.05 (metalliseret garn), hvori der indgår strimler bestående af en kerne af aluminiumsfolie eller en kerne af plastfolie, uanset om de er beklædt med aluminiumspulver, af bredde på 5 mm og derunder, der ved hjælp af et klæbemiddel er anbragt mellem to lag plastfolie
dd)
andre produkter henhørende under position 56.05
ee)
glasfibre og
ff)
metalfibre.
2.
Når der i bilag 3 henvises til denne bemærkning, finder kravene i kolonne 2 ikke anvendelse som tolerance på basistekstilmaterialer uden oprindelsesstatus, som anvendes i produktionen af et produkt, forudsat at:
a)
produktet indeholder to eller flere basistekstilmaterialer og
b)
den samlede vægt af basistekstilmaterialerne uden oprindelsesstatus ikke overstiger 10 % af den samlede vægt af alle anvendte basistekstilmaterialer.
Eksempel: For vævet stof henhørende under position 51.12, der indeholder uldgarn henhørende under position 51.07, garn af korte syntetiske fibre henhørende under position 55.09 og andre materialer end basistekstilmaterialer, kan uldgarn uden oprindelsesstatus, som ikke opfylder kravet i bilag 3, eller syntetisk garn uden oprindelsesstatus, som ikke opfylder kravet i bilag 3, eller en kombination heraf anvendes, hvis deres samlede vægt ikke overstiger 10 % af vægten af alle de anvendte basistekstilmaterialer.
3.
Uanset stk. 2, litra b), gælder, at for produkter, hvori der indgår "garn af polyurethan opdelt af fleksible polyethersegmenter, også overspundet", er maksimaltolerancen 20 %. Andelen af andre basistekstilmaterialer uden oprindelsesstatus må imidlertid ikke overstige 10 %.
4.
Uanset stk. 2, litra b), gælder, at for produkter, hvori der indgår "strimler bestående af en kerne af aluminiumsfolie eller en kerne af plastfolie, uanset om de er beklædt med aluminiumspulver, af bredde på 5 mm og derunder, der ved hjælp af et klæbemiddel er anbragt mellem to lag plastfolie", er maksimaltolerancen 30 %. Andelen af andre basistekstilmaterialer uden oprindelsesstatus må imidlertid ikke overstige 10 %.
BEMÆRKNING 8
Andre tolerancer for visse tekstilvarer
1.
Når der i bilag 3 henvises til denne bemærkning, kan tekstilmaterialer uden oprindelsesstatus (med undtagelse af for og mellemfor), som ikke opfylder kravene i kolonne 2 for den færdige tekstilvare, anvendes, forudsat at de er tariferet under en anden position end produktet, og at deres værdi ikke overstiger 8 % af produktets pris ab fabrik.
2.
Materialer uden oprindelsesstatus, der ikke tariferes under kapitel 50 til 63, kan anvendes frit til fremstilling af tekstilvarer tariferet under kapitel 50 til 63, uanset om de indeholder tekstilmaterialer.
Eksempel: Hedder det i et krav i bilag 3, at der skal anvendes garn til en bestemt tekstilgenstand som f.eks. bukser, forhindrer dette ikke, at der kan anvendes metalgenstande uden oprindelsesstatus som f.eks. knapper, da metalgenstande ikke tariferes under kapitel 50 til 63. Af samme årsag forhindrer det heller ikke, at der kan anvendes lynlåse uden oprindelsesstatus, selv om lynlåse i almindelighed indeholder tekstilmaterialer.
3.
Hvis et krav i bilag 3 omfatter en maksimalværdi af materialer uden oprindelsesstatus, skal der tages hensyn til værdien af materialerne uden oprindelsesstatus, som ikke er tariferet under kapitel 50 til 63, i beregningen af værdien af materialer uden oprindelsesstatus.
BEMÆRKNING 9
Landbrugsprodukter
Landbrugsprodukter henhørende under afsnit II i det harmoniserede system og position 24.01, som er dyrket eller høstet i en parts område, behandles som varer med oprindelse i denne parts område, også selv om de dyrkes af frø, løg, rodstokke, opskæringer, stiklinger, podekviste eller andre levende dele af planter, der er importeret fra et tredjeland.
BILAG 3
PRODUKTSPECIFIKKE OPRINDELSESREGLER
Kolonne 1
Tarifering i det harmoniserede system (2017), herunder specifik beskrivelse
Kolonne 2
Produktspecifik oprindelsesregel
AFSNIT I
LEVENDE DYR; ANIMALSKE PRODUKTER
Kapitel 1
Levende dyr
01.01-01.06
Alle dyr henhørende under kapitel 1 er fuldt ud fremstillet
Kapitel 2
Kød og spiselige slagtebiprodukter
02.01-02.10
Produktion, ved hvilken alle anvendte materialer henhørende under kapitel 1 og 2 er fuldt ud fremstillet
Kapitel 3
Fisk og krebsdyr, bløddyr og andre hvirvelløse vanddyr
03.01-03.08
Produktion, ved hvilken alle anvendte materialer henhørende under kapitel 3 er fuldt ud fremstillet
Kapitel 4
Mælk og mejeriprodukter; fugleæg; naturlig honning; spiselige produkter af animalsk oprindelse, ikke andetsteds tariferet
04.01-04.10
Produktion, ved hvilken:
—
alle anvendte materialer henhørende under kapitel 4 er fuldt ud fremstillet og
—
den samlede vægt af materialer uden oprindelsesstatus henhørende under position 17.01 og 17.02 ikke overstiger 20 % af vægten af produktet
Kapitel 5
Produkter af animalsk oprindelse, ikke andetsteds tariferet
05.01-05.11
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position
AFSNIT II
VEGETABILSKE PRODUKTER
Kapitel 6
Levende træer og andre levende planter; løg, rødder og lign.; afskårne blomster og blade
06.01-06.04
Produktion, ved hvilken alle anvendte materialer henhørende under kapitel 6 er fuldt ud fremstillet
Kapitel 7
Spiselige grøntsager samt visse rødder og rodknolde
07.01-07.14
Produktion, ved hvilken alle anvendte materialer henhørende under kapitel 7 er fuldt ud fremstillet
Kapitel 8
Spiselige frugter og nødder; skaller af citrusfrugter og meloner
08.01-08.14
Produktion, ved hvilken:
—
alle anvendte materialer henhørende under kapitel 8 er fuldt ud fremstillet og
—
den samlede vægt af materialer uden oprindelsesstatus henhørende under position 17.01 og 17.02 ikke overstiger 20 % af vægten af produktet
Kapitel 9
Kaffe, te, maté og krydderier
09.01-09.10
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position
Kapitel 10
Korn
10.01-10.08
Produktion, ved hvilken alle anvendte materialer henhørende under kapitel 10 er fuldt ud fremstillet
Kapitel 11
Mølleriprodukter; malt; stivelse; inulin hvedegluten
11.01-11.09
Produktion, ved hvilken alle materialer henhørende under kapitel 10 og 11, position 07.01, 07.14, 23.02 og 23.03 eller underposition 0710.10 er fuldt ud fremstillet
Kapitel 12
Olieholdige frø og frugter; diverse andre frø og frugter; planter til industriel og medicinsk brug; halm og foderplanter
12.01-12.14
CTH
Kapitel 13
Schellak og lign.; karbohydratgummier og naturharpikser samt andre plantesafter og planteekstrakter
13.01-13.02
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position, hvor den samlede vægt af materialer uden oprindelsesstatus henhørende under position 17.01 og 17.02 ikke overstiger 20 % af vægten af produktet
Kapitel 14
Vegetabilske flettematerialer; vegetabilske produkter, ikke andetsteds tariferet
14.01-14.04
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position
AFSNIT III
ANIMALSKE OG VEGETABILSKE FEDTSTOFFER OG OLIER SAMT DERES SPALTNINGSPRODUKTER; TILBEREDT SPISEFEDT; ANIMALSK OG VEGETABILSK VOKS
Kapitel 15
Animalske og vegetabilske fedtstoffer og olier samt deres spaltningsprodukter; tilberedt spisefedt; animalsk og vegetabilsk voks
15.01-15.04
CTH
15.05-15.06
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position
15.07-15.08
CTSH
15.09-15.10
Produktion, ved hvilken alle anvendte vegetabilske materialer er fuldt ud fremstillet
15.11-15.15
CTSH
15.16-15.17
CTH
15.18-15.19
CTSH
15.20
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position
15.21-15.22
CTSH
AFSNIT IV
PRODUKTER FRA FØDEVAREINDUSTRIEN; DRIKKEVARER, ETHANOL (ETHYLALKOHOL) OG EDDIKE; TOBAK OG FABRIKEREDE TOBAKSERSTATNINGER
Kapitel 16
Tilberedte produkter af kød, fisk, krebsdyr, bløddyr eller andre hvirvelløse vanddyr
1601.00-1604.18
Produktion, ved hvilken alle anvendte materialer henhørende under kapitel 1, 2, 3 og 16 er fuldt ud fremstillet
 (
1
)
1604.19
CC
1604.20
—
Tilberedninger af surimi:
CC
—
Andet:
Produktion, ved hvilken alle anvendte materialer henhørende under kapitel 3 og 16 er fuldt ud fremstillet
 (
2
)
1604.31-1605.69
Produktion, ved hvilken alle anvendte materialer henhørende under kapitel 3 og 16 er fuldt ud fremstillet
Kapitel 17
Sukker og sukkervarer
17.01
CTH
17.02
CTH, forudsat at den samlede vægt af materialer uden oprindelsesstatus henhørende under position 11.01 til 11.08, 17.01 og 17.03 ikke overstiger 20 % af vægten af produktet
17.03
CTH
17.04
—
Hvid chokolade:
CTH, forudsat at:
a)
alle anvendte materialer henhørende under kapitel 4 er fuldt ud fremstillet og
b)
i)
den samlede vægt af materialer uden oprindelsesstatus henhørende under position 17.01 og 17.02 ikke overstiger 40 % af vægten af produktet, eller
ii)
vægten af materialer uden oprindelsesstatus henhørende under position 17.01 og 17.02 ikke overstiger 30 % af produktets pris ab fabrik
—
Andet:
CTH, forudsat at:
—
alle anvendte materialer henhørende under kapitel 4 er fuldt ud fremstillet og
—
den samlede vægt af materialer uden oprindelsesstatus henhørende under position 17.01 og 17.02 ikke overstiger 40 % af vægten af produktet
Kapitel 18
Kakao og tilberedte varer deraf
18.01-18.05
CTH
1806.10
CTH, forudsat at:
—
alle anvendte materialer henhørende under kapitel 4 er fuldt ud fremstillet og
—
den samlede vægt af materialer uden oprindelsesstatus henhørende under position 17.01 og 17.02 ikke overstiger 40 % af vægten af produktet
1806.20-1806.90
CTH, forudsat at:
a)
alle anvendte materialer henhørende under kapitel 4 er fuldt ud fremstillet og
b)
i)
den samlede vægt af materialer uden oprindelsesstatus henhørende under position 17.01 og 17.02 ikke overstiger 40 % af vægten af produktet, eller
ii)
vægten af materialer uden oprindelsesstatus henhørende under position 17.01 og 17.02 ikke overstiger 30 % af produktets pris ab fabrik
Kapitel 19
Tilberedte varer af korn, mel, stivelse eller mælk; bagværk
19.01-19.05
CTH, forudsat at:
—
alle anvendte materialer henhørende under kapitel 4 er fuldt ud fremstillet
—
den samlede vægt af materialer uden oprindelsesstatus henhørende under kapitel 2, 3 og 16 ikke overstiger 20 % af vægten af produktet
—
den samlede vægt af materialer uden oprindelsesstatus henhørende under position 10.06 og 11.08 ikke overstiger 20 % af vægten af produktet, og
—
den samlede vægt af materialer uden oprindelsesstatus henhørende under position 17.01 og 17.02 ikke overstiger 40 % af vægten af produktet
Kapitel 20
Varer af grøntsager, frugter, nødder eller andre planter og plantedele
20.01
CTH
20.02-20.03
Produktion, ved hvilken alle anvendte materialer henhørende under kapitel 7 er fuldt ud fremstillet
20.04-20.09
CTH, forudsat at den samlede vægt af materialer uden oprindelsesstatus henhørende under position 17.01 og 17.02 ikke overstiger 40 % af vægten af produktet
Kapitel 21
Diverse produkter fra fødevaremiddelindustrien
21.01-21.02
CTH, forudsat at:
—
alle anvendte materialer henhørende under kapitel 4 er fuldt ud fremstillet og
—
den samlede vægt af materialer uden oprindelsesstatus henhørende under position 17.01 og 17.02 ikke overstiger 20 % af vægten af produktet
2103.10
2103.20
2103.90
CTH, sennepsmel uden oprindelsesstatus og tilberedt sennep kan dog anvendes
2103.30
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position
21.04-21.06
CTH, forudsat at:
—
alle anvendte materialer henhørende under kapitel 4 er fuldt ud fremstillet og
—
den samlede vægt af materialer uden oprindelsesstatus henhørende under position 17.01 og 17.02 ikke overstiger 20 % af vægten af produktet
Kapitel 22
Drikkevarer, ethanol (ethylalkohol) og eddike
22.01-22.06
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 22.07 og 22.08, forudsat at:
—
alle anvendte materialer henhørende under underposition 0806.10, 2009.61 og 2009.69 er fuldt ud fremstillet
—
alle anvendte materialer henhørende under kapitel 4 er fuldt ud fremstillet og
—
den samlede vægt af materialer uden oprindelsesstatus henhørende under position 17.01 og 17.02 ikke overstiger 20 % af vægten af produktet
22.07
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 22.08, forudsat at alle anvendte materialer henhørende under kapitel 10, underposition 0806.10, 2009.61 og 2009.69 er fuldt ud fremstillet
22.08-22.09
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 22.07 og 22.08, forudsat at alle anvendte materialer henhørende under underposition 0806.10, 2009.61 og 2009.69 er fuldt ud fremstillet
Kapitel 23
Rest- og affaldsprodukter fra fødevareindustrien; tilberedt dyrefoder
23.01
CTH
2302.10-2303.10
CTH, forudsat at den samlede vægt af materialer uden oprindelsesstatus henhørende under kapitel 10 ikke overstiger 20 % af vægten af produktet
2303.20-2308.00
CTH
23.09
CTH, forudsat at:
—
alle anvendte materialer henhørende under kapitel 2 og 4 er fuldt ud fremstillet
—
den samlede vægt af materialer uden oprindelsesstatus henhørende under position 10.01 til 10.04, 10.07 til 10.08, kapitel 11 og position 23.02 og 23.03 ikke overstiger 20 % af vægten af produktet og
—
den samlede vægt af materialer uden oprindelsesstatus henhørende under position 17.01 og 17.02 ikke overstiger 20 % af vægten af produktet
Kapitel 24
Tobak og fabrikerede tobakserstatninger
24.01
Fremstilling, ved hvilken alle anvendte materialer henhørende under position 24.01 er fuldt ud fremstillet
2402.10
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position, forudsat den samlede vægt af de anvendte materialer uden oprindelsesstatus henhørende under position 24.01 ikke overstiger 30 % af vægten af de anvendte materialer i kapitel 24
2402.20
Fremstilling på basis af alle materialer uden oprindelsesstatus, undtagen materialer henhørende under samme position som produktet og undtagen røgtobak henhørende under underposition 2403.19, ved hvilken mindst 10 % af vægten af alle anvendte materialer henhørende under position 24.01 er fuldt ud fremstillet
2402.90
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position, forudsat den samlede vægt af de anvendte materialer uden oprindelsesstatus henhørende under position 24.01 ikke overstiger 30 % af vægten af de anvendte materialer i kapitel 24
24.03
CTH, ved hvilken mindst 10 % af vægten af alle anvendte materialer henhørende under position 24.01 er fuldt ud fremstillet
AFSNIT V
MINERALSKE PRODUKTER
Bestemmelse til afsnittet: Bemærkning 5 i bilag 2 indeholder definitioner af horisontale regler for behandling i dette afsnit
Kapitel 25
Salt; svovl; jord- og stenarter; gips, kalk og cement
25.01-25.30
CTH
eller
MaxNOM 70 % (EXW)
Kapitel 26
Malme, slagger og aske
26.01-26.21
CTH
Kapitel 27
Mineralske brændselsstoffer, mineralolier og destillationsprodukter deraf; bituminøse stoffer; mineralsk voks
27.01-27.09
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position
27.10
CTH, undtagen biodiesel uden oprindelsesstatus henhørende under underposition 3824.99 eller 3826.00
eller
Er blevet underkastet destillation eller en kemisk reaktion, forudsat at den anvendte biodiesel (også hydrogenbehandlet vegetabilsk olie) henhørende under position 27.10 og underposition 3824.99 og 3826.00 er fremstillet ved esterificering, transesterificering eller hydrogenbehandling
27.11-27.15
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position
AFSNIT VI
PRODUKTER FRA KEMISKE OG NÆRSTÅENDE INDUSTRIER
Bestemmelse til afsnittet: Bemærkning 5 i bilag 2 indeholder definitioner af horisontale regler for behandling i dette afsnit
Kapitel 28
Uorganiske kemikalier; uorganiske eller organiske forbindelser af ædle metaller, af sjældne jordarters metaller, af radioaktive grundstoffer og af isotoper
28.01-28.53
CTSH
Er blevet underkastet en kemisk reaktion, rensning, blanding og opblanding, produktion af standardmaterialer, en ændring af partikelstørrelsen, isomer separation eller bioteknologisk behandling
eller
MaxNOM 50 % (EXW)
Kapitel 29
Organiske kemikalier
2901.10-2905.42
CTSH
Er blevet underkastet en kemisk reaktion, rensning, blanding og opblanding, produktion af standardmaterialer, en ændring af partikelstørrelsen, isomer separation eller bioteknologisk behandling
eller
MaxNOM 50 % (EXW)
2905.43-2905.44
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 17.02 og underposition 3824.60
2905.45
CTSG, materialer uden oprindelsesstatus, der henhører under samme position som produktet, må dog anvendes, forudsat at deres samlede værdi ikke overstiger 20 % af produktets pris ab fabrik,
eller
MaxNOM 50 % (EXW)
2905.49-2942
CTSH
Er blevet underkastet en kemisk reaktion, rensning, blanding og opblanding, produktion af standardmaterialer, en ændring af partikelstørrelsen, isomer separation eller bioteknologisk behandling
eller
MaxNOM 50 % (EXW)
Kapitel 30
Farmaceutiske produkter
30.01-30.06
CTSH
Er blevet underkastet en kemisk reaktion, rensning, blanding og opblanding, produktion af standardmaterialer, en ændring af partikelstørrelsen, isomer separation eller bioteknologisk behandling
eller
MaxNOM 50 % (EXW)
Kapitel 31
Gødningsstoffer
31.01-31.04
CTH, materialer uden oprindelsesstatus, der henhører under samme position som produktet, må dog anvendes, forudsat at deres samlede værdi ikke overstiger 20 % af produktets pris ab fabrik,
eller
MaxNOM 40 % (EXW)
31.05
—
Natriumnitrat
—
Calciumcyanamid
—
Kaliumsulfat
—
Kaliummagnesium-sulfat
CTH, materialer uden oprindelsesstatus, der henhører under samme position som produktet, må dog anvendes, forudsat at deres samlede værdi ikke overstiger 20 % af produktets pris ab fabrik,
eller
MaxNOM 40 % (EXW)
- Andre varer:
CTH, materialer uden oprindelsesstatus, der henhører under samme position som produktet, må dog anvendes, forudsat at deres samlede værdi ikke overstiger 20 % af produktets pris ab fabrik, og ved hvilken værdien af alle anvendte materialer uden oprindelsesstatus ikke overstiger 50 % af produktets pris ab fabrik,
eller
MaxNOM 40 % (EXW)
Kapitel 32
Garve- og farvestofekstrakter; garvesyrer og derivater deraf; farver, pigmenter og andre farvestoffer; maling og lakker; kit, spartelmasse og lign.; trykfarver, blæk og tusch
32.01-32.15
CTSH
Er blevet underkastet en kemisk reaktion, rensning, blanding og opblanding, produktion af standardmaterialer, en ændring af partikelstørrelsen, isomer separation eller bioteknologisk behandling
eller
MaxNOM 50 % (EXW)
Kapitel 33
Flygtige vegetabilske olier og resinoider; parfumevarer, kosmetik og toiletmidler
33.01
CTSH
Er blevet underkastet en kemisk reaktion, rensning, blanding og opblanding, produktion af standardmaterialer, en ændring af partikelstørrelsen, isomer separation eller bioteknologisk behandling
eller
MaxNOM 50 % (EXW)
3302.10
CTH, materialer uden oprindelsesstatus, der henhører under underposition 3302.10, må dog anvendes, forudsat at deres samlede værdi ikke overstiger 20 % af produktets pris ab fabrik
3302.90
CTSH
Er blevet underkastet en kemisk reaktion, rensning, blanding og opblanding, produktion af standardmaterialer, en ændring af partikelstørrelsen, isomer separation eller bioteknologisk behandling
eller
MaxNOM 50 % (EXW)
33.03
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position
33.04 -33.07
CTSH
Er blevet underkastet en kemisk reaktion, rensning, blanding og opblanding, produktion af standardmaterialer, en ændring af partikelstørrelsen, isomer separation eller bioteknologisk behandling
eller
MaxNOM 50 % (EXW)
Kapitel 34
Sæbe, organiske overfladeaktive stoffer samt vaske- og rengøringsmidler, smøremidler, syntetisk voks og tilberedt voks, pudse- og skuremidler, lys og lignende produkter, modellermasse, dentalvoks og andre dentalpræparater på basis af gips
34.01-34.07
CTSH
Er blevet underkastet en kemisk reaktion, rensning, blanding og opblanding, produktion af standardmaterialer, en ændring af partikelstørrelsen, isomer separation eller bioteknologisk behandling
eller
MaxNOM 50 % (EXW)
Kapitel 35
Proteiner; modificeret stivelse; lim og klister; enzymer
35.01-35.04
CTH, undtagen materialer uden oprindelsesstatus henhørende under kapitel 4
35.05
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 11.08
35.06-35.07
CTSH
Er blevet underkastet en kemisk reaktion, rensning, blanding og opblanding, produktion af standardmaterialer, en ændring af partikelstørrelsen, isomer separation eller bioteknologisk behandling
eller
MaxNOM 50 % (EXW)
Kapitel 36
Krudt og andre eksplosive stoffer; pyrotekniske artikler; tændstikker; pyrofore legeringer; visse brændbare materialer
36.01-36.06
CTSH
Er blevet underkastet en kemisk reaktion, rensning, blanding og opblanding, produktion af standardmaterialer, en ændring af partikelstørrelsen, isomer separation eller bioteknologisk behandling
eller
MaxNOM 50 % (EXW)
Kapitel 37
Fotografiske og kinematografiske artikler
37.01-37.07
CTSH
Er blevet underkastet en kemisk reaktion, rensning, blanding og opblanding, produktion af standardmaterialer, en ændring af partikelstørrelsen, isomer separation eller bioteknologisk behandling
eller
MaxNOM 50 % (EXW)
Kapitel 38
Diverse kemiske produkter
38.01-38.08
CTSH
Er blevet underkastet en kemisk reaktion, rensning, blanding og opblanding, produktion af standardmaterialer, en ændring af partikelstørrelsen, isomer separation eller bioteknologisk behandling
eller
MaxNOM 50 % (EXW)
3809.10
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 11.08 og 35.05
3809.91-3822.00
CTSH
Er blevet underkastet en kemisk reaktion, rensning, blanding og opblanding, produktion af standardmaterialer, en ændring af partikelstørrelsen, isomer separation eller bioteknologisk behandling
eller
MaxNOM 50 % (EXW)
38.23
Produktion på basis af materiale uden oprindelsesstatus henhørende under enhver position
3824.10-3824.50
CTSH
Er blevet underkastet en kemisk reaktion, rensning, blanding og opblanding, produktion af standardmaterialer, en ændring af partikelstørrelsen, isomer separation eller bioteknologisk behandling
eller
MaxNOM 50 % (EXW)
3824.60
CTH, undtagen materialer uden oprindelsesstatus henhørende under underposition 2905.43 og 2905.44
3824.71-3825.90
CTSH
Er blevet underkastet en kemisk reaktion, rensning, blanding og opblanding, produktion af standardmaterialer, en ændring af partikelstørrelsen, isomer separation eller bioteknologisk behandling
eller
MaxNOM 50 % (EXW)
38.26
Produktion, ved hvilken biodiesel fremstilles ved transesterificering, esterificering eller hydrogenbehandling
AFSNIT VII
PLAST OG VARER DERAF; GUMMI OG VARER DERAF
Bestemmelse til afsnittet: Bemærkning 5 i bilag 2 indeholder definitioner af horisontale regler for behandling i dette afsnit
Kapitel 39
Plast og varer deraf
39.01-39.15
CTSH
Er blevet underkastet en kemisk reaktion, rensning, blanding og opblanding, produktion af standardmaterialer, en ændring af partikelstørrelsen, isomer separation eller bioteknologisk behandling
eller
MaxNOM 50 % (EXW)
39.16-39.19
CTH
eller
MaxNOM 50 % (EXW)
39.20
CTSH
eller
MaxNOM 50 % (EXW)
39.21-39.22
CTH
eller
MaxNOM 50 % (EXW)
3923.10-3923.50
CTSH
eller
MaxNOM 50 % (EXW)
3923.90-3925.90
CTH
eller
MaxNOM 50 % (EXW)
39.26
CTSH
eller
MaxNOM 50 % (EXW)
Kapitel 40
Gummi og varer deraf
40.01-40.11
CTH
eller
MaxNOM 50 % (EXW)
4012.11-4012.19
CTSH
eller
Regummiering af brugte dæk
4012.20-4017.00
CTH
eller
MaxNOM 50 % (EXW)
AFSNIT VIII
HUDER, SKIND, LÆDER, PELSSKIND OG VARER DERAF; SADELMAGERVARER; REJSEARTIKLER, HÅNDTASKER OG LIGNENDE VARER; VARER AF TARME (UNDTAGEN FISHGUT)
Kapitel 41
Rå huder og skind (undtagen pelsskind) samt læder
41.01-4104.19
CTH
4104.41-4104.49
CTSH, undtagen materialer uden oprindelsesstatus henhørende under underposition 4104.41 til 4104.49
4105.10
CTH
4105.30
CTSH
4106.21
CTH
4106.22
CTSH
4106.31
CTH
4106.32-4106.40
CTSH
4106.91
CTH
4106.92
CTSH
41.07-41.13
CTH, undtagen materialer uden oprindelsesstatus henhørende under underposition 4104.41, 4104.49, 4105.30, 4106.22, 4106.32 og 4106.92. Materialer uden oprindelsesstatus henhørende under underposition 4104.41, 4104.49, 4105.30, 4106.22, 4106.32 eller 4106.92 kan dog anvendes, forudsat at der foretages en eftergarvning
4114.10
CTH
4114.20
CTH, undtagen materialer uden oprindelsesstatus henhørende under underposition 4104.41, 4104.49, 4105.30, 4106.22, 4106.32, 4106.92 og 4107. Materialer uden oprindelsesstatus henhørende under underposition 4104.41, 4104.49, 4105.30, 4106.22, 4106.32, 4106.92 og position 41.07 kan dog anvendes, forudsat at der foretages en eftergarvning
41.15
CTH
Kapitel 42
Varer af læder; sadelmagervarer; rejseartikler, håndtasker og lignende varer; varer af tarme (undtagen fishgut)
42.01-42.06
CTH
eller
MaxNOM 50 % (EXW)
Kapitel 43
Pelsskind og kunstigt pelsskind; samt varer deraf
4301.10-4302.20
CTH
eller
MaxNOM 50 % (EXW)
4302.30
CTSH
43.03-43.04
CTH
eller
MaxNOM 50 % (EXW)
AFSNIT IX
TRÆ OG VARER DERAF; TRÆKUL; KORK OG VARER DERAF; KURVEMAGERARBEJDER OG ANDRE VARER AF FLETTEMATERIALER
Kapitel 44
Træ og varer deraf; trækul
44.01-44.21
CTH
eller
MaxNOM 50 % (EXW)
Kapitel 45
Kork og varer deraf
45.01-45.04
CTH
eller
MaxNOM 50 % (EXW)
Kapitel 46
Kurvemagerarbejder og andre varer af flettematerialer
46.01-46.02
CTH
eller
MaxNOM 50 % (EXW)
AFSNIT X
PAPIRMASSE AF TRÆ ELLER ANDRE CELLULOSEHOLDIGE MATERIALER; GENBRUGSPAPIR OG -PAP (AFFALD); PAPIR OG PAP SAMT VARER DERAF
Kapitel 47
Papirmasse af træ eller andre celluloseholdige materialer; genbrugspapir og -pap (affald)
47.01-47.07
CTH
eller
MaxNOM 50 % (EXW)
Kapitel 48
Papir og pap; varer af papirmasse, papir og pap
48.01-48.23
CTH
eller
MaxNOM 50 % (EXW)
Kapitel 49
Bøger, aviser, billeder og andre
tryksager; håndskrevne eller maskinskrevne arbejder samt tegninger
49.01-49.11
CTH
eller
MaxNOM 50 % (EXW)
AFSNIT XI
TEKSTILVARER
Bestemmelse til afsnittet: Bemærkning 6, 7 og 8 i bilag 2 indeholder definitioner af de udtryk, der er anvendt for tolerancer, som gælder for visse produkter fremstillet af tekstilmaterialer
Kapitel 50
Natursilke
50.01-50.02
CTH
50.03
—
Kartet eller kæmmet:
Kartning eller kæmning af affald af natursilke
—
Andet:
CTH
50.04-50.05
Spinding af naturlige fibre
Ekstrudering af endeløse kemofibre kombineret med spinding
Ekstrudering af endeløse kemofibre kombineret med snoning
eller
Snoning kombineret med en mekanisk proces
50.06
—
Garn af natursilke eller affald af natursilke:
Spinding af naturlige fibre
Ekstrudering af endeløse kemofibre kombineret med spinding
Ekstrudering af endeløse kemofibre kombineret med snoning
eller
Snoning kombineret med en mekanisk proces
—
Fishgut:
CTH
50.07
Spinding af naturlige fibre eller korte kemofibre kombineret med vævning
Ekstrudering af garn af endeløse kemofibre kombineret med vævning
Snoning eller enhver mekanisk proces kombineret med vævning
Vævning kombineret med farvning
Garnfarvning kombineret med vævning
Vævning kombineret med trykning
eller
Trykning (som selvstændig behandling)
Kapitel 51
Uld samt fine eller grove dyrehår; garn og vævet stof af hestehår
51.01-51.05
CTH
51.06-51.10
Spinding af naturlige fibre
Ekstrudering af kemofibre kombineret med spinding
eller
Snoning kombineret med en mekanisk proces
51.11-51.13
Spinding af naturlige fibre eller korte kemofibre kombineret med vævning
Ekstrudering af garn af endeløse kemofibre kombineret med vævning
Vævning kombineret med farvning
Garnfarvning kombineret med vævning
Vævning kombineret med trykning
eller
Trykning (som selvstændig behandling)
Kapitel 52
Bomuld
52.01-52.03
CTH
52.04-52.07
Spinding af naturlige fibre
Ekstrudering af kemofibre kombineret med spinding
eller
Snoning kombineret med en mekanisk proces
52.08-52.12
Spinding af naturlige fibre eller korte kemofibre kombineret med vævning
Ekstrudering af garn af endeløse kemofibre kombineret med vævning
Snoning eller enhver mekanisk proces kombineret med vævning
Vævning kombineret med farvning eller med overtrækning eller laminering
Garnfarvning kombineret med vævning
Vævning kombineret med trykning
eller
Trykning (som selvstændig behandling)
Kapitel 53
Andre vegetabilske tekstilfibre; papirgarn og vævet stof af papirgarn
53.01-53.05
CTH
53.06-53.08
Spinding af naturlige fibre
Ekstrudering af kemofibre kombineret med spinding
eller
Snoning kombineret med en mekanisk proces
53.09-53.11
Spinding af naturlige fibre eller korte kemofibre kombineret med vævning
Ekstrudering af garn af endeløse kemofibre kombineret med vævning
Vævning kombineret med farvning eller med overtrækning eller laminering
Garnfarvning kombineret med vævning
Vævning kombineret med trykning
eller
Trykning (som selvstændig behandling)
Kapitel 54
Endeløse kemofibre; strimler og lignende af endeløse kemofibre
54.01-54.06
Spinding af naturlige fibre
Ekstrudering af kemofibre kombineret med spinding
eller
Snoning kombineret med en mekanisk proces
54.07-54.08
Spinding af naturlige fibre eller korte kemofibre kombineret med vævning
Ekstrudering af garn af endeløse kemofibre kombineret med vævning
Garnfarvning kombineret med vævning
Vævning kombineret med farvning eller med overtrækning eller laminering
Snoning eller enhver mekanisk proces kombineret med vævning
Vævning kombineret med trykning
eller
Trykning (som selvstændig behandling)
Kapitel 55
Korte kemofibre
55.01-55.07
Ekstrudering af kemofibre
55.08-55.11
Spinding af naturlige fibre
Ekstrudering af kemofibre kombineret med spinding
eller
Snoning kombineret med en mekanisk proces
55.12-55.16
Spinding af naturlige fibre eller korte kemofibre kombineret med vævning
Ekstrudering af garn af endeløse kemofibre kombineret med vævning
Snoning eller enhver mekanisk proces kombineret med vævning
Vævning kombineret med farvning eller med overtrækning eller laminering
Garnfarvning kombineret med vævning
Vævning kombineret med trykning
eller
Trykning (som selvstændig behandling)
Kapitel 56
Vat, filt og fiberdug; særligt garn; sejlgarn, reb og tovværk samt varer deraf
56.01
Spinding eller binding af naturlige fibre
Ekstrudering af kemofibre kombineret med spinding eller binding
Velourisering kombineret med farvning eller trykning
eller
Overtrækning, velourisering, laminering eller metalisering kombineret med mindst to andre vigtige forberedende eller afsluttende behandlinger (såsom kalandering, krympefri behandling, varmefiksering, krølfri behandling), forudsat at værdien af de anvendte materialer uden oprindelsesstatus ikke overstiger 50 % af produktets pris ab fabrik
56.02
—
Nålefilt:
Ekstrudering af kemofibre kombineret med fremstilling af stof; dog kan:
—
endeløse fibre af polypropylen uden oprindelsesstatus henhørende under position 54.02
—
korte fibre af polypropylen uden oprindelsesstatus henhørende under position 55.03 eller 55.06 eller
—
bånd (tow) af filamenter af polypropylen uden oprindelsesstatus henhørende under position 55.01
anvendes, forudsat at de enkelte fibres finhed er mindre end 9 decitex, og såfremt deres samlede værdi ikke overstiger 40 % af produktets pris ab fabrik,
eller
Fremstilling af fiberdug alene i tilfælde af filt, der er fremstillet på basis af naturlige fibre
—
Andet:
Ekstrudering af kemofibre kombineret med fremstilling af stof
eller
Fremstilling af fiberdug alene i tilfælde af anden filt, der er fremstillet på basis af naturlige fibre
5603.11-5603.14
Produktion på basis af
—
retningsbestemte eller tilfældigt orienterede endeløse fibre eller
—
naturlige eller syntetiske stoffer eller polymerer
i begge tilfælde efterfulgt af binding til fiberdug
5603.91-5603.94
Produktion på basis af
—
retningsbestemte eller tilfældigt orienterede korte fibre eller
—
naturlige eller syntetiske afhuggede garntråde
i begge tilfælde efterfulgt af binding til fiberdug
5604.10
Produktion på basis af tråde og snore af gummi, uden tekstilovertræk
5604.90
Spinding af naturlige fibre
Ekstrudering af kemofibre kombineret med spinding
eller
Snoning kombineret med en mekanisk proces
56.05
Spinding af naturlige fibre eller korte kemofibre
Ekstrudering af kemofibre kombineret med spinding
eller
Snoning kombineret med en mekanisk proces
56.06
Ekstrudering af kemofibre kombineret med spinding
Snoning kombineret med overspinding
Spinding af naturlige fibre eller korte kemofibre
eller
Velourisering kombineret med farvning
56.07-56.09
Spinding af naturlige fibre
eller
Ekstrudering af kemofibre kombineret med spinding
Kapitel 57
Gulvtæpper og anden gulvbelægning af tekstilmaterialer
Bestemmelse til kapitlet: For produkter henhørende under dette kapitel kan vævet stof af jute uden oprindelsesstatus anvendes som bundstof
57.01-57.05
Spinding af naturlige fibre eller korte kemofibre kombineret med vævning eller med tuftning
Ekstrudering af garn af endeløse kemofibre kombineret med vævning eller tuftning
Produktion på basis af kokosgarn, sisalgarn eller jutegarn eller klassisk ringspundet viskosegarn
Tuftning kombineret med farvning eller trykning
Tuftning eller vævning af garn af endeløse kemofibre kombineret med overtrækning eller laminering
Velourisering kombineret med farvning eller trykning
eller
Ekstrudering af kemofibre kombineret med ikkevævningsteknikker, som omfatter gennemstikning
Kapitel 58
Særlige vævede stoffer; tuftet tekstilstof; blonder og kniplinger; tapisserier; possementartikler; broderier
58.01-58.04
Spinding af naturlige fibre eller korte kemofibre kombineret med vævning eller med tuftning
Ekstrudering af garn af endeløse kemofibre kombineret med vævning eller tuftning
Vævning kombineret med farvning eller med velourisering eller med overtrækning eller laminering eller med metalisering
Tuftning kombineret med farvning eller trykning
Velourisering kombineret med farvning eller trykning
Garnfarvning kombineret med vævning
Vævning kombineret med trykning
eller
Trykning (som selvstændig behandling)
58.05
CTH
58.06-58.09
Spinding af naturlige fibre eller korte kemofibre kombineret med vævning eller med tuftning
Ekstrudering af garn af endeløse kemofibre kombineret med vævning eller tuftning
Vævning kombineret med farvning eller med velourisering eller med overtrækning eller laminering eller med metalisering
Tuftning kombineret med farvning eller trykning
Velourisering kombineret med farvning eller trykning
Garnfarvning kombineret med vævning
Vævning kombineret med trykning
eller
Trykning (som selvstændig behandling)
58.10
Broderivarer, hvor værdien af de anvendte materialer uden oprindelsesstatus fra enhver position, bortset fra produktets, ikke overstiger 50 % af produktets pris ab fabrik
58.11
Spinding af naturlige fibre eller korte kemofibre kombineret med vævning eller med tuftning
Ekstrudering af garn af endeløse kemofibre kombineret med vævning eller tuftning
Vævning kombineret med farvning eller med velourisering eller med overtrækning eller laminering eller med metalisering;
Tuftning kombineret med farvning eller trykning
Velourisering kombineret med farvning eller trykning
Garnfarvning kombineret med vævning
Vævning kombineret med trykning
eller
Trykning (som selvstændig behandling)
Kapitel 59
Imprægneret, overtrukket, belagt eller lamineret tekstilstof; tekniske varer af tekstil
59.01
Vævning kombineret med farvning eller med velourisering eller med overtrækning eller laminering eller med metalisering
eller
Velourisering kombineret med farvning eller trykning
59.02
—
Med et indhold af højst 90 vægtprocent tekstilmaterialer:
Vævning
—
Andet:
Ekstrudering af kemofibre kombineret med vævning
59.03
Vævning, strikning eller hækling kombineret med imprægnering eller med overtrækning eller med belægning eller med laminering eller med metalisering
Vævning kombineret med trykning eller
Trykning (som selvstændig behandling)
59.04
Kalandering kombineret med farvning, overtrækning, laminering eller metalisering. Vævet stof af jute uden oprindelsesstatus kan anvendes som bundstof
eller
Vævning kombineret med farvning eller med overtrækning eller med laminering eller med metalisering. Vævet stof af jute uden oprindelsesstatus kan anvendes som bundstof
59.05
—
Imprægneret, overtrukket, belagt eller lamineret med gummi, plast eller andre materialer:
Vævning, strikning eller fremstilling af fiberdug kombineret med imprægnering eller med overtrækning eller med belægning eller med laminering eller med metalisering
—
Andet:
Spinding af naturlige fibre eller korte kemofibre kombineret med vævning
Ekstrudering af garn af endeløse kemofibre kombineret med vævning
Vævning, strikning eller fremstilling af fiberdug kombineret med farvning eller med overtrækning eller laminering
Vævning kombineret med trykning
eller
Trykning (som selvstændig behandling)
59.06
—
Trikotagestof:
Spinding af naturlige fibre eller korte kemofibre kombineret med strikning eller med hækling
Ekstrudering af garn af endeløse kemofibre kombineret med strikning eller hækling
Strikning eller hækling kombineret med gummiering eller
Gummiering kombineret med mindst to andre vigtige forberedende eller afsluttende behandlinger (såsom kalandering, krympefri behandling, varmefiksering, krølfri behandling), forudsat at værdien af de anvendte materialer uden oprindelsesstatus ikke overstiger 50 % af produktets pris ab fabrik
—
Andet stof fremstillet af garn af kemofibre med indhold af tekstilmaterialer på over 90 vægtprocent:
Ekstrudering af kemofibre kombineret med vævning
—
Andet:
Vævning, strikning eller fremstilling af fiberdug kombineret med farvning eller med overtrækning eller med gummiering
Garnfarvning kombineret med vævning; strikning eller fremstilling af fiberdug
eller
Gummiering kombineret med mindst to andre vigtige forberedende eller afsluttende behandlinger (såsom kalandering, krympefri behandling, varmefiksering, krølfri behandling), forudsat at værdien af de anvendte materialer uden oprindelsesstatus ikke overstiger 50 % af produktets pris ab fabrik
59.07
Vævning, strikning eller fremstilling af fiberdug kombineret med farvning eller med trykning eller med overtrækning eller med imprægnering eller med belægning
Velourisering kombineret med farvning eller trykning
eller
Trykning (som selvstændig behandling)
59.08
—
Glødenet og glødestrømper, imprægnerede:
Produktion på basis af trikotagestof til glødestrømper i rørformede stykker
—
Andet:
CTH
59.09-59.11
Spinding af naturlige fibre eller korte kemofibre kombineret med vævning
Ekstrudering af kemofibre kombineret med vævning
Vævning kombineret med farvning eller med overtrækning eller laminering
eller
Overtrækning, velourisering, laminering eller metalisering kombineret med mindst to andre vigtige forberedende eller afsluttende behandlinger (såsom kalandering, krympefri behandling, varmefiksering, krølfri behandling), forudsat at værdien af de anvendte materialer uden oprindelsesstatus ikke overstiger 50 % af produktets pris ab fabrik
Kapitel 60
Trikotagestoffer
60.01-60.06
Spinding af naturlige fibre eller korte kemofibre kombineret med strikning eller med hækling
Ekstrudering af garn af endeløse kemofibre kombineret med strikning eller hækling
Strikning eller hækling kombineret med farvning eller med velourisering eller med overtrækning eller laminering eller med trykning
Velourisering kombineret med farvning eller trykning
Garnfarvning kombineret med strikning eller med hækling eller
Snoning eller teksturering kombineret med strikning eller med hækling, forudsat at værdien af anvendt ikkesnoet/ikketekstureret garn uden oprindelsesstatus ikke overstiger 50 % af produktets pris ab fabrik
Kapitel 61
Beklædningsgenstande og tilbehør til beklædningsgenstande, af trikotage
61.01-61.17
—
Fremstillet ved sammensyning eller anden samling af to eller flere stykker af trikotagestof, der enten er skåret i form eller formtilvirket:
Strikning eller hækling kombineret med konfektionering, herunder tilskæring af stof
—
Andet:
Spinding af naturlige fibre eller korte kemofibre kombineret med strikning eller med hækling
Ekstrudering af garn af endeløse kemofibre kombineret med strikning eller hækling eller
Strikning og konfektionering i én behandling
Kapitel 62
Beklædningsgenstande og tilbehør til beklædningsgenstande, undtagen varer af trikotage
62.01
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Konfektionering, herunder tilskæring af stof foretaget efter trykning (som selvstændig behandling)
62.02
—
Broderivarer:
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Produktion på basis af ikkebroderet stof, forudsat at værdien af det anvendte ikkebroderede stof uden oprindelsesstatus ikke overstiger 40 % af produktets pris ab fabrik
—
Andet:
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Konfektionering, herunder tilskæring af stof foretaget efter trykning (som selvstændig behandling)
62.03
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Konfektionering, herunder tilskæring af stof foretaget efter trykning (som selvstændig behandling)
62.04
—
Broderivarer:
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Produktion på basis af ikkebroderet stof, forudsat at værdien af det anvendte ikkebroderede stof uden oprindelsesstatus ikke overstiger 40 % af produktets pris ab fabrik
—
Andet:
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Konfektionering, herunder tilskæring af stof foretaget efter trykning (som selvstændig behandling)
62.05
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Konfektionering, herunder tilskæring af stof foretaget efter trykning (som selvstændig behandling)
62.06
—
Broderivarer:
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Produktion på basis af ikkebroderet stof, forudsat at værdien af det anvendte ikkebroderede stof uden oprindelsesstatus ikke overstiger 40 % af produktets pris ab fabrik
—
Andet:
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Konfektionering, herunder tilskæring af stof foretaget efter trykning (som selvstændig behandling)
62.07-62.08
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Konfektionering, herunder tilskæring af stof foretaget efter trykning (som selvstændig behandling)
62.09
—
Broderivarer:
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Produktion på basis af ikkebroderet stof, forudsat at værdien af det anvendte ikkebroderede stof uden oprindelsesstatus ikke overstiger 40 % af produktets pris ab fabrik
—
Andet:
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Konfektionering, herunder tilskæring af stof foretaget efter trykning (som selvstændig behandling)
62.10
—
Brandsikkert udstyr af vævet stof overtrukket med et lag aluminiumbehandlet polyester:
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Overtrækning eller laminering kombineret med konfektionering, herunder tilskæring af stof, forudsat at værdien af det anvendte ikkeovertrukne eller ikkelaminerede stof uden oprindelsesstatus ikke overstiger 40 % af produktets pris ab fabrik
—
Andet:
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Konfektionering, herunder tilskæring af stof foretaget efter trykning (som selvstændig behandling)
62.11
—
Broderede beklædningsgenstande til kvinder eller piger:
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Produktion på basis af ikkebroderet stof, forudsat at værdien af det anvendte ikkebroderede stof uden oprindelsesstatus ikke overstiger 40 % af produktets pris ab fabrik
—
Andet:
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Konfektionering, herunder tilskæring af stof foretaget efter trykning (som selvstændig behandling)
62.12
—
Trikotagestof fremstillet ved sammensyning eller anden samling af to eller flere stykker af trikotagestof, der enten er skåret i form eller formtilvirket:
Strikning kombineret med konfektion, herunder tilskæring af stof
eller
Konfektionering, herunder tilskæring af stof foretaget efter trykning (som selvstændig behandling)
—
Andet:
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Konfektionering, herunder tilskæring af stof foretaget efter trykning (som selvstændig behandling)
62.13-62.14
—
Broderivarer:
Vævning kombineret med konfektionering, herunder tilskæring af stof
Produktion på basis af ikkebroderet stof, forudsat at værdien af det anvendte ikkebroderede stof uden oprindelsesstatus ikke overstiger 40 % af produktets pris ab fabrik
eller
Konfektionering, herunder tilskæring af stof foretaget efter trykning (som selvstændig behandling)
—
Andet:
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Konfektionering, herunder tilskæring af stof foretaget efter trykning (som selvstændig behandling)
62.15
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Konfektionering, herunder tilskæring af stof foretaget efter trykning (som selvstændig behandling)
62.16
—
Brandsikkert udstyr af vævet stof overtrukket med et lag aluminiumbehandlet polyester:
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Overtrækning eller laminering kombineret med konfektionering, herunder tilskæring af stof, forudsat at værdien af det anvendte ikkeovertrukne eller ikkelaminerede stof uden oprindelsesstatus ikke overstiger 40 % af produktets pris ab fabrik
—
Andet:
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Konfektionering, herunder tilskæring af stof foretaget efter trykning (som selvstændig behandling)
62.17
—
Broderivarer:
Vævning kombineret med konfektionering, herunder tilskæring af stof
Produktion på basis af ikkebroderet stof, forudsat at værdien af det anvendte ikkebroderede stof uden oprindelsesstatus ikke overstiger 40 % af produktets pris ab fabrik
eller
Konfektionering, herunder tilskæring af stof foretaget efter trykning (som selvstændig behandling)
—
Brandsikkert udstyr af vævet stof overtrukket med et lag aluminiumbehandlet polyester:
Vævning kombineret med konfektionering, herunder tilskæring af stof
eller
Overtrækning eller laminering kombineret med konfektionering, herunder tilskæring af stof, forudsat at værdien af det anvendte ikkeovertrukne eller ikkelaminerede stof uden oprindelsesstatus ikke overstiger 40 % af produktets pris ab fabrik
—
For til kraver og manchetter, tilskårne:
CTH, forudsat at værdien af alle de anvendte materialer uden oprindelsesstatus ikke overstiger 40 % af produktets pris ab fabrik
—
Andet:
Vævning kombineret med konfektionering, herunder tilskæring af stof.
Kapitel 63
Andre konfektionerede tekstilvarer; sæt; brugte beklædningsgenstande og brugte tekstilvarer; klude
63.01-63.04
—
Af filt, ikkevævede stoffer:
Fremstilling af fiberdug kombineret med konfektionering, herunder tilskæring af stof
—
Andet:
—
Broderivarer:
Vævning eller strikning eller hækling kombineret med konfektionering, herunder tilskæring af stof
eller
Produktion på basis af ikkebroderet stof (bortset fra strikket eller hæklet), forudsat at værdien af det anvendte ikkebroderede stof uden oprindelsesstatus ikke overstiger 40 % af produktets pris ab fabrik
--
Andet:
Vævning, strikning eller hækling kombineret med konfektionering, herunder tilskæring af stof
63.05
Ekstrudering af kemofibre eller spinding af naturlige fibre eller korte kemofibre kombineret med vævning eller med strikning og konfektion, herunder tilskæring af stof
63.06
—
Af ikkevævede stoffer
Fremstilling af fiberdug kombineret med konfektionering, herunder tilskæring af stof
—
Andet:
Vævning kombineret med konfektionering, herunder tilskæring af stof
63.07
MaxNOM 40 % (EXW)
63.08
Hver artikel i sættet skal opfylde den regel, der gælder for den, såfremt den ikke indgik i sættet. Dog må der medtages artikler uden oprindelsesstatus, forudsat at deres samlede værdi ikke overstiger 15 % af sættets pris ab fabrik
63.09-63.10
CTH
AFSNIT XII
FODTØJ, HOVEDBEKLÆDNING, PARAPLYER, PARASOLLER, SPADSERESTOKKE, SIDDESTOKKE, PISKE, RIDEPISKE SAMT DELE DERTIL; BEARBEJDEDE FJER OG DUN SAMT VARER AF FJER OG DUN; KUNSTIGE BLOMSTER; VARER AF MENNESKEHÅR
Kapitel 64
Fodtøj, gamacher og lign.; dele dertil
64.01-64.05
Fremstilling på basis af materialer uden oprindelsesstatus henhørende under enhver position, undtagen samlede dele uden oprindelsesstatus, bestående af overdel fastgjort til bindsål eller andre underdele henhørende under position 64.06
64.06
CTH
Kapitel 65
Hovedbeklædning og dele dertil
65.01-65.07
CTH
Kapitel 66
Paraplyer, parasoller, spadserestokke, siddestokke, piske, ridepiske samt dele dertil
66.01-66.03
CTH
eller
MaxNOM 50 % (EXW)
Kapitel 67
Bearbejdede fjer og dun samt varer af fjer og dun; kunstige blomster; varer af menneskehår
67.01-67.04
CTH
AFSNIT XIII
VARER AF STEN, GIPS, CEMENT, ASBEST, GLIMMER OG LIGNENDE MATERIALER; KERAMISKE PRODUKTER; GLAS OG GLASVARER
Kapitel 68
Varer af sten, gips, cement, asbest, glimmer og lignende materialer
68.01-68.15
CTH
eller
MaxNOM 70 % (EXW)
Kapitel 69
Keramiske produkter
69.01-69.14
CTH
Kapitel 70
Glas og glasvarer
70.01-70.09
CTH
eller
MaxNOM 50 % (EXW)
70.10
CTH
70.11
CTH
eller
MaxNOM 50 % (EXW)
70.13
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 70.10
70.14-70.20
CTH
eller
MaxNOM 50 % (EXW)
AFSNIT XIV
NATURPERLER, KULTURPERLER, ÆDEL- OG HALVÆDELSTEN, ÆDLE METALLER, ÆDELMETALDUBLÉ SAMT VARER AF DISSE MATERIALER; BIJOUTERIVARER; MØNTER
Kapitel 71
Naturperler, kulturperler, ædel- og halvædelsten, ædle metaller, ædelmetaldublé samt varer af disse materialer; bijouterivarer; mønter
71.01-71.05
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position
71.06
—
Ubearbejdede:
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 71.06, 71.08 og 71.10
Adskillelse ved elektrolyse, varmebehandling eller kemisk behandling af ædle metaller uden oprindelsesstatus henhørende under position 71.06, 71.08 eller 71.10
eller
Fusion eller legering af ædle metaller uden oprindelsesstatus henhørende under position 71.06, 71.08 eller 71.10, indbyrdes eller med uædle metaller eller rensning
—
I form af halvfabrikata eller som pulver:
Fremstilling på basis af ubearbejdede ædle metaller uden oprindelsesstatus
71.07
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position
71.08
—
Ubearbejdede:
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 71.06, 71.08 og 71.10
Adskillelse ved elektrolyse, varmebehandling eller kemisk behandling af ædle metaller uden oprindelsesstatus henhørende under position 71.06, 71.08 eller 71.10
eller
Fusion eller legering af ædle metaller uden oprindelsesstatus henhørende under position 71.06, 71.08 eller 71.10, indbyrdes eller med uædle metaller eller rensning
—
I form af halvfabrikata eller som pulver:
Fremstilling på basis af ubearbejdede ædle metaller uden oprindelsesstatus
71.09
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position
71.10
—
Ubearbejdede:
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 71.06, 71.08 og 71.10
Adskillelse ved elektrolyse, varmebehandling eller kemisk behandling af ædle metaller uden oprindelsesstatus henhørende under position 71.06, 71.08 eller 71.10
eller
Fusion eller legering af ædle metaller uden oprindelsesstatus henhørende under position 71.06, 71.08 eller 71.10, indbyrdes eller med uædle metaller eller rensning
—
I form af halvfabrikata eller som pulver:
Fremstilling på basis af ubearbejdede ædle metaller uden oprindelsesstatus
71.11
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position
71.12-71.18
CTH
AFSNIT XV
UÆDLE METALLER OG VARER DERAF
Kapitel 72
Jern og stål
72.01-72.06
CTH
72.07
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 72.06
72.08-72.17
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 72.08 til 72.17
72.18
CTH
72.19-72.23
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 72.19 til 72.23
72.24
CTH
72.25-72.29
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 72.25 til 72.29
Kapitel 73
Varer af jern og stål
7301.10
CC, undtagen materialer uden oprindelsesstatus henhørende under position 72.08 til 72.17
7301.20
CTH
73.02
CC, undtagen materialer uden oprindelsesstatus henhørende under position 72.08 til 72.17
73.03
CTH
73.04-73.06
CC, undtagen materialer uden oprindelsesstatus henhørende under position 72.13 til 72.17, 72.21 til 72.23 og 72.25 til 72.29
73.07
—
Rørfittings af rustfrit stål:
CTH, undtagen smedede emner uden oprindelsesstatus. Dog må smedede emner uden oprindelsesstatus anvendes, forudsat at deres værdi ikke overstiger 50 % af produktets pris ab fabrik
—
Andet:
CTH
73.08
CTH, undtagen materialer uden oprindelsesstatus henhørende under underposition 7301.20
7309.00-7315.19
CTH
7315.20
CTH
eller
MaxNOM 50 % (EXW)
7315.81-7326.90
CTH
Kapitel 74
Kobber og varer deraf
74.01-74.02
CTH
74.03
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position
74.04-74.07
CTH
74.08
CTH og MaxNOM 50 % (EXW)
74.09-74.19
CTH
Kapitel 75
Nikkel og varer deraf
75.01
CTH
75.02
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position
75.03-75.08
CTH
Kapitel 76
Aluminium og varer deraf
76.01
CTH og MaxNOM 50 % (EXW)
eller
Varmebehandling eller elektrolyse på basis af ulegeret aluminium eller affald og skrot af aluminium
76.02
CTH
76.03-76.16
CTH og MaxNOM 50 % (EXW)
 (
3
)
Kapitel 78
Bly og varer deraf
7801.10
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position
7801.91-7806.00
CTH
Kapitel 79
Zink og varer deraf
79.01-79.07
CTH
Kapitel 80
Tin og varer deraf
80.01-80.07
CTH
Kapitel 81
Andre uædle metaller; sintrede keramiske metaller (cermets); varer af disse materialer
81.01-81.13
Produktion på basis af materialer uden oprindelsesstatus henhørende under enhver position
Kapitel 82
Værktøj, redskaber, knive, skeer og gafler, af uædle metaller; samt dele dertil, af uædle metaller
8201.10-8205.70
CTH
eller
MaxNOM 50 % (EXW)
8205.90
CTH, dog kan værktøj uden oprindelsesstatus henhørende under position 82.05 indgå i sættet, forudsat at deres samlede værdi ikke overstiger 15 % af sættets pris ab fabrik
82.06
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 82.02 til 82.05. Dog kan værktøj uden oprindelsesstatus henhørende under position 82.02 til 82.05 indgå i sættet, forudsat at deres samlede værdi ikke overstiger 15 % af sættets pris ab fabrik
82.07-82.15
CTH
eller
MaxNOM 50 % (EXW)
Kapitel 83
Diverse varer af uædle metaller
83.01-83.11
CTH
eller
MaxNOM 50 % (EXW)
AFSNIT XVI
MASKINER OG APPARATER SAMT MEKANISKE REDSKABER; ELEKTRISK MATERIEL; DELE DERTIL; LYDOPTAGERE OG LYDGENGIVERE SAMT BILLED- OG LYDOPTAGERE OG BILLED- OG LYDGENGIVERE TIL FJERNSYN; DELE OG TILBEHØR DERTIL
Kapitel 84
Kedler; maskiner og apparater samt mekaniske redskaber; dele dertil
84.01-84.06
CTH
eller
MaxNOM 50 % (EXW)
84.07-84.08
MaxNOM 50 % (EXW)
84.09-84.12
CTH
eller
MaxNOM 50 % (EXW)
8413.11-8415.10
CTSH
eller
MaxNOM 50 % (EXW)
8415.20
CTH
eller
MaxNOM 50 % (EXW)
8415.81-8415.90
CTSH
eller
MaxNOM 50 % (EXW)
84.16-84.20
CTH
eller
MaxNOM 50 % (EXW)
84.21
CTSH
eller
MaxNOM 50 % (EXW)
84.22-84.24
CTH
eller
MaxNOM 50 % (EXW)
84.25-84.30
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 84.31
eller
MaxNOM 50 % (EXW)
84.31-84.43
CTH
eller
MaxNOM 50 % (EXW)
84.44-84.47
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 84.48
eller
MaxNOM 50 % (EXW)
84.48-84.55
CTH
eller
MaxNOM 50 % (EXW)
84.56-84.65
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 84.66
eller
MaxNOM 50 % (EXW)
84.66-84.68
CTH
eller
MaxNOM 50 % (EXW)
84.70-84.72
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 84.73
eller
MaxNOM 50 % (EXW)
84.73-84.78
CTH
eller
MaxNOM 50 % (EXW)
8479.10-8479.40
CTSH
eller
MaxNOM 50 % (EXW)
8479.50
CTH
eller
MaxNOM 50 % (EXW)
8479.60-8479.82
CTSH
eller
MaxNOM 50 % (EXW)
8479.89
CTH
eller
MaxNOM 50 % (EXW)
8479.90
CTSH
eller
MaxNOM 50 % (EXW)
84.80
CTH
eller
MaxNOM 50 % (EXW)
84.81
CTSH
eller
MaxNOM 50 % (EXW)
84.82-84.87
CTH
eller
MaxNOM 50 % (EXW)
Kapitel 85
Elektriske maskiner og apparater, elektrisk materiel samt dele dertil; lydoptagere og lydgengivere samt billed- og lydoptagere og billed- og lydgengivere til fjernsyn samt dele og tilbehør dertil
85.01-85.02
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 85.03
eller
MaxNOM 50 % (EXW)
85.03-85.06
CTH
eller
MaxNOM 50 % (EXW)
85.07
—
Akkumulatorer indeholdende en eller flere battericeller og kredsløb til indbyrdes sammenkobling af battericellerne,
ofte betegnet "batterienheder", af den art, der anvendes som elektrisk hovedenergikilde til fremdrift af køretøjer henhørende under position 87.02, 87.03 og 87.04
CTH, undtagen aktive katodematerialer uden oprindelsesstatus
eller
MaxNOM 30 % (EXW)
 (
4
)
—
Battericeller, batterimoduler og dele dertil bestemt til at indgå i en elektrisk akkumulator af den art, der anvendes som elektrisk hovedenergikilde til fremdrift af køretøjer henhørende under position 87.02, 87.03 og 87.04
CTH, undtagen aktive katodematerialer uden oprindelsesstatus
eller
MaxNOM 35 % (EXW)
 (
5
)
—
Andet:
CTH
eller
MaxNOM 50 % (EXW)
85.08-85.18
CTH
eller
MaxNOM 50 % (EXW)
85.19-85.21
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 85.22
eller
MaxNOM 50 % (EXW)
85.22-85.23
CTH
eller
MaxNOM 50 % (EXW)
85.25-85.27
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 85.29
eller
MaxNOM 50 % (EXW)
85.28-85.34
CTH
eller
MaxNOM 50 % (EXW)
85.35-85.37
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 85.38
eller
MaxNOM 50 % (EXW)
8538.10-8541.90
CTH
eller
MaxNOM 50 % (EXW)
8542.31-8542.39
CTH
Materialer uden oprindelsesstatus diffunderes
eller
MaxNOM 50 % (EXW)
8542.90-8543.90
CTH
eller
MaxNOM 50 % (EXW)
85.44-85.48
MaxNOM 50 % (EXW)
AFSNIT XVII
KØRETØJER, LUFTFARTØJER, FARTØJER OG TILHØRENDE TRANSPORTUDSTYR
Kapitel 86
Lokomotiver, vogne og andet materiel til jernbaner og sporveje samt dele dertil; stationært jernbane- og sporvejsmateriel samt dele dertil; mekanisk (herunder elektromekanisk) trafikreguleringsudstyr af enhver art
86.01-86.09
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 86.07
eller
MaxNOM 50 % (EXW)
Kapitel 87
Køretøjer (undtagen til jernbaner og sporveje) samt dele og tilbehør dertil
87.01
MaxNOM 45 % (EXW)
87.02-87.04
—
Motorkøretøjer med både forbrændingsmotor med stempel og elektrisk motor som motorer til fremdrift, og som kan oplades ved tilslutning til en ekstern elektrisk energikilde ("pluginhybridbil")
—
Køretøjer med kun elektrisk motor til fremdrift
MaxNOM 45 % (EXW) og batterienheder henhørende under position 85.07 af den art, der anvendes som elektrisk hovedenergikilde til fremdrift af køretøjet, skal have oprindelsesstatus
 (
6
)
—
Andet:
MaxNOM 45 % (EXW)
 (
7
)
87.05-87.07
MaxNOM 45 % (EXW)
87.08-87.11
CTH
eller
MaxNOM 50 % (EXW)
87.12
MaxNOM 45 % (EXW)
87.13-87.16
CTH
eller
MaxNOM 50 % (EXW)
Kapitel 88
Luft- og rumfartøjer samt dele dertil
88.01-88.05
CTH
eller
MaxNOM 50 % (EXW)
Kapitel 89
Skibe, både og flydende materiel
89.01-89.08
CC
eller
MaxNOM 40 % (EXW)
AFSNIT XVIII
OPTISKE, FOTOGRAFISKE OG KINEMATOGRAFISKE INSTRUMENTER OG APPARATER; MÅLE-, KONTROL- OG PRÆCISIONSINSTRUMENTER OG -APPARATER; URE OG DELE DERTIL; MUSIKINSTRUMENTER; DELE OG TILBEHØR DERTIL
Kapitel 90
Optiske, fotografiske og kinematografiske instrumenter og apparater; måle-, kontrol- og præcisionsinstrumenter og -apparater; dele og tilbehør dertil
9001.10-9001.40
CTH
eller
MaxNOM 50 % (EXW)
9001.50
CTH
Slibning af linse til fremstilling af færdigvare i form af oftalmisk linse med optisk korrektion, bestemt til montering på et par briller
Belægning af linsen ved passende behandlinger for at forbedre synet og beskytte den person, der bærer brillen
eller
MaxNOM 50 % (EXW)
9001.90-9033.00
CTH
eller
MaxNOM 50 % (EXW)
Kapitel 91
Ure og dele dertil
91.01-91.14
CTH
eller
MaxNOM 50 % (EXW)
Kapitel 92
Musikinstrumenter; dele og tilbehør dertil
92.01-92.09
MaxNOM 50 % (EXW)
AFSNIT XIX
VÅBEN OG AMMUNITION; DELE OG TILBEHØR DERTIL
Kapitel 93
Våben og ammunition; dele og tilbehør dertil
93.01-93.07
MaxNOM 50 % (EXW)
AFSNIT XX
DIVERSE VARER
Kapitel 94
Møbler; sengebunde, madrasser, dyner, puder og lign.; lamper og belysningsartikler, ikke andetsteds tariferet; lysskilte, navneplader med lys og lignende varer; præfabrikerede bygninger
94.01-94.06
CTH
eller
MaxNOM 50 % (EXW)
Kapitel 95
Legetøj, spil og sportsartikler; dele og tilbehør dertil
95.03-95.08
CTH
eller
MaxNOM 50 % (EXW)
Kapitel 96
Diverse varer
96.01-96.04
CTH
eller
MaxNOM 50 % (EXW)
96.05
Hver artikel i sættet skal opfylde den regel, der gælder for den, såfremt den ikke indgik i sættet. Dog må der medtages artikler uden oprindelsesstatus, forudsat at deres samlede værdi ikke overstiger 15 % af sættets pris ab fabrik
96.06-9608.40
CTH
eller
MaxNOM 50 % (EXW)
9608.50
Hver artikel i sættet skal opfylde den regel, der gælder for den, såfremt den ikke indgik i sættet. Dog må der medtages artikler uden oprindelsesstatus, forudsat at deres samlede værdi ikke overstiger 15 % af sættets pris ab fabrik
9608.60-96.20
CTH
eller
MaxNOM 50 % (EXW)
AFSNIT XXI
KUNSTVÆRKER, SAMLEROBJEKTER OG ANTIKVITETER
Kapitel 97
KUNSTVÆRKER, SAMLEROBJEKTER OG ANTIKVITETER
97.01-97.06
CTH
(
1
)
  Tunfisk, bugstribet bonit og bonit (
Sarda
-arter), tilberedt eller konserveret, hele eller i stykker (undtagen hakket), henhørende under underposition 1604.14 kan betragtes som varer med oprindelse i henhold til alternative produktspecifikke oprindelsesregler inden for årlige kvoter som fastsat i bilag 4.
(
2
)
  Tunfisk, bugstribet bonit og andre fisk af slægten Euthynnus, tilberedt eller konserveret (undtagen hel eller i stykker) henhørende under underposition 1604.20 kan betragtes som varer med oprindelse i henhold til alternative produktspecifikke oprindelsesregler inden for årlige kvoter som fastsat i bilag 4.
(
3
)
  Visse aluminiumsprodukter kan betragtes som varer med oprindelse i henhold til alternative produktspecifikke oprindelsesregler med årlige kvoter som fastsat i bilag 4.
(
4
)
  I perioden fra denne aftales ikrafttræden til den 31. december 2026 finder alternative produktspecifikke oprindelsesregler anvendelse, jf. bilag 5.
(
5
)
  I perioden fra denne aftales ikrafttræden til den 31. december 2026 finder alternative produktspecifikke oprindelsesregler anvendelse, jf. bilag 5.
(
6
)
  I perioden fra denne aftales ikrafttræden til den 31. december 2026 finder alternative produktspecifikke oprindelsesregler anvendelse, jf. bilag 5.
(
7
)
  For hybride køretøjer med både forbrændingsmotor og elektrisk motor som motorer til fremdrift, undtagen køretøjer, som kan oplades ved tilslutning til en ekstern elektrisk energikilde, finder alternative produktspecifikke oprindelsesregler anvendelse i perioden fra denne aftales ikrafttræden til den 31. december 2026, jf. bilag 5.
BILAG 4
OPRINDELSESKONTINGENTER OG ALTERNATIVER  TIL DE PRODUKTSPECIFIKKE OPRINDELSESREGLER I BILAG 3
Almindelige bestemmelser
1.
For de produkter, der er anført i nedenstående tabeller, er de tilsvarende oprindelsesregler alternativer til dem, der er fastsat i bilag 3, inden for rammerne af det gældende årlige kontingent.
2.
En oprindelseserklæring, der udfærdiges i henhold til dette bilag, skal indeholde følgende erklæring: "Oprindelseskontingenter – produkt med oprindelsesstatus i henhold til bilag 4".
3.
I Unionen forvaltes de mængder, der er omhandlet i dette bilag, af Europa-Kommissionen, som træffer alle administrative foranstaltninger, som den finder hensigtsmæssige for at sikre en effektiv forvaltning af dem i henhold til gældende EU-ret.
4.
I Det Forenede Kongerige forvaltes de mængder, der er omhandlet i dette bilag, af landets toldmyndighed, som træffer alle administrative foranstaltninger, som den finder hensigtsmæssige for at sikre en effektiv forvaltning af dem i henhold til gældende lovgivning i Det Forenede Kongerige.
5.
Den importerende part forvalter oprindelseskontingenterne efter "først til mølle"-princippet og beregner mængden af produkter, der henføres under disse oprindelseskontingenter, på grundlag af den pågældende parts import.
AFDELING 1
Årlig kontingenttildeling for tunfiskekonserves
Tarifering i henhold til det harmoniserede system (2017)
Varebeskrivelse
Alternativ produktspecifik regel
Årligt kontingent for eksport fra Unionen til Det Forenede Kongerige
(nettovægt)
Årligt kontingent for eksport fra Det Forenede Kongerige til Unionen
(nettovægt)
1604.14
Tunfisk, bugstribet bonit og bonit (
Sarda
-arter), tilberedt eller konserveret, hele eller i stykker (undtagen hakket)
CC
3 000  ton
3 000  ton
1604.20
Anden fisk, tilberedt eller konserveret
Tunfisk, bugstribet bonit eller andre fisk af slægten Euthynnus (undtagen hele eller i stykker)
CC
4 000  ton
4 000  ton
Andre fisk
-
-
-
AFDELING 2
Årlig kontingenttildeling for aluminiumsprodukter 
(
1
)
Tabel 1
Kontingenter gældende fra den 1. januar 2021 til den 31. december 2023
Tarifering i henhold til det harmoniserede system (2017)
Varebeskrivelse
Alternativ produktspecifik regel
Årligt kontingent for eksport fra Unionen til Det Forenede Kongerige
(nettovægt)
Årligt kontingent for eksport fra Det Forenede Kongerige til Unionen
(nettovægt)
76.03, 76.04, 76.06, 76.08-76.16
Aluminiumsprodukter og varer af aluminium (undtagen tråd af aluminium og folie af aluminium)
CTH
95 000  ton
95 000  ton
76.05
Tråd af aluminium
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 76.04
76.07
Folie af aluminium
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 76.06
Tabel 2
Kontingenter gældende fra den 1. januar 2024 til den 31. december 2026
Tarifering i henhold til det harmoniserede system (2017)
Varebeskrivelse
Alternativ produktspecifik regel
Årligt kontingent for eksport fra Unionen til Det Forenede Kongerige
(nettovægt)
Årligt kontingent for eksport fra Det Forenede Kongerige til Unionen
(nettovægt)
76.03, 76.04, 76.06, 76.08-76.16
Aluminiumsprodukter og varer af aluminium (undtagen tråd af aluminium og folie af aluminium)
CTH
72 000  ton
72 000  ton
76.05
Tråd af aluminium
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 76.04
76.07
Folie af aluminium
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 76.06
Tabel 3
Kontingenter gældende fra den 1. januar 2027
Tarifering i henhold til det harmoniserede system (2017)
Varebeskrivelse
Alternativ produktspecifik regel
Årligt kontingent for eksport fra Unionen til Det Forenede Kongerige
(nettovægt)
Årligt kontingent for eksport fra Det Forenede Kongerige til Unionen
(nettovægt)
76.04
Stænger og profiler, af aluminium
CTH
57 500  ton
57 500  ton
76.06
Plader og bånd, af aluminium, af tykkelse over 0,2 mm
CTH
76.07
Folie af aluminium
CTH, undtagen materialer uden oprindelsesstatus henhørende under position 76.06
Revision af kontingenter for aluminiumsprodukter i afdeling 2, tabel 3
1.
Tidligst fem år efter denne aftales ikrafttræden og tidligst fem år efter afslutningen af en revision som omhandlet i dette punkt reviderer handelspartnerskabsudvalget efter anmodning fra en af parterne og bistået af Handelsspecialudvalget vedrørende Toldsamarbejde og Oprindelsesregler de kontingenter for aluminium, der er anført i afdeling 2 – tabel 3.
2.
Den i punkt 1 omhandlede revision foretages på grundlag af tilgængelige oplysninger om markedsvilkårene i begge parter og oplysninger om deres import og eksport af relevante produkter.
3.
På grundlag af resultatet af en revision foretaget i henhold til punkt 1 kan Partnerskabsrådet vedtage en afgørelse om at øge eller opretholde mængden, at ændre anvendelsesområdet eller at fordele eller ændre en eventuel fordeling mellem produkter af de kontingenter for aluminium, der er anført i afdeling 2 – tabel 3.
(
1
)
  De mængder, der er anført i hver tabel i afdeling 2, er de samlede disponible kontingentmængder (henholdsvis for eksport fra Unionen til Det Forenede Kongerige og for eksport fra Det Forenede Kongerige til Unionen) for alle de produkter, der er anført i tabellen.
BILAG 5
MIDLERTIDIGE PRODUKTSPECIFIKKE REGLER  FOR ELEKTRISKE AKKUMULATORER OG ELEKTRISKE KØRETØJER
AFDELING 1
Foreløbige produktspecifikke regler, der gælder fra denne aftales ikrafttræden  indtil den 31. december 2023
1.
For de produkter, der er anført i kolonne 1 nedenfor, finder den produktspecifikke regel i kolonne 2 anvendelse i perioden fra denne aftales ikrafttræden indtil den 31. december 2023.
Kolonne 1
Tarifering i det harmoniserede system (2017), herunder specifik beskrivelse
Kolonne 2
Produktspecifikke oprindelsesregler, der gælder fra denne aftales ikrafttræden indtil den 31. december 2023
85.07
—
Akkumulatorer indeholdende en eller flere battericeller og kredsløb til indbyrdes sammenkobling af battericellerne, ofte betegnet "batterienheder", af den art, der anvendes som elektrisk hovedenergikilde til fremdrift af køretøjer henhørende under position 87.02, 87.03 og 87.04
CTSH
Samling af batteripakker fra battericeller eller batterimoduler uden oprindelsesstatus
eller
MaxNOM 70 % (EXW)
—
Battericeller, batterimoduler og dele dertil bestemt til at indgå i en elektrisk akkumulator af den art, der anvendes som elektrisk hovedenergikilde til fremdrift af køretøjer henhørende under position 87.02, 87.03 og 87.04
CTH
eller
MaxNOM 70 % (EXW)
87.02-87.04
—
Motorkøretøjer med både forbrændingsmotor og elektrisk motor som motorer til fremdrift, undtagen motorkøretøjer, som kan oplades ved tilslutning til en ekstern elektrisk energikilde ("hybridbil")
—
Motorkøretøjer med både forbrændingsmotor med stempel og elektrisk motor som motorer til fremdrift, og som kan oplades ved tilslutning til en ekstern elektrisk energikilde ("pluginhybridbil")
—
Køretøjer med kun elektrisk motor til fremdrift
MaxNOM 60 % (EXW)
AFDELING 2
Foreløbige produktspecifikke regler, der gælder fra den 1. januar 2024 til den 31. december 2026
1.
For de produkter, der er anført i kolonne 1 nedenfor, finder den produktspecifikke regel i kolonne 2 anvendelse i perioden fra 1. januar 2024 indtil den 31. december 2026.
Kolonne 1
Tarifering i det harmoniserede system (2017), herunder specifik beskrivelse
Kolonne 2
Produktspecifik oprindelsesregel, der gælder fra den 1. januar 2024 indtil den 31. december 2026
85.07
—
Akkumulatorer indeholdende en eller flere battericeller og kredsløb til indbyrdes sammenkobling af battericellerne, ofte betegnet "batterienheder", af den art, der anvendes som elektrisk hovedenergikilde til fremdrift af køretøjer henhørende under position 87.02, 87.03 og 87.04
CTH, undtagen aktive katodematerialer uden oprindelsesstatus
eller
MaxNOM 40 % (EXW)
—
Battericeller, batterimoduler og dele dertil bestemt til at indgå i en elektrisk akkumulator af den art, der anvendes som elektrisk hovedenergikilde til fremdrift af køretøjer henhørende under position 87.02, 87.03 og 87.04
CTH, undtagen aktive katodematerialer uden oprindelsesstatus
eller
MaxNOM 50 % (EXW)
87.02-87.04
—
Motorkøretøjer med både forbrændingsmotor og elektrisk motor som motorer til fremdrift, undtagen motorkøretøjer, som kan oplades ved tilslutning til en ekstern elektrisk energikilde ("hybridbil")
—
Motorkøretøjer med både forbrændingsmotor med stempel og elektrisk motor som motorer til fremdrift, og som kan oplades ved tilslutning til en ekstern elektrisk energikilde ("pluginhybridbil")
—
Køretøjer med kun elektrisk motor til fremdrift
MaxNOM 55 % (EXW)
AFDELING 3
Gennemgang af produktspecifikke regler for position 85.07
1.
Tidligst fire år efter denne aftales ikrafttræden gennemgår handelspartnerskabsudvalget efter anmodning fra en af parterne og bistået af Handelsspecialudvalget vedrørende Toldsamarbejde og Oprindelsesregler de produktspecifikke regler for position 85.07, der gælder fra den 1. januar 2027, og som findes i bilag 3.
2.
Den i stk. 1 omhandlede gennemgang foretages på grundlag af foreliggende oplysninger om parternes markeder, såsom tilgængeligheden af tilstrækkelige og egnede materialer med oprindelsesstatus, balancen mellem udbud og efterspørgsel og andre relevante oplysninger.
3.
På grundlag af resultaterne af den gennemgang, der foretages i henhold til stk. 1, kan Partnerskabsrådet vedtage en afgørelse om ændring af de produktspecifikke regler for position 85.07, der gælder fra den 1. januar 2027, og som er indeholdt i bilag 3.
BILAG 6
LEVERANDØRERKLÆRING
1.
En leverandørerklæring skal have det indhold, der er anført i dette bilag.
2.
Undtagen i de tilfælde, der er omhandlet i punkt 3, skal leverandøren udfærdige en leverandørerklæring for hver sending af produkter i den form, der er vist i tillæg 6-A, og vedlægge den fakturaen eller ethvert andet dokument, der beskriver de pågældende produkter tilstrækkeligt detaljeret til, at de kan identificeres.
3.
Hvis en leverandør regelmæssigt forsyner en bestemt kunde med produkter, for hvis vedkommende produktionen i en part forventes at ligge på et konstant niveau i en vis periode, kan den pågældende leverandør fremlægge en enkelt leverandørerklæring, som dækker efterfølgende sendinger af disse produkter ("stående leverandørerklæring"). En stående leverandørerklæring er normalt gyldig i op til to år efter den dato, på hvilken erklæringen udfærdiges. Toldmyndighederne i den part, hvor erklæringen er udfærdiget, kan fastsætte nærmere betingelser for anvendelse af længere perioder. Den stående leverandørerklæring udfærdiges af leverandøren i det format, der er fastsat i tillæg 6-B, og skal indeholde en beskrivelse af de pågældende produkter, som er tilstrækkelig detaljeret til, at de kan identificeres. Hvis den stående leverandørerklæring ikke længere anvendes på de leverede produkter, underretter leverandøren straks sin kunde herom.
4.
En leverandør, som udfærdiger en erklæring, skal til enhver tid på begæring af toldmyndigheden i den part, hvor erklæringen er udfærdiget, kunne fremlægge alle relevante dokumenter, som beviser, at de i erklæringen afgivne oplysninger er korrekte.
Tillæg 6-A
LEVERANDØRERKLÆRING
Leverandørerklæringen, hvis tekst er angivet i det følgende, udfærdiges i overensstemmelse med fodnoterne. Det er dog ikke nødvendigt at gengive fodnoterne.
LEVERANDØRERKLÆRING
Undertegnede leverandør af de i vedlagte dokument omhandlede produkter erklærer, at:
1.
Følgende materialer, der ikke har oprindelsesstatus i [angiv navnet på den relevante part], er blevet anvendt i [angiv navnet på den relevante part] til produktion af disse produkter:
Beskrivelse af de leverede produkter
(1)
Beskrivelse af anvendte materialer uden oprindelsesstatus
HS-position for anvendte materialer uden oprindelsesstatus
(2)
Værdi af anvendte materialer uden oprindelsesstatus
(2)(3)
Samlet værdi
2.
Alle øvrige materialer, der er anvendt i [angiv navnet på den relevante part] til produktion af disse produkter, har oprindelsesstatus i [angiv navnet på den relevante part].
Jeg forpligter mig til efter anmodning at forelægge yderligere støttedokumenter.
… (Sted og dato)
… (Undertegnedes navn og stilling, virksomhedens navn og adresse)
… (Underskrift)
(6)
Tillæg 6-B
STÅENDE LEVERANDØRERKLÆRING
Den stående leverandørerklæring, hvis tekst er angivet i det følgende, udfærdiges i overensstemmelse med fodnoterne. Det er dog ikke nødvendigt at gengive fodnoterne.
STÅENDE LEVERANDØRERKLÆRING
Undertegnede leverandør af de produkter, der er omfattet af vedlagte dokument, og som regelmæssigt leveres til
(4)
…, erklærer, at:
1.
Følgende materialer, der ikke har oprindelsesstatus i [angiv navnet på den relevante part], er blevet anvendt i [angiv navnet på den relevante part] til produktion af disse produkter:
Beskrivelse af de leverede produkter
(1)
Beskrivelse af anvendte materialer uden oprindelsesstatus
HS-position for anvendte materialer uden oprindelsesstatus
(2)
Værdi af anvendte materialer uden oprindelsesstatus
(2)(3)
Samlet værdi
2.
Alle øvrige materialer, der er anvendt i [angiv navnet på den relevante part] til produktion af disse produkter, har oprindelsesstatus i en part [angiv navnet på den relevante part].
Denne erklæring gælder for alle efterfølgende sendinger af disse produkter afsendt
fra … til …
(5)
Jeg forpligter mig til straks at informere …
(4)
, hvis denne erklæring ophører med at være gyldig.
… (Sted og dato)
…
(Undertegnedes navn og stilling, virksomhedens navn og adresse)
… (Underskrift)
(6)
Fodnoter
(1)
Hvis den faktura eller det andet handelsdokument, hvortil erklæringen er knyttet, vedrører forskellige typer produkter eller produkter, som ikke omfatter materialer uden oprindelsesstatus i samme udstrækning, skal leverandøren klart sondre mellem dem
(2)
De oplysninger, der anmodes om, skal ikke gives, medmindre det er nødvendigt.
Eksempler:
I en af reglerne for beklædningsgenstande henhørende under kapitel 62 hedder det: "Vævning kombineret med konfektion, herunder tilskæring af stof". Hvis en producent af sådanne beklædningsgenstande i en part anvender stof, der er importeret fra den anden part, hvor det er fremstillet ved anvendelse af vævegarn uden oprindelsesstatus, er det tilstrækkeligt, at leverandøren i sidstnævnte part i sin erklæring beskriver det anvendte materiale uden oprindelsesstatus som garn uden angivelse af det pågældende garns HS-position og værdi.
En producent af tråd af jern henhørende under position 72.17, som har fremstillet produktet af jernstænger uden oprindelsesstatus, angiver "stænger af jern" i kolonne 2. Hvis denne tråd skal anvendes i produktionen af en maskine, for hvilken der ifølge oprindelsesreglen gælder en bestemt procent for værdien af alle anvendte materialer uden oprindelsesstatus, skal værdien af jernstængerne uden oprindelsesstatus angives i kolonne 3.
(3)
"Værdien af anvendte materialer uden oprindelsesstatus": værdien af materialer uden oprindelsesstatus, der anvendes i produktionen af produktet, som er toldværdien på tidspunktet for importen, herunder fragt, forsikring, hvor det relevant, emballage og alle andre omkostninger i tilknytning til transport af materialerne til importhavnen i den part, hvor producenten af produktet befinder sig; når værdien af materialer uden oprindelsesstatus ikke er kendt og ikke kan opgøres, anvendes den første registrerede pris, der er betalt for materialer uden oprindelsesstatus i Unionen eller Det Forenede Kongerige.
(4)
Kundens navn og adresse.
(5)
Indsæt datoer.
(6)
Dette felt kan indeholde en elektronisk signatur, et scannet billede eller en anden visuel gengivelse af underskriverens håndskrevne underskrift i stedet for de originale underskrifter, hvis det er relevant.
BILAG 7
OPRINDELSESERKLÆRINGENS ORDLYD
Den oprindelseserklæring, der er omhandlet i denne aftales artikel 56, skal udfærdiges med den nedenfor anførte tekst i en af følgende sprogudgaver og i overensstemmelse med lovgivningen i den eksporterende part. Hvis oprindelseserklæringen er håndskrevet, skal den være skrevet med blæk og med blokbogstaver. Oprindelseserklæringen skal udfærdiges i overensstemmelse med de relevante fodnoter. Det er dog ikke nødvendigt at gengive fodnoterne.
Bulgarsk
Kroatisk
Tjekkisk
Dansk
Nederlandsk
Engelsk
Estisk
Finsk
Fransk
Tysk
Græsk
Ungarsk
Italiensk
Lettisk
Litauisk
Maltesisk
Polsk
Portugisisk
Rumænsk
Slovakisk
Slovensk
Spansk
Svensk
(Periode: fra den ___________ til den __________
(1)
)
Eksportøren af de produkter, der er omfattet af dette dokument (eksportørens referencenummer … 
(2)
), erklærer, at disse produkter, medmindre andet klart er angivet, er af …
(3)
 præferenceoprindelse.
…
(4)
(Sted og dato)
…
(Eksportørens navn)
(1)
Hvis oprindelseserklæringen udfærdiges for flere forsendelser af identiske produkter med oprindelsesstatus, jf. denne aftales artikel 56, stk. 4, litra b), skal gyldighedsperioden for oprindelseserklæringen angives. Perioden må højst være 12 måneder. Al import af produktet skal ske inden for den anførte periode. Hvis en periode ikke er relevant, er det ikke nødvendigt at udfylde feltet.
(2)
Angiv referencenummeret til identifikation af eksportøren. For EU-eksportøren vil det være det nummer, der er tildelt i henhold til Unionens love og forskrifter. For eksportøren i Det forenede Kongerige vil det være det nummer, der er tildelt i henhold til de love og forskrifter, der gælder i Det Forenede Kongerige. Hvis eksportøren ikke har fået tildelt et nummer, er det ikke nødvendigt at udfylde feltet.
(3)
Angiv produktets oprindelse: Det Forenede Kongerige eller Unionen.
(4)
Sted og dato kan udelades, hvis de pågældende oplysninger findes i selve dokumentet.
BILAG 8
FÆLLES ERKLÆRING VEDRØRENDE FYRSTENDØMMET ANDORRA
1.
Produkter med oprindelse i Fyrstendømmet Andorra henhørende under kapitel 25-97 i det harmoniserede system accepteres af Det Forenede Kongerige som produkter med oprindelse i Unionen i den i denne aftale fastlagte betydning.
2.
Stk. 1 finder kun anvendelse, hvis Fyrstendømmet Andorra anvender samme præferencetoldbehandling for produkter med oprindelse i Det Forenede Kongerige, som Unionen anvender for sådanne produkter i medfør af den toldunion, der er oprettet ved Rådets afgørelse 90/680/EØF af 26. november 1990 om indgåelse af aftalen i form af brevveksling mellem Det Europæiske Økonomiske Fællesskab og Fyrstendømmet Andorra.
3.
Anden del, sektion et, afsnit I, kapitel 2, i denne aftale finder tilsvarende anvendelse med henblik på at definere oprindelsesstatus for de produkter, der er omhandlet i stk. 1 i denne fælles erklæring.
BILAG 9
FÆLLES ERKLÆRING VEDRØRENDE REPUBLIKKEN SAN MARINO
1.
Produkter med oprindelse i Republikken San Marino accepteres af Det Forenede Kongerige som havende oprindelse i Unionen i den betydning, der er fastsat i denne aftale.
2.
Stk. 1 finder kun anvendelse, hvis Republikken San Marino anvender samme præferencetoldbehandling for produkter med oprindelse i Det Forenede Kongerige, som Unionen anvender for sådanne produkter i medfør af aftalen om samarbejde og om toldunion mellem Det Europæiske Økonomiske Fællesskab og Republikken San Marino udfærdiget den 16. december 1991 i Bruxelles.
3.
Anden del, sektion et, afsnit I, kapitel 2, i denne aftale finder tilsvarende anvendelse med henblik på at definere oprindelsesstatus for de produkter, der er omhandlet i stk. 1 i denne fælles erklæring.
BILAG 10
KRITERIER OMHANDLET I ARTIKEL 87, LITRA d)
Kriterierne omhandlet i denne aftales artikel 87, litra d), er:
a)
de oplysninger, der stilles til rådighed af den eksporterende part i forbindelse med indhentning af importtilladelse for en given vare til den importerende part i henhold til denne aftales artikel 75
b)
resultatet af audit og verifikationer foretaget af den importerende part i overensstemmelse med denne aftales artikel 79
c)
hyppighed og omfang af manglende overholdelse konstateret af den importerende part for produkter fra den eksporterende part
d)
eksporterende erhvervsdrivendes tidligere opfyldelse af den importerende parts krav og
e)
tilgængelige videnskabelige vurderinger og andre relevante oplysninger vedrørende risikoen i forbindelse med varerne.
BILAG 11
MOTORKØRETØJER SAMT UDSTYR OG DELE DERTIL
Artikel 1
Definitioner
1.   I dette bilag forstås ved:
a)
"WP.29": Verdensforummet for Harmonisering af Regulativer for Køretøjer inden for rammerne af De Forenede Nationers Økonomiske Kommission for Europa ("FN/ECE")
b)
"overenskomsten af 1958": overenskomsten om indførelse af De Forenede Nationers harmoniserede tekniske regulativer for hjulkøretøjer samt udstyr og dele, som kan monteres og/eller benyttes på hjulkøretøjer, samt vilkårene for gensidig anerkendelse af godkendelser, der er meddelt på grundlag af sådanne regulativer fra De Forenede Nationer, udfærdiget den 20. marts 1958 i Genève og administreret af WP.29 og alle efterfølgende ændringer og revisioner heraf
c)
"overenskomsten af 1998": overenskomsten om fastlæggelse af globale tekniske forskrifter for HJULKØRETØJER samt udstyr og dele, som kan monteres og/eller benyttes på hjulkøretøjer, udfærdiget den 25. juni 1998 i Genève og administreret af WP.29 og alle efterfølgende ændringer og revisioner heraf
d)
"FN-regulativer": regulativer vedtaget i overensstemmelse med overenskomsten af 1958
e)
"GTR": en global teknisk forskrift, der er udarbejdet og optaget i det globale register i overensstemmelse med overenskomsten af 1998
f)
"HS 2017": 2017-udgaven af nomenklaturen i det harmoniserede system udstedt af Verdenstoldorganisationen
g)
"typegodkendelse": den procedure, hvorved en godkendende myndighed attesterer, at en type køretøj, system, komponent eller separat teknisk enhed opfylder de relevante administrative bestemmelser og tekniske krav
h)
"typegodkendelsesattest": det dokument, hvorved den godkendende myndighed officielt attesterer, at en type køretøj, system, komponent eller separat teknisk enhed er typegodkendt.
2.   De udtryk, der er omhandlet i dette bilag, har samme betydning som i overenskomsten af 1958 eller i bilag 1 til TBT-aftalen.
Artikel 2
Varedækning
Dette bilag finder anvendelse på handel mellem parterne med alle klasser af motorkøretøjer, udstyr og dele heraf som defineret i punkt 1 i FN/ECE's konsoliderede resolution om køretøjers konstruktion (R.E.3) 
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, der bl.a. henhører under kapitel 40, 84, 85, 87 og 94 i HS 2017 (i det følgende benævnt "omfattede produkter").
Artikel 3
Formål
For så vidt angår de omfattede produkter er formålet med dette bilag at:
a)
fjerne og forebygge unødvendige tekniske hindringer for bilateral handel
b)
fremme overensstemmelse og konvergens mellem forskrifter på grundlag af internationale standarder
c)
fremme anerkendelsen af godkendelser baseret på godkendelsesordninger, der anvendes i henhold til de aftaler, der administreres af WP.29
d)
styrke konkurrenceprægede markedsforhold baseret på principperne åbenhed, ikkeforskelsbehandling og gennemsigtighed
e)
fremme et højt niveau for beskyttelse af menneskers sundhed, sikkerhed og miljøet og
f)
opretholde samarbejdet om spørgsmål af fælles interesse for at fremme en fortsat udvikling af samhandelen til gavn for begge parter.
Artikel 4
Relevante internationale standarder
Parterne anerkender, at WP.29 er det relevante internationale standardiseringsorgan, og at FN-regulativer og globale tekniske forskrifter i henhold til overenskomsten af 1958 og overenskomsten af 1998 er relevante internationale standarder for de produkter, der er omfattet af dette bilag.
Artikel 5
Lovgivningsmæssig konvergens baseret på relevante internationale standarder
1.   Parterne afholder sig fra at indføre eller opretholde nationale tekniske forskrifter, mærkninger eller overensstemmelsesvurderingsprocedurer, der afviger fra FN-regulativer eller globale tekniske forskrifter på områder, der er omfattet af sådanne regulativer eller globale tekniske forskrifter, herunder hvor de relevante FN-regulativer eller globale tekniske forskrifter ikke er færdiggjort, men deres færdiggørelse er nært forestående, medmindre der er veldokumenterede grunde til, at et specifikt FN-regulativ eller en specifik global teknisk forskrift er et ineffektivt eller uhensigtsmæssigt middel til at opfylde de legitime mål, der forfølges, f.eks. inden for færdselssikkerhed eller beskyttelse af miljøet eller menneskers sundhed.
2.   En part, der efter anmodning fra den anden part indfører en afvigende national teknisk forskrift, mærkninger eller overensstemmelsesvurderingsprocedure, jf. stk. 1, skal identificere de dele af den nationale tekniske forskrift, mærkning eller overensstemmelsesvurderingsprocedure, der afviger væsentligt fra de relevante FN-regulativer eller globale tekniske forskrifter, og give en begrundelse for afvigelsen.
3.   Hver part skal systematisk overveje at anvende FN-regulativer, der er vedtaget efter denne aftales ikrafttræden, og skal underrette hinanden om eventuelle ændringer vedrørende gennemførelsen af disse FN-regulativer i deres respektive nationale retssystemer efter den protokol, der er fastsat i overenskomsten af 1958, og i overensstemmelse med artikel 8 og 9.
4.   Såfremt en part har indført eller opretholder nationale tekniske forskrifter, mærkninger eller overensstemmelsesvurderingsprocedurer, der afviger fra FN-regulativer eller globale tekniske forskrifter som tilladt i henhold til stk. 1, reviderer den pågældende part med regelmæssige mellemrum, der helst ikke overstiger fem år, disse nationale tekniske forskrifter, mærkninger eller overensstemmelsesvurderingsprocedurer med henblik på at øge deres konvergens med de relevante FN-regulativer eller globale tekniske forskrifter. Hver part tager ved gennemgangen af sine nationale tekniske forskrifter, mærkninger og overensstemmelsesvurderingsprocedurer hensyn til, om afvigelsen stadig er begrundet. Resultatet af denne gennemgang, herunder eventuelt anvendte videnskabelige og tekniske oplysninger, skal efter anmodning meddeles den anden part.
5.   Hver part afholder sig fra at indføre nye nationale tekniske forskrifter, mærkninger eller overensstemmelsesvurderingsprocedurer, der forbyder, indskrænker eller øger byrden i forbindelse med indførsel og ibrugtagning på deres hjemmemarked af varer, der er typegodkendt i henhold til FN-regulativer for så vidt angår de områder, der er omfattet af de pågældende FN-regulativer, medmindre sådanne nationale tekniske forskrifter eller overensstemmelsesvurderingsprocedurer udtrykkeligt er fastsat i disse FN-regulativer.
Artikel 6
Typegodkendelse og markedsovervågning
1.   Hver part skal på sit marked acceptere produkter, der er omfattet af en gyldig FN-typegodkendelsesattest, som værende i overensstemmelse med sine nationale tekniske forskrifter, mærkninger og overensstemmelsesvurderingsprocedurer, uden at der kræves yderligere prøvning eller mærkning for at kontrollere eller attestere overholdelse af krav, der er omfattet af den pågældende FN-typegodkendelsesattest. I forbindelse med køretøjsgodkendelser anses FN's universelle internationale typegodkendelse af køretøjer (U-IWVTA) for at være gyldig for så vidt angår de krav, der er omfattet af U-IWVTA. FN-typegodkendelsesattester udstedt af en part kan kun betragtes som gyldige, hvis den pågældende part har tiltrådt de relevante FN-regulativer.
2.   Hver part er kun forpligtet til at acceptere gyldige FN-typegodkendelsesattester, der er udstedt i henhold til den seneste version af de FN-regulativer, som den har tiltrådt.
3.   Med henblik på stk. 1 anses følgende for tilstrækkeligt bevis for, at der foreligger en gyldig FN-typegodkendelse:
a)
for hele køretøjer: en gyldig FN-overensstemmelseserklæring, der attesterer overensstemmelse med U-IWVTA
b)
for udstyr og dele: et gyldigt FN-typegodkendelsesmærke, der er påført produktet eller
c)
for udstyr og dele, hvorpå der ikke kan anbringes et FN-typegodkendelsesmærke: en gyldig FN-typegodkendelsesattest.
4.   Med henblik på gennemførelse af markedsovervågning kan en parts kompetente myndigheder kontrollere, at de omfattede produkter i det omfang, det er relevant, er i overensstemmelse med
a)
alle den pågældende parts nationale tekniske forskrifter eller
b)
de FN-regulativer, hvis overensstemmelse er blevet attesteret i overensstemmelse med denne artikel gennem en gyldig FN-overensstemmelseserklæring, der attesterer overensstemmelse med en U-IWVTA for hele køretøjer, eller gennem et gyldigt FN-typegodkendelsesmærke, der er påført produktet, eller en gyldig FN-typegodkendelsesattest, hvis der er tale om udstyr og dele.
Denne kontrol foretages ved stikprøver på markedet og i overensstemmelse med de tekniske forskrifter, der er omhandlet i litra a) eller b) i dette stykke, alt efter hvad der er relevant.
5.   Parterne bestræber sig på at samarbejde om markedsovervågning for at støtte identifikationen og håndteringen af manglende overensstemmelse mellem køretøjer, systemer, komponenter eller separate tekniske enheder.
6.   En part kan træffe egnede foranstaltninger med hensyn til køretøjer, systemer, komponenter eller separate tekniske enheder, der udgør en alvorlig risiko for menneskers sundhed eller sikkerhed eller med hensyn til andre aspekter af beskyttelsen af samfundsinteresser eller som på anden måde ikke opfylder gældende krav. Sådanne foranstaltninger kan omfatte forbud mod eller begrænsning af markedsføring, registrering eller ibrugtagning af de pågældende køretøjer, systemer, komponenter eller separate tekniske enheder eller tilbagetrækning af disse fra markedet eller tilbagekaldelse af dem fra forbrugerne. En part, der indfører eller opretholder sådanne foranstaltninger, underretter straks den anden part herom og angiver efter anmodning fra den anden part sin begrundelse for at indføre disse foranstaltninger.
Artikel 7
Produkter med nye teknologier eller nye egenskaber
1.   En part må ikke nægte eller begrænse markedsadgangen for et produkt, der er omfattet af dette bilag og godkendt af den eksporterende part, under henvisning til, at produktet indeholder en ny teknologi eller har en ny egenskab, som den importerende part endnu ikke har reguleret for, medmindre parten kan godtgøre, at der er rimelige grunde til at tro, at den nye teknologi eller egenskab medfører en risiko for menneskers sundhed eller sikkerhed eller miljøet.
2.   Hvis en part beslutter at nægte markedsadgang for et produkt fra den anden part, der er omfattet af dette bilag, eller kræver, at en sådan vare trækkes tilbage fra markedet, under henvisning til, at den indeholder en ny teknologi eller har en ny egenskab, der medfører en risiko for menneskers sundhed eller sikkerhed eller miljøet, skal den pågældende part straks give den anden part og de eller de berørte økonomiske operatører meddelelse herom. Denne meddelelse skal indeholde alle de videnskabelige og tekniske oplysninger, der indgik i partens beslutning.
Artikel 8
Samarbejde
1.   For yderligere at lette handelen med motorkøretøjer og dele og udstyr hertil og for at forebygge problemer med markedsadgang, samtidig med at menneskers sundhed, sikkerhed og miljøbeskyttelse sikres, bestræber parterne sig på at samarbejde og udveksle oplysninger i relevant omfang.
2.   Samarbejdsområder i medfør af denne artikel kan blandt andet omfatte:
a)
udarbejdelse og fastlæggelse af tekniske forskrifter og hertil relaterede standarder
b)
udveksling i muligt omfang af forskningsoplysninger og -resultater vedrørende udarbejdelsen af nye forskrifter for køretøjers sikkerhed og hertil relaterede standarder samt avanceret emissionsreduktion og nye køretøjsteknologier
c)
udveksling af tilgængelige oplysninger om påvisning af sikkerheds- og emissionsrelaterede fejl og manglende overholdelse af tekniske forskrifter og
d)
fremme af bedre international harmonisering af tekniske krav gennem multilaterale fora, som f.eks. overenskomsten af 1958 og overenskomsten af 1998, herunder gennem samarbejde om planlægning af initiativer til støtte for sådan harmonisering.
Artikel 9
Arbejdsgruppen for Motorkøretøjer og Reservedele
1.   Arbejdsgruppen for Motorkøretøjer og Reservedele bistår Handelsspecialudvalget vedrørende Tekniske Handelshindringer med at overvåge og gennemgå gennemførelsen af dette bilag og sikre, at det fungerer efter hensigten.
2.   Arbejdsgruppen for Motorkøretøjer og Reservedele har følgende opgaver:
a)
drøftelse af ethvert anliggende, der opstår i forbindelse med dette bilag efter anmodning fra en af parterne
b)
fremme af samarbejde og udveksling af oplysninger i overensstemmelse med artikel 8
c)
føre tekniske drøftelser i overensstemmelse med artikel 97 i denne aftale om spørgsmål, der falder ind under dette bilags anvendelsesområde, og
d)
ajourføring af en liste over kontaktpunkter med ansvar for anliggender, der opstår i forbindelse med dette bilag.
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  ECE/TRANS/WP.29/78/Rev.6 af 11. juli 2017.
BILAG 12
LÆGEMIDLER
Artikel 1
Definitioner
I dette bilag forstås ved:
a)
"myndighed": en myndighed hos en part som anført i tillæg 12-A
b)
"god fremstillingspraksis" eller "GFP": den del af kvalitetssikringen, der sikrer, at produkter konsekvent fremstilles og kontrolleres i overensstemmelse med de kvalitetsstandarder, der er relevante for den tilsigtede anvendelse og som krævet i den gældende markedsføringstilladelse eller varespecifikation, jf. tillæg 12-B
c)
"inspektion": en evaluering af et produktionsanlæg for at fastslå, om et sådant produktionsanlæg drives i overensstemmelse med god fremstillingspraksis og/eller i overensstemmelse med tilsagn, der er indgået som led i godkendelsen til markedsføring af et produkt, og som gennemføres i overensstemmelse med den relevante parts love og administrative bestemmelser, herunder inspektion før og efter markedsføring
d)
"officielt GFP-dokument": et dokument udstedt af en parts myndighed efter inspektion af et produktionsanlæg, herunder f.eks. inspektionsrapporter, certifikater, der attesterer et fremstillingsanlægs overholdelse af GFP, eller en erklæring om manglende GFP-overholdelse.
Artikel 2
Anvendelsesområde
Bestemmelserne i dette bilag finder anvendelse på lægemidler som opført i tillæg 12-C.
Artikel 3
Formål
For så vidt angår de omfattede produkter er formålet med dette bilag at:
a)
lette adgangen til lægemidler på hver parts territorium
b)
fastsætte betingelserne for anerkendelse af inspektioner og for udveksling og accept af officielle dokumenter om god fremstillingspraksis mellem parterne
c)
fremme folkesundheden ved at beskytte patientsikkerheden og dyresundheden og dyrevelfærden samt beskytte et højt forbruger- og miljøbeskyttelsesniveau, hvor det er relevant, ved at fremme lovgivningsmæssige tilgange i overensstemmelse med de relevante internationale standarder.
Artikel 4
Internationale standarder
De relevante standarder for de produkter, der er omfattet af dette bilag, skal sikre et højt niveau for beskyttelse af folkesundheden i overensstemmelse med de standarder, praksisser og retningslinjer, der er udviklet af Verdenssundhedsorganisationen (WHO), Organisationen for Økonomisk Samarbejde og Udvikling (OECD), Det Internationale Råd for Harmonisering af Tekniske Krav til Humanmedicinske Lægemidler (ICH) og det internationale samarbejde om harmonisering af tekniske krav til registrering af veterinærlægemidler (VICH).
Artikel 5
Anerkendelse af inspektioner og accept af officielle GFP-dokumenter
1.   En part skal anerkende inspektioner foretaget af den anden part og acceptere officielle GFP-dokumenter, der er udstedt af den anden part i overensstemmelse med de love, forskrifter og tekniske retningslinjer, der er anført i tillæg 12-B.
2.   En parts myndighed kan under specifikke omstændigheder vælge ikke at acceptere et officielt GFP-dokument, udstedt af en anden parts myndighed, for så vidt angår fremstillingsanlæg, der er beliggende på den udstedende myndigheds område. Sådanne omstændigheder kan f.eks. være angivelser af væsentlige uoverensstemmelser eller mangler i en inspektionsrapport, kvalitetsmangler konstateret ved efterfølgende overvågning af markedet eller andre specifikke beviser, der giver grund til alvorlig bekymring i forbindelse med varernes kvalitet eller patientsikkerhed. Hver part sikrer, at hvis en parts myndighed vælger ikke at acceptere et officielt GFP-dokument udstedt af en anden parts myndighed, meddeler denne myndighed den anden parts relevante myndighed årsagerne til, at den ikke kan acceptere dokumentet og kan anmode den anden parts myndighed om præciseringer. Den relevante part sikrer, at dens myndighed bestræber sig på at besvare anmodningen om præcisering rettidigt.
3.   En part kan vælge at godtage officielle GFP-dokumenter, udstedt af en myndighed hos den anden myndighed, angående fremstillingsanlæg, der er beliggende uden for den udstedende myndigheds område.
4.   Hver part kan fastsætte de vilkår og betingelser, under hvilke den accepterer officielle GFP-dokumenter, udstedt i henhold til stk. 3.
Artikel 6
Udveksling af officielle GFP-dokumenter
1.   Hver part sikrer, at hvis en parts myndighed anmoder om et officielt GFP-dokument fra den anden parts myndighed, bestræber den anden parts myndighed sig på at fremsende dokumentet senest 30 kalenderdage efter datoen for anmodningen.
2.   Hver part behandler oplysningerne i et dokument, der er indhentet i henhold til stk. 1, som fortrolige.
Artikel 7
Beskyttelsesforanstaltninger
1.   Hver part har ret til at foretage sin egen inspektion af produktionsanlæg, som den anden part har certificeret som overensstemmende.
2.   Hver part sikrer, at den part, der agter at gennemføre inspektionen, forud for gennemførelsen af en inspektion i henhold til stk. 1 skriftligt underretter den anden parts relevante myndighed om inspektionen med angivelse af årsagerne til, at den foretager sin egen inspektion. Myndigheden hos den part, der agter at gennemføre inspektionen, bestræber sig på at underrette den anden parts myndighed skriftligt mindst 30 dage før en foreslået inspektion, men kan give en kortere frist i hastende tilfælde. Den anden parts myndighed kan deltage i inspektionen.
Artikel 8
Ændringer af gældende love og administrative bestemmelser
1.   Hver part underretter den anden part mindst 60 dage før vedtagelsen af nye foranstaltninger eller ændringer vedrørende god fremstillingspraksis, som har betydning for de relevante love, forskrifter og tekniske retningslinjer, der er anført i tillæg 12-B.
2.   Parterne udveksler alle nødvendige oplysninger, herunder ændringer af deres respektive love, forskrifter, tekniske retningslinjer eller inspektionsprocedurer vedrørende god fremstillingspraksis, således at hver part kan vurdere, om betingelserne for anerkendelse af inspektioner og godkendelse af officielle GFP-dokumenter i henhold til artikel 5, stk. 1, fortsat er til stede.
3.   Hvis en part som følge af en af de nye foranstaltninger eller ændringer, der er omhandlet i denne artikels stk. 1, finder, at den ikke længere kan anerkende inspektioner eller acceptere officielle GFP-dokumenter udstedt af den anden part, underretter den den anden part om sin hensigt om at anvende artikel 9, og parterne indleder konsultationer i arbejdsgruppen vedrørende lægemidler.
4.   Enhver underretning i henhold til denne artikel foretages via de udpegede kontaktpunkter i arbejdsgruppen vedrørende lægemidler.
Artikel 9
Suspension
1.   Uden at det berører artikel 5, stk. 2, har hver part i medfør af artikel 5, stk. 1, ret til helt eller delvis at suspendere anerkendelsen den anden parts inspektioner eller accepten af den anden parts officielle GFP-dokumenter for alle eller visse af de i tillæg 12-C opførte varer. Denne rettighed skal udøves på objektiv og rimelig vis. Den part, der udøver en sådan rettighed, underretter den anden part herom og fremlægger en skriftlig begrundelse herfor. En part skal fortsat acceptere den anden parts officielle GFP-dokumenter, der er udstedt forud for en sådan suspension, medmindre parten træffer anden afgørelse ud fra sundheds- eller sikkerhedsmæssige hensyn.
2.   Hvis en part efter konsultationer som omhandlet i artikel 8, stk. 3, alligevel suspenderer anerkendelsen af inspektioner og accept af officielle GFP-dokumenter i medfør af artikel 5, stk. 1, kan den gøre dette i overensstemmelse med nærværende artikels stk. 1 tidligst 60 dage efter indledningen af konsultationerne. I løbet af denne periode på 60 dage skal begge parter fortsat anerkende inspektioner og acceptere officielle GFP-dokumenter udstedt af den anden parts myndighed.
3.   Hvis anerkendelsen af inspektioner og accept af officielle GFP-dokumenter suspenderes i henhold til artikel 5, stk. 1, drøfter parterne efter anmodning fra en part spørgsmålet i arbejdsgruppen for lægemidler, og de bestræber sig på at overveje mulige foranstaltninger, der gør det muligt at genetablere anerkendelsen af inspektioner og accept af officielle GFP-dokumenter.
Artikel 10
Reguleringssamarbejde
1.   Parterne bestræber sig på i overensstemmelse med deres respektive lovgivning at rådføre sig med hinanden om forslag om indførelse af væsentlige ændringer af tekniske forskrifter eller inspektionsprocedurer, herunder ændringer, der påvirker anerkendelsen af dokumenter fra den anden part, jf. artikel 5, og i givet fald at give mulighed for at fremsætte bemærkninger til sådanne forslag, uden at dette dog berører artikel 8.
2.   Parterne bestræber sig på at samarbejde med henblik på at styrke, udvikle og fremme vedtagelsen og gennemførelsen af internationalt vedtagne videnskabelige eller tekniske retningslinjer, herunder, hvor det er muligt, ved at fremlægge fælles initiativer, forslag og tilgange i de relevante internationale organisationer og organer, der er omhandlet i artikel 4.
Artikel 11
Ændringer af tillæg
Partnerskabsrådet har beføjelse til at ændre tillæg 12-A for at ajourføre listen over myndigheder, tillæg 12-B for at ajourføre listen over gældende love, forskrifter og tekniske retningslinjer og tillæg 12-C for at ajourføre listen over omfattede produkter.
Artikel 12
Arbejdsgruppen for lægemidler
1.   Arbejdsgruppen for lægemidler bistår Handelsspecialudvalget vedrørende Tekniske Handelshindringer med at overvåge og gennemgå gennemførelsen af dette bilag og sikre, at det fungerer efter hensigten.
2.   Arbejdsgruppen for lægemidler har til opgave:
a)
at drøfte ethvert anliggende, der opstår i forbindelse med dette bilag efter anmodning fra en af parterne
b)
at fremme samarbejde og udveksling af oplysninger med henblik på artikel 8 og 10
c)
at fungere som forum for konsultationer og drøftelser med henblik på artikel 8, stk. 3, og artikel 9, stk. 3
d)
at føre tekniske drøftelser i overensstemmelse med artikel 97 i denne aftale om spørgsmål, der falder ind under dette bilags anvendelsesområde, og
e)
at ajourføre af en liste over kontaktpunkter med ansvar for anliggender, der opstår i forbindelse med dette bilag.
Artikel 13
Ikkeanvendelse af tvistbilæggelse
Denne aftales afsnit I, sjette del, finder ikke anvendelse på tvister vedrørende fortolkningen og anvendelsen af dette bilag.
Tillæg 12-A
PARTERNES MYNDIGHEDER
1)
Den Europæiske Union:
Land
For humanmedicinske  lægemidler
For veterinærmedicinske  lægemidler
Belgien
Den føderale styrelse for lægemidler og sundhedsprodukter /
Federaal Agentschap voor geneesmiddelen en gezondheidsproducten / Agence fédérale des médicaments et produits de santé
Se myndighed for humanmedicinske lægemidler
Bulgarien
Den bulgarske lægemiddelstyrelse /
ИЗПЪЛНИТЕЛНА АГЕНЦИЯ ПО ЛЕКАРСТВАТА
Den bulgarske styrelse for fødevaresikkerhed /
Българска агенция по безопасност на храните
Tjekkiet
Statens institut for kontrol med lægemidler/
Státní ústav pro kontrolu léčiv (SÚKL)
Instituttet for statens kontrol med biologiske veterinærlægemidler og andre lægemidler /
Ústav pro státní kontrolu veterinárních biopreparátů a léčiv (ÚSKVBL)
Danmark
Lægemiddelstyrelsen
Se myndighed for humanmedicinske lægemidler
Tyskland
Forbundsinstituttet for lægemidler og medicinsk udstyr /
Bundesinstitut für Arzneimittel und Medizinprodukte (BfArM)
Paul-Ehrlich-Institute (PEI), Forbundsinstituttet for vacciner og biomedicin/Paul-Ehrlich-Institut (PEI) Bundesinstitut für Impfstoffe und biomedizinische Arzneimittel
Forbundsministeriet for sundhed / Bundesministerium für Gesundheit (BMG)/Zentralstelle der Länder für Gesundheitsschutz bei Arzneimitteln und Medizinprodukten (ZLG)
 (
1
)
Forbundskontoret for forbrugerbeskyttelse og fødevaresikkerhed /
Bundesamt für Verbraucherschutz und Lebensmittelsicherheit (BVL)
Forbundsministeriet for fødevarer og landbrug, Bundesministerium für Ernährung und Landwirtschaft
Paul-Ehrlich-institutet (PEI), Forbundsinstituttet for vacciner og biomedicin / Paul-Ehrlich-Institut (PEI) Bundesinstitut für Impfstoffe und biomedizinische Arzneimittel
Estland
Statens styrelse for lægemidler /
Ravimiamet
Se myndighed for humanmedicinske lægemidler
Irland
Reguleringsmyndighed for sundhedsprodukter / Health Products Regulatory Authority (HPRA)
Se myndighed for humanmedicinske lægemidler
Grækenland
Den nationale lægemiddelorganisation /
Ethnikos Organismos Farmakon (EOF) – (ΕΘΝIΚΟΣ ΟΡΓΑΝIΣΜΟΣ ΦΑΡΜΑΚΩΝ)
Se myndighed for humanmedicinske lægemidler
Spanien
Den spanske styrelse for lægemidler og medicinsk udstyr /
Agencia Española de Medicamentos y Productos Sanitarios
 (
2
)
Se myndighed for humanmedicinske lægemidler
Frankrig
Den franske nationale styrelse for lægemiddel- og sundhedsproduktsikkerhed / Agence nationale de sécurité du médicament et des produits de santé (ANSM)
Den franske styrelse for sundhed og sikkerhed inden for fødevarer, miljø og på arbejdspladsen – Den nationale styrelse for veterinærlægemidler /
Agence Nationale de Sécurité Sanitaire de l'alimentation, de l'environnement et du travail-Agence Nationale du Médicament Vétérinaire (Anses-ANMV)
Kroatien
Styrelsen for lægemidler og medicinsk udstyr /
Agencija za lijekove i medicinske proizvode (HALMED)
Landbrugsministeriet, Direktoratet for veterinær- og fødevaresikkerhed /
Ministarstvo Poljoprivrede, Uprava za veterinarstvo i sigurnost hrane
Italien
Den italienske lægemiddelstyrelse / Agenzia Italiana del Farmaco
Generaldirektoratet for dyresundhed og veterinærlægemidler /
Ministero della Salute, Direzione Generale della Sanità Animale e dei Farmaci Veterinari
Cypern
Sundhedsministeriet – Afdelingen for lægemidler /
Φαρμακευτικές Υπηρεσίες, Υπουργείο Υγείας
Ministeriet for landbrug, udvikling af landdistrikter og miljø-
veterinærafdelingen /
Κτηνιατρικές Υπηρεσίες- Υπουργείο Γεωργίας, Αγροτικής Ανάπτυξης και Περιβάλλοντος
Letland
Statens styrelse for lægemidler /
Zāļu valsts aģentūra
Fødevare- og veterinærtjenestens afdeling for evaluering og registrering / Pārtikas un veterinārā dienesta Novērtēšanas un reģistrācijas departaments
Litauen
Statens styrelse for lægemiddelkontrol /
Valstybinė vaistų kontrolės tarnyba
Statens fødevare- og  veterinærtjeneste /
Valstybinė maisto ir veterinarijos tarnyba
Luxembourg
Sundhedsministeriets afdeling for lægemidler og præparater / Ministère de la Santé, Division de la Pharmacie et des Médicaments
Se myndighed for humanmedicinske lægemidler
Ungarn
Országos Gyógyszerészeti és Élelmezés-egészségügyi Intézet / Det nationale institut for lægemidler og ernæring
Det nationale kontor for fødevarekædesikkerhed, direktoratet for veterinærlægemidler / Nemzeti Élelmiszerlánc-biztonsági Hivatal,
Állatgyógyászati Termékek Igazgatósága (ÁTI)
Malta
Reguleringsmyndighed for lægemidler
Afdelingen for veterinærlægemidler under det nationale veterinærlaboratorium under
afdelingen for dyresundhed og dyrevelfærd
Nederlandene
Sundheds- og ungdomsinspektorat / Inspectie Gezondheidszorg en Youth (IGJ)
Nævnet for lægemiddelvurdering /
Bureau Diergeneesmiddelen, College ter Beoordeling van Geneesmiddelen (CBG)/
Østrig
Den østrigske styrelse for sundhed og fødevaresikkerhed /
Österreichische Agentur für Gesundheit und Ernährungssicherheit GmbH
Se myndighed for humanmedicinske lægemidler
Polen
Det overordnede inspektorat for lægemidler /
Główny Inspektorat Farmaceutyczny (GIF)
Se myndighed for humanmedicinske lægemidler
Portugal
Den nationale myndighed for lægemidler og sundhedsprodukter /
INFARMED, I.P
Autoridade Nacional do Medicamento e Produtos de Saúde, I.P
Generaldirektoratet for fødevarer og veterinære anliggender / DGAV – Direção Geral de Alimentação e Veterinária (PT)
Rumænien
Den nationale styrelse for lægemidler og medicinsk udstyr /
Agenţia Naţională a Medicamentului şi a Dispozitivelor Medicale
Den nationale myndighed for sundhed, dyresundhed og fødevaresikkerhed / Autoritatea Naţională Sanitară Veterinară şi pentru Siguranţa Alimentelor
Slovenien
Styrelsen for lægemidler og medicinskudstyr i Republikken Slovenien /
Javna agencija Republike Slovenije za zdravila in medicinske pripomočke (JAZMP)
Se myndighed for humanmedicinske lægemidler
Slovakiet
Statens institut for kontrol med lægemidler /
Štátny ústav pre kontrolu liečiv (ŠÚKL)
Instituttet for statens kontrol med biologiske veterinærlægemidler og andre lægemidler /
Ústav štátnej kontroly veterinárnych biopreparátov a liečiv (ÚŠKVBL)
Finland
Den finske lægemiddelstyrelse /
Lääkealan turvallisuus- ja kehittämiskeskus (FIMEA)
Se myndighed for humanmedicinske lægemidler
Sverige
Styrelsen for lægemidler / Läkemedelsverket
Se myndighed for humanmedicinske lægemidler
2)
Det Forenede Kongerige
Reguleringsmyndigheden for lægemidler og sundhedsvarer/Medicines and Healthcare products Regulatory Agency
Direktoratet for veterinærlægemidler/Veterinary Medicines Directorate
Tillæg 12-B
LISTE OVER GÆLDENDE LOVE, FORSKRIFTER OG TEKNISKE RETNINGSLINJER  VEDRØRENDE GOD FREMSTILLINGSPRAKSIS
1)
For Den Europæiske Union:
Europa-Parlamentets og Rådets direktiv 2001/83/EF af 6. november 2001 om oprettelse af en fællesskabskodeks for humanmedicinske lægemidler 
(
3
)
Europa-Parlamentets og Rådets direktiv 2001/82/EF af 6. november 2001 om oprettelse af en fællesskabskodeks for veterinærlægemidler 
(
4
)
Europa-Parlamentets og Rådets direktiv 2001/20/EF af 4. april 2001 om indbyrdes tilnærmelse af medlemsstaternes love og administrative bestemmelser om anvendelse af god klinisk praksis ved gennemførelse af kliniske forsøg med lægemidler til human brug 
(
5
)
Forordning (EU) nr. 536/2014 af 16. april 2014 om kliniske forsøg med humanmedicinske lægemidler og om ophævelse af direktiv 2001/20/EF 
(
6
)
Europa-Parlamentets og Rådets forordning (EF) nr. 726/2004 af 31. marts 2004 om fastlæggelse af fællesskabsprocedurer for godkendelse og overvågning af human- og veterinærmedicinske lægemidler og om oprettelse af et europæisk lægemiddelagentur 
(
7
)
Europa-Parlamentets og Rådets forordning (EF) nr. 1394/2007 af 13. november 2007 om lægemidler til avanceret terapi og om ændring af direktiv 2001/83/EF og forordning (EF) nr. 726/2004 
(
8
)
Kommissionens direktiv 2003/94/EF af 8. oktober 2003 om principper og retningslinjer for god fremstillingspraksis for humanmedicinske lægemidler og testpræparater til human brug 
(
9
)
Kommissionens direktiv 91/412/EØF af 23. juli 1991 om principper og retningslinjer for god fremstillingspraksis for veterinærmedicinske præparater 
(
10
)
Kommissionens direktiv (EU) 2017/1572 af 15. september 2017 om supplerende regler til Europa-Parlamentets og Rådets direktiv 2001/83/EF for så vidt angår principperne og retningslinjerne for god fremstillingspraksis for humanmedicinske lægemidler 
(
11
)
Kommissionens delegerede forordning (EU) nr. 1252/2014 af 28. maj 2014 om supplerende regler til Europa-Parlamentets og Rådets direktiv 2001/83/EF for så vidt angår principper og retningslinjer for god fremstillingspraksis for virksomme stoffer til humanmedicinske lægemidler 
(
12
)
Kommissionens delegerede forordning (EU) 2017/1569 af 23. maj 2017 om supplerende regler til Europa-Parlamentets og Rådets forordning (EU) nr. 536/2014 for så vidt angår specificering af principperne og retningslinjerne for god fremstillingspraksis for forsøgslægemidler til human brug samt bestemmelserne om inspektion 
(
13
)
Den aktuelle udgave af vejledningen i god fremstillingspraksis, der er indeholdt i bind IV i bestemmelserne om lægemidler i Den Europæiske Union (Rules governing medicinal products in the European Union) og samlingen af EU-procedurer for inspektionsbesøg og informationsudveksling (compilation of the community procedures on inspections end exchange of information).
2)
For Det Forenede Kongerige:
Forskrifter om humanmedicinske lægemidler 2012/The Human Medicines Regulations 2012 (SI 2012/1916)
Forskrifter om humanmedicinske lægemidler (kliniske forsøg) 2004/The Medicines for Human Use (Clinical Trials) Regulations 2004 (SI 2004/1031)
Forskrifter om veterinærmedicinske lægemidler 2013/The Veterinary Medicines Regulations 2013 (SI 2013/2033)
Forskrifter om god fremstillingspraksis udarbejdet i henhold til forskrift B17 (Regulations on good manufacturing practice made under regulation B17) og retningslinjer for god fremstillingspraksis offentliggjort i henhold til forskrift C17 (guidelines on good manufacturing practice published pursuant to regulation C17) i forskrifter om humanmedicinske lægemidler 2012 (Human Medicines Regulations 2012)
De principper og retningslinjer for god fremstillingspraksis, der finder anvendelse med henblik på etape 2 under veterinærmedicinske forskrifter 2013 (Veterinary Medicines Regulations 2013).
Tillæg 12-C
OMFATTEDE PRODUKTER
Human- og veterinærmedicinske lægemidler:
—
markedsførte human- eller veterinærmedicinske lægemidler, herunder markedsførte biologiske og immunologiske lægemidler til human og veterinær brug
—
lægemidler til avanceret terapi
—
aktive lægemiddelbestanddele til human eller veterinær brug
—
forsøgslægemidler.
(
1
)
  I dette bilag – og uden at dette berører den interne kompetencefordeling i Tyskland i forbindelse med spørgsmål, der er omfattet af dette bilag – forstås ZLG som omfattende alle kompetente delstaters myndigheder, der udsteder dokumenter vedrørende god fremstillingspraksis samt foretager inspektioner af lægemidler.
(
2
)
  I dette bilag – og uden at dette berører den interne kompetencefordeling i Spanien i forbindelse med spørgsmål, der er omfattet af dette bilag – forstås Agencia Española de Medicamentos y Productos Sanitarios som omfattende alle kompetente delstaters myndigheder, der udsteder dokumenter vedrørende god fremstillingspraksis samt foretager inspektioner af lægemidler.
(
3
)
  
            
EFT L 311 af 28.11.2001, s. 67
.
(
4
)
  
            
EFT L 311 af 28.11.2001, s. 1
.
(
5
)
  
            
EFT L 121 af 1.5.2001, s. 34
.
(
6
)
  
            
EUT L 158 af 27.5.2014, s. 1
.
(
7
)
  
            
EUT L 136 af 30.4.2004, s. 1
.
(
8
)
  
            
EUT L 324 af 10.12.2007, s. 121
.
(
9
)
  
            
EUT L 262 af 14.10.2003, s. 22
.
(
10
)
  
            
EFT L 228 af 17.8.1991, s. 70
.
(
11
)
  
            
EUT L 238 af 16.9.2017, s. 44
.
(
12
)
  
            
EUT L 337 af 25.11.2014, s. 1
.
(
13
)
  
            
EUT L 238 af 16.9.2017, s. 12
.
BILAG 13
KEMIKALIER
Artikel 1
Definitioner
I dette bilag forstås ved:
a)
"kompetente myndigheder":
i)
for Unionen: Europa-Kommissionen
ii)
for Det Forenede Kongerige: Det Forenede Kongeriges regering
b)
UN GHS: De Forenede Nationers globalt harmoniserede system for klassificering og mærkning af kemikalier.
Artikel 2
Anvendelsesområde
Dette bilag finder anvendelse på handel med, regulering af, import og eksport af kemikalier mellem Unionen og Det Forenede Kongerige, for så vidt angår registrering, vurdering, tilladelse, begrænsning, godkendelse, klassificering, mærkning og emballering.
Artikel 3
Formål
1.   Formålet med dette bilag er at:
a)
lette handelen med kemikalier og relaterede produkter mellem parterne
b)
sikre et højt beskyttelsesniveau for miljøet og menneskers og dyrs sundhed og
c)
sørge for samarbejde mellem de ansvarlige myndigheder i Unionen og Det Forenede Kongerige.
2.   Parterne anerkender, at de forpligtelser, der er indgået i henhold til dette bilag, ikke forhindrer nogen af parterne i at fastsætte egne prioriteter for regulering af kemikalier, herunder fastsættelse af deres egne niveauer for beskyttelse af miljøet og menneskers og dyrs sundhed.
Artikel 4
Relevante internationale organisationer og organer
Parterne anerkender, at internationale organisationer og organer, navnlig OECD og De Forenede Nationers ekspertgruppe om det globale harmoniserede system for klassificering og mærkning af kemikalier (SCEGHS) under De Forenede Nationers Økonomiske og Sociale Råd (ECOSOC), er relevante for udarbejdelsen af videnskabelige og tekniske retningslinjer for kemikalier.
Artikel 5
Deltagelse i relevante internationale organisationer og organer og lovgivningsmæssig udvikling
1.   Parterne bidrager aktivt til udviklingen af de videnskabelige eller tekniske retningslinjer, der er omhandlet i artikel 4, for så vidt angår vurdering af farer og risici ved kemikalier og formatet for dokumentation af resultaterne af sådanne vurderinger.
2.   Hver part gennemfører retningslinjer udstedt af de internationale organisationer og organer, der er omhandlet i artikel 4, medmindre disse retningslinjer ville være ineffektive eller uhensigtsmæssige for opfyldelsen af partens legitime mål.
Artikel 6
Klassificering og mærkning af kemikalier
1.   Hver part gennemfører UN GHS så udførligt, som den anser for muligt inden for sit respektive system, herunder for kemikalier, der ikke er omfattet af dette bilags anvendelsesområde, medmindre der er særlige grunde til at anvende et andet mærkningssystem for bestemte kemiske produkter i deres færdige tilstand, der er beregnet til slutbrugeren. Hver part ajourfører regelmæssigt gennemførelsen heraf på grundlag af de regelmæssigt udstedte revisioner af UN GHS.
2.   Hvis en parts ansvarlige myndighed agter at klassificere individuelle stoffer i overensstemmelse med dens respektive regler og procedurer, giver den den anden parts ansvarlige myndighed mulighed for at tilkendegive sine synspunkter i overensstemmelse med disse respektive regler og procedurer inden for de gældende tidsfrister.
3.   Hver part offentliggør oplysninger om sine procedurer for klassificering af stoffer i overensstemmelse med dens respektive regler og procedurer. Hver part bestræber sig på at reagere på bemærkninger modtaget fra den anden part i henhold til stk. 2.
4.   Intet i denne artikel forpligter nogen af parterne til at opnå et bestemt resultat vedrørende gennemførelsen af UN GHS på sit territorium eller vedrørende klassificeringen af et givet stof eller til at fremme, suspendere eller udsætte sine respektive procedurer og beslutningsprocesser.
Artikel 7
Samarbejde
1.   Parterne anerkender, at frivilligt samarbejde om kemikalieregulering kan lette handelen på måder, der er til gavn for forbrugere, virksomheder og miljøet, og som bidrager til at forbedre beskyttelsen af menneskers og dyrs sundhed.
2.   Parterne forpligter sig til at lette udveksling af ikkefortrolige oplysninger mellem deres ansvarlige myndigheder, herunder gennem samarbejde om elektroniske formater og værktøjer, der anvendes til lagring af data.
3.   Parterne samarbejder, hvor det er hensigtsmæssigt, med henblik på at styrke, udvikle og fremme vedtagelsen og gennemførelsen af internationalt vedtagne videnskabelige eller tekniske retningslinjer, herunder, hvor det er muligt, ved at fremlægge fælles initiativer, forslag og tilgange i de relevante internationale organisationer og organer, navnlig dem, der er omhandlet i artikel 4.
4.   Parterne samarbejder, hvis begge parter finder det fordelagtigt, om formidling af data vedrørende kemikaliesikkerhed og stiller disse oplysninger til rådighed for offentligheden med henblik på at sikre, at de forskellige målgrupper har let adgang til oplysningerne, og at oplysningerne er forståelige. Efter anmodning fra en af parterne forelægger den anden part den anmodende part ikkefortrolige oplysninger om kemikaliesikkerhed.
5.   Hvis en part anmoder herom, og den anden part indvilliger heri, indleder parterne konsultationer om videnskabelige oplysninger og data i forbindelse med nye og fremspirende spørgsmål vedrørende de farer eller risici, som kemikalier udgør for menneskers sundhed eller miljøet, med henblik på at skabe en fælles videnpulje og, hvis det er muligt, og i den udstrækning det lader sig gøre, fremme en fælles forståelse af den videnskabelige indsigt i sådanne spørgsmål.
Artikel 8
Udveksling af oplysninger
Parterne samarbejder og udveksler oplysninger om alle spørgsmål, der er relevante for gennemførelsen af dette bilag i Handelsspecialudvalget vedrørende Tekniske Handelshindringer.
BILAG 14
ØKOLOGISKE PRODUKTER
Artikel 1
Formål og anvendelsesområde
1.   Formålet med dette bilag er at fastsætte bestemmelserne og procedurerne for fremme af handel med økologiske produkter i overensstemmelse med principperne om ikkeforskelsbehandling og gensidighed ved hjælp af parternes anerkendelse af ækvivalens mellem deres respektive lovgivninger.
2.   Dette bilag finder anvendelse på de økologiske produkter, der er opført i tillæg 14-A og 14-B, og som er i overensstemmelse med den lovgivning og de forskrifter, der er opført i tillæg 14-C eller 14-D. Partnerskabsrådet har beføjelse til at ændre tillæg 14-A, 14-B, 14-C og 14-D.
Artikel 2
Definitioner
I dette bilag forstås ved:
a)
"kompetent myndighed": en officiel tjeneste, som har ansvar for gennemførelsen af dette bilag, og som har retlig kompetence over den lovgivning og de forskrifter, der er opført i tillæg 14-C eller 14-D
b)
"kontrolmyndighed": en myndighed, som den relevante myndighed helt eller delvist har overdraget sine kontrol- og attesteringsbeføjelser til inden for økologisk produktion i overensstemmelse med den lovgivning og de forskrifter, der er opført i tillæg 14-C eller 14-D
c)
"kontrolorgan": en enhed, som den relevante myndighed har godkendt til at foretage inspektion og attestering inden for økologisk produktion i overensstemmelse med den lovgivning og de forskrifter, der er opført i tillæg 14-C eller 14-D, og
d)
"ækvivalens": det forhold, at der med forskellig lovgivning, forskellige forskrifter og krav samt inspektions- og attesteringssystemer kan nås de samme mål.
Artikel 3
Anerkendelse af ækvivalens
1.   For så vidt angår de produkter, der er opført i tillæg 14-A, anerkender Unionen Det Forenede Kongeriges love og forskrifter, der er opført i tillæg 14-C, som ækvivalente med Unionens lovgivning og forskrifter, der er opført i tillæg 14-D.
2.   For så vidt angår de produkter, der er opført i tillæg 14-B, anerkender Det Forenede Kongerige Unionens lovgivning og forskrifter, der er opført i tillæg 14-D, som ækvivalente med Det Forenede Kongeriges love og forskrifter, der er opført i tillæg 14-C.
3.   I betragtning af anvendelsesdatoen for Europa-Parlamentets og Rådets forordning (EU) 2018/848 af 30. maj 2018 om økologisk produktion og mærkning af økologiske produkter og om ophævelse af Rådets forordning (EF) nr. 834/2007, som er den 1. januar 2022, skal anerkendelsen af ækvivalens, jf. stk. 1 og 2, tages op til fornyet vurdering af hver part senest den 31. december 2023. Hvis en part som følge af denne fornyede vurdering ikke bekræfter ækvivalensen, suspenderes anerkendelsen af ækvivalens.
4.   Uden at dette berører stk. 3, betragtes de nye regler i tilfælde af ændring, tilbagekaldelse eller erstatning af den lovgivning og de forskrifter, der er opført i tillæg 14-C eller 14-D, som ækvivalente med den anden parts regler, medmindre en part modsætter sig dette i overensstemmelse med den procedure, der er fastsat i stk. 5 og 6.
5.   Hvis en part efter modtagelse af yderligere oplysninger fra den anden part, som den har anmodet om, finder, at den anden parts lovgivninger, forskrifter eller administrative procedurer eller praksisser ikke længere opfylder ækvivalenskravene, fremsætter denne part en begrundet anmodning til den anden part om at ændre de relevante lovgivninger forskrifter eller administrative procedurer eller praksisser og giver den anden part en passende frist, som ikke må være under tre måneder, til at sikre ækvivalens.
6.   Hvis den berørte part efter udløbet af fristen i stk. 5 stadig finder, at ækvivalenskravene ikke er opfyldt, kan denne træffe afgørelse om ensidigt at suspendere anerkendelsen af ækvivalensen af de pågældende love og forskrifter, der er opført i tillæg 14-C eller 14-D, hvad angår de relevante økologiske produkter, der er opført i tillæg 14-A eller 14-B.
7.   Der kan også træffes afgørelse om ensidigt at suspendere anerkendelsen af ækvivalensen af den lovgivning og de forskrifter, der er opført i tillæg 14-C eller 14-D, med hensyn til de relevante økologiske produkter, der er opført i tillæg 14-A eller 14-B, efter udløbet af en frist på tre måneder, når en part ikke har fremsendt de oplysninger, der kræves efter artikel 6, eller ikke er enig i at få foretaget peerevaluering efter artikel 7.
8.   Hvis anerkendelsen af ækvivalens suspenderes i overensstemmelse med denne artikel, drøfter parterne efter anmodning fra en part spørgsmålet i arbejdsgruppen for økologiske produkter, og de gør deres yderste for at overveje mulige foranstaltninger, der kan gøre det muligt at genoprette anerkendelsen af ækvivalens.
9.   Med hensyn til produkter, der ikke er opført i tillæg 14-A eller 14-B, drøftes ækvivalens på anmodning af en part i arbejdsgruppen for økologiske produkter.
Artikel 4
Import og markedsføring
1.   Unionen accepterer import til sit område af de produkter, der er opført i tillæg 14-A, og markedsføring af disse produkter som økologiske produkter, forudsat at disse produkter er i overensstemmelse med Det Forenede Kongeriges love og forskrifter, der er opført i tillæg 14-C, og ledsages af en inspektionsattest udstedt af et kontrolorgan, der er anerkendt af Det Forenede Kongerige og angivet over for Unionen, jf. stk. 3.
2.   Det Forenede Kongerige accepterer import til sit område af de produkter, der er opført i tillæg 14-B, og markedsføring af disse produkter som økologiske produkter, forudsat at disse produkter er i overensstemmelse med Unionens lovgivning og forskrifter, der er opført i tillæg 14-D, og ledsages af en inspektionsattest udstedt af et kontrolorgan, der er anerkendt af Unionen og angivet over for Det Forenede Kongerige, jf. stk. 3.
3.   Hver part anerkender de kontrolmyndigheder eller kontrolorganer, der af den anden part angives som ansvarlige for at udføre den relevante kontrol, for så vidt angår økologiske produkter, som er omfattet af anerkendelse af ækvivalens, som omhandlet i artikel 3, og for at udstede inspektionsattesten, jf. nærværende artikel stk. 1 og 2, med henblik på deres import til og markedsføring på den anden parts område.
4.   Den importerende part tildeler i samarbejde med den anden part kodenumre for hver af de relevante kontrolmyndigheder og kontrolorganer, der er angivet af den anden part.
Artikel 5
Mærkning
1.   Produkter, der importeres til en parts territorium i overensstemmelse med dette bilag, skal opfylde de mærkningskrav, der er fastsat i den importerende parts lovgivning og forskrifter, og som er opført i tillæg 14-C og 14-D. Disse produkter kan være forsynet med Unionens økomærke, ethvert økomærke i Det Forenede Kongerige eller begge mærker som fastsat i de relevante love og bestemmelser, forudsat at disse produkter opfylder mærkningskravene for det respektive mærke eller begge mærker.
2.   Parterne forpligter sig til at undgå misbrug af betegnelser, der henviser til økologisk produktion, i forbindelse med økologiske produkter, der er omfattet af anerkendelsen af ækvivalens i henhold til dette bilag.
3.   Parterne forpligter sig til at beskytte Unionens økomærke og ethvert økomærke i Det Forenede Kongerige, som er defineret i den relevante lovgivning og de relevante forskrifter, mod misbrug og efterligning. Parterne sikrer, at Unionens økomærke og ethvert økomærke i Det Forenede Kongerige alene anvendes til mærkning, reklamevirksomhed eller handelsdokumenter vedrørende produkter, som er i overensstemmelse med den lovgivning og de forskrifter, der er opført i tillæg 14-C og 14-D.
Artikel 6
Udveksling af oplysninger
1.   Parterne udveksler alle relevant oplysninger vedrørende gennemførelsen og anvendelsen af dette bilag. Det gælder navnlig, at hver part senest den 31. marts i det andet år efter denne aftales ikrafttræden og derefter senest den 31. marts hvert år til den anden part sender:
a)
en rapport med oplysninger om arten og mængden af økologiske produkter, der eksporteres i henhold til dette bilag, som dækker perioden fra januar til december i det foregående år
b)
en rapport om sine kompetente myndigheders overvågnings- og tilsynsaktiviteter, de opnåede resultater og de korrigerende foranstaltninger, der er gennemført, som dækker perioden fra januar til december i det foregående år, og
c)
nærmere oplysninger om konstaterede uregelmæssigheder og overtrædelser af den lovgivning og de forskrifter, der er opført i tillæg 14-C eller 14-D, alt efter hvad der er relevant.
2.   Hver part underretter hurtigst muligt den anden part om:
a)
ajourføringer af listen over dens kompetente myndigheder, kontrolmyndigheder og kontrolorganer, herunder de relevante kontaktoplysninger (navnlig adresse og websted)
b)
ændringer eller ophævelser, som parten agter at foretage med hensyn til lovgivning eller forskrifter, der er opført i tillæg 14-C eller 14-D, eventuelle forslag til ny lovgivning eller nye forskrifter eller relevante foreslåede ændringer i administrative procedurer og praksisser i forbindelse med økologiske produkter, der er omfattet af dette bilag, og
c)
ændringer eller ophævelser, som parten har vedtaget med hensyn til lovgivning eller forskrifter, der er opført i tillæg 14-C eller 14-D, eventuel ny lovgivning eller relevante ændringer i administrative procedurer og praksisser i forbindelse med økologiske produkter, der er omfattet af dette bilag.
Artikel 7
Peerevalueringer
1.   Efter et varsel på mindst seks måneder skal hver part tillade tjenestemænd eller eksperter udpeget af den anden part at gennemføre peerevalueringer på deres territorium for at kontrollere, at de relevante kontrolmyndigheder og -organer foretager den kontrol, der kræves for at gennemføre dette bilag.
2.   I det omfang det er tilladt i henhold til den relevante lovgivning, samarbejder hver part med og bistår den anden part i forbindelse med gennemførelsen af de peerevalueringer, der er omhandlet i stk. 1, og som kan omfatte besøg på kontorer hos de relevante kontrolmyndigheder og kontrolorganer, forarbejdningsanlæg og attesterede operatører.
Artikel 8
Arbejdsgruppe for økologiske produkter
1.   Arbejdsgruppen for økologiske produkter bistår Handelsspecialudvalget vedrørende Tekniske Handelshindringer med at overvåge og gennemgå gennemførelsen af dette bilag og sikre, at det fungerer efter hensigten.
2.   Arbejdsgruppen for økologiske produkter har følgende opgaver:
a)
at drøfte ethvert spørgsmål, der opstår i forbindelse med dette bilag, på anmodning af en part, herunder om nødvendigt at ændre dette bilag eller dets tillæg
b)
at lette samarbejdet om love, forskrifter, standarder og procedurer vedrørende økologiske produkter, der er omfattet af dette bilag, herunder drøftelser om tekniske eller reguleringsmæssige spørgsmål vedrørende regler og kontrolsystemer, og
c)
at føre tekniske drøftelser i overensstemmelse med artikel 97 i denne aftale om spørgsmål, der falder ind under dette bilags anvendelsesområde.
Tillæg 14-A
ØKOLOGISKE PRODUKTER FRA DET FORENEDE KONGERIGE,  FOR HVILKE UNIONEN ANERKENDER ÆKVIVALENS
Beskrivelse
Bemærkninger
Uforarbejdede vegetabilske produkter
Levende dyr eller uforarbejdede animalske produkter
Omfatter honning
Akvakulturprodukter og tang
Forarbejdede landbrugsprodukter til konsum
Forarbejdede landbrugsprodukter til foder
Frø og formeringsmateriale
De økologiske produkter, der er opført i dette tillæg, er uforarbejdede landbrugsprodukter eller akvakulturprodukter, som er produceret i Det Forenede Kongerige, eller forarbejdede landbrugsprodukter til konsum eller foder, der er forarbejdet i Det Forenede Kongerige med ingredienser, som er dyrket i Det Forenede Kongerige eller importeret til Det Forenede Kongerige i henhold til Det Forenede Kongeriges love og forskrifter.
Tillæg 14-B
ØKOLOGISKE PRODUKTER FRA UNIONEN,  FOR HVILKE DET FORENEDE KONGERIGE ANERKENDER ÆKVIVALENS
Beskrivelse
Bemærkninger
Uforarbejdede vegetabilske produkter
Levende dyr eller uforarbejdede animalske produkter
Omfatter honning
Akvakulturprodukter og tang
Forarbejdede landbrugsprodukter til konsum
Forarbejdede landbrugsprodukter til foder
Frø og formeringsmateriale
De økologiske produkter, der er opført i dette tillæg, er uforarbejdede landbrugsprodukter eller akvakulturprodukter, som er produceret i Unionen, eller forarbejdede landbrugsprodukter til konsum eller foder, der er forarbejdet i Unionen med ingredienser, som er dyrket i Unionen eller importeret til Unionen i henhold til Unionens love og forskrifter.
Tillæg 14-C
DE I DET FORENEDE KONGERIGE GÆLDENDE  LOVE OG FORSKRIFTER OM ØKOLOGISKE PRODUKTER 
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1
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Følgende love og forskrifter finder anvendelse i Det Forenede Kongerige:
1.
Forordning (EF) nr. 834/2007 som bibeholdt
2.
Forordning (EF) nr. 889/2008 som bibeholdt
3.
Forordning (EF) nr. 1235/2008 som bibeholdt
4.
Forordningerne om økologiske produkter fra 2009 (SI 2009/842).
Tillæg 14-D
DE I UNIONEN GÆLDENDE LOVE OG FORSKRIFTER  OM ØKOLOGISKE PRODUKTER
Følgende love og forskrifter finder anvendelse i Unionen:
1.
Rådets forordning (EF) nr. 834/2007 af 28. juni 2007 om økologisk produktion og mærkning af økologiske produkter og om ophævelse af forordning (EØF) nr. 2092/91 
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2
)
2.
Kommissionens forordning (EF) nr. 889/2008 af 5. september 2008 om gennemførelsesbestemmelser til Rådets forordning (EF) nr. 834/2007 om økologisk produktion og mærkning af økologiske produkter, for så vidt angår økologisk produktion, mærkning og kontrol 
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3
)
3.
Kommissionens forordning (EF) nr. 1235/2008 af 8. december 2008 om gennemførelsesbestemmelser til Rådets forordning (EF) nr. 834/2007 for så vidt angår ordninger for import af økologiske produkter fra tredjelande 
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4
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.
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1
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  Henvisninger på denne liste til EU-ret, der bibeholdes, anses for at være henvisninger til sådan lovgivning som ændret af Det Forenede Kongerige, der skal gælde for Det Forenede Kongerige.
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2
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EUT L 189 af 20.7.2007, s. 1
.
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3
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EUT L 250 af 18.9.2008, s. 1
.
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EUT L 334 af 12.12.2008, s. 25
.
BILAG 15
HANDEL MED VIN
Artikel 1
Anvendelsesområde og definitioner
1.   Dette bilag finder anvendelse på vine, der henhører under position 22.04 i det harmoniserede system.
2.   I dette bilag forstås ved "vin produceret i" friske druer, druemost og delvis gæret druemost, der er anvendt til fremstilling af vin eller som tilsætning til vin på den eksporterende parts område.
Artikel 2
Produktdefinitioner, ønologiske fremgangsmåder og behandlingsmetoder
1.   Med henblik på dette bilag betragtes ønologiske fremgangsmåder, der er anbefalet og offentliggjort af Den Internationale Vinorganisation ("OIV"), som relevante internationale standarder.
2.   Hver part tillader import og salg til konsum af vin produceret på den anden parts område, hvis vinen er produceret i overensstemmelse med:
a)
de produktdefinitioner, der er godkendt på hver af parternes område i henhold til de i tillæg 15-A omhandlede love og forskrifter
b)
de ønologiske fremgangsmåder, som hver part har indført i henhold til de i tillæg 15-A omhandlede love og forskrifter, og som opfylder de relevante OIV-standarder, og
c)
de i tillæg 15-B opførte ønologiske fremgangsmåder og restriktioner, som hver part har indført, og som ikke opfylder de relevante OIV-standarder.
3.   Partnerskabsrådet har beføjelse til at ændre de i stk. 2 omhandlede tillæg.
Artikel 3
Certificeringskrav for import til parternes respektive område
1.   For vin, der er produceret på den ene parts område og bringes i omsætning på den anden parts marked, begrænses den dokumentation og certificering, der kan kræves af hver af parterne, til en attest som fastlagt i tillæg 15-C, der er påtegnet i overensstemmelse med den eksporterende parts love og forskrifter.
2.   En attest, der kræves i henhold til stk. 1, kan udstedes i form af et elektronisk dokument. Adgang til det elektroniske dokument eller de data, der er nødvendige til oprettelse heraf, gives af hver part på anmodning af de kompetente myndigheder i den anden part, hvor varerne skal overgå til fri omsætning. Hvis der ikke er adgang til de pågældende elektroniske systemer, kan de nødvendige data også rekvireres i papirudgave.
3.   Partnerskabsrådet har beføjelse til at ændre tillæg 15-C.
4.   De analysemetoder, som OIV har anerkendt som referencemetoder og offentliggjort, anvendes som referencemetoder ved bestemmelse af vins analysemæssige sammensætning med henblik på kontrolforanstaltninger.
Artikel 4
Fødevareinformation og partikoder
1.   Medmindre andet er fastsat i denne artikel, mærkes vin, der importeres og markedsføres i henhold til denne aftale, i overensstemmelse med de love og forskrifter, der finder anvendelse på den importerende parts område.
2.   En part må ikke kræve, at vinbeholderen, -etiketten eller -emballagen skal være påført nogen af følgende eller tilsvarende datoer:
a)
pakkedato
b)
aftapningsdato
c)
fremstillingsdato
d)
udløbsdato eller sidste anvendelsesdato
e)
bedst før-dato eller
f)
sidste salgsdato.
Uanset første afsnit, litra e), kan en part kræve, at der angives en bedst før-dato for produkter, der grundet tilsætning af fordærvelige ingredienser kan have en kortere bedst før-dato, end forbrugeren normalt ville kunne forvente.
3.   Hver part sikrer, at der på emballerede produkter angives en kode, der gør det muligt at identificere det parti, som produktet tilhører, i henhold til lovgivningen i den part, der eksporterer det emballerede produkt. Partikoden skal være klart synlig, letlæselig og umulig at slette. En part må ikke tillade markedsføring af emballerede produkter, som ikke opfylder de i dette stykke fastlagte krav.
4.   Hver part tillader obligatoriske oplysninger, herunder om nødvendigt oversættelser eller angivelse af antal genstande, som skal fremgå af en supplerende etiket fastgjort til en vinbeholder. Supplerende etiketter kan fastgøres til en vinbeholder efter importen af et produkt, men inden det bringes i omsætning på den pågældende parts marked, forudsat at de obligatoriske oplysninger er fuldstændigt og korrekt angivet.
5.   Den importerende part må ikke kræve, at allergener, der er anvendt i fremstillingen af vinen, men som ikke indgår i det færdige produkt, skal angives på etiketten.
Artikel 5
Overgangsforanstaltninger
Vin, som på datoen for denne aftales ikrafttræden, er blevet produceret, beskrevet og mærket i henhold til en af parternes love og forskrifter, men på en måde, der ikke opfylder kravene i nærværende bilag, kan fortsat mærkes og bringes i omsætning på markedet som følger:
a)
af grossister eller producenter i en periode på to år fra denne aftales ikrafttræden og
b)
af detailhandlere, indtil lagrene er opbrugt.
Artikel 6
Udveksling af oplysninger
Parterne samarbejder og udveksler oplysninger om alle spørgsmål, der er relevante for gennemførelsen af dette bilag i Handelsspecialudvalget vedrørende Tekniske Handelshindringer.
Artikel 7
Evaluering
Senest tre år efter denne aftales ikrafttræden overvejer parterne yderligere skridt til at lette handelen med vin mellem parterne.
Tillæg 15-A
PARTERNES LOVE OG FORSKRIFTER
Det Forenede Kongeriges love og forskrifter 
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1
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:
De i artikel 2, stk. 2, omhandlede love og forskrifter vedrørende:
a)
produktdefinitioner:
i)
forordning (EU) nr. 1308/2013 som bibeholdt, navnlig produktionsregler i vinsektoren, i overensstemmelse med artikel 75, 81 og 91 og nævnte forordnings bilag II, del IV, bilag VII, del II, og dens gennemførelsesbestemmelser, herunder senere ændringer
ii)
Kommissionens delegerede forordning (EU) 2019/33 som bibeholdt, navnlig artikel 47 og 52-54 og nævnte forordnings bilag III, V og VI, herunder senere ændringer
iii)
forordning (EU) nr. 1169/2011 som bibeholdt, herunder senere ændringer
b)
ønologiske fremgangsmåder og restriktioner:
i)
forordning (EU) nr. 1308/2013 som bibeholdt, navnlig ønologiske fremgangsmåder og restriktioner i overensstemmelse med artikel 80 og 83 og nævnte forordnings bilag VIII og dens gennemførelsesbestemmelser, herunder senere ændringer
ii)
Kommissionens delegerede forordning (EU) 2019/934 som bibeholdt, herunder senere ændringer.
Unionens love og forskrifter:
De i artikel 2, stk. 2, omhandlede love og forskrifter vedrørende:
a)
produktdefinitioner:
i)
Europa-Parlamentets og Rådets forordning (EU) nr. 1308/2013 
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2
)
, navnlig produktionsregler i vinsektoren, i overensstemmelse med artikel 75, 81 og 91 og nævnte forordnings bilag II, del IV, bilag VII, del II, og dens gennemførelsesbestemmelser, herunder senere ændringer
ii)
Kommissionens delegerede forordning (EU) 2019/33 
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3
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, navnlig artikel 47 og 52-54 og nævnte forordnings bilag III, V og VI, herunder senere ændringer
iii)
Europa-Parlamentets og Rådets forordning (EU) nr. 1169/2011 
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4
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, herunder senere ændringer.
b)
ønologiske fremgangsmåder og restriktioner:
i)
forordning (EU) nr. 1308/2013, navnlig ønologiske fremgangsmåder og restriktioner, i henhold til artikel 80 og 83 og nævnte forordnings bilag VIII og dens gennemførelsesbestemmelser, herunder senere ændringer
ii)
Kommissionens delegerede forordning (EU) 2019/934 
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5
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, herunder senere ændringer.
Tillæg 15-B
YDERLIGERE ØNOLOGISKE FREMGANGSMÅDER OG RESTRIKTIONER,  DER ER GODKENDT AF PARTERNE I FÆLLESSKAB
1)
Koncentreret druemost, rektificeret koncentreret druemost og sakkarose kan anvendes som tilsætning og til sødning på særlige og begrænsede betingelser som fastlagt i del I i bilag VIII til forordning (EU) nr. 1308/2013 og i del I i bilag VIII til forordning (EU) nr. 1308/2013 som bibeholdt, idet anvendelse af disse produkter i rekonstitueret form i vin, der er omfattet af denne aftale, dog er udelukket.
2)
Tilsætning af vand i forbindelse med vinfremstilling er ikke tilladt, medmindre dette er nødvendigt af en særlig teknisk grund.
3)
Frisk vinbærme kan anvendes på særlige og begrænsede betingelser som fastlagt i tabel 2, linje 11.2, i bilag I til Kommissionens delegerede forordning (EU) 2019/934 og i del A, tabel 2, linje 11.2, i bilag I til Kommissionens delegerede forordning (EU) 2019/934 som bibeholdt.
Tillæg 15-C
MODEL FOR SELVCERTIFICERINGSFORMULAR FOR VIN, DER ER IMPORTERET FRA [DEN EUROPÆISKE UNION / DET FORENEDE KONGERIGE] TIL [DET FORENEDE KONGERIGE / DEN EUROPÆISKE UNION]
(1)
1.
Eksportør (navn og adresse)
2.
Løbenummer
(2)
3.
Importør (navn og adresse)
4.
Den kompetente myndighed på afsendelsesstedet I [Den Europæiske Union / Det Forenede Kongerige]
(3)
5.
Toldvæsenets påtegning (udfyldes af toldvæsenet i [Den Europæiske Union / Det Forenede Kongerige])
6.
Transportform og nærmere beskrivelse af transporten
(4)
7.
Udlosningssted (hvis forskellig fra 3)
8.
Beskrivelse af det importerede produkt
(5)
9.
Mængde i l/hl/kg
10.
Antal beholdere
(6)
11.
Attest
Det produkt, som er beskrevet i det foregående, er beregnet til direkte konsum og overholder de definitioner og ønologiske fremgangsmåder, der er tilladt i henhold til bilag 15 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side. Produktet er fremstillet af en producent, som er underlagt inspektion og tilsyn af følgende kompetente myndighed
(7)
:
Afsenderen, der bekræfter ovenanførte oplysninger
(8)
Identifikation af afsenderen
(9)
Sted, dato og afsenderens underskrift
(1)
I henhold til artikel 3, stk. 1, i bilag 15 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side.
(2)
Angiv sendingens sporingsnummer, dvs. et løbenummer, der identificerer sendingen hos eksportøren.
(3)
Angiv navn, adresse og kontaktoplysninger på den kompetente myndighed i en af Den Europæiske Unions medlemsstater eller i Det Forenede Kongerige, hvorfra sendingen eksporteres, og som har ansvaret for at verificere de oplysninger, hvortil der henvises i denne attest.
(4)
Angiv den anvendte transport til indgangsstedet til Den Europæiske Union eller Det Forenede Kongerige; angiv transportform (skib, luftfragt osv.) og navn på anvendte transport (navn på skib, nummer på fly osv.).
(5)
Angiv følgende oplysninger:
—
salgsbetegnelse, som den fremgår af etiketten
—
producentens navn
—
vindyrkningsområde
—
produktionslandets navn (en af Den Europæiske Unions medlemsstater eller Det Forenede Kongerige)
—
en geografiske betegnelse, hvis det er relevant
—
totalt alkoholindhold i volumen
—
produktets farve (angiv kun "rød", "rosé", "pink" eller "hvid")
—
kode i den kombinerede nomenklatur (KN-kode).
(6)
En beholder vil sige en vinbeholder på mindre end 60 liter. Antallet af beholdere kan være antallet af flasker.
(7)
Angiv fulde navn, adresse og kontaktoplysninger på den pågældende kompetente myndighed i en af Den Europæiske Unions medlemsstater eller i Det Forenede Kongerige.
(8)
Angiv fulde navn, adresse og kontaktoplysninger på afsenderen.
(9)
Angiv:
—
for Den Europæiske Union: punktafgiftsnummer i systemet for udveksling af punktafgiftsoplysninger (SEED) eller momsnummer, hvis afsenderen ikke har et SEED-nummer, eller en henvisning til nummeret på den liste eller i det register, der er omhandlet i artikel 8, stk. 3, i Kommissionens delegerede forordning (EU) 2018/273 
(
6
)
—
for Det Forenede Kongerige: punktafgiftsnummer i systemet for udveksling af punktafgiftsoplysninger (SEED) eller momsnummer, hvis afsenderen ikke har et SEED-nummer, eller en henvisning til WSB-nummeret (Wine and Spirit Board).
(
1
)
  Henvisninger på denne liste til EU-ret, der bibeholdes, anses for at være henvisninger til sådan lovgivning som ændret af Det Forenede Kongerige, der skal gælde for Det Forenede Kongerige.
(
2
)
  Europa-Parlamentets og Rådets forordning (EU) nr. 1308/2013 af 17. december 2013 om en fælles markedsordning for landbrugsprodukter og om ophævelse af Rådets forordning (EØF) nr. 922/72, (EØF) nr. 234/79, (EF) nr. 1037/2001 og (EF) nr. 1234/2007 (
EUT L 347 af 20.12.2013, s. 671
).
(
3
)
  Kommissionens delegerede forordning (EU) 2019/33 af 17. oktober 2018 om supplerende regler til Europa-Parlamentets og Rådets forordning (EU) nr. 1308/2013 for så vidt angår ansøgninger om beskyttelse af oprindelsesbetegnelser, geografiske betegnelser og traditionelle benævnelser i vinsektoren, indsigelsesproceduren, restriktioner for anvendelsen, ændringer af produktspecifikationer, annullering af beskyttelsen og mærkning og præsentation (
EUT L 9 af 11.1.2019, s. 2
).
(
4
)
  Europa-Parlamentets og Rådets forordning (EU) nr. 1169/2011 af 25. oktober 2011 om fødevareinformation til forbrugerne, om ændring af Europa-Parlamentets og Rådets forordning (EF) nr. 1924/2006 og (EF) nr. 1925/2006 og om ophævelse af Kommissionens direktiv 87/250/EØF, Rådets direktiv 90/496/EØF, Kommissionens direktiv 1999/10/EF, Europa-Parlamentets og Rådets direktiv 2000/13/EF, Kommissionens direktiv 2002/67/EF og 2008/5/EF og Kommissionens forordning (EF) nr. 608/2004 (
EUT L 304 af 22.11.2011, s. 18
).
(
5
)
  Kommissionens delegerede forordning (EU) 2019/934 af 12. marts 2019 om supplerende regler til Europa-Parlamentets og Rådets forordning (EU) nr. 1308/2013 for så vidt angår vindyrkningsområder, hvor alkoholindholdet kan forhøjes, de tilladte ønologiske fremgangsmåder og restriktioner for produktion og konservering af vinavlsprodukter, minimumsalkoholindholdet for biprodukter og deres bortskaffelse samt offentliggørelsen af OIV-dossierer (
EUT L 149 af 7.6.2019, s. 1
).
(
6
)
  Kommissionens delegerede forordning (EU) 2018/273 af 11. december 2017 om supplerende regler til Europa-Parlamentets og Rådets forordning (EU) nr. 1308/2013 for så vidt angår tilladelsesordningen for plantning af vinstokke, fortegnelsen over vindyrkningsarealer, ledsagedokumenter og certificering, ind- og udgangsbøger, obligatoriske anmeldelser, meddelelser og offentliggørelse af meddelte oplysninger, om supplerende regler til Europa-Parlamentets og Rådets forordning (EU) nr. 1306/2013 for så vidt angår de relevante kontroller og sanktioner, om ændring af Kommissionens forordning (EF) nr. 555/2008, (EF) nr. 606/2009 og (EF) nr. 607/2009 og om ophævelse af Kommissionens forordning (EF) nr. 436/2009 og Kommissionens delegerede forordning (EU) 2015/560 (
EUT L 58 af 28.2.2018, s. 1
).
BILAG 16
ORDNING, SOM ER OMHANDLET I ARTIKEL 96, STK. 4,  FOR RegelMÆSSIG UDVEKSLING AF OPLYSNINGER OM SIKKERHEDEN  VED NONFOODPRODUKTER OG RELATEREDE FOREBYGGENDE, RESTRIKTIVE  OG KORRIGERENDE FORANSTALTNINGER
Dette bilag fastlægger en ordning for regelmæssig udveksling af oplysninger mellem Unionens system for hurtig varsling vedrørende nonfoodprodukter (RAPEX) eller dets efterfølger og Det Forenede Kongeriges database vedrørende markedsovervågning og produktsikkerhed, der er oprettet i henhold til General Product Safety Regulations 2005 eller dets efterfølger.
I overensstemmelse med artikel 96, stk. 8, i denne aftale præciserer ordningen, hvilken type oplysninger der skal udveksles, betingelserne for udvekslingen og anvendelsen af regler om fortrolighed og beskyttelse af personoplysninger.
BILAG 17
ORDNING, SOM ER OMHANDLET I ARTIKEL 96, STK. 5, FOR REGELMÆSSIG UDVEKSLING AF OPLYSNINGER OM FORANSTALTNINGER,  DER ER TRUFFET VEDRØRENDE ANDRE IKKEOVERENSSTEMMENDE  NONFOODPRODUKTER END DEM, DER ER OMFATTET AF ARTIKEL 96, STK. 4
Dette bilag fastlægger en ordning for regelmæssig udveksling af oplysninger, herunder elektronisk udveksling af oplysninger, om foranstaltninger, der er truffet vedrørende andre ikkeoverensstemmende nonfoodprodukter end dem, der er omfattet af artikel 96, stk. 4, i denne aftale.
I overensstemmelse med artikel 96, stk. 8, i denne aftale præciserer ordningen, hvilken type oplysninger der skal udveksles, betingelserne for udvekslingen og anvendelsen af regler om fortrolighed og beskyttelse af personoplysninger.
BILAG 18
AUTORISEREDE ØKONOMISKE OPERATØRER
Artikel 1
Kriterier for og behandling af autoriserede økonomiske operatører
1.   De fastsatte kriterier for godkendelse som autoriseret økonomisk operatør, jf. artikel 110 i denne aftale, fastsættes i parternes love, forskrifter eller procedurer. De fastsatte kriterier, som offentliggøres, skal omfatte:
a)
ingen alvorlige eller gentagne overtrædelser af told- og skattelovgivningen, herunder ingen registrering af alvorlige strafbare handlinger i tilknytning til ansøgerens økonomiske virksomhed
b)
ansøgerens bevis for en høj grad af kontrol over sin virksomhed og over varestrømmen i kraft af et system til forvaltning af forretningsregnskaber og, om nødvendigt, transportdokumenter, som gør det muligt at gennemføre passende toldkontrol
c)
økonomisk solvens, der anses for bevist, når ansøgeren har en god økonomisk formåen, der sætter den pågældende i stand til at opfylde sine forpligtelser under behørig hensyntagen til den berørte erhvervsaktivitets særlige karakteristika, og
d)
passende sikkerheds- og sikringsstandarder, der anses for opfyldt, når ansøgeren godtgør, at der opretholdes passende foranstaltninger til at garantere den internationale forsyningskædes sikkerhed, herunder hvad angår den fysiske integritet og adgangskontrol, logistiske processer og behandling af særlige varetyper, personale og identifikation af vedkommendes handelspartnere.
2.   De fastsatte kriterier for godkendelse som autoriseret økonomisk operatør udformes eller anvendes ikke med henblik på at udøve eller give anledning til vilkårlig eller uberettiget forskelsbehandling af operatører, hvor de samme forhold gør sig gældende. Disse kriterier skal gøre det muligt for små og mellemstore virksomheder at blive godkendt som autoriserede økonomiske operatører.
3.   Det handelspartnerskabsprogram, der er omhandlet i denne aftales artikel 110, skal omfatte følgende behandling:
a)
der tages positivt hensyn til status for en autoriseret økonomisk operatør, der er bemyndiget af den anden part, således at antallet af inspektioner, kontroller og andre lignende sikkerheds- og sikringsforanstaltninger kan nedbringes
b)
der gives prioritet til inspektion af forsendelser, der er omfattet af indpassage- eller udpassageangivelse indgivet af en autoriseret økonomisk operatør, hvis toldmyndigheden beslutter at gennemføre en inspektion
c)
der tages hensyn til status for en autoriseret økonomisk operatører, der er bemyndiget af den anden part, med henblik på at behandle den autoriserede økonomiske operatør som en sikker partner, når den vurderer kravene til forretningspartnere for ansøgere i henhold til sit eget program, og
d)
det tilstræbes at oprette en fælles mekanisme for forretningskontinuitet for at kunne reagere på afbrydelser i samhandelen på grund af forhøjet alarmniveau, grænselukninger og/eller naturkatastrofer, farlige nødsituationer eller andre alvorlige hændelser, således at vigtigt gods, der har tilknytning til den autoriserede økonomiske operatør, kan behandles og sendes i videst muligt omfang af parternes toldmyndigheder.
Artikel 2
Gensidig anerkendelse og ansvar for gennemførelse
1.   Status som autoriseret økonomisk operatør i henhold til Unionens og Det Forenede Kongeriges handelspartnerskabsprogrammer anerkendes som værende forenelig, og indehavere af den status som autoriseret økonomisk operatør, der tildeles i henhold til hvert program, behandles på en måde, der er i overensstemmelse med artikel 4.
2.   De pågældende handelspartnerskabsprogrammer er:
a)
Den Europæiske Unions program for autoriserede økonomiske operatører (sikkerhed og sikring) (artikel 38, stk. 2, litra b), i forordning (EU) nr. 952/2013)
b)
Det Forenede Kongeriges program for autoriserede økonomiske operatører (sikring og sikkerhed) (artikel 38, stk. 2, litra b), i forordning (EU) nr. 952/2013 som gengivet i Det Forenede Kongeriges nationale lovgivning).
3.   Toldmyndighederne som defineret i artikel 512, litra a), i denne aftale ("toldmyndighederne") er ansvarlige for gennemførelse af bestemmelserne i dette bilag.
Artikel 3
Forenelighed
1.   Parterne samarbejder om at opretholde foreneligheden mellem de standarder, som anvendes for hvert af deres handelspartnerskabsprogrammer i følgende spørgsmål:
a)
ansøgningsprocedure for tildeling af status som autoriseret økonomisk operatør til operatører
b)
vurdering af ansøgninger om status som autoriseret økonomisk operatør
c)
tildeling af status som autoriseret økonomisk operatør og
d)
forvaltning, overvågning, suspension og revurdering samt tilbagekaldelse af status som autoriseret økonomisk operatør.
Parterne sikrer, at deres toldmyndigheder overvåger autoriserede økonomiske operatørers overholdelse af relevante vilkår og krav.
2.   Parterne udarbejder et fælles arbejdsprogram, der fastsætter et mindsteantal af fælles valideringer af indehavere af status som autoriseret økonomisk operatør i henhold til hvert af de handelspartnerskabsprogrammer, som skal gennemføres senest inden udgangen af 2021.
3.   Parterne sikrer, at handelspartnerskabsprogrammerne anvendes inden for de relevante standarder i SAFE-rammen.
Artikel 4
Behandling af statusindehavere
1.   Hver part sikrer en behandling, der kan sammenlignes med den behandling, der gives autoriserede økonomiske operatører i henhold til den anden parts handelspartnerskabsprogram. Denne behandling skal navnlig omfatte den behandling, der er fastsat i artikel 1, stk. 3.
2.   Hver part kan suspendere den i artikel 1, stk. 3, omhandlede behandling af en autoriseret økonomisk operatør omfattet af den anden parts handelspartnerskabsprogram i henhold til denne aftale, hvis den pågældende autoriserede økonomiske operatør ikke længere opfylder de retlige krav. En sådan suspension skal omgående meddeles til den anden toldmyndighed med supplerende oplysninger vedrørende begrundelsen for suspensionen, hvis det er relevant.
3.   Hver part underretter den anden part, hvis det fastslås, at en autoriseret økonomisk operatør, der er godkendt af den anden toldmyndighed, har begået en uregelmæssighed, så sidstnævnte kan træffe en velbegrundet beslutning om tilbagekaldelse eller suspension af operatørens status som autoriseret økonomisk operatør.
Artikel 5
Udveksling af oplysninger og kommunikation
1.   Parterne bestræber sig på at kommunikere effektivt med hinanden i forbindelse med gennemførelsen af denne aftale. De udveksler oplysninger og fremmer kommunikationen om deres respektive handelspartnerskabsprogrammer, særligt ved:
a)
i god tid at ajourføre oplysninger om deres handelspartnerskabsprogrammer med hensyn til anvendelse og ændringer
b)
at udveksle oplysninger, der kan være nyttige for begge parter, om sikkerhed i forsyningskæden
c)
at udpege kontaktpunkterne for deres respektive handelspartnerskabsprogrammer og give den anden part kontaktoplysninger for disse kontaktpunkter og
d)
at sørge for, at kommunikationen mellem de forskellige organer under henholdsvis Europa-Kommissionens Generaldirektorat for Beskatning og Toldunion og Her Majesty's Revenue and Customs (Det Forenede Kongeriges toldmyndighed) fungerer effektivt med henblik på at forbedre risikostyringsprocedurerne i henhold til deres respektive handelspartnerskabsprogrammer, hvad angår forsyningskædesikkerhed fra de autoriserede økonomiske operatørers side.
2.   Oplysninger og dermed forbundne data skal udveksles systematisk ved hjælp af elektroniske midler.
3.   Data til udveksling vedrørende autoriserede økonomiske operatører omfatter:
a)
navn
b)
adresse
c)
deltagerstatus
d)
validerings- eller autorisationsdato
e)
suspensioner og tilbagekaldelser
f)
det særlige autorisations- eller identificeringsnummer (i en form, der er fastlagt af toldmyndighederne i fællesskab) og
g)
andre oplysninger, som toldmyndighederne i fællesskab har fastlagt, dog med forbehold af i givet fald nødvendige beskyttelsesforanstaltninger.
Udveksling af data påbegyndes ved denne aftales ikrafttræden.
4.   Parterne bestræber sig bedst muligt på senest seks måneder efter denne aftales ikrafttræden at etablere en ordning for fuldt automatiseret udveksling af de data, der er omhandlet i stk. 3, og gennemfører under alle omstændigheder en sådan ordning senest et år efter denne aftales ikrafttræden.
Artikel 6
Behandling af data
Enhver udveksling af oplysninger mellem parterne i henhold til dette bilag er med de fornødne ændringer omfattet af de krav om fortrolighed og beskyttelse af oplysninger, der er fastsat i artikel 12 i protokollen om gensidig administrativ bistand i toldspørgsmål.
Artikel 7
Konsultationer og evaluering
Handelsspecialudvalget vedrørende Toldsamarbejde og Oprindelsesregler reviderer regelmæssigt gennemførelsen af bestemmelserne i dette bilag. Denne revision omfatter:
a)
fælles validering af den af hver part tildelte status som autoriseret operatør for at udpege styrker og svagheder i gennemførelsen af dette bilag
b)
udveksling af synspunkter vedrørende oplysninger, der skal udveksles, samt behandling af operatører.
Artikel 8
Suspension og ophør
1.   En part kan følge den i stk. 2 fastsatte procedure, hvis en af følgende omstændigheder gør sig gældende:
a)
Inden eller senest tre måneder efter denne aftales ikrafttræden har den anden part foretaget væsentlige ændringer af de retlige bestemmelser, der er omhandlet i artikel 2, stk. 2, og som er blevet vurderet for at fastslå, om handelspartnerskabsprogrammerne er forenelige, således at den forenelighed, der kræves for anerkendelse i henhold til artikel 2, stk. 1, ikke længere findes.
b)
Bestemmelserne i artikel 5, stk. 2, er ikke operationelle.
2.   Hvis en af de omstændigheder, der er omhandlet i stk. 1, litra a) eller b), gør sig gældende, kan en part suspendere den i artikel 2, stk. 1, omhandlede anerkendelse 60 dage efter at have meddelt den anden part sin hensigt.
3.   Hvis en part meddeler, at den har til hensigt at suspendere den i artikel 2, stk. 1, omhandlede anerkendelse i overensstemmelse med nærværende artikels stk. 2, kan den anden part anmode om konsultationer i Handelsspecialudvalget vedrørende Toldsamarbejde og Oprindelsesregler. Konsultationerne afholdes inden for 60 dage fra datoen for anmodningen.
4.   En part kan følge den i stk. 5 fastsatte procedure, hvis en af følgende omstændigheder gør sig gældende:
a)
Den anden part ændrer sit program for autorisede økonomiske operatører eller gennemførelsen af dette program, således at den forenelighed, der kræves for anerkendelse i henhold til artikel 2, stk. 1, ikke længere gør sig gældende.
b)
De fælles valideringer, der er omhandlet i artikel 3, stk. 2, bekræfter ikke foreneligheden af parternes respektive programmer for autorisede økonomiske operatører.
5.   Hvis en af de omstændigheder, der er omhandlet i stk. 4, litra a) og b), gør sig gældende, kan en part anmode om konsultationer med den anden part inden for rammerne af Handelsspecialudvalget vedrørende Toldsamarbejde og Oprindelsesregler. Konsultationerne afholdes inden for 60 dage fra datoen for anmodningen. Hvis en part 90 dage efter anmodningen stadig mener, at den forenelighed, der kræves for anerkendelse i henhold til artikel 2, stk. 1, ikke længere før sig gældende, kan den meddele den anden part sin hensigt om at suspendere anerkendelsen af dennes program. Suspenderingen træder i kraft 30 dage efter meddelelsen.
BILAG 19
EKSISTERENDE FORANSTALTNINGER
Indledende noter
1.
I Det Forenede Kongeriges og Unionens lister er der i denne aftales artikel 133, 139 og 195 fastsat de forbehold, som Det Forenede Kongerige og Unionen har taget med hensyn til eksisterende foranstaltninger, der ikke er forenelige med forpligtelserne i henhold til:
a)
denne aftales artikel 128 eller 135
b)
denne aftales artikel 136
c)
denne aftales artikel 129 eller 137
d)
denne aftales artikel 130 eller 138
e)
denne aftales artikel 131
f)
denne aftales artikel 132 eller
g)
denne aftales artikel 194.
2.
En parts forbehold berører ikke parternes rettigheder og forpligtelser i medfør af GATS.
3.
Hvert forbehold omfatter følgende elementer:
a)
ved "sektor" forstås den overordnede sektor, hvori forbeholdet er taget
b)
ved "delsektor" forstås den specifikke sektor, hvori forbeholdet er taget
c)
"brancheklassifikation" henviser i givet fald til den aktivitet, der er omfattet af forbeholdet i henhold til CPC, ISIC Rev. 3.1, eller som på anden vis udtrykkeligt er beskrevet i nævnte forbehold
d)
"forbeholdstype" præciserer den forpligtelse, der er omhandlet i punkt 1, og for hvilken der er taget et forbehold
e)
"forvaltningsniveau" angiver det forvaltningsniveau, hvorpå den foranstaltning, som der er taget forbehold for, opretholdes
f)
"foranstaltninger" angiver de love eller andre foranstaltninger, som i givet fald præciseres under elementet "beskrivelse", og som der er taget forbehold for. En "foranstaltning", der er anført under elementet "foranstaltninger":
i)
betyder foranstaltningen som ændret, opretholdt eller fornyet fra datoen for denne aftales ikrafttræden
ii)
omfatter enhver underordnet foranstaltning, der vedtages eller opretholdes i henhold til beføjelsen i og i overensstemmelse med foranstaltningen, og
iii)
for så vidt angår Den Europæiske Unions liste, omfatter alle love og andre foranstaltninger, som gennemfører et direktiv på medlemsstatsplan, og
g)
"beskrivelse" indeholder de ikkeforenelige aspekter i den eksisterende foranstaltning, som der er taget forbehold for.
4.
Det præciseres, at hvis en part vedtager en ny foranstaltning på et andet regeringsniveau end det, hvor forbeholdet oprindeligt blev taget, og denne nye foranstaltning rent faktisk erstatter det ikkeforenelige aspekt af den oprindelige foranstaltning, der er nævnt i elementet "foranstaltninger", inden for det område, den finder anvendelse på, anses den nye foranstaltning for at udgøre en "ændring" af den oprindelige foranstaltning som omhandlet i denne aftales artikel 133, stk. 1, litra c), artikel 139, stk. 1, litra c), artikel 144, litra c), og artikel 195, stk. 1, litra c).
5.
I forbindelse med fortolkning af et forbehold skal der tages højde for alle elementer i forbeholdet. Et forbehold skal fortolkes i lyset af de relevante forpligtelser i de kapitler eller afsnit, som der er taget forbehold for. Elementet "foranstaltninger" går forud for alle andre elementer.
6.
Med henblik på anvendelsen af Det Forenede Kongeriges og Unionens lister forstås ved:
a)
"ISIC Rev. 3.1": den internationale standardklassifikation af al erhvervsmæssig virksomhed som fastsat i de statistiske publikationer fra De Forenede Nationers statistiske kontor, Statistical Papers, Series M, No. 4, ISIC Rev. 3.1, 2002
b)
"CPC": den foreløbige centrale produktnomenklatur (Statistical Papers Series M No. 77, Department of International Economic and Social Affairs, Statistical Office of the United Nations, New York, 1991).
7.
Med henblik på anvendelsen af Det Forenede Kongeriges og Unionens lister tages et forbehold for kravet om lokal tilstedeværelse på Unionens eller Det Forenede Kongeriges område, jf. denne aftales artikel 136, men ikke denne aftales artikel 135 eller 137. Desuden tages et sådant krav ikke som et forbehold for denne aftales artikel 129.
8.
Et forbehold taget på EU-plan finder anvendelse på en foranstaltning truffet af Unionen, en foranstaltning truffet af en medlemsstat på centralt plan eller en foranstaltning truffet af en regering i en medlemsstat, medmindre forbeholdet udelukker en medlemsstat. Et forbehold taget af en medlemsstat finder anvendelse på en foranstaltning truffet af en regering på centralt, regionalt eller lokalt plan i den pågældende medlemsstat. Hvad angår forbeholdene i Belgien, omfatter det centrale forvaltningsniveau forbundsregeringen og regeringerne i regionerne og fællesskaberne, da hver af disse har samme lovgivende myndighed. Med henblik på forbeholdene i Unionen og dens medlemsstater betyder et regionalt forvaltningsniveau i Finland Ålandsøerne. Et forbehold taget af Det Forenede Kongerige gælder for en foranstaltning truffet af centralregeringen, en regional regering eller en lokal myndighed.
9.
Nedenstående liste over forbehold omfatter ikke foranstaltninger vedrørende kvalifikationskrav og -procedurer, tekniske standarder og licenskrav og -procedurer, hvis de ikke udgør en begrænsning som omhandlet i denne aftales artikel 128, 129, 135, 136, 137 eller 194. Disse foranstaltninger omfatter navnlig kravet om licens, kravet om at levere forsyningspligtydelser, kravet om anerkendte kvalifikationer inden for regulerede sektorer, kravet om at bestå specifikke eksamener, herunder sprogeksamener, kravet om medlemskab af et bestemt erhverv såsom en faglig organisation, kravet om en lokal repræsentant for tjenester eller en lokal adresse og andre ikkediskriminerende krav om, at visse aktiviteter ikke må udøves i beskyttede områder. Disse foranstaltninger finder fortsat anvendelse, selv om de ikke er opført på listen.
10.
Det skal præciseres, at for Unionens vedkommende indebærer forpligtelsen til at indrømme national behandling ikke krav om, at fysiske eller juridiske personer fra Det Forenede Kongerige også indrømmes den behandling, der indrømmes i en medlemsstat i henhold til traktaten om Den Europæiske Unions funktionsmåde eller andre foranstaltninger vedtaget i henhold til nævnte traktat, herunder deres gennemførelse i medlemsstaterne, til:
i)
fysiske personer eller personer med fast bopæl i en anden medlemsstat eller
ii)
juridiske personer, der er stiftet eller organiseret efter lov i en anden medlemsstat eller Unionen, og hvis vedtægtsmæssige hjemsted, hovedkontor eller hovedvirksomhed er beliggende i Unionen.
11.
Den behandling, der indrømmes juridiske personer, som er etableret af investorer fra en part i overensstemmelse med den anden parts ret (og, for så vidt angår Unionen, en medlemsstats ret), og hvis vedtægtsmæssige hjemsted, hovedkontor eller hovedvirksomhed er beliggende i den anden part, berører ikke betingelser eller forpligtelser, som er i overensstemmelse med denne aftales anden del, sektion et, afsnit II, kapitel 2, og som kan være blevet pålagt sådanne juridiske personer, da de blev etableret i den anden part, og som fortsat skal gælde.
12.
Listerne gælder kun for Det Forenede Kongeriges og Unionens områder, jf. denne aftales artikel 520, stk. 2, og artikel 774, og er kun relevante i forbindelse med Unionen og dens medlemsstaters handelsforbindelser med Det Forenede Kongerige. De berører ikke medlemsstaternes rettigheder og forpligtelser i henhold til EU-retten.
13.
Det skal præciseres, at ikkediskriminerende foranstaltninger ikke udgør begrænsninger af markedsadgangen som defineret i denne aftales artikel 128, 135 eller 194:
a)
der kræver adskillelse af ejerskabet af infrastruktur fra ejerskabet af de varer eller tjenesteydelser, der leveres via denne infrastruktur, for at sikre fair konkurrence, f.eks. inden for energi, transport og telekommunikation
b)
der begrænser koncentrationen af ejerskab for at sikre fair konkurrence
c)
der tilsigter at sikre bevarelse og beskyttelse af naturressourcerne og af miljøet, herunder en begrænsning af tilgængeligheden, antallet og omfanget af bevilgede koncessioner og indførelse af et moratorium eller forbud
d)
der begrænser antallet af udstedte tilladelser på grund af tekniske og fysiske begrænsninger, f.eks. telekommunikationsspektrummer og -frekvenser, eller
e)
der kræver, at en bestemt procentdel af en virksomheds aktionærer, ejere, partnere eller ledere skal være uddannet til eller udøve et bestemt erhverv såsom advokater og revisorer.
14.
Hvad angår finansielle tjenesteydelser, gælder følgende: I modsætning til hvad der er tilfældet for udenlandske datterselskaber, er filialer, der er direkte etableret i en medlemsstat af en finansiel institution fra et tredjeland med visse begrænsede undtagelser ikke omfattet af de tilsynsregler, der er harmoniseret på EU-plan, og som gør det muligt for sådanne datterselskaber at nyde godt af udvidede faciliteter ved oprettelse af nye kontorer og levere grænseoverskridende tjenesteydelser overalt i Unionen. Sådanne filialer får derfor tilladelse til at drive virksomhed på en medlemsstats område på betingelser svarende til dem, der gælder for indenlandske finansielle institutioner i den pågældende medlemsstat, og skal eventuelt opfylde en række særlige forsigtighedskrav såsom, for så vidt angår bankvirksomhed og værdipapirer, krav om særskilt kapital og andre solvenskrav og krav om regnskabsaflæggelse og -offentliggørelse eller, for så vidt angår forsikring, særlige garanti- og indlånskrav, særskilt kapital og placering i den pågældende medlemsstat af de aktiver, der repræsenterer de tekniske reserver og mindst en tredjedel af solvensmargenen.
Følgende forkortelser er benyttet i nedenstående liste over forbehold:
UK
Det Forenede Kongerige
EU
Den Europæiske Union og alle dens medlemsstater
AT
Østrig
BE
Belgien
BG
Bulgarien
CY
Cypern
CZ
Tjekkiet
DE
Tyskland
DK
Danmark
EE
Estland
EL
Grækenland
ES
Spanien
FI
Finland
FR
Frankrig
HR
Kroatien
HU
Ungarn
IE
Irland
IT
Italien
LT
Litauen
LU
Luxembourg
LV
Letland
MT
Malta
NL
Nederlandene
PL
Polen
PT
Portugal
RO
Rumænien
SE
Sverige
SI
Slovenien
SK
Den Slovakiske Republik
Unionens liste
Forbehold nr. 1 – Alle sektorer
Forbehold nr. 2 – Liberale tjenesteydelser (undtagen sundhedsrelaterede erhverv)
Forbehold nr. 3 – Liberale tjenesteydelser (sundhedsrelaterede erhverv og detailhandel med lægemidler)
Forbehold nr. 4 – Forsknings- og udviklingsvirksomhed
Forbehold nr. 5 – Tjenesteydelser i forbindelse med fast ejendom
Forbehold nr. 6 – Forretningstjenesteydelser
Forbehold nr. 7 – Kommunikationstjenesteydelser
Forbehold nr. 8 – Bygge- og anlægstjenesteydelser
Forbehold nr. 9 – Distributionstjenesteydelser
Forbehold nr. 10 – Undervisning
Forbehold nr. 11 – Tjenesteydelser på miljøområdet
Forbehold nr. 12 – Finansielle tjenesteydelser
Forbehold nr. 13 – Sundhedstjenesteydelser og sociale tjenesteydelser
Forbehold nr. 14 – Turisme og rejserelaterede tjenesteydelser
Forbehold nr. 15 – Fritids- og sportsaktiviteter samt kulturelle aktiviteter
Forbehold nr. 16 – Transport og tjenesteydelser i tilknytning til transportvirksomhed
Forbehold nr. 17 – Energirelaterede aktiviteter
Forbehold nr. 18 – Landbrug, fiskeri og fremstillingsvirksomhed
Forbehold nr. 1 – Alle sektorer
Sektor:
Alle sektorer
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Præstationskrav
Øverste ledelse og bestyrelse
Forpligtelser vedrørende juridiske tjenesteydelser
Kapitel/afsnit:
Liberalisering af investeringer, Grænseoverskridende handel med tjenesteydelser og lovgivningsmæssige rammer for juridiske tjenesteydelser
Forvaltningsniveau:
EU/Medlemsstat (medmindre andet er angivet)
Beskrivelse:
a)   Type etablering
Hvad angår liberalisering af investeringer – national behandling og lovgivningsmæssige rammer for juridiske tjenesteydelser – forpligtelser
EU: Den behandling, der i henhold til traktaten om Den Europæiske Unions funktionsmåde indrømmes juridiske personer, som er etableret i overensstemmelse med EU-retten eller en medlemsstats ret, og hvis vedtægtsmæssige hjemsted, hovedkontor eller hovedvirksomhed er beliggende i Unionen, herunder juridiske personer etableret i Unionen af investorer fra Det Forenede Kongerige, indrømmes ikke juridiske personer, der er etableret uden for Unionen, eller sådanne juridiske personers filialer eller repræsentationskontorer, herunder filialer eller repræsentationskontorer for juridiske personer fra Det Forenede Kongerige.
Mindre favorabel behandling kan indrømmes juridiske personer, der er etableret i overensstemmelse med EU-retten eller en medlemsstats ret, og som kun har deres vedtægtsmæssige hjemsted i Unionen, medmindre det kan godtgøres, at de har en reel og vedvarende forbindelse med økonomien i en af medlemsstaterne.
Foranstaltninger:
EU: Traktaten om Den Europæiske Unions funktionsmåde.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse:
Dette forbehold gælder kun for sundhedstjenesteydelser, sociale tjenesteydelser og undervisning:
EU (gælder ligeledes det regionale forvaltningsniveau): Alle medlemsstater kan, når de sælger eller afhænder deres kapitalandele eller aktiver i et eksisterende statsforetagende eller en eksisterende statslig enhed, der leverer sundhedstjenesteydelser, sociale tjenesteydelser eller undervisning (CPC 93, 92), forbyde eller pålægge begrænsninger for ejerskabet af sådanne andele eller aktiver og/eller begrænse muligheden for, at ejerne af sådanne andele og aktiver kan kontrollere et foretagende, for så vidt angår investorer fra Det Forenede Kongerige eller deres virksomheder. Med hensyn til et sådant salg eller anden afhændelse kan enhver medlemsstat vedtage eller opretholde en foranstaltning med relation til nationalitet for øverste ledelse eller medlemmer af bestyrelsen samt begrænse antallet af leverandører.
Med henblik på dette forbehold forstås ved:
i)
"eksisterende foranstaltning": en foranstaltning, der opretholdes eller vedtages efter datoen for denne aftales ikrafttræden, og som på tidspunktet for salg eller anden afhændelse forbyder eller pålægger begrænsninger for ejerskabet af kapitalandele eller aktiver eller pålægger et nationalitetskrav eller pålægger begrænsninger i antallet af leverandører, som beskrevet i dette forbehold, og
ii)
"statsforetagende": et foretagende, der ejes eller kontrolleres af en medlemsstat gennem ejerandele og indbefatter et foretagende, der etableres efter datoen for ikrafttrædelsen af denne aftale udelukkende med det formål at sælge eller afhænde kapitalandele eller aktiver i et nuværende statsforetagende eller en nuværende statslig enhed.
Foranstaltninger:
EU: Som anført ovenfor under elementet "beskrivelse".
Hvad angår liberalisering af investeringer – national behandling og lovgivningsmæssige rammer for juridiske tjenesteydelser – forpligtelser
I AT: For drift af en filial skal selskaber uden for Det Europæiske Økonomiske Samarbejdsområde (ikke-EØS) som minimum udpege en person, som har bopæl i Østrig, til deres repræsentation.
Ledere (administrerende direktører, fysiske personer) med ansvar for overholdelse af den østrigske handelslov skal have bopæl i Østrig.
I BG: Udenlandske juridiske personer, medmindre disse er etableret i henhold til lovgivningen i en medlemsstat i Det Europæiske Økonomiske Samarbejdsområde (EØS), må drive forretning og foretage aktiviteter, såfremt de er etableret i republikken Bulgarien i form af en virksomhed, der er registreret i handelsregisteret. Der kræves tilladelse til etablering af filialer.
Repræsentationskontorer for udenlandske virksomheder skal registreres hos det bulgarske handels- og industrikammer og må ikke deltage i økonomisk aktivitet, men har kun ret til at rådgive deres ejer og agere som repræsentanter eller agenter.
I EE: Hvis mindst halvdelen af bestyrelsesmedlemmerne i et anpartsselskab, et aktieselskab eller en filial ikke er hjemmehørende i Estland, i en anden EØS-medlemsstat eller i Det Schweiziske Forbund, udpeger anpartsselskabet, aktieselskabet eller det udenlandske selskab et kontaktpunkt, hvis estiske adresse kan benyttes til fremsendelse af virksomhedens procesdokumenter og hensigtserklæringer rettet til virksomheden (dvs. et udenlandsk selskabs filial).
Hvad angår liberalisering af investeringer – national behandling, grænseoverskridende handel med tjenesteydelser – markedsadgang og lovgivningsmæssige rammer for juridiske tjenesteydelser – forpligtelser:
I FI: Mindst en af interessenterne i et almindeligt interessentskab eller af de almindelige interessenter i et begrænset interessentskab skal have bopæl inden for EØS eller, såfremt interessenten er en juridisk person, være stiftet (ingen filialer tilladt) inden for EØS. Registreringsmyndigheden kan tildele dispensationer.
For at handle som privat erhvervsdrivende kræves bopæl inden for EØS.
Hvis en udenlandsk organisationen fra et land uden for EØS agter at drive virksomhed eller handle ved at etablere en filial i Finland, kræves en handelstilladelse.
Der kræves bopæl inden for EØS for mindst et af de ordinære medlemmer og en af suppleanterne i bestyrelsen og for den administrerende direktør. Registreringsmyndigheden kan indrømme virksomhedsdispensationer.
I SE: Et udenlandsk selskab, som ikke har etableret en juridisk enhed i Sverige eller udøver sin virksomhed gennem en handelsagent, skal gennemføre sine kommercielle transaktioner gennem en filial, der er etableret i Sverige, med en uafhængig ledelse og separate regnskaber. Den administrerende direktør for filialen, eller den administrerende vicedirektør, hvis en sådan er udpeget, skal være bosiddende i EØS. En fysisk person, der ikke har bopæl i EØS, og som gennemfører kommercielle transaktioner i Sverige, skal udpege og registrere en repræsentant med bopæl i landet, som skal være ansvarlig for driften i Sverige. Der føres særskilt regnskab for transaktioner i Sverige. Den kompetente myndighed kan i de enkelte tilfælde indrømme undtagelser fra filial- og bopælskravene. Byggeprojekter af en varighed på mindre end et år, der gennemføres af et selskab med hjemsted eller en fysisk person med bopæl uden for EØS, er fritaget for kravene om etablering af en filial eller udpegelse af en repræsentant med bopæl i landet.
For selskaber med begrænset ansvar og kooperative økonomiske sammenslutninger skal mindst 50 procent af bestyrelsesmedlemmerne, mindst 50 procent af suppleanterne til bestyrelsen, den administrerende direktør, den administrerende vicedirektør og mindst én af de personer, der er bemyndiget til at underskrive på virksomhedens vegne, hvis der er udpeget en sådan person, være bosiddende i EØS. Den kompetente myndighed kan indrømme fritagelser fra dette krav. Hvis ingen af virksomhedens/selskabets repræsentanter har bopæl i Sverige, skal bestyrelsen udpege og registrere en person, der har bopæl i Sverige, og som har fået tilladelse til at modtage forkyndelser på vegne af virksomheden/selskabet.
Tilsvarende betingelser gælder for etablering af alle andre former for juridiske enheder.
I SK: En udenlandsk fysisk person, hvis navn skal registreres i det relevante register (handelsregistret, iværksætterregistret eller et andet erhvervsregister) som en person, der er bemyndiget til at handle på vegne af en erhvervsdrivende, skal forelægge en opholdstilladelse for Slovakiet.
Foranstaltninger:
AT: Aktiengesetz, BGBL. nr. 98/1965, § 254 (2),
GmbH-Gesetz, RGBL. nr. 58/1906, § 107 (2), og Gewerbeordnung, BGBL. nr. 194/1994, § 39 (2a).
BG: lov om handel, artikel 17a, og
lov om investeringsfremme, artikel 24.
EE: Äriseadustik (handelsloven) § 63
1
 (1, 2 og 4).
FI: Laki elinkeinon harjoittamisen oikeudesta (lov om retten til at udøve et erhverv) (122/1919), s. 1,
Osuuskuntalaki (lov om kooperativer) 1488/2001,
Osakeyhtiölaki (lov om virksomheder med begrænset ansvar) (624/2006) og
Laki luottolaitostoiminnasta (lov om kreditinstitutter) (121/2007).
SE: Lag om utländska filialer m.m (lov om udenlandske filialer) (1992:160),
aktiebolagslagen (aktieselskabsloven) (2005:551),
lov om aktieselskaber (2018:672) og lov om europæiske økonomiske interessegrupper (1994:1927).
SK: Lov 513/1991 om handelsloven (artikel 21), lov nr. 455/1991 om næringsbreve og
lov nr. 404/2011 om udlændinges ophold (artikel 22 og 32).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, præstationskrav og lovgivningsmæssige rammer for juridiske tjenesteydelser – forpligtelser:
I BG: Etablerede virksomheder kan kun ansætte tredjelandsstatsborgere til stillinger, hvor der ikke er noget krav om bulgarsk nationalitet. Det samlede antal tredjelandsstatsborgere, som er blevet ansat af en etableret virksomhed i de seneste 12 måneder, må ikke overstige 20 % (35 % for små og mellemstore virksomheder) af det gennemsnitlige antal bulgarske statsborgere, statsborgere fra andre medlemsstater, statsborgere fra stater, der er parter i EØS-aftalen, eller statsborgere fra Det Schweiziske Forbund, der er ansat på kontrakt. Desuden skal arbejdsgiveren godtgøre, at der ikke findes nogen egnet arbejdstager fra Bulgarien, EU, EØS eller Schweiz til den pågældende stilling ved at gennemføre en arbejdsmarkedstest, inden der ansættes en tredjelandsstatsborger.
For højt kvalificerede, sæsonarbejdere og udstationerede arbejdstagere samt for virksomhedsinternt udstationerede, forskere og studerende er der ingen begrænsninger af antallet af tredjelandsstatsborgere, der kan arbejde for en enkelt virksomhed. For ansættelse af tredjelandsstatsborgere i disse kategorier kræves der ingen arbejdsmarkedstest.
Foranstaltninger:
BG: Lov om arbejdskraftmigration og -mobilitet.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I PL: De aktiviteter, der udøves af et repræsentationskontor, må kun omfatte reklame og fremme af det udenlandske moderselskab, som kontoret repræsenterer. Hvad angår alle sektorer bortset fra juridiske tjenesteydelser, må ikke-EU-investorers og deres virksomheders etablering kun have form af et begrænset interessentskab, begrænset aktieinteressentskab, virksomhed med begrænset ansvar og aktieselskab, mens nationale investorer og virksomheder både har adgang til at danne ikkekommercielle interessentskaber (generelt interessentskab og interessentskab med ubegrænset ansvar).
Foranstaltninger:
PL: Lov af 6. marts 2018 om regler for udenlandske iværksætteres og andre udenlandske personers økonomiske virksomhed i Republikken Polens område.
b)   Erhvervelse af fast ejendom
Hvad angår liberalisering af investeringer – national behandling:
I AT (gælder det regionale forvaltningsniveau): Erhvervelse, køb og leje eller leasing af fast ejendom foretaget af fysiske personer eller virksomheder uden for EU kræver tilladelse fra de kompetente regionale myndigheder (delstater). tilladelsen vil kun blive udstedt, hvis erhvervelsen sker i offentlig (især økonomisk, social og kulturel) interesse.
I CY: Cypriotiske statsborgere eller personer af cypriotisk oprindelse samt statsborgere i en medlemsstat har tilladelse til at erhverve fast ejendom i Cypern uden begrænsninger. En udlænding kan ikke erhverve fast ejendom, bortset fra ved dødsfald, uden at have fået en tilladelse fra ministerrådet. Hvad angår udlændinge, hvor erhvervelsen af fast ejendom overskrider behovet for opførelse af et hus eller en erhvervsejendom, eller på anden vis overskrider to donam (2,676 kvadratmeter), skal enhver tilladelse, der udstedes af ministerrådet, være underlagt de betingelser, begrænsninger og kriterier, som er fastsat i forskriften fra ministerrådet og godkendt af repræsentanternes hus. En udlænding er en person, som ikke er statsborger i Republikken Cypern, inklusive en udenlandsk kontrolleret virksomhed. Betegnelsen omfatter ikke udlændinge af cypriotisk oprindelse eller ikkecypriotiske ægtefæller til statsborgere i Republikken Cypern.
I CZ: Der gælder særlige regler for landbrugsjord, som er statens ejendom. Statslig landbrugsjord kan kun erhverves af tjekkiske statsborgere, statsborgere fra andre medlemsstater, statsborgere fra stater, der er parter i EØS-aftalen, eller statsborgere fra Det Schweiziske Forbund. Juridiske personer kan kun erhverve statslig landbrugsjord, hvis de er landbrugsiværksættere i Den Tjekkiske Republik eller personer med tilsvarende status i en anden EU-medlemsstat eller i stater, der er parter i EØS-aftalen, eller i Det Schweiziske Forbund.
I DK: Fysiske personer, der ikke har bopæl i Danmark, og som ikke tidligere har haft bopæl i Danmark i et tidsrum af i alt fem år, kan i henhold til loven om erhvervelse kun erhverve adkomst til fast ejendom i Danmark med Justitsministeriets tilladelse. Det samme gælder juridiske personer, der ikke har hjemsted i Danmark. Fysiske personer kan erhverve fast ejendom, hvis denne skal tjene som helårsbolig for ansøgeren.
Juridiske personer, der ikke har hjemsted i Danmark, kan generelt erhverve fast ejendom, hvor erhvervelsen er en forudsætning for, at køberen kan udøve virksomhed. Der kræves også tilladelse, hvis den faste ejendom skal tjene som fritidsbolig for ansøgeren. En sådan tilladelse gives kun, hvis ansøgeren efter en samlet og konkret vurdering anses for at have særligt stærke bånd til Danmark.
Tilladelse i henhold til erhvervelsesloven gives kun til erhvervelse af en specifik fast ejendom. Fysiske eller juridiske personers erhvervelse af landbrugsjord er desuden reguleret i henhold til loven om landbrugsejendomme, som pålægger begrænsninger for alle personer, danskere eller udlændinge, når der erhverves landbrugsejendom. På tilsvarende vis skal enhver fysisk eller juridisk person, som ønsker at erhverve en landbrugsejendom, opfylde kravene i denne lov. Dette betyder generelt, at der gælder et begrænset bopælskrav på landbrugsbedriften. Bopælskravet er ikke personligt. Juridiske enheder skal være af de typer, der er anført i lovens §20 og §21, og skal være registreret i Unionen (eller EØS).
I EE: En juridisk person fra en OECD-medlemsstat har ret til at erhverve fast ejendom, som består af:
i)
i alt under ti hektar landbrugsareal, skovareal eller landbrugs- og skovareal uden restriktioner.
ii)
mindst ti hektar landbrugsareal, hvis den juridiske person i tre år umiddelbart forud for det år, hvor erhvervelsen af den faste ejendom fandt sted, har beskæftiget sig med produktion af landbrugsprodukter, der er opført i bilag I til traktaten om Den Europæiske Unions funktionsmåde, med undtagelse af fiskevarer og bomuld (i det følgende benævnt "landbrugsprodukter").
iii)
mindst ti hektar skovareal, hvis den juridiske person i tre år umiddelbart forud for det år, hvor erhvervelsen af den faste ejendom fandt sted, har beskæftiget sig med skovforvaltning i skovlovens forstand (i det følgende benævnt "skovforvaltning") eller produktion af landbrugsprodukter.
iv)
under ti hektar landbrugsareal og under ti hektar skovareal, men mindst ti hektar landbrugs- og skovareal i alt, hvis den juridiske person i tre år umiddelbart forud for det år, hvor erhvervelsen af den faste ejendom fandt sted, har beskæftiget sig med produktion af landbrugsprodukter eller skovforvaltning.
Hvis en juridisk person ikke opfylder kravene i nr. ii)-iv), kan den juridiske person kun erhverve fast ejendom bestående af mindst ti hektar landbrugsareal, skovareal eller landbrugs- og skovareal i alt med tilladelse fra kommunalbestyrelsen på det sted, hvor den faste ejendom, der ønskes erhvervet, er beliggende.
Der gælder restriktioner for erhvervelse af fast ejendom i visse geografiske områder for ikke-EØS-statsborgere.
I EL: Erhvervelse eller leje af fast ejendom i grænseregionerne er forbudt for fysiske eller juridiske personer, som har statsborgerskab eller er hjemmehørende i et land uden for medlemsstaterne og Den Europæiske Frihandelssammenslutning. Forbuddet kan ophæves ved en skønsmæssig afgørelse truffet af et udvalg under den relevante decentrale administration (eller forsvarsministeren, hvis den ejendom, der skal udnyttes, tilhører fonden til udnyttelse af privat offentlig ejendom).
I HR: Udenlandske virksomheder har kun tilladelse til at erhverve fast ejendom til levering af tjenesteydelser, hvis de er etableret og stiftet i Kroatien som juridiske personer. Erhvervelse af fast ejendom, som er nødvendig for datterselskabers levering af tjenesteydelser, kræver godkendelse fra justitsministeriet. Udlændinge kan ikke erhverve landbrugsjord.
I MT: Ikkestatsborgere fra en medlemsstat må ikke erhverve fast ejendom med henblik på erhvervsmæssige formål. Virksomheder med ikke-EU-selskabsdeltagelse på 25 procent (eller mere) skal opnå tilladelse fra den kompetente myndighed (finansministeren) til at købe fast ejendom med henblik på erhvervsmæssige eller forretningsmæssige formål. Den kompetente myndighed vil afgøre, om den foreslåede erhvervelse bidrager med en nettofordel for maltesisk økonomi.
I PL: Udlændinge skal have tilladelse til erhvervelse af fast ejendom, direkte og indirekte. Der udstedes tilladelse ved administrativ afgørelse af ministeren med kompetence for interne anliggender i samråd med forsvarsministeren samt i tilfælde af erhvervelse af landbrugsejendom ministeren for landbrug og udvikling af landdistrikter.
Foranstaltninger:
AT: Burgenländisches Grundverkehrsgesetz, LGBL. nr. 25/2007,
Kärntner Grundverkehrsgesetz, LGBL. nr. 9/2004,
NÖ- Grundverkehrsgesetz, LGBL. 6800,
OÖ- Grundverkehrsgesetz, LGBL. nr. 88/1994,
Salzburger Grundverkehrsgesetz, LGBL. nr. 9/2002,
Steiermärkisches Grundverkehrsgesetz, LGBL. nr. 134/1993,
Tiroler Grundverkehrsgesetz, LGBL. nr. 61/1996, Voralberger Grundverkehrsgesetz, LGBL. nr. 42/2004, og
Wiener Ausländergrundverkehrsgesetz, LGBL. nr. 11/1998.
CY: Lov om erhvervelse af fast ejendom (udlændinge) (kapitel 109) som ændret.
CZ: Lov nr. 503/2012, sml. om kontoret for statsejet jord, som ændret.
DK: Lov om erhvervelse af fast ejendom (lovbekendtgørelse nr. 265 af 21. marts 2014 om erhvervelse af fast ejendom),
erhvervelsesbekendtgørelsen (bekendtgørelse nr. 764 af 18. september 1995) og lov om landbrugsejendomme (lovbekendtgørelse nr. 27 af 4. januar 2017).
EE: Kinnisasja omandamise kitsendamise seadus (restriktioner på erhvervelse af fast ejendom), kapitel 2, § 4, kapitel 3, § 10, 2017.
EL: Lov nr. 1892/1990 i sin nuværende form i kombination, for så vidt angår ansøgningen, med forsvarsministerens og borgerbeskyttelsesministerens ministerielle afgørelse F.110/3/330340/S.120/7-4-14.
HR: Lov om ejerskab og andre ejendomsrettigheder (statstidende 91/96, 68/98, 137/99, 22/00, 73/00, 129/00, 114/01, 79/06, 141/06, 146/08, 38/09, 143/12, 152/14), og artikel 354-358.b, lov om landbrugsjord (statstidende 20/18, 115/18, 98/19), artikel 2, lov om almen administrativ procedure.
MT: Lov om fast ejendom (erhvervelse foretaget af borgere uden bopæl) (kap. 246) og protokol nr. 6 i EU-tiltrædelsesaftalen om erhvervelse af fritidsboliger i Malta.
PL: Lov af 24. marts 1920 om udlændinges erhvervelse af fast ejendom (statstidende fra 2016, punkt 1061 som ændret).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I HU: Erhvervelsen af fast ejendom fra ikkehjemmehørendes side kræver tilladelse fra den administrative myndighed, der er ansvarlig for ejendommens geografiske placering.
Foranstaltninger:
HU: Regeringsdekret nr. 251/2014 (X. 2.) om udlændinges erhvervelse af anden fast ejendom end land, der anvendes til landbrugs- eller skovbrugsformål, og lov LXXVIII af 1993 (stk. 1/A).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, mestbegunstigelsesbehandling:
I LV: Det er tilladt for statsborgere i Det Forenede Kongerige at erhverve bygrunde via juridiske personer, der er registreret i Letland eller i andre medlemsstater:
i)
hvis over 50 procent af egenkapitalen ejes af statsborgere i medlemsstater, den lettiske regering eller en kommune, enten separat eller i alt,
ii)
hvis over 50 % af egenkapitalen ejes af fysiske personer og virksomheder fra tredjelande, som Letland har indgået bilaterale aftaler med om fremme og gensidig beskyttelse af investeringer, der er blevet godkendt af det lettiske parlament før den 31. december 1996,
iii)
hvis over 50 % af egenkapitalen ejes af fysiske personer og virksomheder fra tredjelande, som Letland har indgået bilaterale aftaler med om fremme og gensidig beskyttelse af investeringer efter den 31. december 1996, hvis disse aftaler har fastsat rettigheder for lettiske fysiske personer og virksomheder om erhvervelse af grunde i det pågældende tredjeland,
iv)
hvis over 50 procent af egenkapitalen ejes samlet af personer som omhandlet i nr. i)-iii), eller
v)
som er offentlige aktieselskaber, såfremt deres andele deraf er noteret på børsen.
Hvis Det Forenede Kongerige tillader lettiske statsborgere og virksomheder at erhverve fast ejendom i byområder på dets territorium, vil Letland tillade statsborgere og virksomheder i Det Forenede Kongerige at erhverve fast ejendom i byområder i Letland på samme vilkår som for lettiske statsborgere.
Foranstaltninger:
LV: Lov om grundreform i byerne i Republikken Letland, afdeling 20 og 21.
Hvad angår liberalisering af investeringer – national behandling, mestbegunstigelsesbehandling:
I DE: Visse krav om gensidighed kan gælde ved erhvervelse af fast ejendom.
I ES: Udenlandsk investering i aktiviteter, der har direkte forbindelse til investering i fast ejendom til diplomatiske missioner fra stater, som ikke er medlemsstater, kræver en administrativ autorisation fra det spanske ministerråd, medmindre der er en gensidig liberaliseringsaftale i kraft.
I RO: Udenlandske statsborgere og statsløse personer samt juridiske personer (bortset fra statsborgere og juridiske personer fra en EØS-medlemsstat) må erhverve ejendomsrettigheder over grunde på de betingelser, som er reguleret af internationale aftaler på baggrund af princippet om gensidig anerkendelse. Udenlandske statsborgere, statsløse personer og juridiske personer kan ikke erhverve ejendomsrettigheder over grunde på mere gunstige vilkår end dem, der gælder for en fysisk eller juridisk person fra Den Europæiske Union.
Foranstaltninger:
DE: Einführungsgesetz zum Bürgerlichen Gesetzbuche (EGBGB, lov om indførelse af borgerlig lovbog).
ES: kongeligt dekret 664/1999 af 23. april 1999 angående udenlandsk investering.
RO: lov 17/2014 om visse foranstaltninger til regulering af køb og salg af landbrugsjord uden for byområder og om ændring og
lov nr. 268/2001 om privatisering af virksomheder, der ejer jord i offentligt ejerskab, og privat forvaltning af statslig landbrugsjord og etablering af agenturet for statsejendomme, med senere ændringer.
Forbehold nr. 2 – Liberale tjenesteydelser (undtagen sundhedsrelaterede erhverv)
Sektor – delsektor:
Liberale tjenesteydelser – juridiske tjenesteydelser; patentagent, agentvirksomhed vedrørende industriel ejendomsret, advokatvirksomhed i forbindelse med intellektuel ejendomsrettighed; regnskabsvæsens- og bogholderivirksomhed; revisionsvirksomhed, skatterådgivning; arkitekt- og byplanlægningstjenesteydelser, ingeniørtjenesteydelser og integrerede ingeniørtjenesteydelser
Brancheklassifikation:
CPC 861, 862, 863, 8671, 8672, 8673, 8674, del af 879
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Øverste ledelse og bestyrelse
Lokal tilstedeværelse
Forpligtelser vedrørende juridiske tjenesteydelser
Kapitel/afsnit:
Liberalisering af investeringer, grænseoverskridende handel med tjenesteydelser og lovgivningsmæssige rammer for juridiske tjenesteydelser
Forvaltningsniveau:
EU/Medlemsstat (medmindre andet er angivet)
Beskrivelse:
a)   Juridiske tjenesteydelser (del af CPC 861) 
(
1
)
Hvad angår liberalisering af investeringer – markedsadgang og lovgivningsmæssige rammer for juridiske tjenesteydelser – forpligtelser:
I EU: Der gælder specifikke ikkediskriminerende krav til retlig form i den enkelte medlemsstat.
i)
Udvalgte juridiske tjenesteydelser, der leveres under hjemlandets advokattitel (del af CPC 861 – juridisk rådgivning, voldgift, forlig og mægling med hensyn til retten i hjemlandsjurisdiktionen og international ret, jf. denne aftales anden del, sektion et, afsnit II, kapitel 5, afdeling 7).
Det skal præciseres, at krav om registrering hos advokatsamfundet i overensstemmelse med de indledende noter, særlig punkt 9, kan omfatte et krav om, at vedkommende skal have afsluttet praktik under tilsyn af en advokat med licens eller have kontor eller postadresse i en bestemt rets jurisdiktion, for at kunne blive medlem af det pågældende advokatsamfund. Nogle medlemsstater kan stille krav om, at fysiske personer, der beklæder bestemte stillinger i et advokatfirma/selskab/en virksomhed eller aktionærer, skal have ret til at praktisere retten i værtsjurisdiktionen.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – national behandling, markedsadgang og lovgivningsmæssige rammer for juridiske tjenesteydelser – forpligtelser:
I AT: Der er krav om EØS-statsborgerskab eller schweizisk statsborgerskab og bopæl (handelsmæssig tilstedeværelse) for at kunne levere juridiske tjenesteydelser inden for retten i værtsjurisdiktionen (EU-ret og medlemsstatsret), herunder møderet ved domstolene. Kun advokater med EØS-nationalitet eller schweizisk nationalitet har tilladelse til at levere juridiske tjenesteydelser via en handelsmæssig tilstedeværelse. Udøvelse af advokatvirksomhed for så vidt angår folkeretten og retten i hjemlandsjurisdiktionen er kun tilladt på tværs af grænserne.
Kapitaldeltagelse og andele i driftsresultatet i ethvert advokatfirma fra udenlandske advokaters side (som skal være fuldt kvalificerede i deres hjemlandsjurisdiktion) er tilladt op til 25 procent; resten skal ejes af fuldt kvalificerede EØS-advokater eller schweiziske advokater, og kun sidstnævnte må udøve afgørende indflydelse på beslutningstagningen i advokatfirmaet.
I BE: (også med hensyn til mestbegunstigelsesbehandling) Udenlandske advokater kan udøve advokatvirksomhed. Advokater, der er medlemmer af udenlandske (ikke-EU-) advokatsamfund og ønsker at etablere sig i Belgien, men som ikke opfylder betingelserne for optagelse på listen (tableau) af fuldt kvalificerede advokater, på EU-listen eller på listen over praktikanter, kan anmode om optagelse på den såkaldte "B-liste". Kun i Bruxelles' advokatsamfund findes der en sådan "B-liste". En advokat på B-listen har lov til at levere bestemte juridiske tjenesteydelser.
I BG: (også med hensyn til mestbegunstigelsesbehandling): Der er krav om fast bopæl for at udøve retsmægling. En mægler kan kun være en person, der er optaget i justitsministeriets ensartede register over mæglere.
I Bulgarien kan den fulde nationale behandling, der gælder for etablering og drift af virksomheder og levering af tjenesteydelser, kun udvides til også at gælde virksomheder etableret i og statsborgere fra de lande, med hvem der er indgået eller vil blive indgået bilaterale aftaler om gensidig juridisk bistand.
I CY: Der kræves EØS-statsborgerskab eller schweizisk statsborgerskab samt bopæl (handelsmæssig tilstedeværelse). Kun advokater, som har opnået medlemskab af advokatsamfundet, må være partnere eller deltagere eller bestyrelsesmedlemmer i et advokatfirma i Cypern.
I CZ: Udenlandske advokater skal have bopæl (handelsmæssig tilstedeværelse).
I DE: For udenlandske advokater (med bestalling uden for EØS og Schweiz) kan der være begrænsninger for besiddelse af aktier i et advokatfirma, der leverer juridiske tjenesteydelser inden for retten i værtsjurisdiktionen.
I DK: Uden at det berører ovenstående EU-forbehold, kan aktier i et advokatfirma kun ejes af advokater, der aktivt udøver advokatvirksomhed i virksomheden, dets moderselskab eller datterselskab, andre ansatte i virksomheden eller et andet advokatfirma, der er registreret i Danmark. Andre ansatte i virksomheden må tilsammen kun eje mindre end 10 % af aktierne og stemmerettighederne, og for at være aktionærer skal de bestå en eksamen i de regler, der er af særlig betydning for udøvelsen af advokatvirksomhed.
Kun advokater, der aktivt udøver advokatvirksomhed i virksomheden, moderselskabet eller datterselskabet, andre aktionærer og arbejdstagerrepræsentanter, kan være medlemmer af bestyrelsen. Flertallet af bestyrelsesmedlemmerne skal være advokater, der aktivt udøver advokatvirksomhed i virksomheden, moderselskabet eller datterselskabet. Kun advokater, der aktivt udøver advokatvirksomhed i virksomheden, moderselskabet eller datterselskabet og andre aktionærer, der har bestået ovennævnte eksamen kan være direktør i advokatvirksomheden.
I ES: Der kræves en arbejdsadresse for at kunne levere bestemte juridiske tjenesteydelser.
I FR kræver permanent udøvelse af advokatvirksomhed kræver bopæl eller etablering inden for EØS. Uden at det berører ovenstående EU-forbehold, gælder følgende: For alle advokater skal virksomheden have en af følgende juridiske former, der er godkendt i henhold til fransk ret på et ikkediskriminerende grundlag: SCP (société civile professionnelle), SEL (société d’exercice libéral), SEP (société en participation), SARL (société à responsabilité limitée), SAS (société par actions simplifiée), SA (société anonyme), SPE (société pluriprofessionnelle d'exercice) og "association", på visse betingelser. Aktionærer, direktører og partnere kan være underlagt særlige begrænsninger i forbindelse med deres erhvervsmæssige virksomhed.
I HR: Kun en advokat, der har kroatisk advokattitel, kan etablere et advokatfirma (firmaer fra Det Forenede Kongerige kan oprette filialer, som måske ikke ansætter kroatiske advokater).
I HU: Der kræves en samarbejdsaftale med en ungarsk advokat (ügyvéd) eller et advokatfirma (ügyvédi iroda). En udenlandsk juridisk rådgiver kan ikke være medlem af et ungarsk advokatfirma. En udenlandsk advokat er ikke bemyndiget til at udarbejde dokumenter, der skal forelægges for en klients retlige repræsentant for en voldgiftsmand, forligsmand eller mægler i en tvist, eller til at eller fungere som sådan.
I PT (gælder ligeledes mestbegunstigelsesbehandling): Udlændinge, der har et eksamensbevis fra et juridisk fakultet i Portugal, kan lade sig registrere i det portugisiske advokatsamfund (Ordem dos Advogados) på samme betingelser som portugisiske statsborgere, hvis deres respektive land indrømmer portugisiske statsborgere gensidighed.
Andre udlændinge, der har taget en juridisk eksamen, som er anerkendt af et juridisk fakultet i Portugal, kan lade sig registrere som medlem af advokatsamfundet, forudsat at de har fået den nødvendige oplæring og bestået den afsluttende vurderings- og adgangseksamen.
Juridisk rådgivning er tilladt af jurister, forudsat at de har deres erhvervsmæssige bopæl ("domiciliação") i PT, består en adgangsprøve og er registreret i advokatsamfundet.
I RO: En udenlandsk advokat må ikke foretage mundtlige eller skriftlige afgørelser ved domstolene eller andre retlige organer, bortset fra international voldgift.
I SE: (også med hensyn til mestbegunstigelsesbehandling) Uden at det berører ovennævnte EU-forbehold: Et medlem af det svenske advokatsamfund må ikke ansættes af andre end et medlem af advokatsamfundet eller en virksomhed, der udøver virksomhed for et medlem af advokatsamfundet. Dog kan et medlem af advokatsamfundet ansættes af et udenlandsk firma, der udøver advokatvirksomhed, forudsat at den pågældende virksomhed er hjemmehørende i et land i Unionen, i EØS eller i Det Schweiziske Forbund. Efter dispensation fra det svenske advokatsamfund kan et medlem af det svenske advokatsamfund også ansættes af et ikke-EU-advokatfirma.
Medlemmer af advokatsamfundet, der udøver deres virksomhed i form af et selskab eller interessentskab, må ikke have andre formål eller udføre anden forretning end udøvelse af advokatvirksomhed. Samarbejde med andre advokatselskaber er tilladt, dog kræver samarbejde med udenlandske virksomheder en tilladelse fra bestyrelsen i det svenske advokatsamfund. Kun et medlem af advokatsamfundet må direkte eller indirekte, eller via et selskab, virke som advokat, eje andele i virksomheden eller være partner. Kun et medlem må være medlem af eller en suppleant for bestyrelsen eller stedfortrædende administrerende direktør eller en autoriseret signatar eller sekretær for virksomheden eller interessentskabet.
I SI: (også med hensyn til mestbegunstigelsesbehandling) En udenlandsk advokat, der har ret til at udøve advokatvirksomhed for så vidt angår retten i hjemlandsjurisdiktionen, må levere juridiske tjenesteydelser eller udøve advokatvirksomhed på de betingelser, der er fastsat i artikel 34a i loven om advokatbistand, når betingelsen om faktisk gensidighed er opfyldt. Uden at det berører EU-forbeholdet om ikkediskriminerende krav til retlig form er handelsmæssig tilstedeværelse for advokater udpeget af det slovenske advokatsamfund begrænset til enkeltmandsvirksomheder, advokatfirmaer med begrænset ansvar (interessentskab) eller til et advokatfirma med ubegrænset ansvar (interessentskab). Et advokatfirmas aktiviteter skal begrænses til udøvelse af advokatvirksomhed. Kun advokater har ret til at være partnere i et advokatfirma.
I SK: For advokater fra lande uden for EU kræves der reel gensidighed.
ii)
Andre juridiske tjenesteydelser (retten i værtsjurisdiktionen, herunder juridisk rådgivning, voldgift, forlig og mægling samt juridisk repræsentation).
Det skal præciseres, at krav om registrering hos advokatsamfundet i overensstemmelse med de indledende noter, særlig punkt 9, kan omfatte et krav om, at vedkommende skal have opnået en juragrad i værtsjurisdiktionen eller tilsvarende eller afsluttet praktik under tilsyn af en advokat med licens eller have kontor eller postadresse i en bestemt rets jurisdiktion, for at kunne blive medlem af det pågældende advokatsamfund.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – national behandling, lokal tilstedeværelse:
I EU: Repræsentation af fysiske eller juridiske personer ved Den Europæiske Unions Kontor for Intellektuel Ejendomsret (EUIPO) må kun varetages af en advokat med bestalling i en af EØS-medlemsstaterne og forretningssted i EØS, i det omfang vedkommende i den pågældende medlemsstat har ret til at optræde som repræsentant i varemærkesager eller i sager vedrørende industriel ejendomsret, og af professionelle repræsentanter, hvis navne er opført på den liste, som EUIPO fører til dette formål. (Del af CPC 861)
I AT: Der er krav om EØS-statsborgerskab eller schweizisk statsborgerskab og bopæl (handelsmæssig tilstedeværelse) for at kunne levere juridiske tjenesteydelser inden for retten i værtsjurisdiktionen (EU-ret og medlemsstatsret), herunder møderet ved domstolene. Kun advokater med EØS-nationalitet eller schweizisk nationalitet har tilladelse til at levere juridiske tjenesteydelser via en handelsmæssig tilstedeværelse. Udøvelse af advokatvirksomhed for så vidt angår folkeretten og retten i hjemlandsjurisdiktionen er kun tilladt på tværs af grænserne.
Kapitaldeltagelse og andele i driftsresultatet i ethvert advokatfirma fra udenlandske advokaters side (som skal være fuldt kvalificerede i deres hjemlandsjurisdiktion) er tilladt op til 25 procent; resten skal ejes af fuldt kvalificerede EØS-advokater eller schweiziske advokater, og kun sidstnævnte må udøve afgørende indflydelse på beslutningstagningen i advokatfirmaet.
I BE: (også med hensyn til mestbegunstigelsesbehandling) Der kræves bopæl for at opnå fuldgyldigt medlemskab af advokatsamfundet, herunder for at få møderet ved domstolene. Bopælskravet til en udenlandsk advokat for at opnå fuldgyldigt medlemskab af advokatsamfundet er på mindst seks år fra datoen for ansøgningen om registrering, tre år under særlige omstændigheder. Krav om at have et certifikat udstedt af den belgiske udenrigsminister, hvorunder national lovgivning eller international konvention tillader gensidighed (princip om gensidig anerkendelse).
Udenlandske advokater kan udøve advokatvirksomhed. Advokater, der er medlemmer af udenlandske (ikke-EU-) advokatsamfund og ønsker at etablere sig i Belgien, men som ikke opfylder betingelserne for optagelse på listen (tableau) af fuldt kvalificerede advokater, på EU-listen eller på listen over praktikanter, kan anmode om optagelse på den såkaldte "B-liste". Kun i Bruxelles' advokatsamfund findes der en sådan "B-liste". En advokat på B-listen har lov til at yde rådgivning. Repræsentation ved "Cour de Cassation" forudsætter optagelse på en bestemt liste.
I BG: (også med hensyn til mestbegunstigelsesbehandling) Forbeholdt statsborgere i en medlemsstat, en anden stat, der er part i EØS-aftalen, eller Det Schweiziske Forbund, som har fået tilladelse til at udøve advokaterhvervet i henhold til lovgivningen i et af de ovennævnte lande. En udlænding (bortset fra ovennævnte), der har fået tilladelse til at udøve advokaterhvervet i henhold til lovgivningen i sit eget land, kan deltage i en appelretssag ved domstolene i Republikken Bulgarien som forsvarer eller mandatar for en statsborger i vedkommendes eget land i en konkret sag sammen med en bulgarsk advokat i tilfælde, hvor dette er fastsat i en aftale mellem den bulgarske og den respektive fremmede stat, eller ud fra gensidighedsprincippet, efter at der er rettet forudgående anmodning herom til formanden for det øverste advokatråd. Lande, for hvilke gensidighedsprincippet finder anvendelse, udpeges af justitsministeren efter anmodning fra formanden for det øverste advokatråd. For at kunne yde retsmægling skal en udlænding være i besiddelse af en tilladelse til længerevarende eller permanent ophold i Republikken Bulgarien og være optaget i justitsministeriets ensartede register over mæglere.
I CY: Der kræves EØS-statsborgerskab eller schweizisk statsborgerskab samt bopæl (handelsmæssig tilstedeværelse). Kun advokater, som har opnået medlemskab af advokatsamfundet, må være partnere eller deltagere eller bestyrelsesmedlemmer i et advokatfirma i Cypern.
I CZ: Udenlandske advokater skal have fuldgyldigt medlemskab af det tjekkiske advokatsamfund og have bopæl (handelsmæssig tilstedeværelse).
I DE: Kun advokater med kvalifikationer fra et EØS-land eller Schweiz kan opnå medlemskab af advokatsamfundet og har dermed ret til at levere juridiske tjenesteydelser. Der er krav om handelsmæssig tilstedeværelse for at opnå fuldgyldigt medlemskab af advokatsamfundet. Det kompetente advokatsamfund kan bevilge fritagelse. For udenlandske advokater (med bestalling uden for EØS og Schweiz) kan der være begrænsninger for besiddelse af aktier i et advokatfirma, der leverer juridiske tjenesteydelser inden for national ret.
I DK: Juridiske tjenesteydelser, der leveres under titlen "advokat" eller lignende, er sammen med repræsentation ved domstolene forbeholdt advokater med beskikkelse i Danmark. Advokater fra EU, EØS og Schweiz kan udøve advokatvirksomhed under den titel, de har i deres oprindelsesland.
Uden at det berører EU-forbeholdet om ikkediskriminerende krav til retlig form, kan aktier i et advokatfirma kun ejes af advokater, der aktivt udøver advokatvirksomhed i virksomheden, dets moderselskab eller datterselskab, andre ansatte i virksomheden eller et andet advokatfirma, der er registreret i Danmark. Andre ansatte i virksomheden må tilsammen kun eje mindre end 10 % af aktierne og stemmerettighederne, og for at være aktionærer skal de bestå en eksamen i de regler, der er af særlig betydning for udøvelsen af advokatvirksomhed.
Kun advokater, der aktivt udøver advokatvirksomhed i virksomheden, moderselskabet eller datterselskabet, andre aktionærer og arbejdstagerrepræsentanter, kan være medlemmer af bestyrelsen. Flertallet af bestyrelsesmedlemmerne skal være advokater, der aktivt udøver advokatvirksomhed i virksomheden, moderselskabet eller datterselskabet. Kun advokater, der aktivt udøver advokatvirksomhed i virksomheden, moderselskabet eller datterselskabet og andre aktionærer, der har bestået ovennævnte eksamen kan være direktør i advokatvirksomheden.
I EE: Krav om bopæl (handelsmæssig tilstedeværelse).
I EL: Der kræves EØS-statsborgerskab eller schweizisk statsborgerskab samt bopæl (handelsmæssig tilstedeværelse).
I ES: Der kræves EØS-statsborgerskab eller schweizisk statsborgerskab. De kompetente myndigheder kan give dispensation hvad angår nationalitet.
I FI: Der er krav om EØS-nationalitet eller schweizisk nationalitet og om medlemskab af advokatsamfundet for at kunne anvende den erhvervsmæssige titel "advokat" (på finsk "asianajaja" eller på svensk "advokat"). Juridiske tjenesteydelser må også leveres af personer, der ikke er medlemmer af advokatsamfundet.
I FR: Uden at det berører EU-forbeholdet om ikkediskriminerende krav til retlig form, kræves der bopæl eller etablering i EØS for at opnå fuldgyldigt medlemskab af advokatsamfundet, hvilket er nødvendigt for at levere juridiske tjenesteydelser. I et advokatfirma kan kapitalandele og stemmerettigheder være underlagt kvantitative restriktioner i forbindelse med partnernes erhvervsvirksomhed. Repræsentation ved "Cour de Cassation" og "Conseil d'Etat" er underlagt kvoter og forbeholdt franske statsborgere og EU-borgere.
For alle advokater skal virksomheden have en af følgende juridiske former, der er godkendt i henhold til fransk ret på et ikkediskriminerende grundlag: SCP (société civile professionnelle), SEL (société d’exercice libéral), SEP (société en participation), SARL (société à responsabilité limitée), SAS (société par actions simplifiée), SA (société anonyme), SPE (société pluriprofessionnelle d'exercice) og "association", på visse betingelser. Permanent udøvelse af advokatvirksomhed kræver bopæl eller etablering inden for EØS.
I HR: Der kræves statsborgerskab i en EU-medlemsstat.
I HU: Der kræves EØS-statsborgerskab eller schweizisk statsborgerskab samt bopæl (handelsmæssig tilstedeværelse).
I LT: (også med hensyn til mestbegunstigelsesbehandling) Der kræves EØS-statsborgerskab eller schweizisk statsborgerskab og bopæl (handelsmæssig tilstedeværelse).
Udenlandske advokater har kun møderet i henhold til internationale aftaler, herunder særlige bestemmelser om møderet ved domstolene. Der kræves fuldgyldigt medlemskab af advokatsamfundet.
I LU (også med hensyn til mestbegunstigelsesbehandling): Der kræves EØS-statsborgerskab eller schweizisk statsborgerskab samt bopæl (handelsmæssig tilstedeværelse). Rådet for ordningen kan på baggrund af princippet om gensidig anerkendelse vælge at fravige kravet om statsborgerskab med henblik på en udenlandsk statsborger.
I LV (også med hensyn til mestbegunstigelsesbehandling): Der kræves EØS-statsborgerskab eller schweizisk statsborgerskab. Udenlandske advokater har kun møderet i henhold til bilaterale aftaler om gensidig juridisk bistand.
Der findes særlige krav for advokater fra Den Europæiske Union samt udenlandske advokater. For eksempel tillades deltagelse i retsmøder i kriminalsager kun i samarbejde med en advokat fra det lettiske samfund for statsautoriserede advokater.
I MT: Der kræves EØS-statsborgerskab eller schweizisk statsborgerskab samt bopæl (handelsmæssig tilstedeværelse).
I NL: Kun advokater med lokal licens, som er optaget i det nederlandske register, må bruge titlen "advocate". I stedet for at anvende den komplette term "advocate" er (ikkeregistrerede) udenlandske advokater forpligtet til at oplyse hjemlandsjurisdiktionen for deres faglige organisation med henblik på deres aktiviteter i Nederlandene.
I PT (gælder ligeledes mestbegunstigelsesbehandling): Krav om bopæl (handelsmæssig tilstedeværelse). Fuldgyldigt medlemskab af advokatsamfundet er en forudsætning for møderet ved domstolene. Udlændinge, der har et eksamensbevis fra et juridisk fakultet i Portugal, kan lade sig registrere i det portugisiske advokatsamfund (Ordem dos Advogados) på samme betingelser som portugisiske statsborgere, hvis deres respektive land indrømmer portugisiske statsborgere gensidighed.
Andre udlændinge, der har taget en juridisk eksamen, som er anerkendt af et juridisk fakultet i Portugal, kan lade sig registrere som medlem af advokatsamfundet, forudsat at de har fået den nødvendige oplæring og bestået den afsluttende vurderings- og adgangseksamen. Kun advokatfirmaer, hvis andele ejes udelukkende af advokater, der er medlemmer af det portugisiske advokatsamfund, kan virke i Portugal.
I RO: En udenlandsk advokat må ikke foretage mundtlige eller skriftlige afgørelser ved domstolene eller andre retlige organer, bortset fra international voldgift.
I SE: (også med hensyn til mestbegunstigelsesbehandling) For at kunne opnå medlemskab af advokatsamfundet og bruge titlen "advokat" er der krav om bopæl i EØS eller Schweiz. Det svenske advokatsamfund kan udstede dispensationer. Det er ikke nødvendigt at være medlem af advokatsamfundet for at udøve advokatvirksomhed inden for rammerne af svensk ret.
Uden at det berører EU-forbeholdet om ikkediskriminerende krav til retlig form, må et medlem af det svenske advokatsamfund ikke ansættes af andre end et medlem af advokatsamfundet eller en virksomhed, der udøver virksomhed for et medlem af advokatsamfundet. Dog kan et medlem af advokatsamfundet ansættes af et udenlandsk firma, der udøver advokatvirksomhed, forudsat at den pågældende virksomhed er hjemmehørende i et land i EØS eller i Det Schweiziske Forbund. Efter dispensation fra det svenske advokatsamfund kan et medlem af det svenske advokatsamfund også ansættes af et ikke-EU-advokatfirma.
Medlemmer af advokatsamfundet, der udøver deres virksomhed i form af et selskab eller interessentskab, må ikke have andre formål eller udføre anden forretning end udøvelse af advokatvirksomhed. Samarbejde med andre advokatselskaber er tilladt, dog kræver samarbejde med udenlandske virksomheder en tilladelse fra bestyrelsen i det svenske advokatsamfund. Kun et medlem af advokatsamfundet må direkte eller indirekte, eller via et selskab, virke som advokat, eje andele i virksomheden eller være partner. Kun et medlem må være medlem af eller en suppleant for bestyrelsen eller stedfortrædende administrerende direktør eller en autoriseret signatar eller sekretær for virksomheden eller interessentskabet.
I SI: (også med hensyn til mestbegunstigelsesbehandling) Møderet ved domstolene for en kunde, mod betaling, er betinget af en handelsmæssig tilstedeværelse i Slovenien. En udenlandsk advokat, der har ret til at udøve advokatvirksomhed for så vidt angår retten i hjemlandsjurisdiktionen, må levere juridiske tjenesteydelser eller udøve advokatvirksomhed på de betingelser, der er fastsat i artikel 34a i loven om advokatbistand, når betingelsen om faktisk gensidighed er opfyldt.
Uden at det berører EU-forbeholdet om ikkediskriminerende krav til retlig form er handelsmæssig tilstedeværelse for advokater udpeget af det slovenske advokatsamfund begrænset til enkeltmandsvirksomheder, advokatfirmaer med begrænset ansvar (interessentskab) eller til et advokatfirma med ubegrænset ansvar (interessentskab). Et advokatfirmas aktiviteter skal begrænses til udøvelse af advokatvirksomhed. Kun advokater har ret til at være partnere i et advokatfirma.
I SK: (også med hensyn til mestbegunstigelsesbehandling) Der er krav om EØS-statsborgerskab og om bopæl (handelsmæssig tilstedeværelse) for at kunne levere juridiske tjenesteydelser inden for retten i værtsjurisdiktionen, herunder for møderet ved domstolene. For advokater fra lande uden for EU kræves der reel gensidighed.
Foranstaltninger:
EU: Artikel 120 i Europa-Parlamentets og Rådets forordning (EU) 2017/1001 
(
2
)
, artikel 78 i Rådets forordning (EF) nr. 6/2002 
(
3
)
.
AT: Rechtsanwaltsordnung (advokatlov) - RAO, RGBl. nr. 96/1868, artikel 1 og § 21c.
BE: belgisk retsplejelov (artikel 428-508), kongeligt dekret af 24. august 1970.
BG: advokatloven, lov om mægling og lov for notarer og notaraktivitet.
CY: advokatloven (kapitel 2), som ændret.
CZ: lov nr. 85/1996 saml., lov om advokatstanden.
DE: § 59e, § 59f, § 206 Bundesrechtsanwaltsordnung (BRAO; loven om forbundsadvokater),
Gesetz über die Tätigkeit europäischer Rechtsanwälte in Deutschland (EuRAG), og § 10 i Rechtsdienstleistungsgesetz (RDG).
DK: retsplejeloven, kapitel 12 og 13 (lovbekendtgørelse nr. 1284 af 14. november 2018).
EE: Advokatuuriseadus (lov om advokatstanden),
Tsiviilkohtumenetluse seadustik (retsplejelov) halduskohtumenetluse seadustik (lov om forvaltningsretspleje), kriminaalmenetluse seadustik (strafferetsplejelov), og väärteomenetluse seadustik (lov om retspleje vedrørende mindre alvorlige lovovertrædelser).
EL: lov om nye advokater n. 4194/2013.
ES: Estatuto General de la Abogacía Española, aprobado por Real Decreto 658/2001, artikel 13.1
a
.
FI: Laki asianajajista (loven om advokater) (496/1958), s. 1 og 3 og Oikeudenkäymiskaari (4/1734) (retsplejeloven).
FR: Loi 71-1130 du 31 décembre 1971, Loi 90- 1259 du 31 décembre 1990, décret 91-1197 du 27 novembre 1991, og Ordonnance du 10 septembre 1817 modifiée.
HR: Lov om advokatstanden (statstidende 9/94, 117/08, 75/09, 18/11).
HU: Lov LXXVIII af 2017 om advokatvirksomhed.
LT: lov om advokatsamfundet i Litauen af 18. marts 2004 nr. IX-2066, senest ændret den 12. december 2017 ved lov nr. XIII-571.
LU: Loi du 16 décembre 2011 modifiant la loi du 10 août 1991 sur la profession d'avocat.
LV: strafferetslov, afsnit 79 og lov om advokatstanden i Republikken Letland, afsnit 4.
MT: lov om organisation og civil retspleje (kap. 12).
NL: Advocatenwet (advokatlov).
PT: lov 145/2015 af 9 set., alterada p/ Lei 23/2020, 6 jul. (art.
o
 194 substituído p/ art.
o
 201.
o
; e art.
o
 203.
o
 substituído p/ art.
o
 213.
o
).
Den portugisiske advokatvedtægt (Estatuto da Ordem dos Advogados) og lovdekret 229/2004, artikel 5, 7-9,
lovdekret 88/2003, artikel 77 og 102,
den portugisiske notarvedtægt (Estatuto da Câmara dos Solicitadores), som ændret ved lov 49/2004, mas alterada p/ Lei 154/2015, 14 set; ved lov nr. 14/2006 og lovdekret nr. 226/2008 alterado p/Lei 41/2013 af 26. juni,
lov 78/2001, artikel 31, 4 Alterada p/ Lei 54/2013, 31 jul.,
forskrift for mægling i familie- og arbejdssager (bekendtgørelse 282/2010), alterada p/ Portaria 283/2018, 19 out,
lov 21/2007 om mægling i kriminalsager, artikel 12,
lov 22/2013, 26 FeV., alterada p/Lei 17/2017, 16 maio, alterada pelo Decreto-Lei 52/2019, 17 abril.
RO: advokatloven,
lov om mægling og
lov for notarer og notaraktivitet.
SE: Rättegångsbalken (svensk lov om retspleje) (1942:740). og adfærdskodeks for det svenske advokatsamfund vedtaget 29. august 2008.
SI: Zakon o odvetništvu (Neuradno prečiščeno besedilo-ZOdv-NPB8 Državnega Zbora RS z dne 7 junij 2019 (advokatlov) uofficiel konsolideret tekst udarbejdet af det slovenske parlament fra 7. juni 2019).
SK: lov 586/2003 om advokatstanden, artikel 2 og 12.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I PL: Udenlandske advokater må kun etablere sig i form af et registreret interessentskab, et begrænset interessentskab eller et kommanditaktieselskab.
Foranstaltninger:
PL: lov af 5. juli 2002 om udenlandske advokaters ydelse af juridisk bistand i Republikken Polen, artikel 19.
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang:
I IE, IT: Der er bopælskrav (handelsmæssig tilstedeværelse) for at kunne levere juridiske tjenesteydelser inden for retten i værtsjurisdiktionen, herunder møderet ved domstolene.
Foranstaltninger:
IE: Advokatlovene 1954-2011
IT: Kongeligt dekret 1578/1933, artikel 17, lov om advokatstanden.
b)   Patentagenter, agentvirksomhed vedrørende industriel ejendomsret, advokatvirksomhed i forbindelse med intellektuel ejendomsrettighed (del af CPC 879, 861, 8613)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I AT: Der er krav om EØS-statsborgerskab eller schweizisk statsborgerskab for at kunne udøve patentagentvirksomhed; der er krav om bopæl der.
I BG og CY: Der er krav om EØS-statsborgerskab eller schweizisk statsborgerskab for at kunne udøve patentagentvirksomhed. I CY er der bopælskrav.
I DE: Kun patentadvokater med kvalifikationer fra Tyskland kan opnå medlemskab af advokatsamfundet og har dermed ret til at udøve patentagentvirksomhed inden for national lovgivning i Tyskland. Udenlandske patentadvokater kan tilbyde juridiske tjenesteydelser inden for udenlandsk ret, hvis de kan dokumentere ekspertviden; registrering er påkrævet for at kunne udøve advokatvirksomhed i Tyskland. Udenlandske patentadvokater (bortset fra patentadvokater med kvalifikationer fra et EØS-land eller Schweiz) må ikke etablere et firma sammen med nationale patentadvokater.
Udenlandske patentadvokater (bortset fra patentadvokater fra et EØS-land eller Schweiz) må kun have deres handelsmæssige tilstedeværelse i form af en minoritetsandel i et Patentanwalts-GmbH eller Patentanwalt-AG.
I EE: Der er krav om estisk statsborgerskab eller EU-statsborgerskab samt om fast bopæl for at kunne udøve patentagentvirksomhed.
I ES og PT: Der er krav om EØS-statsborgerskab for at kunne udøve agentvirksomhed vedrørende industriel ejendomsret.
I FR: For at blive opført på listen over agentvirksomhed vedrørende industriel ejendomsret er etablering eller bopæl i EØS påkrævet. Der stilles krav om bopæl i EØS for fysiske personer. For at repræsentere en klient over for det nationale kontor for intellektuel ejendomsret kræves der etablering i EØS. Kun gennem SCP (société civile professionnelle), SEL (société d'exercice libéral) eller enhver anden retlig form, på visse betingelser. Uanset retlig form skal mere end halvdelen af aktierne og stemmerettighederne indehaves af fagfolk fra EØS. Advokatfirmaer kan have ret til at levere agentvirksomhed vedrørende industriel ejendomsret (se forbehold vedrørende juridiske tjenesteydelser).
Hvad angår grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I FI og HU: Der stilles krav om bopæl i EØS for at kunne udøve patentagentvirksomhed.
I SI: Der kræves bopæl i Slovenien for indehavere af eller ansøgere om registrerede rettigheder (patenter, varemærker, designbeskyttelse). Alternativt er en patentagent eller en varemærke- og designagent, der er registreret i Slovenien, påkrævet til hovedformålet for tjenesteydelser, underretning osv.
Foranstaltninger:
AT: Lov om patentadvokater (§§ 2 og 16a).
BG: artikel 4 i bekendtgørelsen om repræsentanter vedrørende intellektuel ejendomsret.
CY: advokatloven (kapitel 2), som ændret.
DE: Patentanwaltsordnung (PAO).
EE: Patendivoliniku seadus (lov om patentagenter) § 2, § 14.
ES: Ley 11/1986, de 20 de marzo, de Patentes de Invención y Modelos de utilidad, artikel 155-157.
FI: Tavaramerkkilaki (lov om varemærker) (7/1964).
Laki auktorisoiduista teollisoikeusasiamiehistä (lov om autoriserede advokater inden for industriel ejendomsret) (22/2014) og
Laki kasvinjalostajanoikeudesta (lov om planteavleres rettigheder) 1279/2009. Mallioikeuslaki (lov om registrerede design) 221/1971.
FR: Code de la propriété intellectuelle.
HU: lov XXXII af 1995 om patentadvokater.
PT: lovdekret 15/95, som ændret ved lov 17/2010, ved Portaria 1200/2010, artikel 5, og ved Portaria 239/2013 og lov 9/2009.
SI: Zakon o industrijski lastnini (lov om industriel ejendomsret), Uradni list RS, št. 51/06 – uradno prečiščeno besedilo in 100/13 og 23/20 (Republikken Sloveniens officielle tidende, nr. 51/06 – officiel konsolideret tekst 100/13 og 23/20).
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – national behandling, lokal tilstedeværelse:
I IE: Etablering kræver, at mindst en af direktørerne, partnerne, lederne eller de ansatte i en virksomhed er registreret som advokat inden for patentret eller intellektuel ejendomsret i Irland. Der er krav om EØS-nationalitet og handelsmæssig tilstedeværelse i EØS, hovedforretningssted i en EØS-medlemsstat og beskikkelse i henhold til national ret i en EØS-medlemsstat for at kunne udøve virksomhed på tværs af grænserne.
Foranstaltninger:
IE: Afsnit 85 og 86 i Trade Marks Act (varemærkeloven) 1996, som ændret,
Regel 51, regel 51A og regel 51B i Trade Marks Rules (varemærkereglerne) 1996, som ændret, afsnit 106 og 107 i Patent Act (patentloven) 1992, som ændret, og Register of Patent Agent Rules (patentagentregisterreglerne) S.I. 580 af 2015.
c)   Regnskabsvæsens- og bogholderitjenesteydelser (CPC 8621 undtagen revisionstjenesteydelser, 86213, 86219, 86220)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I AT: Kapitalinteresser og stemmerettigheder for udenlandske revisionsfirmaer og bogholdere, der er kvalificerede i henhold til lovgivningen i deres hjemland, må ikke overskride 25 procent i et østrigsk selskab. Tjenesteyderen skal have et kontor eller arbejdssæde inden for EØS (CPC 862).
I FR: Der er krav om etablering eller bopæl. Ydelse via enhver virksomhedsform bortset fra SNC (Société en nom collectif) og SCS (Société en commandite simple). Der gælder særlige betingelser for SEL (sociétés d'exercice libéral), AGC (Association de gestion et comptabilité) og SPE (Société pluri-professionnelle d'exercice). (CPC 86213, 86219, 86220).
I IT: Der kræves bopæl eller forretningssted for at blive registreret i erhvervsregistret, hvilket er nødvendigt for at kunne yde regnskabsvæsens- og bogholderitjenesteydelser (CPC 86213, 86219, 86220).
I PT: (også med hensyn til mestbegunstigelsesbehandling): Der kræves bopæl eller hjemsted for optagelse i sammenslutningen af autoriserede bogholderes (Ordem dos Contabilistas Certificados) erhvervsregister, hvilket er nødvendigt for at kunne yde regnskabsvæsensydelser, under forudsætning af gensidighed i forhold til portugisiske statsborgere.
Foranstaltninger:
AT: Wirtschaftstreuhandberufsgesetz (lov om statsautoriserede revisorer og revisionserhvervet, BGBl.
I nr. 58/1999), § 12, § 65, §67, § 68 (1) 4, og
Bilanzbuchhaltungsgesetz (BibuG), BGBL. I nr. 191/2013, §§ 7, 11, 28.
FR: Ordonnance 45-2138 du 19 septembre 1945.
IT: Lovdekret 139/2005 og lov 248/2006.
PT: lovdekret n.
o
452/99, ændret ved lov nr. 139/2015, 7. september.
Hvad angår grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I SI: Etablering i Den Europæiske Union er påkrævet for at levere regnskabsvæsens- og bogholderitjenesteydelser (CPC 86213, 86219, 86220).
Foranstaltninger:
SI: lov om tjenesteydelser i det indre marked, statstidende RS nr. 21/10.
d)   Revisionstjenesteydelser (CPC – 86211, 86212 undtagen regnskabsvæsen og bogholderivirksomhed)
Hvad angår liberalisering af investeringer – national behandling, mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – national behandling, mestbegunstigelsesbehandling:
I EU: Levering af lovpligtige revisionsydelser kræver godkendelse fra de kompetente myndigheder i en medlemsstat, som kan anerkende en kvalifikationsækvivalens for en revisor, som er statsborger i Det Forenede Kongerige eller i et tredjeland, under forudsætning af gensidighed (CPC 8621).
Foranstaltninger:
EU: Europa-Parlamentets og Rådets direktiv 2013/34/EU 
(
4
)
 og Europa-Parlamentets og Rådets direktiv 2006/43/EF 
(
5
)
.
Hvad angår liberalisering af investeringer – markedsadgang:
I BG: Der kan gælde ikkediskriminerende krav til retlig form.
Foranstaltninger:
BG: lov om uafhængig finansiel revision.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I AT: Kapitalinteresser og stemmerettigheder for udenlandske revisorer, der er kvalificerede i henhold til lovgivningen i deres hjemland, må ikke overskride 25 procent i et østrigsk selskab. Tjenesteyderen skal have et kontor eller arbejdssæde inden for EØS.
Foranstaltninger:
AT: Wirtschaftstreuhandberufsgesetz (lov om statsautoriserede revisorer og revisionserhvervet, BGBl.
I nr. 58/1999), § 12, § 65, §67, § 68 (1) 4.
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I DK: Kun revisorer, der er godkendt i Danmark, må levere lovpligtige revisionstjenesteydelser. Godkendelse forudsætter bopæl i en EØS-medlemsstat. I godkendte revisionsfirmaer må stemmerettighederne for revisorer og revisionsfirmaer, som ikke er godkendt i overensstemmelse med gennemførelsesforordningen til direktiv 2006/43/EF på grundlag af traktatens artikel 54, stk. 3, litra g), om lovpligtig revision, ikke overstige 10 % af stemmerettighederne.
I FR: (også med hensyn til mestbegunstigelsesbehandling) For lovpligtige revisioner: er der krav om etablering eller bopæl. Britiske statsborgere kan levere lovpligtige revisionstjenesteydelser i Frankrig under forudsætning af gensidighed. Levering gennem enhver selskabsform med undtagelse af dem, hvori partnerne betragtes som handelsdrivende ("commerçants"), såsom SNC (Société en nom collectif) og SCS (Société en commandite simple).
I PL: Etablering i Den Europæiske Union er påkrævet for at levere revisionstjenesteydelser.
Der gælder krav til retlig form.
Foranstaltninger:
DK: revisorloven, lov nr. 1287 af 20.11.2018.
FR: Code de commerce.
PL: lov af 11. maj 2017 om autoriserede revisorer, revisionsfirmaer og offentligt tilsyn, statstidende af 2017, punkt 1089.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I CY: Tilladelse er nødvendig og underlagt en økonomisk behovsprøve. Hovedkriterium: beskæftigelsessituationen i delsektoren. Erhvervssammenslutninger (interessentskaber) mellem fysiske personer er tilladt.
I SK: Kun et selskab, hvor mindst 60 % af kapitalinteresserne eller stemmerettighederne er forbeholdt slovakiske statsborgere eller statsborgere i en medlemsstat, kan blive autoriseret til at udføre revisioner i Den Slovakiske Republik.
Foranstaltninger:
CY: lov om revisorer af 2017 (lov 53(l)/2017).
SK: lov nr. 423/2015 om lovpligtig revision.
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – national behandling, lokal tilstedeværelse:
I DE: Revisionsfirmaer ("Wirtschaftsprüfungsgesellschaften") må kun antage juridiske former, som er tilladt inden for EØS. Almindelige interessentskaber og begrænsede erhvervsinteressentskaber kan anerkendes som "Wirtschaftsprüfungsgesellschaften", hvis de er opført som handelsinteressentskaber i handelsregisteret på baggrund af deres betroede aktiviteter, artikel 27 i WPO. Dog må revisorer fra tredjelande, der er registreret i henhold til artikel 134 i WPO, udføre lovpligtig revision af årlige selvangivelser eller levere konsoliderede årsregnskaber for en virksomhed med hovedsæde uden for Unionen, hvis værdipapirer udbydes på et reguleret marked.
Foranstaltninger:
DE: Handelsgesetzbuch (HGB; handelsloven),
Gesetz über eine Berufsordnung der Wirtschaftsprüfer (Wirtschaftsprüferordnung - WPO; lov om statsautoriserede revisorer).
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – national behandling:
I ES: autoriserede revisorer skal være statsborger i en medlemsstat. Dette forbehold gælder ikke for revision af ikke-EU-virksomheder, som er noteret på et spansk reguleret marked.
Foranstaltninger:
ES: Ley 22/2015, de 20 de julio, de Auditoría de Cuentas (ny revisorlovgivning: lov 22/2015 om revisionstjenesteydelser).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I EE: Der gælder krav til retlig form. Flertallet af de stemmer, som et revisionsfirmas aktier repræsenterer, skal enten tilhøre edsvorne revisorer, som er underlagt tilsyn af en EØS-medlemsstats kompetente myndighed, og som har opnået deres kvalifikationer i en EØS-medlemsstat, eller revisionsvirksomheder. Mindst tre fjerdedele af de personer, der repræsenterer et revisionsfirma på grundlag af loven, skal have opnået deres kvalifikationer i en EØS-medlemsstat.
Foranstaltninger:
EE: lov om revisorvirksomhed (Audiitortegevuse seadus) § 76-77
Hvad angår liberalisering af investeringer – national behandling, mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I SI: Krav om handelsmæssig tilstedeværelse. En tredjelandsrevisionsenhed kan besidde kapitalandele eller danne partnerskab i slovenske revisionsfirmaer, forudsat at slovenske revisionsfirmaer i henhold til lovgivningen i det land, hvor tredjelandsrevisionsenheden er etableret, kan besidde kapitalandele eller danne partnerskab i en revisionsenhed i dette land (gensidighedskrav).
Foranstaltninger:
SI: revisionslov (ZRev-2), statstidende RS nr. 65/2008 (som senest ændret i nr. 84/18) og lov om selskaber (ZGD-1), statstidende RS nr. 42/2006 (som senest ændret i nr. 22/19 - ZPosS).
Hvad angår grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I BE: Der kræves etablering i Belgien, hvor den erhvervsmæssige aktivitet finder sted, og hvor akter, dokumenter og korrespondance med relation til denne opbevares, og mindst én leder eller direktør skal være godkendt som revisor.
I FI: Der er krav om at have bopæl i EØS for mindst en af revisorerne i en finsk virksomhed med begrænset ansvar og for virksomheder, som har forpligtelse til at foretage revision. En revisor skal have en lokal licens eller være et revisionsfirma med lokal licens.
I HR: Revisionstjenesteydelser må kun leveres af juridiske personer, som er etableret i Kroatien, eller af fysiske personer, der har bopæl i Kroatien.
I IT: Der er bopælskrav for fysiske personers levering af revisionstjenesteydelser.
I LT: Levering af revisionstjenesteydelser kræver etablering i EØS.
I SE: Kun revisorer, der er godkendt i Sverige, og revisionsfirmaer, der er registreret i Sverige, må udføre lovpligtig revisorvirksomhed. Der stilles krav om bopæl i EØS. Titlerne "godkendt revisor" og "autoriseret revisor" må kun anvendes af revisorer, der er godkendt eller autoriseret i Sverige. Revisorer for kooperative økonomiske sammenslutninger og visse andre virksomheder, der ikke er certificerede eller godkendte revisorer, skal have bopæl i EØS, medmindre staten eller en offentlig myndighed, der er udpeget af staten, i særlige tilfælde tillader noget andet.
Foranstaltninger:
BE: lov af 7. december 2016 om organisationen af revisorerhvervet og det offentlige tilsyn med revisorer (lov om offentlig revision).
FI: Tilintarkastuslaki (revisionslov) (459/2007), sektorspecifikke love kræver brug af revisorer med lokal licens.
HR: revisionslov (statstidende 146/05, 139/08, 144/12), artikel 3.
IT: lovdekret 58/1998, artikel 155, 158 og 161,
dekret udstedt af republikkens præsident 99/1998 lovdekret 39/2010, artikel 2.
LT: lov om revision af 15. juni 1999 nr. VIII-1227 (ny version af 3. juli 2008 nr. X1676).
SE: Revisorslagen (revisorloven) (2001:883),
revisionslag (revisionsloven) (1999:1079),
aktiebolagslagen (aktieselskabsloven) (2005:551),
lag om ekonomiska föreningar (lov om økonomiske sammenslutninger) (2018:672) og
andre, der regulerer kravene for at gøre brug af godkendte revisorer.
e)   Skatterådgivning (CPC 863, omfatter ikke juridisk rådgivning og juridisk repræsentation i skattesager, som hører under juridiske tjenesteydelser)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I AT: Kapitalinteresser og stemmerettigheder for udenlandske skatterådgivere, der er kvalificerede i henhold til lovgivningen i deres hjemland, må ikke overskride 25 procent i et østrigsk selskab. Tjenesteyderen skal have et kontor eller arbejdssæde inden for EØS.
Foranstaltninger:
AT: Wirtschaftstreuhandberufsgesetz (lov om statsautoriserede revisorer og revisionserhvervet, BGBl.
I nr. 58/1999), § 12, § 65, §67, § 68 (1) 4.
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I FR: Der er krav om etablering eller bopæl. Ydelse via enhver virksomhedsform bortset fra SNC (Société en nom collectif) og SCS (Société en commandite simple). Der gælder særlige betingelser for SEL (sociétés d'exercice libéral), AGC (Association de gestion et comptabilité) og SPE (Société pluri-professionnelle d'exercice).
Foranstaltninger:
FR: Ordonnance 45-2138 du 19 septembre 1945.
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – national behandling:
I BG: Der kræves statsborgerskab i en medlemsstat for skatterådgivere.
Foranstaltninger:
BG: regnskabslov,
lov om uafhængig finansiel revision, lov om indkomstskat for fysiske personer og lov om selskabsskat.
Hvad angår grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I HU: Der stilles krav om bopæl i EØS for at yde skatterådgivning.
I IT: Der stilles bopælskrav.
Foranstaltninger:
HU: Lov 150 af 2017 om beskatning, regeringsdekret 2018/263 om registrering og uddannelse i forbindelse med skatterådgivningsvirksomhed.
IT: Lovdekret 139/2005 og lov 248/2006.
f)   Arkitekt- og byplanlægningstjenesteydelser, ingeniørtjenesteydelser og integrerede ingeniørtjenesteydelser (CPC 8671, 8672, 8673, 8674)
Hvad angår liberalisering af investeringer – markedsadgang:
I FR: En arkitekt må kun etablere sig i Frankrig med henblik på arkitekttjenester via en af de følgende juridiske former (på et ikkediskriminerende grundlag): SA et SARL (sociétés anonymes, à responsabilité limitée), EURL (Entreprise unipersonnelle à responsabilité limitée), SCP (en commandite par actions), SCOP (Société coopérative et participative), SELARL (société d'exercice libéral à responsabilité limitée), SELAFA (société d'exercice libéral à forme anonyme), SELAS (société d'exercice libéral) eller SAS (Société par actions simplifiée) eller som enkeltperson eller som partner i et arkitektfirma (CPC 8671).
Foranstaltninger:
FR: Loi 90-1258 relative à l'exercice sous forme de société des professions libérales, décret 95-129 du 2 février 1995 relatif à l'exercice en commun de la profession d'architecte sous forme de société en participation,
décret 92-619 du 6 juillet 1992 relatif à l'exercice en commun de la profession d'architecte sous forme de société d'exercice libéral à responsabilité limitée SELARL, société d'exercice libéral à forme anonyme SELAFA, société d'exercice libéral en commandite par actions SELCA og loi 77-2 du 3 janvier 1977.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I BG: Der kræves bopæl i EØS eller Det Schweiziske Forbund for fysiske personers levering af arkitekt-, byplanlægnings- og ingeniørtjenesteydelser.
Foranstaltninger:
BG: lov om fysisk planlægning,
byggekammerloven og
lov om kamre for arkitekter og ingeniører inden for projektudvikling.
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – national behandling:
I HR: En plan eller et projekt, der er udarbejdet af en udenlandsk arkitekt, ingeniør eller byplanlægger skal valideres af en autoriseret fysisk eller juridisk person i Kroatien med hensyn til overholdelsen af kroatisk lov (CPC 8671, 8672, 8673, 8674).
Foranstaltninger:
HR: lov om fysisk planlægning og byggevirksomhed (statstidende 118/18, 110/19),
lov om fysisk planlægning (statstidende 153/13, 39/19).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – national behandling, lokal tilstedeværelse:
I CY: Der er statsborgerskabs- og bopælskrav for at kunne levere arkitekt- og byplanlægningstjenesteydelser, ingeniørtjenesteydelser og integrerede ingeniørtjenesteydelser (CPC 8671, 8672, 8673, 8674).
Foranstaltninger:
CY: lov 41/1962 som ændret, lov 224/1990 som ændret og lov 29(I)2001 som ændret.
Hvad angår grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I CZ: Der kræves bopæl inden for EØS.
I HU: Der kræves EØS-bopæl for at levere følgende tjenesteydelser, såfremt de leveres af en fysisk person, der befinder sig på Ungarns territorium: arkitekttjenesteydelser, ingeniørtjenesteydelser (gælder kun praktikanter), integrerede ingeniørtjenesteydelser og landskabsarkitekturtjenesteydelser (CPC 8671, 8672, 8673, 8674).
I IT: Der kræves bopæl eller erhvervsbopæl/forretningsadresse i Italien for at blive registreret i erhvervsregistreret, hvilket er nødvendigt for at kunne udøve arkitekt- eller ingeniørvirksomhed (CPC 8671, 8672, 8673, 8674).
I SK: Der kræves bopæl inden for EØS for at blive registreret i erhvervsorganisationen, hvilket er nødvendigt for at kunne udøve arkitekt- eller ingeniørvirksomhed (CPC 8671, 8672, 8673, 8674).
Foranstaltninger:
CZ: lov nr. 360/1992 sml. om udøvelse af erhvervet som autoriseret arkitekt, ingeniør eller tekniker inden for byggekonstruktioner.
HU: lov LVIII af 1996 om erhvervskamre for arkitekter og ingeniører.
IT: kongeligt dekret 2537/1925, forskrift for arkitekt- og ingeniørerhvervet, lov 1395/1923 og
dekret udstedt af republikkens præsident (D.P.R.) 328/2001.
SK: lov 138/1992 om arkitekter og ingeniører, artikel 3, 15, 15a, 17a og 18a.
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I BE: Ydelse af arkitekttjenesteydelser omfatter kontrol med udførelsen af arbejderne (CPC 8671, 8674). Udenlandske arkitekter med autorisation i deres hjemlande og med ønske om at praktisere deres profession på lejlighedsvis basis i Belgien skal forinden have fået en autorisation fra sammenslutningens råd i det geografiske område, hvor de agter at praktisere deres aktivitet.
Foranstaltninger:
BE: lov af 20. februar 1939 om beskyttelse af titlen for arkitekterhvervet og
lov af 26. juni 1963, som opretter arkitektsammenslutningen, etikforskrifter af 16. december 1983 fastlagt af det nationale råd i arkitektsammenslutningens nationale råd (vedtaget ved artikel 1. i A.R. af 18. april 1985, M.B., 8. maj 1985).
Forbehold nr. 3 – Liberale tjenesteydelser (sundhedsrelaterede erhverv og detailhandel med lægemidler)
Sektor – delsektor:
Liberale tjenesteydelser – lægetjenesteydelser (herunder psykologtjenesteydelser) og tandlægetjenesteydelser, ydelser leveret af jordemødre, sygeplejersker, fysioterapeuter og paramedicinsk personale, veterinærtjenesteydelser, detailhandel med farmaceutiske produkter og medicinske og ortopædiske artikler og andre tjenesteydelser leveret af farmaceuter
Brancheklassifikation:
CPC 9312, 93191, 932 og 63211
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Øverste ledelse og bestyrelse
Lokal tilstedeværelse
Kapitel/afsnit:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
a)   Tjenesteydelser leveret af læger, tandlæger, jordmødre, sygeplejersker, fysioterapeuter og paramedicinsk personale (CPC 852, 9312, 93191)
Hvad angår liberalisering af investeringer – national behandling, mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – national behandling, mestbegunstigelsesbehandling:
I IT: Der kræves EU-statsborgerskab for psykologer. Udenlandske fagpersoner kan opnå tilladelse til at praktisere på baggrund af princippet om gensidig anerkendelse (del af CPC 9312).
Foranstaltninger:
IT: Lov 56/1989 om psykologerhvervet.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I CY: Der er krav om cypriotisk statsborgerskab og om bopæl for levering af lægetjenester (herunder psykologer) og tjenesteydelser ved tandlæger, jordemødre, sygeplejersker, fysioterapeuter og paramedicinsk personale.
Foranstaltninger:
CY: lov om registrering af læger (kapitel 250) som ændret,
lov om registrering af tandlæger (kapitel 249) som ændret,
lov 75(I)/2013 – fodterapeuter,
lov 33(I)/2008 som ændret – medicinsk fysik,
lov 34(I)/2006 som ændret – ergoterapeuter,
lov 9(I)/1996 som ændret – tandteknikere,
lov 68(I)/1995 som ændret – psykologer,
lov 16(I)/1992 som ændret – optikere,
lov 23(I)/2011 som ændret – radiologer/radioterapeuter,
lov 31(I)/1996 som ændret – diætetikere/ernæringseksperter,
lov 140/1989 som ændret – fysioterapeuter og
lov 214/1988 som ændret – sygeplejersker.
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang, lokal tilstedeværelse:
I DE (gælder ligeledes det regionale forvaltningsniveau): Geografiske begrænsninger kan pålægges erhvervsmæssig registrering, som både gælder for statsborgere og ikkestatsborgere.
Læger (inklusive psykologer, psykoterapeuter og tandlæger) skal registreres i de regionale lovmæssige sygekasser for læger eller tandlæger (kassenärztliche eller kassenzahnärztliche Vereinigungen), hvis de ønsker at behandle patienter, der er forsikret af de lovmæssige sygekasser. Denne registrering kan være underlagt kvantitative begrænsninger på baggrund af den regionale fordeling af læger. Denne begrænsning gælder ikke for tandlæger. Registrering er kun påkrævet for læger, der deltager i den offentlige sundhedsordning. Ikkediskriminatoriske begrænsninger i virksomhedens juridiske form gælder for at måtte levere disse tjenester (§ 95 SGB V).
For jordemodervirksomhed er adgangen begrænset til fysiske personer. For læge- og tandlægetjenester er det muligt at få adgang for fysiske personer, autoriserede behandlingscentre og bemyndigede organer. Der kan gælde krav om etablering.
For så vidt angår telemedicin kan antallet af IKT- (informations- og kommunikationsteknologi) tjenesteydere være begrænset med henblik på at garantere interoperabilitet, kompatibilitet og de nødvendige sikkerhedsstandarder. Dette gælder på ikkediskriminatorisk vis (CPC 9312, 93191).
Foranstaltninger:
Bundesärzteordnung (BÄO; forbundsbekendtgørelse for læger),
Gesetz über die Ausübung der Zahnheilkunde (ZHG),
Gesetz über den Beruf der Psychotherapeutin und des Psychotherapeuten (PsychThG; lov om psykoterapeutisk virksomhed),
Gesetz über die berufsmäßige Ausübung der Heilkunde ohne Bestallung (Heilpraktikergesetz),
Gesetz über das Studium und den Beruf von Hebammen(HebG),
Gesetz über die Pflegeberufe (PflBG),
Sozialgesetzbuch Fünftes Buch (SGB V; socialloven, femte bog) – lovmæssige sygekasser.
Regionalt niveau:
Heilberufekammergesetz des Landes Baden-Württemberg,
Gesetz über die Berufsausübung, die Berufsvertretungen und die Berufsgerichtsbarkeit der
Ärzte, Zahnärzte, Tierärzte, Apotheker sowie der Psychologischen Psychotherapeuten und der
Kinder- und Jugendlichenpsychotherapeuten (Heilberufe-Kammergesetz - HKaG) in Bayern,
Berliner Heilberufekammergesetz (BlnHKG),
Heilberufsgesetz Brandenburg (HeilBerG),
Bremisches Gesetz über die Berufsvertretung, die Berufsausübung, die Weiterbildung und die Berufsgerichtsbarkeit der Ärzte, Zahnärzte, Psychotherapeuten, Tierärzte und Apotheker (Heilberufsgesetz - HeilBerG),
Heilberufsgesetz Mecklenburg-Vorpommern (Heilberufsgesetz M-V – HeilBerG),
Heilberufsgesetz (HeilBG NRW),
Heilberufsgesetz (HeilBG Rheinland-Pfalz),
Gesetz über die öffentliche Berufsvertretung, die Berufspflichten, die Weiterbildung und die Berufsgerichtsbarkeit der Ärzte/ Ärztinnen, Zahnärzte/ Zahnärztinnen, psychologischen Psychotherapeuten/ Psychotherapeutinnen und Kinder- und Jugendlichenpsychotherapeuten/psychotherapeutinnen, Tierärzte/Tierärztinnen und Apotheker/Apothekerinnen im Saarland (Saarländisches Heilberufekammergesetz - SHKG),
Gesetz über Berufsausübung, Berufsvertretungen und Berufsgerichtsbarkeit der Ärzte, Zahnärzte, Tierärzte, Apotheker sowie der Psychologischen Psychotherapeuten und der Kinder und Jugendlichenpsychotherapeuten im Freistaat (Sächsisches Heilberufekammergesetz – SächsHKaG) og Thüringer Heilberufegesetz.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, lokal tilstedeværelse:
I FR: Mens andre typer retlige former også kan anvendes af EU-investorer, har udenlandske investorer kun adgang til de retlige former "société d'exercice liberal" (SEL) og "société civile professionnelle" (SCP). Der kræves fransk statsborgerskab med henblik på læge-, tandpleje- og jordmodervirksomhed. Det er dog muligt for udlændinge at få adgang inden for årligt fastsatte kvoter. For læger, tandlæger, jordemødre og sygeplejersker kun levering af tjenesteydelser gennem SEL à forme anonyme, à responsabilité limitée par actions simplifiée ou en commandite par actions SCP, société coopérative (kun for selvstændige praktiserende læger og speciallæger) eller société interprofessionnelle de soins ambulatoires (SISA) for tværfaglige sundhedshjem (MSP).
Foranstaltninger:
FR: Loi 90-1258 relative à l'exercice sous forme de société des professions libérales, loi n°2011-940 du 10 août 2011 modifiant certaines dipositions de la loi n°2009-879 dite HPST, loi n°47-1775 portant statut de la coopération og code de la santé publique.
Hvad angår liberalisering af investeringer – markedsadgang:
I AT: Samarbejde mellem læger med henblik på levering af ambulante sundhedstjenesteydelser til offentligheden, såkaldte gruppepraksis, må kun etableres i den juridiske form af et Offene Gesellschaft/OG eller et Gesellschaft mit beschränkter Haftung/GmbH. Kun læger kan indgå som partnere i en sådan gruppepraksis. De skal have ret til at udøve selvstændig lægevirksomhed, være registreret hos det østrigske lægeforbund og aktivt udøve lægevirksomhed i praksissen. Andre fysiske og juridiske personer må ikke indgå som partnere i gruppepraksissen og må ikke have del i dens indtægter eller fortjeneste (del af CPC 9312).
Foranstaltninger:
AT: lægeloven, BGBl. I nr. 169/1998, §§ 52a-52c,
forbundslov om udøvelse af bestemte medicinsk-tekniske erhverv, BGBl. nr. 460/1992, og forbundslov om massører, BGBl. nr. 169/2002.
b)   Dyrlægevirksomhed (CPC 932)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, mestbegunstigelsesbehandling:
I AT: Kun statsborgere i en EØS-medlemsstat må levere veterinærtjenester. Nationalitetskravet fraviges for statsborgere i en stat, der ikke er medlem af EØS, hvis der findes en EU-aftale med denne ikkemedlemsstat af EØS om national behandling med henblik på investering og grænseoverskridende handel med veterinærtjenesteydelser.
I ES: Medlemsskab af en faglig sammenslutning er obligatorisk for at kunne udøve erhvervet og kræver EU-statsborgerskab, hvilket kan fraviges i forbindelse med en bilateral erhvervsaftale. Dyrlægevirksomhed må kun udøves af fysiske personer.
I FR: Der kræves EØS-statsborgerskab for at kunne udøve dyrlægevirksomhed, men nationalitetskravet kan fraviges under forudsætning af gensidighed. De juridiske former, som er til rådighed for en virksomhed, der yder veterinærtjenesteydelser, er begrænset til SCP (Société civile professionnelle) og SEL (Société d'exercice liberal).
Der kan på visse betingelser gives tilladelse til andre retlige selskabsformer i henhold til fransk ret eller lovgivningen i en anden medlemsstat i EØS, hvis det vedtægtsmæssige hjemsted, hovedkontor eller hovedvirksomhed er beliggende dér.
Foranstaltninger:
AT: Tierärztegesetz (veterinærloven), BGBl. nr. 16/1975, § 3 (2) (3).
ES: Real Decreto 126/2013, de 22 de febrero, por el que se aprueban los Estatutos Generales de la Organización Colegial Veterinaria Española, artikel 62 og 64.
FR: Code rural et de la pêche maritime.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – national behandling, lokal tilstedeværelse:
I CY: Der gælder statsborgerskabs- og bopælskrav for ydelse af veterinærtjenesteydelser.
I EL: Der kræves EØS-statsborgerskab eller schweizisk statsborgerskab for at kunne udøve dyrlægevirksomhed.
I HR: Kun juridiske og fysiske personer, der er etableret i en medlemsstat med henblik på at udføre veterinære aktiviteter, kan levere grænseoverskridende veterinærtjenesteydelser i Republikken Kroatien. Kun EU-statsborgere kan etablere en veterinærpraksis i Kroatien.
I HU: Der kræves EØS-statsborgerskab for at opnå medlemskab af det ungarske veterinærkammer, der er en forudsætning for at kunne yde veterinærtjenesteydelser. Tilladelse til etablering er underlagt en økonomisk behovsprøve. Hovedkriterium: Arbejdsmarkedsforhold inden for sektoren.
Foranstaltninger:
CY: lov 169/1990 som ændret.
EL: præsidentdekret 38/2010, ministerbeslutning 165261/IA/2010 (statstidende 2157/B).
HR: veterinærloven (statstidende 83/13, 148/13, 115/18), artikel 3, stk. 67, artikel 105 og artikel 121.
HU: lov CXXVII af 2012 om det ungarske veterinærkammer og om vilkårene for levering af veterinærtjenesteydelser.
Hvad angår grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I CZ: Der kræves fysisk tilstedeværelse på territoriet for at udøve dyrlægevirksomhed.
I IT og PT: Der er krav om bopæl for at kunne udøve dyrlægevirksomhed.
I PL: Der kræves fysisk tilstedeværelse for at udøve dyrlægevirksomhed; for at udøve dyrlægeerhvervet på Polens territorium skal ikke-EU-statsborgere have bestået en eksamen på polsk, der tilrettelægges af det polske kammer for dyrlæger.
I SI: Kun juridiske og fysiske personer, der er etableret i en medlemsstat med henblik på at udføre veterinære aktiviteter, kan levere grænseoverskridende veterinærtjenesteydelser i Republikken Slovenien.
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang:
I SK: Der kræves bopæl inden for EØS for at opnå registrering i erhvervsorganisationen, hvilket er nødvendigt for udøvelse af erhvervet. Dyrlægevirksomhed må kun udøves af fysiske personer.
Foranstaltninger:
CZ: lov nr. 166/1999 sml. (veterinærloven), §58-63, 39, og
lov nr. 381/1991 sml. (om Den Tjekkiske Republiks dyrlægekammer), stk. 4.
IT: lovdekret C.P.S. 233/1946, artikel 7-9, og
dekret udstedt af republikkens præsident (DPR) 221/1950, paragraf 7.
PL: lov af 21. december 1990 om dyrlægeerhvervet og kammeret for dyrlægekirurger.
PT: lovdekret 368/91 (vedtægten for dyrlægeforeningen) alterado p/ Lei 125/2015, 3 set.
SI: Pravilnik o priznavanju poklicnih kvalifikacij veterinarjev (Regler for anerkendelse af dyrlægers faglige kvalifikationer), Uradni list RS, št. (statstidende nr.) 71/2008, 7/2011, 59/2014 in 21/2016, lov om tjenesteydelser i det indre marked, statstidende RS nr. 21/2010.
SK: lov 442/2004 om private dyrlæger og dyrlægekammeret, artikel 2.
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang:
I DE (gælder ligeledes det regionale forvaltningsniveau): Dyrlægevirksomhed må kun udøves af fysiske personer. Telemedicin må kun ydes i forbindelse med en primær behandling, der involverer forudgående fysisk tilstedeværelse af en dyrlæge.
I DK og NL: Dyrlægevirksomhed må kun udøves af fysiske personer.
I IE: Dyrlægevirksomhed må kun udøves af fysiske personer eller partnerskaber.
I LV: Dyrlægevirksomhed må kun udøves af fysiske personer.
Foranstaltninger:
DE: Bundes-Tierärzteordnung (BTÄO; forbundslov for dyrlægeerhvervet).
Regionalt niveau:
Delstaternes love for lægevirksomhed og lægekamre (Heilberufs- und Kammergesetze der Länder) og (baseret på disse),
Baden-Württemberg, Gesetz über das Berufsrecht und die Kammern der Ärzte, Zahnärzte, Tierärzte Apotheker, Psychologischen Psychotherapeuten sowie der Kinder- und Jugendlichenpsychotherapeuten (Heilberufe-Kammergesetz - HBKG),
Bayern, Gesetz über die Berufsausübung, die Berufsvertretungen und die Berufsgerichtsbarkeit der Ärzte, Zahnärzte, Tierärzte, Apotheker sowie der Psychologischen Psychotherapeuten und der Kinder- und Jugendlichenpsychotherapeuten (Heilberufe-Kammergesetz - HKaG),
Berliner Heilberufekammergesetz (BlnHKG),
Brandenburg, Heilberufsgesetz (HeilBerG),
Bremen Gesetz über die Berufsvertretung, die Berufsausübung, die Weiterbildung und die Berufsgerichtsbarkeit der Ärzte, Zahnärzte, Psychotherapeuten, Tierärzte und Apotheker (Heilberufsgesetz - HeilBerG),
Hamburg, Hamburgisches Kammergesetz für die Heilberufe (HmbKGH),
Hessen, Gesetz über die Berufsvertretungen, die Berufsausübung, die Weiterbildung und die Berufsgerichtsbarkeit der Ärzte, Zahnärzte, Tierärzte, Apotheker, Psychologischen Psychotherapeuten und Kinder- und Jugendlichenpsychotherapeuten (Heilberufsgesetz),
Mecklenburg-Vorpommern, Heilberufsgesetz (HeilBerG),
Niedersachsen, Kammergesetz für die Heilberufe (HKG),
Nordrhein-Westfalen, Heilberufsgesetz NRW (HeilBerg),
Rheinland-Pfalz, Heilberufsgesetz (HeilBG),
Saarland, Gesetz Nr. 1405 über die öffentliche Berufsvertretung, die Berufspflichten, die Weiterbildung und die Berufsgerichtsbarkeit der Ärzte/Ärztinnen, Zahnärzte/Zahnärztinnen,
Tierärzte/Tierärztinnen und Apotheker/Apothekerinnen im Saarland (Saarländisches Heilberufekammergesetz - SHKG),
Sachsen, Gesetz über Berufsausübung, Berufsvertretungen und Berufsgerichtsbarkeit der Ärzte, Zahnärzte, Tierärzte, Apotheker sowie der Psychologischen Psychotherapeuten und der Kinder- und Jugendlichenpsychotherapeuten im Freistaat Sachsen (Sächsisches Heilberufekammergesetz – SächsHKaG),
Sachsen-Anhalt, Gesetz über die Kammern für Heilberufe Sachsen-Anhalt (KGHB-LSA),
Schleswig-Holstein, Gesetz über die Kammern und die Berufsgerichtsbarkeit für die Heilberufe (Heilberufekammergesetz - HBKG),
Thüringen, Thüringer Heilberufegesetz (ThürHeilBG), og
Berufsordnungen der Kammern (dyrlægekamrenes erhvervsregulering).
DK: lovbekendtgørelse nr. 40 af lov om dyrlæger af 15. januar 2020.
IE: lov om veterinær praksis 2005.
LV: lov om veterinærmedicin.
NL: Wet op de uitoefening van de diergeneeskunde 1990 (WUD).
c)   Detailhandel med lægemidler, medicinalvarer og ortopædiske varer og andre tjenesteydelser, der ydes af apotekere (CPC 63211)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse:
I AT: Detailhandel med farmaceutiske og specifikke medicinske artikler til offentligheden må kun foregå på et apotek. Der kræves statsborgerskab i en EØS-stat eller i Schweiz for at kunne drive et apotek. Der kræves statsborgerskab i en EØS-stat eller i Schweiz for forpagtere og personer med ansvar for administrationen af et apotek.
Foranstaltninger:
AT: Apothekengesetz (lov om apoteksvirksomhed), RGBl. nr. 5/1907 som ændret, §§ 3, 4, 12, Arzneimittelgesetz (lov om lægemidler), BGBl. nr. 185/1983 som ændret, §§ 57, 59, 59a og Medizinproduktegesetz (lov om medicinske produkter), BGBl. nr. 657/1996 som ændret, § 99.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I DE: Kun fysiske personer (apotekere) har tilladelse til at drive apotek. Statsborgere fra andre lande eller personer, der ikke har bestået den tyske farmaceuteksamen, kan kun opnå tilladelse til at overtage et apotek, der allerede har eksisteret i de foregående tre år. Det samlede antal apoteker pr. person er begrænset til et apotek og op til tre filialapoteker.
I FR: Der kræves statsborgerskab i EØS eller Schweiz for at drive apotek.
Udenlandske farmaceuter kan få tilladelse til etablering inden for årligt fastsatte kvoter. Der kræves tilladelse til at åbne et apotek, og den handelsmæssige tilstedeværelse, herunder fjernsalg af lægemidler til offentligheden ved hjælp af informationssamfundstjenester, skal antage en af de juridiske former, som er tilladt i henhold til national lovgivning på et ikkediskriminerende grundlag: udelukkende société d’exercice libéral (SEL) anonyme, par actions simplifiée, à responsabilité limitée unipersonnelle or pluripersonnelle, en commandite par actions, société en noms collectifs (SNC) eller société à responsabilité limitée (SARL) unipersonnelle eller pluripersonnelle.
Foranstaltninger:
DE: Gesetz über das Apothekenwesen (ApoG; den tyske apotekslov),
Gesetz über den Verkehr mit Arzneimitteln (AMG),
Gesetz über Medizinprodukte (MPG),
Verordnung zur Regelung der Abgabe von Medizinprodukten (MPAV)
FR: Code de la santé publique og
Loi 90-1258 du 31 décembre 1990 relative à l'exercice sous forme de société des professions libérales og Loi 2015-990 du 6 août 2015.
Hvad angår liberalisering af investeringer – national behandling:
I EL: Der kræves statsborgerskab i Unionen for at drive apotek.
I HU: Der kræves statsborgerskab i EØS for at drive apotek.
I LV: For at påbegynde uafhængigt virke i et apotek skal en udenlandsk apoteker eller apotekerassistent, der er uddannet i en stat, som ikke er en medlemsstat eller medlemsstat i EØS, arbejde i mindst et år i et apotek i en EØS-medlemsstat under tilsyn af en apoteker.
Foranstaltninger:
EL: Lov 5607/1932 som ændret ved lov 1963/1991 og 3918/2011.
HU: Lov XCVIII af 2006 om generelle bestemmelser angående pålidelig og økonomisk overkommelig levering af lægemidler og medicinsk hjælpeudstyr og om distribution af lægemidler.
LV: lægemiddelloven, s. 38.
Hvad angår liberalisering af investeringer – markedsadgang:
I BG: Ledere af apoteker skal være uddannede farmaceuter og må kun lede et apotek, som de selv arbejder i. Der findes en kvote (ikke over fire) for, hvor mange apoteker, der må ejes af én person i Republikken Bulgarien.
I DK: Kun fysiske personer, der af Sundhedsstyrelsen er meddelt apotekerbevilling, har tilladelse til at udøve detailhandel med farmaceutiske produkter og specifikke medicinske artikler til offentligheden.
I ES, HR, HU, og PT: Etableringstilladelse er underlagt en økonomisk behovsprøve.
Hovedkriterium: befolkningssituation og tæthed i området.
I IE: Postordresalg af lægemidler er forbudt med undtagelse af receptfri medicin.
I MT: Udstedelse af apotekstilladelser under specifikke begrænsninger. Ingen person må have mere end én licens i sit navn i en hvilken som helst by eller landsby (bestemmelse 5, stk. 1, i forskriften for apotekslicens (LN279/07)), bortset fra det tilfælde, når der ikke findes andre ansøgninger for den pågældende by eller landsby (bestemmelse 5, stk. 2, i forskriften for apotekstilladelser (LN279/07)).
I PT: I erhvervsvirksomheder, hvor kapitalen er repræsenteret af andele, skal disse være personhenførende. En person må samtidigt hverken direkte eller indirekte eje eller udøve ejerskab, drift eller forvaltning af mere end fire apoteker.
I SI: Netværket af apoteker i Slovenien består af offentlige apoteksinstitutioner, der ejes af kommunerne, og private apoteker med koncession, hvis hovedejer skal være en farmaceut. Postordresalg af receptpligtige farmaceutiske produkter er forbudt. Postordresalg af receptfri medicin kræver speciel tilladelse fra staten.
Foranstaltninger:
BG: Lov om humanmedicinske lægemidler, artikel 222, 224, 228.
DK: Apotekerloven, LBK nr. 801 af 12.6.2018.
ES: Ley 16/1997, de 25 de abril, de regulación de servicios de las oficinas de farmacia (lov 16/1997 af 25. april, der regulerer apotekstjenester), artikel 2, 3.1, og Real Decreto Legislativo 1/2015, de 24 de julio por el que se aprueba el Texto refundido de la Ley de garantías y uso racional de los medicamentos y productos sanitarios (Ley 29/2006).
HR: Lov om sundhedspleje (statstidende 100/18, 125/19).
HU: Lov XCVIII af 2006 om generelle bestemmelser angående pålidelig og økonomisk overkommelig levering af lægemidler og medicinsk hjælpeudstyr og om distribution af lægemidler.
IE: Irish Medicines Boards Act 1995 og 2006 (nr. 29 af 1995 og nr. 3 af 2006), Medicinal Products (recept og leveringskontrol) Regulations 2003, som ændret (S.I. 540 af 2003), Medicinal Products (kontrol af markedsføring) Regulations 2007, som ændret (S.I. 540 af 2007), Pharmacy Act 2007 (nr. 20 af 2007), Regulation of retail Pharmacy Businesses Regulations 2008, som ændret (S.I. nr. 488 af 2008).
MT: Forskrift for apotekstilladelser (LN279/07) udstedt i henhold til lægemiddelloven (kap. 458).
PT: Dekretlov 307/2007, artikel 9, 14 og 15 Alterado p/ Lei 26/2011, 16 jun., alterada:
—
p/ Acórdão TC 612/2011, 24/01/2012,
—
p/ Decreto-Lei 171/2012, 1 ago.,
—
p/ Lei 16/2013, 8 fev.,
—
p/ Decreto-Lei 128/2013, 5 set.,
—
p/ Decreto-Lei 109/2014, 10 jul.,
—
p/ Lei 51/2014, 25 ago.,
—
p/ Decreto-Lei 75/2016, 8 nov.; og bekendtgørelse 1430/2007revogada p/ Portaria 352/2012, 30 out.
SI: Lov om apoteker (statstidende for RS nr. 85/2016, 77/2017, 73/2019) og lov om lægemidler (statstidende for RS, nr. 17/2014, 66/2019).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I IT: Udøvelsen af erhvervet er kun mulig for fysiske personer, der er optaget i registreret, samt for juridiske personer i form af interessentskaber, hvor hver interessent i virksomheden skal være en registreret apoteker. Registrering i erhvervsregistreret for apotekere kræver statsborgerskab i en EU-medlemsstat eller bopæl og udøvelse af erhvervet i Italien. Udenlandske statsborgere, der besidder de nødvendige kvalifikationer, kan blive registreret, hvis de er borgere i et land, med hvilket Italien har en særlig aftale, der autoriserer udøvelsen af erhvervet, på betingelse af gensidig anerkendelse (D. Lgsl. CPS 233/1946, artikel 7-9, og D.P.R. 221/1950, stk. 3 og 7). Nye eller ledige apoteker autoriseres efter et offentligt udbud. Kun statsborgere i en EU-medlemsstat, der er registreret i registret over apotekere ("albo"), kan deltage i et offentligt udbud.
Etableringstilladelse er underlagt en økonomisk behovsprøve. Hovedkriterium: befolkningssituation og tæthed i området.
Foranstaltninger:
IT: lov 362/1991, artikel 1, 4, 7 og 9, lovdekret CPS 233/1946, artikel 7-9, og dekret udstedt af republikkens præsident (D.P.R. 221/1950, stk. 3 og 7).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I CY: Der er nationalitetskrav for detailhandel med lægemidler, medicinalvarer og ortopædiske varer og andre tjenesteydelser, der ydes af apotekere (CPC 63211).
Foranstaltninger:
CY: Lov om apoteker og gift (kapitel 254) som ændret.
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende tjenesteydelser – markedsadgang:
I BG: Detailhandel med farmaceutiske og specifikke medicinske artikler til offentligheden må kun foregå på et apotek. Postordresalg af lægemidler er forbudt med undtagelse af receptfri medicin.
I EE: Detailhandel med farmaceutiske og specifikke medicinske artikler til offentligheden må kun foregå på et apotek. Postordresalg af lægemidler samt levering via post eller ekspresservice af lægemidler bestilt via internettet er forbudt. Etableringstilladelse er underlagt en økonomisk behovsprøve. Hovedkriterium: tætheden i området.
I EL: Kun fysiske personer, som har licens som apotekere, samt virksomheder, der er grundlagt af apotekere med licens har tilladelse til at udøve detailhandel med farmaceutiske produkter og specifikke medicinske artikler til offentligheden.
I ES: Kun fysiske personer, som har licens som apotekere, har tilladelse til at udøve detailhandel med farmaceutiske produkter og specifikke medicinske artikler til offentligheden. Hver farmaceut kan højst opnå én tilladelse.
I LU: Kun fysiske personer har tilladelse til at udøve detailhandel med farmaceutiske produkter og specifikke medicinske artikler til offentligheden.
I NL: Postordresalg af medicin er underlagt krav.
Foranstaltninger:
BG: Lov om humanmedicinske lægemidler, art. 219, 222, 228, 234, stk. 5.
EE: Ravimiseadus (lov om lægemidler), RT I 2005, 2, 4, § 29, stk. 2, og § 41, stk. 3, og Tervishoiuteenuse korraldamise seadus (lov om sundhedsvæsenets opbygning, RT I 2001, 50, 284).
EL: Lov 5607/1932 som ændret ved lov 1963/1991 og 3918/2011.
ES: Ley 16/1997, de 25 de abril, de regulación de servicios de las oficinas de farmacia (lov 16/1997 af 25. april, der regulerer apotekstjenester), artikel 2, 3.1, og Real Decreto Legislativo 1/2015, de 24 de julio por el que se aprueba el Texto refundido de la Ley de garantías y uso racional de los medicamentos y productos sanitarios (Ley 29/2006).
LU: Loi du 4 juillet 1973 concernant le régime de la pharmacie (bilag a043), Règlement grand-ducal du 27 mai 1997 relatif à l'octroi des concessions de pharmacie (bilag a041) og Règlement grand-ducal du 11 février 2002 modifiant le règlement grand-ducal du 27 mai 1997 relatif à l'octroi des concessions de pharmacie (bilag a017).
NL: Geneesmiddelenwet, artikel 67.
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende tjenesteydelser – lokal tilstedeværelse:
I BG: Der er krav om fast bopæl for farmaceuter.
Foranstaltninger:
BG: Lov om humanmedicinske lægemidler, artikel 146, 161, 195, 222, 228.
Hvad angår grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I DE, SK: Bopælskrav for at få licens som farmaceut eller at åbne et apotek med henblik på detailsalg af farmaceutiske produkter og visse medicinske artikler til offentligheden.
Foranstaltninger:
DE: Gesetz über das Apothekenwesen (ApoG; den tyske apotekslov),
Gesetz über den Verkehr mit Arzneimitteln (AMG),
Gesetz über Medizinprodukte (MPG),
Verordnung zur Regelung der Abgabe von Medizinprodukten (MPAV).
SK: Lov 362/2011 om lægemidler og medicinsk udstyr, artikel 6, og lov 578/2004 om udbydere af sundhedstjenesteydelser, ansatte i sundhedssektoren, faglig organisation inden for sundhedssektoren.
Forbehold nr. 4 – Forsknings- og udviklingsvirksomhed
Sektor – delsektor:
Forsknings- og udviklingsvirksomhed (FoU)
Brancheklassifikation:
CPC 851, 853
Forbeholdstype:
Markedsadgang
National behandling
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
EU/Medlemsstat (medmindre andet er angivet)
Beskrivelse:
EU: I forbindelse med tjenesteydelser angående offentligt finansieret forskning og udvikling (FoU), der finansieres af Unionen på EU-niveau, kan enerettigheder og tilladelser kun tildeles statsborgere fra EU-medlemsstater og juridiske personer i Unionen, der har deres registrerede kontor, centrale administration eller primære forretningssted i Unionen (CPC 851, 853).
I forbindelse med tjenesteydelser angående offentligt finansieret forskning og udvikling (FoU), der finansieres af en medlemsstat, kan enerettigheder og tilladelser kun tildeles statsborgere i den pågældende medlemsstat og juridiske personer i den pågældende medlemsstat med hovedsæde i den pågældende medlemsstat (CPC 851, 853).
Dette forbehold berører ikke denne aftales femte del og udelukkelsen af en parts offentlige udbud eller subsidier i denne aftales artikel 123, stk. 6 og 7.
Foranstaltninger:
EU: Alle aktuelle og alle fremtidige EU-rammeprogrammer for forskning og innovation, inklusive reglerne for deltagelse i Horisont 2020 og bestemmelser vedrørende fælles teknologiinitiativer (FTI'er), artikel 185-afgørelser og Det Europæiske Institut for Innovation og Teknologi (EIT) samt alle eksisterende og fremtidige nationale, regionale og lokale forskningsprogrammer.
Forbehold nr. 5 – Tjenesteydelser i forbindelse med fast ejendom
Sektor – delsektor:
Tjenester i forbindelse med fast ejendom
Brancheklassifikation:
CPC 821, 822
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
EU/Medlemsstat (medmindre andet er angivet)
Beskrivelse:
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – national behandling, lokal tilstedeværelse:
I CY: Der gælder nationalitets- og bopælskrav for at kunne levere tjenesteydelser i forbindelse med fast ejendom.
Foranstaltninger:
CY: Lov om ejendomsmæglere 71(1)/2010 som ændret.
Hvad angår grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I CZ: For at opnå den licens, der er nødvendig for at kunne levere tjenesteydelser i forbindelse med fast ejendom, er der krav om bopæl for fysiske personer og om etablering for juridiske personer i Den Tjekkiske Republik.
I HR: Der kræves handelsmæssig tilstedeværelse i forbindelse med ejendomsmæglertjenester.
I PT: EØS-bopælskrav for fysiske personer. For juridiske personer gælder der krav om stiftelse i EØS.
Foranstaltninger:
CZ: Lov om næringsbeviser.
HR: Ejendomsmæglerloven (statstidende 107/07 og 144/12), artikel 2.
PT: Lovdekret 211/2004 (artikel 3 og 25), som ændret og genudgivet ved lovdekret 69/2011.
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I DK: I forbindelse med ejendomsmæglertjenesteydelser ydet af en fysisk person, der opholder sig på Danmarks område, er det kun autoriserede ejendomsmæglere, der er fysiske personer, og som er registreret i Erhvervsstyrelsens ejendomsmæglerregister, der må benytte titlen "ejendomsmægler". Loven kræver, at ansøgeren har bopæl i Danmark eller i Unionen, EØS eller Det Schweiziske Forbund.
Lov om formidling af fast ejendom gælder kun, når der ydes ejendomsmæglertjenesteydelser til forbrugere. Lov om formidling af fast ejendom finder ikke anvendelse på udlejning af fast ejendom (CPC 822).
Foranstaltninger:
DK: Lov om formidling af fast ejendom m.v. lov. nr. 526 af 28.5.2014 (The Act on the sale of real estate).
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, mestbegunstigelsesbehandling:
I SI: Såfremt Det Forenede Kongerige tillader slovenske statsborgere og virksomheder at virke som ejendomsmæglere, vil Slovenien tillade statsborgere og virksomheder fra Det Forenede Kongerige at virke som ejendomsmæglere på samme vilkår, derudover skal følgende krav opfyldes: ret til at virke som ejendomsmægler i oprindelseslandet, indsendelse af det relevante dokument om straffrihed i kriminalsager og opførelse i registeret over ejendomsmæglere i det pågældende (slovenske) fagministerium.
Foranstaltninger:
SI: lov om ejendomsmæglere.
Forbehold nr. 6 – Forretningstjenesteydelser
Sektor – delsektor:
Forretningstjenesteydelser - udlejning eller leasing uden betjeningspersonale, tjenesteydelser i tilknytning til virksomhedsrådgivning, teknisk afprøvning og analyse, hermed beslægtet teknisk-videnskabelig konsulentvirksomhed, tjenesteydelser i forbindelse med landbrug, sikkerhedstjenester, arbejdsformidling, oversættelse og tolkning samt andre forretningstjenesteydelser
Brancheklassifikation:
ISIC Rev. 37, del af CPC 612, del af 621, del af 625, 831, del af 85990, 86602, 8675, 8676, 87201, 87202, 87203, 87204, 87205, 87206, 87209, 87901, 87902, 87909, 88, del af 893
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Øverste ledelse og bestyrelse
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
EU/Medlemsstat (medmindre andet er angivet)
Beskrivelse:
a)   Udlejning eller leasing uden betjeningspersonale (CPC 83103, CPC 831)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I SE: For at sejle under svensk flag kræves der dokumentation for svensk dominans, hvis der er udenlandske ejerrettigheder i skibene. Svensk dominans betyder, at driften af skibet foregår i Sverige, og at der også er over halvdelen af svenske ejerrettigheder eller ejerrettigheder, der besiddes af personer fra et andet EØS-land, i skibet. Andre udenlandske skibe kan på visse betingelser få dispensation fra denne regel, hvis de lejes eller leases af svenske juridiske personer via bareboat-charterkontrakter (CPC 83103).
Foranstaltninger:
SE: Sjölagen (søloven) (1994:1009), kapitel 1, § 1.
Hvad angår grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I SE: Leverandører af biler eller terrængående køretøjer (terrängmotorfordon) på udlejnings- eller leasingbasis uden fører i en periode på under et år skal udpege en person, der blandt andet skal være ansvarlig for f.eks. at sikre, at aktiviteterne foregår i overensstemmelse med de gældende regler og forskrifter, og at trafiksikkerhedsreglerne overholdes. Den ansvarlige person skal være bosiddende i EØS (CPC 831).
Foranstaltninger:
SE: Lag (1998: 424) om biluthyrning (lov om biludlejning og -leasing).
b)   Udlejning eller leasing samt andre forretningstjenesteydelser i tilknytning til luftfart
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, mestbegunstigelsesbehandling:
EU: Hvad angår udlejning eller leasing af luftfartøjer uden besætning (dry lease), er luftfartøjer, som anvendes af luftfartsselskaber i Unionen, omfattet af gældende registreringskrav. En dry lease-aftale, som et EU-luftfartsselskab er part i, er underlagt krav i EU-ret eller national ret om luftfartssikkerhed, som f.eks. forhåndsgodkendelse og andre betingelser for anvendelsen af tredjelandes registrerede fly. For blive registreret skal luftfartøjet være ejet enten af fysiske personer, som opfylder specifikke nationalitetskriterier, eller af foretagender, som opfylder specifikke kriterier vedrørende kapitalforhold og kontrol (CPC 83104).
Med henblik på tjenesteydelser i forbindelse med computerreservationssystemer (CRS) gælder, at når leverandører af CRS-tjenesteydelser, der opererer uden for Unionen, ikke giver EU-luftfartsselskaber tilsvarende (i betydningen ikkediskriminerende) behandling i forhold til den, som Unionens CRS-tjenesteleverandører giver luftfartsselskaber fra tredjelande i Unionen, eller når ikke-EU-luftfartsselskaber ikke giver EU-leverandører af CRS-tjenesteydelser tilsvarende behandling i forhold til den, som luftfartsselskaber giver CRS-tjenesteleverandører fra tredjelande i Unionen, kan der træffes foranstaltninger til at sikre, at leverandører af CRS-tjenesteydelser, der opererer i Unionen, giver ikke-EU-luftfartsselskaber tilsvarende diskriminerende behandling, eller at EU-luftfartsselskaber giver leverandører af CRS-tjenesteydelser, der opererer uden for Unionen, tilsvarende diskriminerende behandling.
Foranstaltninger:
EU: Europa-Parlamentets og Rådets forordning (EF) nr. 1008/2008 
(
6
)
 og Europa-Parlamentets og Rådets forordning (EF) nr. 80/2009 
(
7
)
.
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I BE: Et privat (civilt) luftfartøj, der ejes af fysiske personer, som ikke er statsborgere i en EØS-medlemsstat, må kun registreres, hvis de er hjemmehørende eller har haft bopæl i Belgien uafbrudt i mindst et år. Et privat (civilt) luftfartøj, der ejes af udenlandske enheder, der ikke er dannet i overensstemmelse med lovgivningen i en EØS-medlemsstat, må kun registreres, hvis de har et driftssted, et agentur eller et kontor i Belgien uafbrudt i mindst et år (CPC 83104).
Godkendelsesprocedurer for brandbekæmpelse fra luften, flyvetræning, sprøjtning, landmåling, kortlægning, fotografering og andre luftbårne landbrugs-, industri- og tilsynstjenester.
Foranstaltninger:
BE: Arrêté Royal du 15 mars 1954 réglementant la navigation aérienne.
c)   Tjenesteydelser i tilknytning til virksomhedsrådgivning – voldgifts- og mæglingstjenesteydelser (CPC 86602)
Hvad angår grænseoverskridende handel med tjenesteydelser – national behandling, lokal tilstedeværelse:
I BG: For mæglingstjenesteydelser kræves der fast bopæl eller længerevarende ophold i Bulgarien af borgere fra andre lande end en EØS-medlemsstat eller Schweiz.
I HU: Der kræves en underretning om optagelse i registret til ministeren med ansvar for retssystemet med henblik på udøvelse af mæglingsvirksomhed (såsom forligsvirksomhed).
Foranstaltninger:
BG: Mæglingsloven, artikel 8.
HU: Lov LV af 2002 om mægling.
d)   Teknisk prøvning og analyse (CPC 8676)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I CY: Ydelse af kemiker- og biologtjenester kræver statsborgerskab i en medlemsstat.
I FR: Erhvervet som biolog er forbeholdt fysiske personer. Krav om EØS-statsborgerskab.
Foranstaltninger:
CY: Lov af 1988 om registrering af kemikere (lov 157/1988), som ændret.
FR: Code de la Santé Publique.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I BG: For at kunne levere tjenesteydelser med henblik på teknisk prøvning og analyse kræves der etablering i Bulgarien i henhold til den bulgarske handelslov og registrering i handelsregisteret.
Med henblik på den periodiske inspektion af vejtransportkøretøjers tekniske tilstand skal personen være registreret i overensstemmelse med den bulgarske handelslov eller loven om non-profit juridiske personer eller være registreret i en anden EØS-medlemsstat.
Prøvning og analyse af lufts og vands sammensætning og renhed må kun udføres af ministeriet for miljø og vand i Bulgarien eller dets agenturer i samarbejde med det bulgarske videnskabsakademi.
Foranstaltninger:
BG: Lov om tekniske krav til produkter, lov om måling, lov om luftkvalitet og vandloven, bekendtgørelse N-32 om periodisk inspektion af vejtransportkøretøjers tekniske tilstand.
Hvad angår liberalisering af investeringer – national behandling, mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – national behandling, mestbegunstigelsesbehandling, lokal tilstedeværelse:
I IT: Med henblik på biologer, kemikere, agronomer og "periti agrari" er der krav om bopæl og registrering i erhvervsregisteret. Statsborgere fra tredjelande kan registreres på betingelse af gensidig anerkendelse.
Foranstaltninger:
IT: Biologer, kemianalytikere: Lov 396/1967 om biologerhvervet og kongeligt dekret 842/1928 om kemikererhvervet
e)   Hermed beslægtet teknisk og videnskabelig konsulentvirksomhed (CPC 8675)
Hvad angår liberalisering af investeringer – national behandling, mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – national behandling, mestbegunstigelsesbehandling, lokal tilstedeværelse:
I IT: Der er krav om bopæl eller erhvervssted i Italien for at blive registreret i geologregistreret, hvilket er nødvendigt for at udøve erhvervet som landmåler eller geolog for at udføre tjenester med henblik på efterforskning og drift af miner osv. Der er krav om statsborgerskab i en medlemsstat, dog må udlændinge registreres på betingelse af gensidig anerkendelse.
Foranstaltninger:
IT: Geologer: Lov 112/1963, artikel 2 og 5, D.P.R. 1403/1965, artikel 1.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – national behandling, lokal tilstedeværelse:
I BG: For fysiske personer kræves statsborgerskab og bopæl i en EØS-medlemsstat eller Schweiz for at kunne udføre funktioner med relation til geodæsi, kartografi og matrikelmåling. For juridiske enheder kræves der handelsregistrering i henhold til lovgivningen i en EØS-medlemsstat eller Schweiz.
Foranstaltninger:
BG: Lov om matrikel- og ejendomsregister, lov om geodæsi og kartografi.
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – national behandling:
I CY: Der gælder statsborgerskabskrav for levering af de relevante tjenesteydelser.
Foranstaltninger:
CY: lov 224/1990 som ændret.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang:
I FR: Med henblik på overvågning er der kun adgang via et SEL (anonyme, à responsabilité limitée ou en commandite par actions), SCP (Société civile professionnelle), SA og SARL (sociétés anonymes, à responsabilité limitée). I forbindelse med efterforsknings- og prospekteringstjenester kræves der etablering. Dette krav kan fraviges for så vidt angår videnskabelige forskere ved beslutning truffet af ministeren for videnskabelig forskning efter aftale med udenrigsministeren.
Foranstaltninger:
FR: Loi 46-942 du 7 mai 1946 og décret n°71-360 du 6 mai 1971.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – national behandling, lokal tilstedeværelse:
I HR: Tjenesteydelser vedrørende grundlæggende geologisk og geodætisk konsulentvirksomhed og minerelateret konsulentvirksomhed samt tilknyttede tjenesteydelser i forbindelse med miljøorienteret konsulentvirksomhed på Kroatiens territorium kan kun leveres sammen med/gennem en indenlandsk juridisk person.
Foranstaltninger:
HR: Bekendtgørelse om krav for udstedelse af godkendelser til juridiske personer med henblik på udførelse af aktiviteter i forbindelse med miljøbeskyttelse (statstidende nr. 57/10), artikel 32-35.
f)   Tjenesteydelser i tilknytning til landbrug (del af CPC 88)
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – national behandling, mestbegunstigelsesbehandling, lokal tilstedeværelse:
I IT: Med henblik på biologer, kemikere, agronomer og "periti agrari" er der krav om bopæl og registrering i erhvervsregisteret. Statsborgere fra tredjelande kan registreres på betingelse af gensidig anerkendelse.
Foranstaltninger:
IT: Biologer, kemianalytikere: Lov 396/1967 om biologerhvervet og kongeligt dekret 842/1928 om kemikererhvervet
Hvad angår liberalisering af investeringer – markedsadgang, mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, mestbegunstigelsesbehandling:
I PT: Erhvervene som biolog, kemiker og agronom er forbeholdt fysiske personer. For tredjelandsstatsborgere gælder der en gensidighedsordning for ingeniører og tekniske ingeniører (og ikke et krav om statsborgerskab). For biologer gælder der hverken krav om statsborgerskab eller krav om gensidighed.
Foranstaltninger:
PT: Dekretlov 119/92 alterada p/ Lei 123/2015, 2 set. (Ordem Engenheiros), lov 47/2011 alterada p/ Lei 157/2015, 17 set. (Ordem dos Engenheiros Técnicos), og Dekretlov 183/98 alterada p/ Lei 159/2015, 18 set. (Ordem dos Biólogos).
g)   Sikkerhedstjenesteydelser (CPC 87302, 87303, 87304, 87305, 87309)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I IT: Der kræves statsborgerskab i en EU-medlemsstat og bopæl for at opnå den nødvendige autorisation for at yde sikkerhedsvagttjenesteydelser og værditransport.
I PT: Ydelse af sikkerhedstjenester fra en udenlandsk leverandørs side på tværs af grænserne er ikke tilladt.
Der er krav om statsborgerskab for specialiseret personale.
Foranstaltninger:
IT: Lov om offentlig sikkerhed (TULPS) 773/1931, artikel 133-141, kongeligt dekret 635/1940, artikel 257.
PT: Law 34/2013 alterada p/ Lei 46/2019, 16 maio, og Ordinance 273/2013 alterada p/ Portaria 106/2015, 13 abril.
Hvad angår liberalisering af investeringer – national behandling, mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I DK: Der gælder bopælskrav for personer, der ansøger om tilladelse til at udføre sikkerhedsopgaver.
Der gælder også bopælskrav for ledere og flertallet af medlemmerne af bestyrelsen for en juridisk enhed, der ansøger om tilladelse til at udføre sikkerhedsopgaver. Der er dog ikke bopælskrav for ledere og bestyrelse, i det omfang det følger af internationale aftaler eller instrukser udstedt af justitsministeren.
Foranstaltninger:
DK: Lovbekendtgørelse 2016-01-11 nr. 112 om vagtvirksomhed.
Hvad angår grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I EE: Der kræves bopæl for sikkerhedsvagter.
Foranstaltninger:
EE: Turvaseadus (lov om sikkerhed) § 21, § 22.
h)   Arbejdsformidling (CPC 87201, 87202, 87203, 87204, 87205, 87206, 87209)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling (gælder det regionale forvaltningsniveau):
I BE: I alle Belgiens regioner skal en virksomhed, der har sit hovedsæde uden for EØS, godtgøre, at den leverer arbejdsformidling i oprindelseslandet. I Regionen Vallonien kræves der en bestemt type juridisk enhed (régulièrement constituée sous la forme d'une personne morale ayant une forme commerciale, soit au sens du droit belge, soit en vertu du droit d'un Etat membre ou régie par celui-ci, quelle que soit sa forme juridique) for at levere arbejdsformidlingstjenester. Et firma, der har hovedsæde uden for EØS, skal dokumentere, at det opfylder de betingelser, der er fastlagt i dekretet (f.eks. angående typen af den juridiske enhed). I det tysktalende fællesskab skal en virksomhed, der har sit hovedsæde uden for EØS, opfylde adgangskriterierne, der er fastlagt i det nævnte dekret (CPC 87202).
Foranstaltninger:
BE: Regionen Flandern: artikel 8, § 3, Besluit van de Vlaamse Regering van 10 december 2010 tot uitvoering van het decreet betreffende de private arbeidsbemiddeling.
Regionen Vallonien: Décret du 3 avril 2009 relatif à l'enregistrement ou à l'agrément des agences de placement (dekret af 3. april 2009 om registrering af arbejdsformidlingskontorer), artikel 7, og Arrêté du Gouvernement wallon du 10 décembre 2009 portant exécution du décret du 3 avril 2009 relatif à l'enregistrement ou à l'agrément des agences de placement (afgørelse fra den vallonske regering af 10. december 2009 om gennemførelse af dekret af 3. april 2009 om registrering af arbejdsformidlingskontorer), artikel 4.
Det tysktalende fællesskab: Dekret über die Zulassung der Leiharbeitsvermittler und die Überwachung der privaten Arbeitsvermittler/Décret du 11 mai 2009 relatif à l'agrément des agences de travail intérimaire et à la surveillance des agences de placement privées, artikel 6.
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – national behandling, lokal tilstedeværelse:
I DE: Der kræves statsborgerskab i en EU-medlemsstat eller en handelsmæssig tilstedeværelse i Den Europæiske Union for at opnå licens til at drive et vikarbureau i henhold til afdeling (Sec.) 3, stk. 3-5, i denne lov om vikararbejde (Arbeitnehmerüberlassungsgesetz). Forbundsministeriet for Arbejds- og Socialspørgsmål kan udstede en forskrift vedrørende placering og rekruttering af ikke-EØS-personale med henblik på bestemte erhverv som f.eks. erhverv inden for sundheds- og plejeområdet. Tilladelsen eller forlængelsen af den nægtes, hvis virksomheder, dele af virksomheder eller tilhørende virksomheder, som ikke er beliggende i EØS, har til formål at udføre det midlertidige arbejde i henhold til afdeling (Sec.) 3, stk. 2, i lov om vikararbejde (Arbeitnehmerüberlassungsgesetz).
Foranstaltninger:
DE: Gesetz zur Regelung der Arbeitnehmerüberlassung (AÜG);
Sozialgesetzbuch Drittes Buch (SGB III; Socialloven, tredje bog) - beskæftigelsesfremme,
Verordnung über die Beschäftigung von Ausländerinnen und Ausländern (BeschV; bekendtgørelse om beskæftigelse af udlændinge).
Hvad angår liberalisering af investeringer – markedsadgang:
I ES: Inden aktiviteten påbegyndes, skal et arbejdsformidlingskontor fremlægge en edsvoren erklæring om, at kravene i gældende lovgivning er opfyldt (CPC 87201, 87202).
Foranstaltninger:
ES: Real Decreto-ley 8/2014, de 4 de julio, de aprobación de medidas urgentes para el crecimiento, la competitividad y la eficiencia (tramitado como Ley 18/2014, de 15 de octubre).
i)   Oversættelse og tolkning (CPC 87905)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang:
I BG: For at kunne udføre officielle oversættelsesopgaver skal udenlandske fysiske personer have tilladelse til længerevarende eller permanent ophold i Republikken Bulgarien.
Foranstaltninger:
BG: Forskrift for legalisering, certificering og oversættelse af dokumenter.
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang:
I HU: Autoriserede oversættelser, autoriserede certificeringer af oversættelser og bekræftede kopier af officielle dokumenter på udenlandske sprog må kun leveres af det ungarske oversættelses- og attesteringskontor (OFFI).
I PL: Det er kun fysiske personer, der kan være statsautoriserede translatører.
Foranstaltninger:
HU: Dekret fra ministerrådet nr. 24/1986 om autoriseret oversættelse og tolkning.
PL: Lov af 25. november 2004 om erhvervet som statsautoriseret translatør eller tolk (statstidende 2019, punkt 1326).
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang:
I FI: Der er krav om bopæl i EØS for certificerede translatører.
Foranstaltninger:
FI: Laki auktorisoiduista kääntäjistä (lov om statsautoriserede translatører) (1231/2007), s. 2(1).
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – national behandling:
I CY: Registrering i registeret over oversættere er en forudsætning for at levere tjenesteydelser i tilknytning til autoriseret oversættelse og certificering. Der gælder statsborgerskabskrav.
I HR: Der kræves EØS-statsborgerskab for autoriserede translatører.
Foranstaltninger:
CY: lov om etablering, registrering og regulering af statsautoriseret oversættelsesvirksomhed i Cypern.
HR: Bekendtgørelse om faste retstolke (statstidende 88/2008), artikel 2.
j)   Andre forretningstjenesteydelser (del af CPC 612, part of 621, del af 625, 87901, 87902, 88493, del af 893, del af 85990, 87909, ISIC 37)
Hvad angår liberalisering af investeringer – markedsadgang:
I SE: Pantelånere skal være etableret som en virksomhed med begrænset ansvar eller som en filial (del af CPC 87909).
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I CZ: Kun en autoriseret emballeringsvirksomhed har ret til at yde tjenester med henblik på modtagelse og genanvendelse af emballage og skal være en juridisk person, der er etableret som et aktieselskab (CPC 88493, ISIC 37).
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang:
I NL: Med henblik på kontrolstemplingsvirksomhed kræves der handelsmæssig tilstedeværelse i Nederlandene. To offentlige nederlandske monopoler har i øjeblikket enerettighed til kontrolstempling af artikler af ædelmetal (del af CPC 893).
Foranstaltninger:
CZ: Lov 477/2001 sml. (lov om emballage) paragraf 16.
SE: Lov om pantelånere (1995:1000).
NL: Waarborgwet 1986.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I PT: Der kræves statsborgerskab i en medlemsstat for at yde inkassovirksomhed og kreditoplysningsvirksomhed (CPC 87901, 87902).
Foranstaltninger:
PT: Lov 49/2004.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I CZ: Auktionsvirksomhed er underlagt krav om licens. For at opnå en licens (til at udbyde frivillige offentlige auktioner) skal en virksomhed være registreret i Den Tjekkiske Republik, og en fysisk person er forpligtet til at indhente en opholdstilladelse, og virksomheden eller den fysiske person skal være registreret i handelsregistret i Den Tjekkiske Republik (del af CPC 612, del af 621, del af 625, del af 85990).
Foranstaltninger:
CZ: Lov nr. 455/1991 sml., lov om næringsbrev og lov nr. 26/2000 sml. om offentlige auktioner.
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang:
I SE: Den økonomiske plan for en byggeforening skal certificeres af to personer. Disse personer skal være offentligt godkendt af myndigheder i EØS (CPC 87909).
Foranstaltninger:
SE: Lov om byggeforeninger (1991:614).
Forbehold nr. 7 – Kommunikationstjenesteydelser
Sektor – delsektor:
Kommunikationstjenesteydelser - post- og kurertjenesteydelser
Brancheklassifikation:
Del af CPC 71235, del af 73210, del af 751
Forbeholdstype:
Markedsadgang
Kapitel:
Liberalisering af investeringer, grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
EU/Medlemsstat (medmindre andet er angivet)
Beskrivelse:
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang:
EU: Organisationen af opstillingen af postkasser på offentlig vej, udstedelsen af frimærker og tilvejebringelsen af rekommanderet posttjeneste, der anvendes i forbindelse med retlige eller administrative procedurer, kan begrænses i overensstemmelse med national lovgivning. Der kan etableres licensordninger for disse tjenesteydelser, som er omfattet af den almindelige forsyningspligt. Disse licenser kan være omfattet af en særlig forsyningspligt eller finansielle bidrag til en kompensationsfond.
Foranstaltninger:
EU: Europa-Parlamentets og Rådets direktiv 97/67/EF 
(
8
)
.
Forbehold nr. 8 – Bygge- og anlægstjenesteydelser
Sektor – delsektor:
Bygge- og anlægsarbejde og tilknyttet ingeniørvirksomhed
Brancheklassifikation:
CPC 51
Forbeholdstype:
National behandling
Kapitel:
Liberalisering af investeringer, Grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
EU/Medlemsstat (medmindre andet er angivet)
Beskrivelse:
I CY: Statsborgerskabskrav.
Foranstaltning:
lov om registrering og kontrol af entreprenører ved bygge- og anlægsarbejder af 2001 (29 (I)/2001), artikel 15 og 52.
Forbehold nr. 9 – Distributionstjenesteydelser
Sektor – delsektor:
Distributionstjenesteydelser – generelt, distribution af tobak
Brancheklassifikation:
CPC 3546, del af 621, 6222, 631, del af 632
Forbeholdstype:
Markedsadgang
National behandling
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer, Grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
EU/Medlemsstat (medmindre andet er angivet)
Beskrivelse:
a)   Distributions tjenesteydelser (CPC 3546, 631, 632 undtagen 63211, 63297, 62276, del af 621)
Hvad angår liberalisering af investeringer – markedsadgang:
I PT: Der findes en specifik autorisationsordning for oprettelse af bestemte detailforetagender og indkøbscentre. Dette vedrører indkøbscentre med et bruttoudlejningsareal på 8000 m
2
 eller derover samt detailforetagender med et salgsareal på 2000 m
2
 eller derover, når de er beliggende uden for indkøbscentre. Hovedkriterium: bidrag til en udvidelse af erhvervsmæssige tilbud, vurdering af tjenester til kunden, jobkvaliteten og selskabets sociale ansvar integration i bymæssigt miljø og bidrag til miljøeffektiviteten (CPC 631, 632 undtagen 63211, 63297).
Foranstaltninger:
PT: Lovdekret nr. 10/2015, 16. januar.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I CY: Der gælder nationalitetskrav for distributionstjenesteydelser, der leveres af repræsentanter for farmaceutiske produkter (CPC 62117).
Foranstaltninger:
CY: Lov 74(I) 2020 som ændret.
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I LT: Distribution af pyrotekniske produkter er underlagt licens. Kun juridiske personer fra Unionen kan opnå licens (CPC 3546).
Foranstaltninger:
LT: Lov om overvågning af omsætning af civile pyrotekniske produkter (23. marts 2004. No. IX-2074).
b)   Distribution af tobak (del af CPC 6222, 62228, del af 6310, 63108)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I ES: Statsmonopol på detailhandel med tobak. Etablering er underlagt krav om statsborgerskab i en medlemsstat. Kun fysiske personer må drive en tobakshandel. Hver tobakshandler kan ikke få mere end én licens (CPC 63108).
I FR: Statsmonopol på engrossalg og detailsalg af tobak. Krav om statsborgerskab for tobakshandlere ("buralistes") (del af CPC 6222, del af 6310).
Foranstaltninger:
ES: lov 14/2013 af 27. september 2014.
FR: Code général des impôts.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I AT: Kun fysiske personer må ansøge om tilladelse til at fungere som tobakshandler.
Statsborgere i en EØS-medlemsstat prioriteres (CPC 63108).
Foranstaltninger:
AT: lov om tobaksmonopol 1996, § 5 og § 27.
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I IT: Der kræves en licens for at distribuere og sælge tobak. Licensen tildeles via offentlige procedurer. Tildelingen af licenser er underlagt en økonomisk behovsprøve. Hovedkriterium: antallet af eksisterende salgssteder og deres geografiske spredning (del af CPC 6222, del af 6310).
Foranstaltninger:
IT: Lovdekret 184/2003,
lov 165/1962,
lov 3/2003,
lov 1293/1957,
lov 907/1942 og
dekret udstedt af republikkens præsident (D.P.R.) 1074/1958.
Forbehold nr. 10 – Undervisning
Sektor – delsektor:
Undervisning (privatfinansieret)
Brancheklassifikation:
CPC 921, 922, 923 og 924
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelse
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer, Grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
EU/Medlemsstat (medmindre andet er angivet)
Beskrivelse:
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang:
I CY: Der kræves statsborgerskab i en medlemsstat for ejere og majoritetsaktionærer i privatfinansierede skoler. Statsborgere i Det Forenede Kongerige kan opnå tilladelse fra ministeren (undervisningsministeren) i overensstemmelse med den foreskrevne form og de fastsatte betingelser.
Foranstaltninger:
CY: lov om privatskoler af 2019 (N. 147(I)/2019)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I BG: Privatfinansieret undervisning på primært og sekundært niveau må kun leveres af autoriserede bulgarske selskaber (handelsmæssig tilstedeværelse kræves). Bulgarske børnehaver og skoler med udenlandsk deltagelse må etableres eller omdannes på anmodning fra sammenslutninger, selskaber eller virksomheder bestående af bulgarske og udenlandske fysiske eller juridiske enheder, som er behørigt registreret i Bulgarien, ved beslutning fra ministerrådet efter indstilling fra ministeren for uddannelse og videnskab. Udenlandsk ejede børnehaver og skoler må etableres eller omdannes på anmodning fra udenlandske juridiske enheder i overensstemmelse med internationale aftaler og konventioner og i henhold til ovennævnte bestemmelser. Udenlandske videregående uddannelsesinstitutioner kan ikke etablere datterselskaber på Bulgariens territorium. Udenlandske videregående uddannelsesinstitutioner må kun åbne fakulteter, afdelinger, institutter og skoler i Bulgarien inden for det bulgarske system for undervisning på sekundært niveau og i samarbejde med dette (CPC 921, 922).
Foranstaltninger:
BG: Lov om førskoleundervisning og skoleuddannelse og
lov om videregående uddannelse, afsnit 4 i de supplerende bestemmelser.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I SI: Privatfinansierede grundskoler må kun oprettes af slovenske fysiske og juridiske personer. Tjenesteyderen skal etablere et registreret kontor eller en filial (CPC 921).
Foranstaltninger:
SI: Lov om organisation og finansiering af uddannelse (Republikken Sloveniens statstidende, nr. 12/1996) og revisioner heraf, artikel 40.
Hvad angår grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I CZ og SK: Der kræves etablering i en medlemsstat for at ansøge om statslig godkendelse til at operere som en privatfinansieret videregående uddannelsesinstitution. Dette forbehold gælder ikke for teknisk og erhvervsfaglig videregående uddannelse (CPC 92310).
Foranstaltninger:
CZ: Lov nr. 111/1998 sml. (lov om videregående uddannelse), § 39, og
lov nr. 561/2004 sml. om uddannelse på førskoleniveau, grundniveau, sekundært niveau, tertiært niveau og faglig og anden uddannelse (uddannelsesloven).
SK: Lov nr. 131/2002 om universiteter.
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende tjenesteydelser: Markedsadgang:
I ES og IT: Der kræves tilladelse for at åbne et privatfinansieret universitet, som udsteder anerkendte diplomer eller beviser. Der anvendes en økonomisk behovsprøve. Hovedkriterium: antallet af eksisterende foretagender og deres geografiske spredning.
I ES: Proceduren omfatter godkendelse fra parlamentet.
I IT: Dette er baseret på et treårigt program, og det er kun italienske juridiske personer, som må være autoriseret til at udstede statsligt anerkendte diplomer (CPC 923).
Foranstaltninger:
ES: Ley Orgánica 6/2001, de 21 de Diciembre, de Universidades (lov 6 / 2001 af 21. december om universiteter), artikel 4.
IT: Kongeligt dekret 1592/1933 (lov om sekundærundervisning),
lov 243/1991 (lejlighedsvise offentlige tilskud til private universiteter),
resolution 20/2003 fra CNVSU (Comitato nazionale per la valutazione del sistema universitario) og
dekret fra republikkens præsident (DPR) 25/1998.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang:
I EL: Der kræves statsborgerskab i en medlemsstat for ejere og et flertal af bestyrelsesmedlemmerne i privatfinansierede primær- og sekundærskoler samt for lærere i privatfinansieret primær- og sekundæruddannelse (CPC 921, 922). Uddannelse på universitetsniveau må udelukkende tilvejebringes af institutioner, som er fuldt selvstyrede offentligretlige juridiske personer. Dog tillader lov 3696/2008, at borgere med bopæl i Unionen (fysiske eller juridiske personer) må etablere private videregående uddannelsesinstitutioner, der udsteder certifikater, som ikke anerkendes som svarende til eksamensbeviser for universitetsuddannelse (CPC 923).
Foranstaltninger:
EL: Lov 682/1977, 284/1968, 2545/1940, præsidentdekret 211/1994, som ændret ved
præsidentdekret 394/1997, Hellas' forfatning, artikel 16, stk. 5, og lov nr. 3549/2007.
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang:
I AT: Levering af privatfinansieret undervisning på universitetsniveau inden for anvendte videnskaber kræver tilladelse fra den kompetente myndighed AQ Austria (Østrigs agentur for kvalitetssikring og akkreditering). En investor, der ønsker at levere sådanne tjenester, skal have levering af sådanne tjenester som sin primære forretning og skal indsende en behovsvurdering og markedsundersøgelse med henblik på det foreslåede undervisningsprograms godkendelse. Det kompetente ministerium kan nægte godkendelse, hvis akkrediteringsmyndighedens afgørelse ikke er i overensstemmelse med nationale undervisningsinteresser. En ansøger vedrørende et privat universitet kræver godkendelse fra den kompetente myndighed AQ Austria (Østrigs agentur for kvalitetssikring og akkreditering). Det kompetente ministerium kan afvise godkendelsen, hvis afgørelsen fra akkrediteringsmyndigheden ikke stemmer overens med nationale undervisningsinteresser (CPC 923).
Foranstaltninger:
AT: Lov om universitet for anvendt videnskab, BGBl. I nr. 340/1993 som ændret, § 2, 8, lov om private videregående uddannelsesinstitutioner, BGBl. I nr. 77/2020, § 2, og
lov om kvalitetssikring inden for videregående uddannelse, BGBl. nr. 74/2011 som ændret, § 25 (3).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I FR: Der kræves statsborgerskab i en medlemsstat for at undervise i en privatfinansieret undervisningsinstitution (CPC 921, 922, 923). Dog kan statsborgere i Det Forenede Kongerige opnå autorisation fra de relevante kompetente myndigheder med henblik på at undervise i undervisningsinstitutioner på primært, sekundært og videregående niveau. Statsborgere i Det Forenede Kongerige kan også opnå autorisation fra de relevante kompetente myndigheder med henblik på at etablere og drive eller administrere undervisningsinstitutioner på primært, sekundært og videregående niveau. En sådan tilladelse gives på et skønsmæssigt grundlag.
Foranstaltninger:
FR: Code de l'éducation.
Hvad angår investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I MT: Tjenesteydere, der ønsker at levere privatfinansieret videregående uddannelse eller voksenundervisning, skal indhente en licens fra ministeriet for uddannelse og beskæftigelse. Afgørelsen om, hvorvidt der udstedes en licens, kan være skønsmæssig (CPC 923, 924).
Foranstaltninger:
MT: Retslig meddelelse 296 af 2012.
Forbehold nr. 11 - Tjenesteydelser på miljøområdet
Sektor – delsektor:
Tjenesteydelser på miljøområdet – bearbejdning og genanvendelse af brugte batterier og akkumulatorer, udtjente biler og affald fra elektrisk og elektronisk udstyr, beskyttelse af luft og klima (rensning af udstødningsgasser)
Brancheklassifikation:
Del af CPC 9402, 9404
Forbeholdstype:
Lokal tilstedeværelse
Kapitel:
Grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
EU/Medlemsstat (medmindre andet er angivet)
Beskrivelse:
I SE: Kun enheder, som er etableret i Sverige eller har deres hovedsæde i Sverige, kan opnå akkreditering med henblik på at udføre kontrol af udstødningsgasser (CPC 9404).
I SK: Med henblik på bearbejdning og genanvendelse af brugte batterier og akkumulatorer, spildolier, udtjente biler og affald fra elektrisk og elektronisk udstyr kræves der stiftelse i EØS (krav om bopæl) (del af CPC 9402).
Foranstaltninger:
SE: Lov om køretøjer (2002:574).
SK: lov 79/2015 om affald.
Forbehold nr. 12 – Finansielle tjenesteydelser
Sektor – delsektor:
Finansielle tjenesteydelser – forsikrings- og bankvirksomhed
Brancheklassifikation:
Ikke relevant
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Øverste ledelse og bestyrelse
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer, Grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
EU/Medlemsstat (medmindre andet er angivet)
Beskrivelse:
a)   Forsikring og forsikringsrelaterede tjenesteydelser
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I IT: Adgang til aktuarerhvervet kun via fysiske personer. Erhvervssammenslutninger (ikke som selskab) blandt fysiske personer er tilladt. Der kræves EU-statsborgerskab for at udøve aktuarerhvervet, undtagen for udenlandske fagpersoner, der kan opnå tilladelse til at udøve erhvervet på grundlag af gensidighed.
Foranstaltninger:
IT: Artikel 29 i lov om privat forsikring (lovdekret nr. 209 af 7. september 2005) og lov 194/1942, artikel 4, lov 4/1999 om registret.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I BG: Pensionsforsikring skal udføres via et aktieselskab med licens i henhold til socialforsikringsloven, som skal være registreret i henhold til handelsloven eller lovgivningen i en anden EU-medlemsstat (ingen filialer).
I BG, ES, PL og PT: Direkte filialer er ikke tilladt for forsikringsmægling, som er forbeholdt selskaber, der er oprettet i overensstemmelse med lovgivningen i en medlemsstat (optagelse i det lokale register kræves). For PL er der bopælskrav for forsikringsmæglere.
Foranstaltninger:
BG: Forsikringsloven, artikel 12, 56-63, 65, 66 og 80, stk. 4, socialforsikringsloven, artikel 120a–162, 209–253, 260–310.
ES: Reglamento de Ordenación, Supervisión y Solvencia de Entidades Aseguradoras y Reaseguradoras (RD 1060/2015, de 20 de noviembre de 2015), artikel 36.
PL: Lov om forsikrings- og genforsikringsvirksomhed af 11. september 2015 (statstidende 2020, punkt 895 og 1180), lov om forsikringsdistribution af 15. december, 2017 (statstidende 2019, punkt 1881), lov om pensionsfondes organisation og drift af 28. august 1997 (lovtidende 2020, punkt 105), Lov af 6. marts 2018 om regler for udenlandske iværksætteres og andre udenlandske personers økonomiske virksomhed i Republikken Polens område.
PT: Artikel 7 i lovdekret 94-B/98 ophævet ved lovdekret nr. 2/2009 af 5. januar, og kapitel I, afsnit VI i lovdekret 94-B/98, artikel 34, nr. 6, 7, og artikel 7 i lovdekret 144/2006, ophævet ved lov 7/2019, 16. januar. Artikel 8 i regelsættet for forsikrings- og genforsikringsdistribution, godkendt ved lov nr. 7/2019 af 16. januar.
Hvad angår liberalisering af investeringer – national behandling:
I AT: En filial skal forvaltes af mindst to fysiske personer, der har bopæl i Østrig.
I BG: Der er bopælskrav for medlemmer af ledelsen og kontrolorganet for (gen)forsikringsselskaber og enhver person, som er autoriseret til at forvalte eller repræsentere (gen)forsikringsselskabet.
Formanden for ledelsen, formanden for bestyrelsen, den administrerende direktør og den administrerende agent for pensionsforsikringsselskaber skal have fast adresse eller fast bopæl i Bulgarien.
Foranstaltninger:
AT: Forsikringstilsynsloven 2016, artikel 14, stk. 1, nr. 3, i østrigsk statstidende I nr. 34/2015 (Versicherungsaufsichtsgesetz 2016, § 14 Abs. 1 Z 3, BGBl. I nr. 34/2015).
BG: Lov om forsikringsvirksomhed, artikel 12, 56-63, 65, 66 og 80, stk. 4,
socialsikringsloven, artikel 120a–162, 209–253, 260–310.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I BG: Før der må etableres en filial eller et agentur med henblik på levering af forsikringstjenester, skal det pågældende udenlandske forsikringsselskab eller genforsikringsselskab have fået tilladelse til i sit hjemland at drive virksomhed inden for de samme forsikringsklasser, som det ønsker at tilbyde i Bulgarien.
Indkomsten fra frivillige tillægspensioner samt lignende indkomst direkte forbundet med frivillig pensionsforsikring, der udføres af personer, som er registreret i henhold til en anden medlemsstats lovgivning, og som i overensstemmelse med den pågældende lovgivning må udøve virke i forbindelse med frivillig pensionsforsikring, pålægges ikke skat i henhold til den procedure, som er fastsat i loven om selskabsskat.
I ES: Før der må etableres en filial eller et agentur i Spanien til at levere visse forsikringsklasser, skal den pågældende udenlandske forsikringsvirksomhed i mindst fem år have haft tilladelse til i sit hjemland at drive virksomhed inden for de samme forsikringsklasser.
I PT: For at kunne oprette en filial eller et agentur skal udenlandske forsikringsselskaber have haft tilladelse til at udøve forsikrings- eller genforsikringsvirksomhed i henhold til den relevante nationale lovgivning i mindst fem år.
Foranstaltninger:
BG: Lov om forsikringsvirksomhed, artikel 12, 56-63, 65, 66 og 80, stk. 4,
socialsikringsloven, artikel 120a–162, 209–253, 260–310.
ES: Reglamento de Ordenación, Supervisión y Solvencia de Entidades Aseguradoras y Reaseguradoras (RD 1060/2015, de 20 de noviembre de 2015), artikel 36.
PT: Artikel 7 i lovdekret 94-B/98 og kapitel I, afsnit VI i lovdekret 94-B/98, artikel 34, nr. 6, 7, og artikel 7 i lovdekret 144/2006, artikel 215 i regelsættet om optagelse og udøvelse af forsikrings- og genforsikringsvirksomhed, godkendt ved lov nr. 147/2005 af 9. september.
Hvad angår liberalisering af investeringer – markedsadgang:
I AT: For at opnå en licens til at åbne en filial skal udenlandske forsikringsselskaber have en juridisk form, der svarer til eller er sammenlignelig med et aktieselskab eller en gensidig forsikringsforening i deres hjemland.
I EL: Forsikrings- og genforsikringsselskaber med hovedsæde i tredjelande kan drive virksomhed i Grækenland gennem etablering af et datterselskab eller en filial, hvor filialen i dette tilfælde ikke har nogen specifik retlig form, da det betyder en permanent tilstedeværelse på en medlemsstats område (dvs. Grækenland) for et selskab med hovedsæde uden for EU, som har opnået tilladelse i den pågældende medlemsstat (Grækenland), og som udøver forsikringsvirksomhed.
Foranstaltninger:
AT: Forsikringstilsynsloven 2016, artikel 14, stk. 1, nr. 1, i østrigsk statstidende I nr. 34/2015 (Versicherungsaufsichtsgesetz 2016, § 14 Abs. 1 Z 1, BGBl. I nr. 34/2015).
EL: Artikel 130 i lov 4364/2016 (statstidende 13/ A/ af 5.2.2016)
Hvad angår grænseoverskridende handel med tjenesteydelser – national behandling, lokal tilstedeværelse:
I AT: Erhvervsfremme og mægling på vegne af et datterselskab, der ikke er etableret i EU, eller på vegne af en filial, der ikke er etableret i AT (undtagen genforsikring og retrocession), er forbudt.
I DK: Ingen andre personer eller virksomheder (inkl. forsikringsselskaber) end forsikringsselskaber med særlig tilladelse efter dansk lovgivning eller med tilladelse udstedt af kompetente danske myndigheder må erhvervsmæssigt medvirke ved tegning af direkte forsikring af personer med bopæl i Danmark, af danske skibe eller af ejendom i Danmark.
I SE: Et udenlandsk forsikringsselskabs levering af direkte forsikring er kun tilladt gennem mægling ved en leverandør af forsikringstjenesteydelser, der har særlig tilladelse i Sverige, og kun forudsat, at det udenlandske og det svenske forsikringsselskab tilhører samme virksomhedskoncern eller har indgået en samarbejdsaftale.
Hvad angår grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I DE, HU og LT: Forsikringsselskaber, der ikke er registreret i Den Europæiske Union, må kun levere direkte forsikring, hvis der oprettes en filial, og der gives tilladelse til denne.
I SE: Levering af forsikringsformidlingstjenester fra virksomheder, der ikke er stiftet i EØS, kræver etablering af en handelsmæssig tilstedeværelse (krav om lokal tilstedeværelse).
I SK: Kontrakter om luftfarts- og søtransportforsikring, der dækker luftfartøjet/fartøjet og ansvar, må kun indgås af forsikringsselskaber, der er etableret i Unionen, eller af filialkontorer for forsikringsselskaber, der ikke er etableret i Unionen, og som er tilladte i Den Slovakiske Republik.
Foranstaltninger
AT: Forsikringstilsynsloven 2016, artikel 13, stk. 1 og 2, i østrigsk statstidende I nr. 34/2015 (Versicherungsaufsichtsgesetz 2016, § 13 Abs. 1 und 2, BGBl. I nr. 34/2015).
DE: Versicherungsaufsichtsgesetz (VAG) for alle forsikringstjenesteydelser sammenholdt med Luftverkehrs-Zulassungs-Ordnung (LuftVZO) kun for obligatorisk ansvarsforsikring i forbindelse med luftfart.
DK: Lov om finansiel virksomhed, jf. lovbekendtgørelse 182 af 18. februar 2015.
HU: Lov LX af 2003.
LT: Lovgivning om forsikring, 18. september, 2003 m. nr. IX-1737, senest ændret 13. juni 2019 nr. XIII-2232.
SE: Lag om försäkringsförmedling (lov om forsikringsformidling) (kapitel 3, afdeling 3, 2018:12192005:405) og lov om udenlandsk forsikringsvirksomhed i Sverige (kapitel 4, afdeling 1 og 10, 1998:293).
SK: Lov 39/2015 om forsikring.
b)   Bankvirksomhed og andre finansielle tjenesteydelser
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I BG: Finansielle institutioner, som ikke er banker, er underlagt en registreringsordning hos den bulgarske nationalbank, for så vidt angår långivning med midler, der ikke tilvejebringes gennem modtagelse af indskud eller andre tilbagebetalingspligtige midler, erhvervelse af kapitalandele i et kreditinstitut eller et andet finansielt institut, finansiel leasing, garantitransaktioner, erhvervelse af fordringer på lån og andre former for finansiering (factoring, forfaitering osv.). Stedet for finansieringsinstituttets primære forretning skal være på Bulgariens territorium.
I BG: Banker uden for EØS kan udøve bankvirksomhed i Bulgarien efter at have opnået tilladelse fra nationalbanken til at indlede og udøve forretningsaktiviteter i Republikken Bulgarien gennem en filial.
I IT: For at blive autoriseret til at drive værdipapirafviklingssystemet eller levere værdipapircentraltjenester med en virksomhed i Italien kræves det, at virksomheden er stiftet i Italien (ingen filialer).
I tilfælde af institutter for kollektiv investering, bortset fra institutter for kollektiv investering i værdipapirer ("UCITS"), der er harmoniseret under EU-lovgivningen, kræves det, at trustforvalteren eller depotet er etableret i Italien eller i en anden medlemsstat og har en filial i Italien.
Administrationsvirksomheder for investeringsfonde, der ikke er harmoniseret under EU-lovgivningen, skal også være registreret i Italien (ingen filialer).
Kun banker, forsikringsselskaber, investeringsselskaber og virksomheder, der forvalter UCITS, som er harmoniseret i henhold til EU-lovgivningen med retligt hovedsæde i Unionen samt UCITS, der er stiftet i Italien, må administrere pensionsfondsmidler.
Til dørsalg skal formidlere anvende autoriserede sælgere af finansielle tjenesteydelser med bopæl i en medlemsstat.
Repræsentationskontorer for ikke-EU-formidlere kan ikke udføre aktiviteter, der er målrettet tilvejebringelse af investeringstjenester, inklusive handel for egen regning og for kunders regning, placering af og garanti for finansielle instrumenter (filial krævet).
I PT: Administration af pensionsfonde må kun varetages af specialiserede selskaber, der er registreret i Portugal til dette formål, og af forsikringsselskaber, der er etableret i Portugal og har tilladelse til at udøve livsforsikringsvirksomhed, eller af enheder, der har tilladelse til at forvalte pensionsfonde i andre medlemsstater. Direkte filialer fra ikke-EU-medlemsstater er ikke tilladt.
Foranstaltninger:
BG: Lov om finansielle institutioner, artikel 2, stk. 5, artikel 3a og artikel 17,
socialloven, artikel 121, 121b, 121f, og
lov om valuta, artikel 3.
IT: Lovdekret 58/1998, artikel 1, 19, 28, 30-33, 38, 69 og 80,
fælles forskrift for Italiens centralbank og Consob 22.2.1998, artikel 3 og 41,
forskrift for Italiens centralbank 25.1.2005,
del V, kapitel VII, afsnit II, forskrift for Consob 16190 af 29.10.2007, artikel 17-21, 78-81, 91-111, med forbehold af:
Europa-Parlamentets og Rådets forordning (EU) nr. 909/2014 
(
9
)
.
PT: Lovdekret 12/2006, som ændret ved lovdekret 180/2007, lovdekret 357-A/2007, forskrift 7/2007-R, som ændret ved forskrift 2/2008-R, forskrift 19/2008-R, forskrift 8/2009. Artikel 3 i regelsættet om pensionsfondes samt deres forvaltningsenheders etablering og funktion, godkendt ved lov nr. 27/2020 af 23. juli.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I HU: Filialer af forvaltningsfirmaer for investeringsfonde, der ikke er hjemmehørende i EØS, må ikke deltage i ledelsen af europæiske investeringsfonde og må ikke yde kapitalforvaltning til private pensionsfonde.
Foranstaltninger:
HU: lov CCXXXVII af 2013 om kreditinstitutter og finansielle virksomheder
og
lov CXX af 2001 om kapitalmarkedet.
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang:
I BG: En bank skal ledes og repræsenteres i fællesskab af mindst to personer. Personer, som leder og repræsenterer banken, skal være personligt til stede på ledelsens adresse. Juridiske personer kan ikke vælges til bestyrelsen eller direktionen i en bank.
I SE: En stifter af en sparekasse skal være en fysisk person.
Foranstaltninger:
BG: Lov om kreditinstitutter, artikel 10,
socialloven, artikel 121e, og
lov om valuta, artikel 3.
SE: Sparbankslagen (lov om sparekasser) (1987:619), kapitel 2, § 1.
Hvad angår liberalisering af investeringer – national behandling:
I HU: Bestyrelsen i et kreditinstitut skal have mindst to medlemmer, der er anerkendt som havende bopæl i henhold til valutaforskrifter og forinden har haft fast bopæl i Ungarn i mindst et år.
Foranstaltninger:
HU: lov CCXXXVII af 2013 om kreditinstitutter og finansielle virksomheder
og
lov CXX af 2001 om kapitalmarkedet.
Hvad angår liberalisering af investeringer – markedsadgang:
I RO: Markedsoperatører er juridiske personer, der er etableret som aktieselskaber i henhold til bestemmelserne i virksomhedsloven. Alternative handelssystemer (multilateral handelsfacilitet (MHF) kan i henhold til MiFID II-direktivet) kan forvaltes af en systemoperatør, der er etableret på de ovenfor beskrevne betingelser, eller af et investeringsselskab, der er godkendt af ASF (Autoritatea de Supraveghere Financiară – finanstilsynet).
I SI: En pensionsordning må tilbydes af en fælles pensionsfond (som ikke er en juridisk enhed og derfor forvaltes af et forsikringsselskab, en bank eller et pensionsselskab), et pensionsselskab eller et forsikringsselskab. Desuden kan en pensionsordning tilbydes af udbydere af pensionsordninger, der er etableret i overensstemmelse med de forskrifter, der gælder i en EU-medlemsstat.
Foranstaltninger:
RO: Lov nr. 126 af 11. juni 2018 om finansielle instrumenter og forordning nr. 1/2017 om ændring og supplering af forordning nr. 2/2006 om regulerede markeder og alternative handelssystemer, godkendt ved bekendtgørelse af NSC nr. 15/2006 – ASF – Autoritatea de Supraveghere Financiară – Finanstilsynet.
SI: Lov om pensions- og handicapforsikring (statstidende nr. 102/2015 (som senest ændret i nr. 28/19).
Hvad angår grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I HU: Virksomheder, der ikke er hjemmehørende i EØS, må kun levere finansielle tjenesteydelser eller deltage i aktiviteter i tilknytning til finansielle tjenesteydelser via en filial i Ungarn.
Foranstaltninger:
HU: lov CCXXXVII af 2013 om kreditinstitutter og finansielle virksomheder
og
lov CXX af 2001 om kapitalmarkedet.
Forbehold nr. 13 – Sundhedstjenesteydelser og sociale tjenesteydelser
Sektor – delsektor:
Sundhedsvæsen og sociale tjenesteydelser
Brancheklassifikation:
CPC 931, 933
Forbeholdstype:
Markedsadgang
National behandling
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
EU/Medlemsstat (medmindre andet er angivet)
Beskrivelse:
Hvad angår liberalisering af investeringer – markedsadgang:
I DE (gælder ligeledes det regionale forvaltningsniveau): Redningstjenester og "kvalificerede ambulancetjenester" er organiseret og reguleret af delstaterne (Länder). De fleste delstater uddelegerer kompetencer i forbindelse med redningstjenester til kommunerne. Kommunerne har tilladelse til at foretrække nonprofitorganisationer som operatører. Dette gælder på lige fod for udenlandske og nationale tjenesteydere (CPC 931, 933). Ambulancetjenester er underlagt planlægning, tilladelse og akkreditering. For så vidt angår telemedicin kan antallet af IKT- (informations- og kommunikationsteknologi) tjenesteydere være begrænset med henblik på at garantere interoperabilitet, kompatibilitet og de nødvendige sikkerhedsstandarder. Dette gælder på ikkediskriminatorisk vis.
I HR: Etablering af visse privatfinansierede sociale behandlingsfaciliteter kan være underlagt behovsbaserede begrænsninger i særlige geografiske områder (CPC 9311, 93192, 93193, 933).
I SI: Der gælder et statsmonopol for følgende tjenesteydelser: blodlevering, blodpræparater, fjernelse og konservering af menneskelige organer med henblik på transplantation, sociomedicinske, hygiejniske, epidemiologiske og sundhedsøkologiske tjenesteydelser, patoanatomiske tjenesteydelser og biomedicinsk støttet forplantning (CPC 931).
Foranstaltninger:
DE: Bundesärzteordnung (BÄO; forbundsbekendtgørelse for læger):
Gesetz über die Ausübung der Zahnheilkunde (ZHG),
Gesetz über den Beruf der Psychotherapeutin und des Psychotherapeuten (PsychThG; lov om psykoterapeutisk virksomhed),
Gesetz über die berufsmäßige Ausübung der Heilkunde ohne Bestallung (Heilpraktikergesetz),
Gesetz über das Studium und den Beruf der Hebammen (HebG),
Gesetz über den Beruf der Notfallsanitäterin und des Notfallsanitäters (NotSanG),
Gesetz über die Pflegeberufe (PflBG),
Gesetz über die Berufe in der Physiotherapie (MPhG),
Gesetz über den Beruf des Logopäden (LogopG),
Gesetz über den Beruf des Orthoptiste und der Orthoptistin (OrthoptG),
Gesetz über den Beruf der Podologin und des Podologen (PodG),
Gesetz über den Beruf der Diätassistentin und des Diätassistenten (DiätAssG),
Gesetz über den Beruf der Ergotherapeutin und des Ergotherapeuten (ErgThg), Bundesapothekerordnung (BapO),
Gesetz über den Beruf des pharmazeutisch-technischen Assistenten (PTAG),
Gesetz über technische Assistenten in der Medizin (MTAG),
Gesetz zur wirtschaftlichen Sicherung der Krankenhäuser und zur Regelung der Krankenhauspflegesätze (Krankenhausfinanzierungsgesetz - KHG),
Gewerbeordnung (tysk lovbekendtgørelse om handel og industri),
Sozialgesetzbuch Fünftes Buch (SGB V; socialloven, femte bog) – lovmæssige sygekasser,
Sozialgesetzbuch Sechstes Buch (SGB VI; socialloven, sjette bog) – lovpligtig pensionsforsikring,
Sozialgesetzbuch Siebtes Buch (SGB VII; socialloven, syvende bog) – lovpligtig ulykkesforsikring,
Sozialgesetzbuch Neuntes Buch (SGB IX; socialloven, niende bog) – rehabilitering og handicappedes deltagelse,
Sozialgesetzbuch Elftes Buch (SGB XI; socialloven, ellevte bog) – social bistand.
Personenbeförderungsgesetz (PBefG; (lov om personbefordring).
Regionalt niveau:
Gesetz über den Rettungsdienst (Rettungsdienstgesetz - RDG) in Baden-Württemberg,
Bayerisches Rettungsdienstgesetz (BayRDG),
Gesetz über den Rettungsdienst für das Land Berlin (Rettungsdienstgesetz),
Gesetz über den Rettungsdienst im Land Brandenburg (BbgRettG),
Bremisches Hilfeleistungsgesetz (BremHilfeG),
Hamburgisches Rettungsdienstgesetz (HmbRDG),
Gesetz über den Rettungsdienst für das Land Mecklenburg-Vorpommern (RDGM-V),
Niedersächsisches Rettungsdienstgesetz (NRettDG),
Gesetz über den Rettungsdienst sowie die Notfallrettung und den Krankentransport durch
Unternehmer (RettG NRW),
Landesgesetz über den Rettungsdienst sowie den Notfall- und Krankentransport (RettDG),
Saarländisches Rettungsdienstgesetz (SRettG),
Sächsisches Gesetz über den Brandschutz, Rettungsdienst und Katastrophenschutz (SächsBRKG),
Rettungsdienstgesetz des Landes Sachsen-Anhalt (RettDG LSA),
Schleswig-Holsteinisches Rettungsdienstgesetz (SHRDG),
Thüringer Rettungsdienstgesetz (ThüRettG).
Landespflegegesetze:
Gesetz zur Umsetzung der Pflegeversicherung in Baden-Württemberg (Landespflegegesetz -
LPflG),
Gesetz zur Ausführung der Sozialgesetze (AGSG),
Gesetz zur Planung und Finanzierung von Pflegeeinrichtungen (Landespflegeeinrichtungsgesetz-
LPflegEG),
Gesetz über die pflegerische Versorgung im Land Brandenburg (Landespflegegesetz - LPflegeG),
Gesetz zur Ausführung des Pflege-Versicherungsgesetzes im Lande Bremen und zur Änderung des Bremischen Ausführungsgesetzes zum Bundessozialhilfegesetz (BremAGPflegeVG),
Hamburgisches Landespflegegesetz (HmbLPG),
Hessisches Ausführungsgesetz zum Pflege-Versicherungsgesetz,
Landespflegegesetz (LPflegeG M-V),
Gesetz zur Planung und Förderung von Pflegeeinrichtungen nach dem Elften Buch
Sozialgesetzbuch (Niedersächsisches Pflegegesetz - NPflegeG),
Gesetz zur Weiterentwicklung des Landespflegerechts und Sicherung einer unterstützenden Infrastruktur für ältere Menschen, pflegebedürftige Menschen und deren Angehörige (Alten- und Pflegegesetz Nordrhein-Westfalen – APG NRW),
Landesgesetz zur Sicherstellung und Weiterentwicklung der pflegerischen Angebotsstruktur
(LPflegeASG) (Rheinland-Pfalz),
Gesetz Nr. 1694 zur Planung und Förderung von Angeboten für hilfe-, betreuungs- oder pflegebedürftige Menschen im Saarland (Saarländisches Pflegegesetz),
Sächsisches Pflegegesetz (SächsPflegeG),
Schleswig-Holstein: Ausführungsgesetz zum Pflege-Versicherungsgesetz (Landespflegegesetz - LPflegeG),
Thüringer Gesetz zur Ausführung des Pflege-Versicherungsgesetzes (ThürAGPflegeVG).
Landeskrankenhausgesetz Baden-Württemberg,
Bayerisches Krankenhausgesetz (BayKrG),
Berliner Gesetz zur Neuregelung des Krankenhausrechts,
Krankenhausentwicklungsgesetz Brandenburg (BbgKHEG),
Bremisches Krankenhausgesetz (BrmKrHG),
Hamburgisches Krankenhausgesetz (HmbKHG),
Hessisches Krankenhausgesetz 2011 (HKHG 2011),
Krankenhausgesetz für das Land Mecklenburg-Vorpommern (LKHG M-V),
Niedersächsisches Krankenhausgesetz (NKHG),
Krankenhausgestaltungsgesetz des Landes Nordrhein-Westfalen (KHGG NRW),
Landeskrankenhausgesetz Rheinland-Pfalz (LKG Rh-Pf),
Saarländisches Krankenhausgesetz (SKHG),
Gesetz zur Neuordnung des Krankenhauswesens (Sächsisches Krankenhausgesetz - SächsKHG),
Krankenhausgesetz Sachsen-Anhalt (KHG LSA),
Gesetz zur Ausführung des Krankenhausfinanzierungsgesetzes (AG-KHG) in Schleswig-Holstein,
Thüringisches Krankenhausgesetz (Thür KHG).
HR: Lov om sundhedspleje (statstidende 150/08, 71/10, 139/10, 22/11, 84/11, 12/12, 70/12, 144/12).
SI: Lov om sundhedstjenesteydelser, statstidende for RS, nr. 23/2005, artikel 1, 3 og 62-64. lov om behandling af barnløshed og procedurer for biomedicinsk støttet forplantning, statstidende for RS, nr. 70/00, artikel 15 og 16, og lov om levering af blod (ZPKrv-1), statstidende for RS, nr. 104/06, artikel 5 og 8.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I FR: Med henblik på hospitals- og ambulancevirksomhed, behandlingshjem (bortset fra hospitalsvirksomhed) og sociale tjenesteydelser kræves en autorisation for at udøve ledelsesmæssige funktioner. Ved udstedelsen af tillades tages der hensyn til, om der er lokale ledere til rådighed. Selskaber kan have enhver retlig form, bortset fra dem, der er forbeholdt liberale erhverv.
Foranstaltninger:
FR: Loi 90-1258 relative à l'exercice sous forme de société des professions libérales, loi n°2011-940 du 10 août 2011 modifiant certaines dipositions de la loi n°2009-879 dite HPST, loi n°47-1775 portant statut de la coopération og code de la santé publique.
Forbehold nr. 14 – Turisme og rejserelaterede tjenesteydelser
Sektor – delsektor:
Turisme og rejserelaterede tjenesteydelser - hoteller, restauranter og catering, rejsebureauer og rejsearrangører (herunder turledere), turistguidevirksomhed
Brancheklassifikation:
CPC 641, 642, 643, 7471, 7472
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelse
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer, Grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
EU/Medlemsstat (medmindre andet er angivet)
Beskrivelse:
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I BG: Der kræves stiftelse (ingen filialer). Turvirksomhed eller rejsebureauvirksomhed må leveres af en person, som er etableret i EØS, hvis nævnte person efter etableringen på Bulgariens territorium fremlægger et eksemplar af et dokument, der certificerer den pågældendes ret til at udøve nævnte aktivitet, og et certifikat eller et andet dokument, der er udstedt af et kreditinstitut eller et forsikringsselskab, der indeholder data om, at der er indgået en forsikring, der dækker nævnte persons ansvar i tilfælde af skade, som skyldes resultatet af en skyldig manglende overholdelse af erhvervsmæssige pligter. Antallet af udenlandske ledere må ikke overstige antallet af ledere, der er bulgarske statsborgere, når den offentlige andel (stat eller kommune) i et bulgarsk selskabs egenkapital overstiger 50 procent. Krav om EØS-statsborgerskab for turistguider (CPC 641, 642, 643, 7471, 7472).
Foranstaltninger:
BG: Lov om turisme, artikel 61, 113 og 146.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I CY: En tilladelse til etablering og drift af et turist- og rejseselskab eller -bureau samt fornyelse af et eksisterende selskabs eller bureaus driftsbevilling ydes kun til fysiske eller juridiske personer fra Den Europæiske Union. Ingen ikkehjemmehørende virksomhed, bortset fra virksomheder, som er etableret i en anden medlemsstat, kan yde de aktiviteter, der er omhandlet i artikel 3 i ovennævnte lov i Republikken Cypern, på organiseret eller permanent basis, medmindre de repræsenteres af en hjemmehørende virksomhed. Turistguidevirksomhed og rejsebureau- og turoperatørvirksomhed kræver statsborgerskab i en medlemsstat (CPC 7471, 7472).
Foranstaltninger:
CY: Lov af 1995 om turisme, rejsebureauer og turistguider (lov 41(I)/1995 som ændret).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, mestbegunstigelsesbehandling:
I EL: Tredjelandsstatsborgere skal have opnået et eksamensbevis fra en turistguideskole under det græske ministerium for turisme for at opnå ret til at udøve erhvervet. Tredjelandsstatsborgere kan dog som en undtagelse fra ovennævnte bestemmelser, og på visse udtrykkeligt angivne betingelser, meddeles midlertidig (højst et år) ret til at udøve erhvervet, hvis det bekræftes, at det ikke er muligt at finde en turistguide for et bestemt sprog.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I ES (gælder ligeledes det regionale forvaltningsniveau): Der kræves statsborgerskab i en medlemsstat for at udøve turistguidevirksomhed (CPC 7472).
I HR: Der kræves EØS-statsborgerskab eller schweizisk statsborgerskab for at udføre restaurations- og cateringydelser i private hjem og på gårde (CPC 641, 642, 643, 7471, 7472).
Foranstaltninger:
EL: Præsidentdekret 38/2010, ministerbeslutning 165261/IA/2010 (statstidende 2157/B), artikel 50 i lov 4403/2016, artikel 47 i lov 4582/2018 (statstidende 208/A).
ES: Andalucía: Decreto 8/2015, de 20 de enero, Regulador de guías de turismo de Andalucía,
Aragón Decreto 21/2015, de 24 de febrero, Reglamento de Guías de turismo de Aragón,
Cantabria: Decreto 51/2001, de 24 de julio, artikel 4, por el que se modifica el Decreto 32/1997, de 25 de abril, por el que se aprueba el reglamento para el ejercicio de actividades turísticoinformativas privadas,
Castilla y León: Decreto 25/2000, de 10 de febrero, por el que se modifica el Decreto 101/1995, de 25 de mayo, por el que se regula la profesión de guía de turismo de la Comunidad Autónoma de Castilla y León,
Castilla-la Mancha: Decreto 86/2006, de 17 de julio, de Ordenación de las Profesiones Turísticas,
Cataluña: Decreto Legislativo 3/2010, de 5 de octubre, para la adecuación de normas con rango de ley a la Directiva 2006/123/CE, del Parlamento y del Consejo, de 12 de diciembre de 2006, relativa a los servicios en el mercado interior, artikel 88,
Comunidad de Madrid: Decreto 84/2006, de 26 de octubre del Consejo de Gobierno, por el que se modifica el Decreto 47/1996, de 28 de marzo,
Comunidad Valenciana: Decreto 90/2010, de 21 de mayo, del Consell, por el que se modifica el reglamento regulador de la profesión de guía de turismo en el ámbito territorial de la Comunitat Valenciana, aprobado por el Decreto 62/1996, de 25 de marzo, del Consell,
Extremadura: Decreto 37/2015, de 17 de marzo,
Galicia: Decreto 42/2001, de 1 de febrero, de Refundición en materia de agencias de viajes, guias de turismo y turismo activo,
Illes Balears: Decreto 136/2000, de 22 de septiembre, por el cual se modifica el Decreto 112/1996, de 21 de junio, por el que se regula la habilitación de guía turístico en las Islas Baleares,
Islas Canarias: Decreto 13/2010, de 11 de febrero, por el que se regula el acceso y ejercicio de la profesión de guía de turismo en la Comunidad Autónoma de Canarias, artikel 5,
La Rioja: Decreto 14/2001, de 4 de marzo, Reglamento de desarrollo de la Ley de Turismo de La Rioja,
Navarra: Decreto Foral 288/2004, de 23 de agosto. Reglamento para actividad de empresas de turismo activo y cultural de Navarra.
Principado de Asturias: Decreto 59/2007, de 24 de mayo, por el que se aprueba el Reglamento regulador de la profesión de Guía de Turismo en el Principado de Asturias og
Región de Murcia: Decreto n.
o
 37/2011, de 8 de abril, por el que se modifican diversos decretos en materia de turismo para su adaptación a la ley 11/1997, de 12 de diciembre, de turismo de la Región de Murcia tras su modificación por la ley 12/2009, de 11 de diciembre, por la que se modifican diversas leyes para su adaptación a la directiva 2006/123/CE, del Parlamento Europeo y del Consejo de 12 de diciembre de 2006, relativa a los servicios en el mercado interior.
HR: Lov om restaurations- og cateringindustri (statstidende nr. 85/15, 121/16, 99/18, 25/19, 98/19, 32/20 og 42/20), lov om ydelse af turismetjenester (statstidende nr. 130/17, 25/19, 98/19 og 42/20).
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I HU: Udøvelse af rejsebureau- og rejsearrangørvirksomhed samt turistguidevirksomhed på tværs af grænserne kræver en licens udstedt af det ungarske handelslicenskontor. Licenser er forbeholdt EØS-statsborgere og juridiske personer, der har hovedsæde i EØS (CPC 7471, 7472).
I IT (gælder ligeledes det regionale forvaltningsniveau): Turistguider fra ikke-EU-lande skal have en særlig licens fra regionen for at virke som professionel turistguide. Turistguider fra medlemsstater kan arbejde frit uden krav om en sådan licens. Licensen tildeles turistguider, der har den tilstrækkelige kompetence og viden (CPC 7472).
Foranstaltninger:
HU: Lov CLXIV af 2005 om handel, regeringsdekret nr. 213/1996 (XII.23.) om organisering af rejser og rejsebureauvirksomhed.
IT: lov 135/2001, artikel 7.5 og 6 og lov 40/2007 (DL 7/2007).
Forbehold nr. 15 – Fritids- og sportsaktiviteter samt kulturelle aktiviteter
Sektor – delsektor:
Fritidsaktiviteter andre sportsaktiviteter
Brancheklassifikation:
CPC 962, del af 96419
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelse
Kapitel:
Liberalisering af investeringer, Grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
EU/Medlemsstat (medmindre andet er angivet)
Beskrivelse:
Andre tjenesteydelser i forbindelse med sport (CPC 96419)
Hvad angår liberalisering af investeringer – national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – national behandling:
I AT (gælder det regionale forvaltningsniveau): Drift af skiskoler og virksomhed som bjergfører er reguleret af lovene i de enkelte delstater (Bundesländer). Ydelse af disse tjenester kan kræve statsborgerskab i en EØS-medlemsstat. Virksomheder kan pålægges at udpege en administrerende direktør, som er statsborger i en EØS-medlemsstat.
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – national behandling:
I CY: Krav om statsborgerskab for etablering af en danseskole og krav om statsborgerskab for instruktører.
Foranstaltninger:
AT: Kärntner Schischulgesetz, LGBL. nr. 53/97,
Kärntner Berg- und Schiführergesetz, LGBL. nr. 25/98,
NÖ- Sportgesetz, LGBL. nr. 5710,
OÖ- Sportgesetz, LGBl. nr. 93/1997,
Salzburger Schischul- und Snowboardschulgesetz, LGBL. nr. 83/89,
Salzburger Bergführergesetz, LGBL. nr. 76/81,
Steiermärkisches Schischulgesetz, LGBL. nr. 58/97,
Steiermärkisches Berg- und Schiführergesetz, LGBL. nr. 53/76,
Tiroler Schischulgesetz. LGBL. nr. 15/95,
Tiroler Bergsportführergesetz, LGBL. nr. 7/98,
Vorarlberger Schischulgesetz, LGBL. nr. 55/02 §4 (2)a,
Vorarlberger Bergführergesetz, LGBL. nr. 54/02 og
Wien: Gesetz über die Unterweisung in Wintersportarten, LGBL. nr. 37/02.
CY: Lov 65(I)/1997 som ændret og
lov 17(I) 1995 som ændret.
Forbehold nr. 16 – Transport og tjenesteydelser i tilknytning til transportvirksomhed
Sektor – delsektor:
Transport - fiskeri og vandtransport - enhver anden erhvervsmæssig aktivitet, der udføres fra et skib, vandtransport og tjenesteydelser i tilknytning til vandtransport, jernbanetransport og tjenesteydelser i tilknytning til jernbanetransport, vejtransport og tjenesteydelser i tilknytning til vejtransport, tjenesteydelser i tilknytning til lufttransport
Brancheklassifikation:
ISIC Rev. 3.1 0501, 0502, CPC 5133, 5223, 711, 712, 721, 741, 742, 743, 744, 745, 748, 749, 7461, 7469, 83103, 86751, 86754, 8730, 882
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Øverste ledelse og bestyrelse
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer, Grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
EU/Medlemsstat (medmindre andet er angivet)
Beskrivelse:
a)   Søtransport og tjenesteydelser i tilknytning til søtransport. Enhver erhvervsmæssig aktivitet, der udføres fra et skib (ISIC Rev. 3.1 0501, 0 502, CPC 5133, 5223, 721, del af 742, 745, 74540, 74520, 74590, 882)
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang:
I EU: For havnetjenesters vedkommende kan havnemyndigheden eller den kompetente myndighed begrænse antallet af leverandører af havnetjenester for en given havnetjeneste.
Foranstaltninger:
EU: Artikel 6 i Europa-Parlamentets og Rådets forordning (EU) 2017/352 
(
10
)
.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse, grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I BG: Transportvirksomhed og alle aktiviteter med relation til hydraulisk teknik og tekniske arbejder under vand, prospektering og udvinding af mineralske og andre uorganiske ressourcer, lodstjenester, bunkring, modtagelse af affald, vand/olie-blandinger og lignende, der udføres i Bulgariens indre farvande og søterritorium, må kun udføres af fartøjer, der sejler under bulgarsk flag eller fartøjer, der sejler under en anden medlemsstats flag.
Antallet af tjenesteydere i havnene må begrænses afhængigt af havnens objektive kapacitet, som bestemmes af en ekspertkommission, der er udpeget af ministeren for transport, informationsteknologi og kommunikation.
Krav om statsborgerskab for hjælpetjenesteydelser. Kaptajnen og den ledende tekniker på fartøjet skal som et krav være statsborgere i en EØS-medlemsstat eller i Schweiz. (ISIC Rev. 3.1 0501, 0 502, CPC 5133, 5223, 721, 74520, 74540, 74590, 882).
Foranstaltninger:
BG: Kodeks for handelsskibsfart, lov for Republikken Bulgariens farvand, indre vandveje og havne, bekendtgørelse om betingelserne for og rækkefølgen for valg af bulgarske transportvirksomheder til personbefordring og godstransport i henhold til internationale traktater bekendtgørelse 3 for tjenesteydelser i forbindelse med ubemandede fartøjer.
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang:
I BG: Hvad angår hjælpetjenester for offentlig transport, der udføres i bulgarske havne, i havne med national betydning, tildeles rettigheden til at udføre sådanne hjælpetjenester via en koncessionskontrakt. I havne med regional betydning tildeles denne rettighed ved hjælp af en kontrakt med ejeren af havnen (CPC 74520, 74540, 74590).
Foranstaltninger:
BG: Kodeks for handelsskibsfart, lov for Republikken Bulgariens farvand, indre vandveje og havne.
Hvad angår grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I DK: Leverandører af lodstjenester kan kun udføre lodsning i Danmark, hvis de er hjemmehørende i EØS og er registreret og godkendt af de danske myndigheder i overensstemmelse med den danske lov om lodsning (CPC 74520).
Foranstaltninger:
DK: Lodsloven, § 18.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, mestbegunstigelsesbehandling:
I DE (gælder ligeledes det regionale forvaltningsniveau): Et fartøj, som ikke tilhører en statsborger fra en medlemsstat, må kun benyttes til andre aktiviteter end transport og tjenesteydelser i tilknytning hertil på de tyske forbundsvandveje efter særlig tilladelse. Der kan kun udstedes fritagelser for ikke-EU-fartøjer, hvis der ikke er EU-fartøjer til rådighed, eller hvis de er til rådighed på meget ugunstige betingelser, eller på grundlag af princippet om gensidig anerkendelse. Der kan udstedes fritagelser for fartøjer, der sejler under Det Forenede Kongeriges flag, på grundlag af princippet om gensidig anerkendelse (§ 2 paragraf 3 KüSchVO). Alle aktiviteter, der er omfattet af loven om lodsvæsen, er reguleret, og akkreditering er begrænset til EØS-statsborgere og schweiziske statsborgere. Tilrådighedsstillelse og drift af lodsfaciliteter er begrænset til offentlige myndigheder eller virksomheder, som udpeges af dem.
Med henblik på udlejning eller leasing af søgående fartøjer med eller uden betjeningspersonale samt udlejning eller leasing af ikkesøgående fartøjer uden betjeningspersonale kan indgåelsen af kontrakter om godstransport med skibe, der sejler under udenlandsk flag, eller chartring af sådanne fartøjer begrænses afhængigt af de disponible skibe, der sejler under tysk flag eller en anden medlemsstats flag.
Transaktioner mellem hjemmehørende og ikkehjemmehørende vedrørende:
i)
udlejning af fartøjer til transport ad indre vandveje, som ikke er registreret i EØS,
ii)
godstransport med sådanne fartøjer til transport ad indre vandveje eller
iii)
bugservirksomhed med sådanne fartøjer til transport ad indre vandveje
inden for EØS kan begrænses (vandtransport, hjælpetjenesteydelser inden for vandtransport, udlejning af skibe, leasing af skibe uden betjeningspersonale (CPC 721, 745, 83103, 86751, 86754, 8730)).
Foranstaltninger:
DE: Gesetz über das Flaggenrecht der Seeschiffe und die Flaggenführung der Binnenschiffe (Flaggenrechtsgesetz; lov om flagbeskyttelse),
Verordnung über die Küstenschifffahrt (KüSchV),
Gesetz über die Aufgaben des Bundes auf dem Gebiet der Binnenschiffahrt (Binnenschiffahrtsaufgabengesetz - BinSchAufgG),
Verordnung über Befähigungszeugnisse in der Binnenschiffahrt (Binnenschifferpatentverordnung - BinSchPatentV),
Gesetz über das Seelotswesen (Seelotsgesetz - SeeLG),
Gesetz über die Aufgaben des Bundes auf dem Gebiet der Seeschiffahrt (Seeaufgabengesetz - SeeAufgG) og
Verordnung zur Eigensicherung von Seeschiffen zur Abwehr äußerer Gefahren (See-Eigensicherungsverordnung - SeeEigensichV).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
Hjælpetjenesteydelser inden for søtransport forbeholdes, når de udføres i finsk farvand, flåder, der opererer under nationalt flag, EU-flag eller norsk flag (CPC 745).
Foranstaltninger:
FI: Merilaki (søfartsloven) (674/1994) og
Laki elinkeinon harjoittamisen oikeudesta (lov om retten til at udøve et erhverv) (122/1919), s. 4.
Hvad angår liberalisering af investeringer – markedsadgang:
I EL: Offentligt monopol indført i havne for godshåndtering (CPC 741).
I IT: Der anvendes en økonomisk behovsprøve for håndtering af gods inden for søtransport. Hovedkriterium: de eksisterende operatørers antal og virkningen for disse, befolkningstætheden, den geografiske spredning og skabelsen af nye arbejdspladser (CPC 741).
Foranstaltninger:
EL: Lov om offentlig søfart (lovdekret 187/1973).
IT: Søfartskodeks,
lov 84/1994 og
Ministerielt dekret 585/1995.
b)   Jernbanetransport og tjenesteydelser i tilknytning til jernbanetransport (CPC 711, 743)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I BG: Det er kun tilladt statsborgere i en medlemsstat at levere jernbanetransport og hjælpetjenester til jernbanetransport i Bulgarien. Transportministeren udsteder en licens til jernbaneoperatører, der er registreret som erhvervsaktører, med henblik på at udføre personbefordring eller godstransport med jernbane (CPC 711, 743).
Foranstaltninger:
BG: Lov om jernbarnetransport, artikel 37 og 48.
Hvad angår liberalisering af investeringer – markedsadgang:
I LT: Enerettigheden til ydelse af transittjenesteydelser tildeles jernbaneforetagender, som ejes, eller hvis aktier er 100 procent ejet, af staten (CPC 711).
Foranstaltninger:
LT: Republikken Litauens lov om jernbanetransport nr. IX-2152 af 22. april 2004, som ændret ved nr. X-653 af 8. juni 2006.
c)   Vejtransport og tjenesteydelser i tilknytning til vejtransport (CPC 712, 7121, 7122, 71222, 7123)
For vejtransporttjenester, der ikke er omfattet af denne aftales anden del, sektion tre, og denne aftales bilag 31
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I AT (gælder ligeledes mestbegunstigelsesbehandling): Der kan for passager- og godstransport kun gives eksklusive rettigheder eller tilladelser til statsborgere fra de kontraherende parter fra EØS samt juridiske personer fra Unionen, som har deres hovedkontor i Østrig. Der tildeles licenser på ikkediskriminerende vilkår på betingelse af gensidighed (CPC 712).
Foranstaltninger:
AT: Güterbeförderungsgesetz (lov om godstransport), BGBl. nr. 593/1995, § 5,
Gelegenheitsverkehrsgesetz (lov om lejlighedsbefordring), BGBl. nr. 112/1996, § 6, og
Kraftfahrliniengesetz (lov om rutebefordring), BGBl. I nr. 203/1999 som ændret, §§ 7 og 8.
Hvad angår liberalisering af investeringer – national behandling, mestbegunstigelsesbehandling:
I EL: Vejgodstransportoperatører. Der kræves græsk tilladelse for at foretage vejgodstransport. Der tildeles licenser på ikkediskriminatoriske vilkår på betingelse af gensidighed (CPC 7123).
Foranstaltninger:
EL: Licens til vejgodstransportoperatører: græsk lov 3887/2010 (statstidende A' 174), som ændret ved artikel 5 i lov 4038/2012 (statstidende A' 14).
Hvad angår liberalisering af investeringer – markedsadgang:
I IE: Økonomisk behovsprøve for intercitybuskørsel. Hovedkriterium: de eksisterende operatørers antal og virkningen for disse, befolkningstætheden, den geografiske spredning, indvirkningen på de trafikale forhold og skabelsen af nye arbejdspladser (CPC 7121, CPC 7122).
I MT: Taxaer - Begrænsninger i antallet af licenser.
Karozzini (vogne trukket af heste): Begrænsninger i antallet af licenser (CPC 712).
I PT: Økonomisk behovsprøve for limousinekørsel. Hovedkriterium: de eksisterende operatørers antal og virkningen for disse, befolkningstætheden, den geografiske spredning, indvirkningen på de trafikale forhold og skabelsen af nye arbejdspladser (CPC 71222).
Foranstaltninger:
IE: Public Transport Regulation Act 2009 (forordning om offentlig transport fra 2009).
MT: Forskrifter for taxabefordring (SL499.59).
PT: Lovdekret 41/80, 21. august.
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I CZ: Der kræves stiftelse i Den Tjekkiske Republik (ingen filialer).
Foranstaltninger:
CZ: Lov nr. 111/1994. Sml. om vejtransport.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, mestbegunstigelsesbehandling:
I SE: Der kræves svensk tilladelse for at udøve vejtransportvirksomhed. Et af kriterierne for at få udstedt en taxitilladelse er, at virksomheden har udpeget en fysisk person til at fungere som transportleder (et de facto bopælskrav, jf. de svenske forbehold med hensyn til etableringstyper).
Foranstaltninger:
SE: Yrkestrafiklag (2012:210) (lov om erhvervstrafik),
yrkestrafikförordning (2012:237) (forskrift for erhvervstrafik),
taxitrafiklag (2012:211) (taxalov) og
taxitrafikförordning (2012:238) (forskrift for taxaer).
Hvad angår grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I SK: Koncession på taxabefordring og tilladelse til taxidispatching kan indrømmes en person, der har bopæl eller etableringssted på Den Slovakiske Republiks område eller i en anden EØS-medlemsstat.
Foranstaltninger:
Lov nr. 56/2012 sml. om vejtransport.
d)   Tjenesteydelser i tilknytning til lufttransport
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I EU: Med henblik på groundhandlingtjenesteydelser kan der gælde krav om etablering på Unionens område. Niveauet for åbenheden af groundhandlingtjenesteydelserne afhænger af lufthavnens størrelse. Antallet af tjenesteydere i hver lufthavn kan være begrænset. I "store lufthavne" må denne begrænsning ikke være på under to leverandører.
Foranstaltninger:
EU: Rådets direktiv 96/67/EF 
(
11
)
.
I BE (gælder ligeledes det regionale forvaltningsniveau): Gensidighed kræves med henblik på groundhandlingtjenesteydelser.
Foranstaltninger:
BE: Arrêté Royal du 6 novembre 2010 réglementant l'accès au marché de l'assistance en escale à l'aéroport de Bruxelles-National (artikel 18).
Besluit van de Vlaamse Regering betreffende de toegang tot de grondafhandelingsmarkt op de Vlaamse regionale luchthavens (artikel 14) og
Arrêté du Gouvernement wallon réglementant l'accès au marché de l'assistance en escale aux aéroports relevant de la Région wallonne (artikel 14).
e)   Hjælpetjenesteydelser inden for alle transportformer (del af CPC 748)
Hvad angår grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
EU (gælder ligeledes det regionale forvaltningsniveau): Tjenesteydelser i forbindelse med toldbehandling kan kun udføres af borgere med bopæl i Unionen eller juridiske personer, der er etableret i Unionen.
Foranstaltninger:
EU: Europa-Parlamentets og Rådets forordning (EU) nr. 952/2013 
(
12
)
.
Forbehold nr. 17 – Energirelaterede aktiviteter
Sektor – delsektor:
Energirelaterede aktiviteter - råstofudvinding, produktion, transmission og distribution for egen regning af elektricitet, gas, damp og varmt vand, rørledningstransport af brændstoffer, lager- og pakhusvirksomhed for brændstoffer, der transporteres gennem rørledning samt tjenesteydelser i tilknytning til energidistribution
Brancheklassifikation:
ISIC Rev. 3.1 10, 11, 12, 13, 14, 40, CPC 5115, 63297, 713, del af 742, 8675, 883, 887
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelse
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer, Grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
EU/Medlemsstat (medmindre andet er angivet)
Beskrivelse:
a)   Råstofudvinding (ISIC Rev. 3.1 10, 11, 12, 13, 14, CPC 5115, 7131, 8675, 883)
Hvad angår liberalisering af investeringer – markedsadgang:
I NL: Efterforskning efter og udvinding af kulbrinter i Nederlandene udføres altid i fællesskab af en privat virksomhed og den offentlige (begrænsede) virksomhed, som er udpeget af økonomiministeren. Artikel 81 og 82 i loven om minedrift fastsætter, at alle andele i denne udpegede virksomhed skal være ejet direkte eller indirekte af den nederlandske stat (ISIC Rev. 3.1 10, 3.1 11, 3.1 12, 3.1 13, 3.1 14).
I BE: Efterforskning efter og udvinding fra mineralske kilder og andre ikkelevende ressourcer i territoriale farvande og kontinentalsoklen kræver koncession. Koncessionshaveren skal have adresse for virksomhed i Belgien (ISIC Rev. 3.1:14).
I IT (gælder ligeledes det regionale forvaltningsniveau, når der er tale om efterforskning): Statsejede miner har specifikke efterforsknings- og minedriftsregler. Inden der udføres nogen udvindingsaktivitet, kræves der en efterforskningstilladelse ("permesso di ricerca", artikel 4, kongeligt dekret 1447/1927). Denne tilladelse er tidsbegrænset, definerer grænserne for grunden under efterforskningen præcist, og der kan tildeles mere end én efterforskningstilladelse for det samme område til forskellige personer eller virksomheder (denne type licens er ikke nødvendigvis eksklusiv). For at oparbejde og udvinde mineraler kræves der en tilladelse ("concessione", artikel 14) fra den regionale myndighed (ISIC Rev. 3.1 10, 3.1 11, 3.1 12, 3.1 13, 3.1 14, CPC 8675, 883).
Foranstaltninger
BE: Arrêté Royal du 1er septembre 2004 relatif aux conditions, à la délimitation géographique et à la procédure d'octroi des concessions d'exploration et d'exploitation des ressources minérales et autres ressources non vivantes de la mer territoriale et du plateau continental.
IT: Efterforskningsvirksomhed: kongeligt dekret 1447/1927, og lovdekret 112/1998, artikel 34.
NL: Mijnbouwwet (lov om minedrift).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, mestbegunstigelsesbehandling:
I BG: Aktiviteterne i forbindelse med prospektering af eller efterforskning efter underjordiske naturressourcer på Bulgariens territorium, i kontinentalsoklen og i den eksklusive økonomiske zone i Sortehavet kræver tilladelse, mens aktiviteter med henblik på udvinding og udnyttelse kræver koncession, der tildeles i henhold til loven om underjordiske naturressourcer.
Det er forbudt for virksomheder, som er registreret i jurisdiktioner med skattemæssig begunstigelse (dvs. offshorezoner) eller lignende, at deltage direkte eller indirekte i offentlige udbud med henblik på tildeling af tilladelser eller koncessioner med henblik på prospektering, efterforskning eller udvinding af naturressourcer, inklusive uran- og thoriummalme, samt at anvende en eksisterende tilladelse eller koncession, som er blevet tildelt, da sådanne operationer er udelukket, herunder muligheden for at registrere den geologiske eller handelsmæssige opdagelse af en forekomst som følge af en efterforskning.
Brydning af uranmalm er lukket i henhold til ministerrådets dekret nr. 163 af 20.8.1992.
Med henblik på efterforskning og udvinding af thoriummalm gælder den generelle ordning for tilladelser og koncessioner. Beslutninger om at tillade efterforskning af thoriummalm træffes på et individuelt ikkediskriminerende grundlag alt efter det pågældende tilfælde.
I henhold til beslutning af 18. januar 2012 (ændret den 14. juni 2012) fra Republikken Bulgariens nationale forsamling er det forbudt at anvende hydraulisk frakturering, dvs. fracking, i forbindelse med aktiviteter som prospektering, efterforskning eller udvinding af olie og gas.
Efterforskning og udvinding af skifergas er forbudt (ISIC Rev. 3.1 10, 3.1 11, 3.112, 3.1 13,3.1 14).
Foranstaltninger:
BG: Lov om underjordiske naturressourcer,
lov om koncessioner,
lov om privatisering og kontrol efter privatisering,
lov om sikker anvendelse af kerneenergi, beslutning af 18. januar 2012 fra Republikken Bulgariens nationale forsamling, lov om økonomiske og finansielle relationer med virksomheder, der er registreret i jurisdiktioner med skattemæssig begunstigelse, personer, der herigennem kontrolleres, og deres reelle ejere og lov om underjordiske ressourcer.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, mestbegunstigelsesbehandling:
I CY: Ministerrådet kan nægte at tillade, at prospektering, efterforskning og udnyttelse af kulbrinter udføres af enhver enhed, der reelt kontrolleres af Det Forenede Kongerige Storbritannien eller af statsborgere fra Det Forenede Kongerige Storbritannien. Efter udstedelse af en tilladelse må ingen enhed komme under direkte eller indirekte kontrol af Det Forenede Kongerige eller af en statsborger fra Det Forenede Kongerige uden forudgående godkendelse fra Ministerrådet. Ministerrådet kan nægte at give tilladelse til en enhed, der reelt kontrolleres af Det Forenede Kongerige eller af en statsborger fra Det Forenede, hvis Det Forenede Kongerige, for så vidt angår adgang til og udøvelse af aktiviteter i forbindelse med prospektering, efterforskning og udnyttelse af kulbrinter, ikke indrømmer enheder i Cypern eller enheder i medlemsstaterne en behandling, der svarer til den, som Cypern eller medlemsstaten indrømmer enheder fra Det Forenede Kongerige (ISIC Rev 3.1 1110).
Foranstaltninger:
CY: Lov om kulbrinter (lov om prospektering, efterforskning og udvinding) af 2007, (lov 4(I)/2007) som ændret.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende tjenesteydelser – lokal tilstedeværelse:
I SK: I forbindelse med minedrift, aktiviteter med tilknytning til minedrift og geologisk aktivitet kræves der stiftelse i EØS (ingen filialer). Aktiviteter inden for minedrift og prospektering, der er omfattet af Den Slovakiske Republiks lov 44/1988 om beskyttelse og udnyttelse af naturressourcer, reguleres på et ikkediskriminerende grundlag, herunder gennem offentlige politiske foranstaltninger, der skal sikre bevarelse og beskyttelse af naturressourcerne og miljøet som f.eks. tilladelse til eller forbud mod at anvende visse mineteknologier. Sådanne foranstaltninger omfatter af sikkerhedshensyn forbud mod at anvende cyanidudludning i behandlingen eller raffineringen af mineraler, krav om en særlig tilladelse i tilfælde af frakturering i forbindelse med aktiviteter som prospektering, efterforskning eller udvinding af olie og gas samt krav om forhåndsgodkendelse ved en lokal folkeafstemning i tilfælde af nukleare/radioaktive mineralressourcer. Dette øger ikke de ikkeforenelige aspekter i den eksisterende foranstaltning, som der er taget forbehold for. (ISIC Rev. 3.1 10, 3.1 11, 3.1 12, 3.1 13, 3.1 14, CPC 5115, 7131, 8675 og 883).
Foranstaltninger
SK: Lov 51/1988 om minedrift, sprængstoffer og statens minedriftadministration og lov 569/2007 om geologiske aktiviteter, lov 44/1988 om beskyttelse og udnyttelse af naturressourcer.
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I FI: Efterforskning i forbindelse med og udvinding af mineralske ressourcer kræver licens, som tildeles af regeringen med henblik på udvinding af nukleart materiale. Der kræves en tilladelse fra regeringen i forbindelse med tilbagekøb af et minedriftsområde. Tilladelse kan opnås af en fysisk person, der har bopæl i EØS, eller en juridisk person, der er etableret i EØS. Der kan evt. anvendes en økonomisk behovstest (ISIC Rev. 3.1120, CPC 5115, 883, 8675).
I IE: Efterforsknings- og minedriftsselskaber, der opererer i Irland, skal have en tilstedeværelse i landet. I tilfælde af efterforskning efter mineraler kræves det, at virksomhederne (irske og udenlandske) enten ansætter en agent eller efterforskningsleder med bopæl i Irland, mens arbejdet udføres. I forbindelse med minedrift kræves det, at en virksomhed, der er stiftet i Irland, har en leasingkontrakt for statslig minedrift eller licens. Der er ingen restriktioner for ejerskab af en sådan virksomhed (ISIC Rev. 3.1 10, 3.1 13, 3.1 14, CPC 883).
Foranstaltninger
FI: Kaivoslaki (lov om minedrift) (621/2011) og
Ydinenergialaki (lov om kerneenergi) (990/1987).
IE: Minerals Development Acts 1940 – 2017 (love om udvinding af mineraler 1940-2017) Planning Acts (planlægningslove) og Environmental Regulations (miljøforskrifter).
Hvad alene angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I SI: Efterforskning i forbindelse med og udvinding af mineralske ressourcer, herunder regulerede tjenesteydelser i tilknytning til minedrift, er betinget af etablering eller statsborgerskab i en EØS-medlemsstat, Schweiz eller et OECD-medlemsland (ISIC Rev. 3.1 10, ISIC Rev. 3.1 11, ISIC Rev. 3.1 12, ISIC Rev. 3.1 13, ISIC Rev. 3.1 14, CPC 883, CPC 8675).
Foranstaltninger
SI: Lov om minedrift 2014.
b)   Produktion, transport og distribution for egen regning af elektricitet, gas, damp og varmt vand, rørledningstransport af brændstoffer, lager- og pakhusvirksomhed for brændstoffer, der transporteres gennem rørledning, tjenesteydelser i tilknytning til energidistribution (ISIC Rev. 3.1 40, 3.1401, CPC 63297, 713, del af 742, 74220, 887)
Hvad angår liberalisering af investeringer – markedsadgang:
I DK: Ejeren eller brugeren, der har til hensigt at etablere gasinfrastruktur eller en pipeline med henblik på transport af råolie, raffineret olie, olieprodukter eller naturgas, skal indhente en tilladelse fra den lokale myndighed, inden arbejdet påbegyndes. Antallet af sådanne tilladelser, der udstedes, kan være begrænset (CPC 7131).
I MT: EneMalta plc har monopol på levering af elektricitet (ISIC Rev. 3.1401, CPC 887).
I NL: Ejerskabet af elektricitetsnettet og gasrørledningsnettet er tildelt eksklusivt til den nederlandske regering (transmissionssystemer) og andre offentlige myndigheder (distributionssystemer) (ISIC Rev. 3.1040, CPC 71310).
Foranstaltninger:
DK: Lov om naturgasforsyning, LBK 1127 af 5.9.2018, lov om varmeforsyning, LBK 64 af 21.1.2019, lov om Energinet, LBK 997 af 27.6.2018, bekendtgørelse nr. 1257 af 27. november 2019 om indretning, etablering og drift af olietanke, rørsystemer og pipelines.
MT: Lov om EneMalta kap. 272 og lov om EneMalta (overførsel af aktiver, rettigheder, passiver & forpligtelser) kap. 536.
NL: Elektriciteitswet 1998, Gaswet.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – national behandling, lokal tilstedeværelse:
I AT: For så vidt angår transport af gas, gives der kun tilladelse til statsborgere i en EØS-medlemsstat med bopæl i EØS. Selskaber og interessentskaber skal have hovedsæde i EØS. Operatøren af netværket skal udpege en administrerende direktør og en teknisk direktør, som er ansvarlige for den tekniske styring af netværksdriften, og begge skal være statsborgere i en EØS-medlemsstat.
Den kompetente myndighed må fravige kravene om statsborgerskab og bopæl, hvis netværksdriften anses for at være i offentlighedens interesse.
Følgende gælder for transport af gods bortset fra vand og gas:
i)
hvad angår fysiske personer, gives der kun tilladelse til EØS-statsborgere med bopæl i Østrig, og
ii)
selskaber og interessentskaber skal have hovedsæde i Østrig. Der anvendes en økonomisk behovsprøve eller interesseprøve. Grænseoverskridende rør må ikke bringe Østrigs sikkerhedsmæssige interesser samt dets status som neutralt land i fare. Selskaber og interessentskaber skal udpege en administrerende direktør, som skal være statsborger i en EØS-medlemsstat. Den kompetente myndighed kan fravige kravene om statsborgerskab, bopæl og hovedsæde, hvis driften af rørledningen anses for at være af national økonomisk interesse (CPC 713).
Foranstaltninger:
AT: Rohrleitungsgesetz (lov om rørtransport), BGBl. nr. 411/1975, § 5(1) og (2), §§ 5 (1) og (3), 15, 16, og
Gaswirtschaftsgesetz 2011(lov om gas), BGBl. I nr. 107/2011, artikel 43 og 44, artikel 90 og 93.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – (gælder kun det regionale forvaltningsniveau), national behandling, lokal tilstedeværelse:
I AT: For så vidt angår transmission og distribution af elektricitet gives der kun tilladelse til statsborgere i en EØS-medlemsstat med bopæl i EØS. Hvis operatøren udpeger en administrerende direktør eller forpagter, ophæves kravet om bopæl.
Juridiske personer (selskaber) og interessentskaber skal have hovedsæde i EØS. De skal udpege en administrerende direktør eller forpagter, som begge skal være statsborgere i en EØS-medlemsstat med bopæl i EØS.
Den kompetente myndighed kan fravige kravene om bopæl og statsborgerskab, hvis driften af nettet anses for at være i offentlighedens interesse (ISIC Rev. 3.1 40, CPC 887).
Foranstaltninger:
AT: Burgenländisches Elektrizitätswesengesetz 2006, LGBl. nr. 59/2006 som ændret,
Niederösterreichisches Elektrizitätswesengesetz, LGBl. nr. 7800/2005 som ændret, Landesgesetz, mit dem das Oberösterreichische Elektrizitätswirtschafts- und - organisationsgesetz 2006 erlassen wird (Oö. ElWOG 2006), LGBl. nr. 1/2006 som ændret, Salzburger Landeselektrizitätsgesetz 1999 (LEG), LGBl. nr. 75/1999 som ændret,
Gesetz vom 16. November 2011 über die Regelung des Elektrizitätswesens in Tirol (Tiroler Elektrizitätsgesetz 2012 – TEG 2012), LGBl. nr. 134/2011,
Gesetz über die Erzeugung, Übertragung und Verteilung von elektrischer Energie (Vorarlberger Elektrizitätswirtschaftsgesetz), LGBl. nr. 59/2003 som ændret,
Gesetz über die Neuregelung der Elektrizitätswirtschaft (Wiener Elektrizitätswirtschaftsgesetz 2005 – WElWG 2005), LGBl. nr. 46/2005,
Steiermärkisches Elektrizitätswirtschafts- und Organisationsgesetz (ELWOG), LGBl. nr. 70/2005 og Kärntner Elektrizitätswirtschafts-und Organisationsgesetz (ELWOG), LGBl. nr. 24/2006.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I CZ: Der kræves tilladelse til fremstilling, transmission og distribution af samt handel med elektricitet samt andre aktiviteter på elektricitetsmarkedet, til fremstilling, transmission, distribution og lagring af samt handel med gas og til fremstilling og distribution af varme. En sådan tilladelse kan kun gives til fysiske personer med opholdstilladelse eller juridiske personer, der er etableret i Unionen. Der findes eksklusive rettigheder hvad angår elektricitets- og gastransmission samt licenser til markedsoperatører (ISIC Rev. 3.1 40, CPC 7131, 63297, 742, 887).
I LT: Licenser til transmission, distribution, offentlig forsyning og organisering af handel med elektricitet må kun udstedes til juridiske personer, der er etableret i Republikken Litauen, eller til filialer, der er etableret i Republikken Litauen, af udenlandske juridiske personer eller af andre organisationer i en af de øvrige medlemsstater. Tilladelser til produktion af elektricitet, udvikling af elproduktionskapacitet og etablering af en direkte linje kan udstedes til personer med bopæl i Republikken Litauen eller til juridiske personer, der er etableret i Republikken Litauen, eller til i Litauen etablerede filialer af juridiske personer eller andre organisationer i andre medlemsstater. Dette forbehold gælder dog ikke rådgivningstjenester i forbindelse med transmission og distribution af elektricitet på gebyr- eller kontraktbasis (ISIC Rev. 3.1401, CPC 887).
For brændstoffer er der krav om etablering. Licenser til transmission og distribution samt lagring af brændstoffer og flydendegørelse af naturgas må kun udstedes til juridiske personer, der er etableret i Republikken Litauen, eller til i Republikken Litauen etablerede filialer eller andre organisationer (datterselskaber) under juridiske personer fra en anden medlemsstat.
Dette forbehold gælder dog ikke rådgivningstjenester i forbindelse med transmission og distribution af brændstoffer på gebyr- eller kontraktbasis (CPC 713, CPC 887).
I PL: Følgende aktiviteter kræver licens i henhold til energiloven:
i)
generering af brændstoffer eller energi, bortset fra: generering af faste eller gasformige brændstoffer, generering af elektricitet ved hjælp af elektricitetskilder med en samlet kapacitet på højst 50 MW, bortset fra vedvarende energikilder, samtidig produktion af elektricitet og varme ved hjælp af elektricitetskilder med en samlet kapacitet på højst 5 MW, bortset fra vedvarende energikilder, generering af varme ved hjælp af kilder med en samlet kapacitet på højst 5 MW,
ii)
lagring af brændstoffer i gasform i lagringsinstallationer, flydendegørelse af naturgas eller regasificering af flydende naturgas på LNG-installationer samt lagring af flydende brændstoffer, bortset fra: lokal lagring af flydende gas i installationer med en kapacitet på under 1 MJ/s og lagring af flydende brændstoffer i detailhandel,
iii)
transmission eller distribution af brændstoffer eller energi, bortset fra: distribution af gasformige brændstoffer i net med en kapacitet på under 1 MJ/s og transmission eller distribution af varme, hvis den samlede kapacitet, som bestilles af kunder, ikke overstiger 5 MW,
iv)
handel med brændstoffer eller energi, bortset fra: handel med faste brændstoffer, handel med elektricitet ved hjælp af installationer med en spænding på under 1 kV, der ejes af kunden, handel med gasformige brændstoffer, såfremt den årlige omsætning ikke overstiger 100 000 EUR, handel med gasformige brændstoffer, såfremt den årlige omsætning ikke overstiger 10 000 EUR, og handel med gasformige brændstoffer og elektricitet, der foretages på varebørsen af mæglere, som udfører mægleraktivitet i henhold til loven af 26. oktober 2000 om råvarebørs, samt handel med varme, hvis den af kunderne bestilte kapacitet ikke overstiger 5 MW. Begrænsningerne for omsætningen gælder ikke for engrossalgstjenester med gasformige brændstoffer eller flydende gas eller for detailhandel med flaskegas.
Der kan kun tildeles en licens af den kompetente myndighed til en ansøger, som har registreret sit primære forretningssted eller har bopæl på territoriet i en EØS-medlemsstat eller Schweiz (ISIC Rev. 3.1040, CPC 63297, 74220, CPC 887).
Foranstaltninger:
CZ: Lov nr. 458/2000 sml. om forretningsvilkår og offentlig forvaltning i energisektoren (energiloven).
LT: Lov om naturgas for Republikken Litauen af 10. oktober 2000, nr. VIII-1973, og lov om elektricitet for Republikken Litauen af 20. juli 2000, nr. VIII-1881.
PL: Lov om energi af 10. april 1997, artikel 32 og 33.
Hvad angår grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I SI: For produktion, transmission og distribution af samt handel med og levering af elektricitet og naturgas til slutkunden er der krav om etablering i Unionen (ISIC Rev. 3.1 4010, 4020, CPC 7131 og CPC 887).
Foranstaltninger:
SI: Energetski zakon (energiloven) 2014, statstidende RS, nr. 17/2014, og lov om minedrift 2014.
Forbehold nr. 18 - Landbrug, fiskeri og fremstillingsvirksomhed
Sektor – delsektor:
Landbrug, jagt og skovbrug, husdyr- og rensdyravl, fiskeri og akvakultur; forlagsvirksomhed, trykning og reproduktion af indspillede medier
Brancheklassifikation:
ISIC Rev. 3.1011, 012, 013, 014, 015, 1531, 050, 0501, 0502, 221, 222, 323, 324, CPC 881, 882, 88442
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Præstationskrav
Øverste ledelse og bestyrelse
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer, Grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
EU/Medlemsstat (medmindre andet er angivet)
Beskrivelse:
a)   Landbrug, jagt og skovbrug (ISIC Rev. 3.1011, 012, 013, 014, 015, 1531, CPC 881)
Hvad angår liberalisering af investeringer – national behandling:
I IE: Etablering foretaget af udenlandske statsborgere inden for møllevirksomhed kræver autorisation (ISIC Rev. 3.1 1531).
Foranstaltninger:
IE: Lov om landbrugsprodukter (korn), 1933.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I FI: Kun statsborgere i en EØS-medlemsstat med bopæl i et område med rensdyrsavl må eje rensdyr og foretage rensdyravl. Der kan tildeles enerettigheder.
I FR: Forudgående autorisation kræves for at blive medlem af eller fungere som direktør i et landbrugskooperativ (ISIC Rev. 3.1011, 012, 013, 014, 015).
I SE: Kun samer kan eje eller udøve rensdyravl.
Foranstaltninger:
FI: Poronhoitolaki (lov om opdræt af rensdyr) (848/1990), kapitel 1, s. 4, Protokol 3 til traktaten om Finlands tiltrædelse.
FR: Code rural et de la pêche maritime.
SE: Lov om rensdyravl (1971:437), paragraf (section) 1.
b)   Fiskeri og akvakultur (ISIC Rev. 3.1050, 0 501, 0 502, CPC 882)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende tjenesteydelser: Markedsadgang:
I FR: Et fransk fartøj, der sejler under fransk flag, kan kun få tildelt en fiskeritilladelse eller få tilladelse til at fiske på baggrund af nationale kvoter, når der er etableret en reel økonomisk forbindelse på Frankrigs territorium, og fartøjet administreres og kontrolleres fra et permanent foretagende med adresse på Frankrigs territorium (ISIC Rev. 3.1050, CPC 882).
Foranstaltninger:
FR: Code rural et de la pêche maritime.
c)   Fremstillingsvirksomhed - forlagsvirksomhed, trykning og reproduktion af indspillede medier (ISIC Rev. 3.1221, 222, 323, 324, CPC 88442)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende tjenesteydelser: Markedsadgang, national behandling, lokal tilstedeværelse:
I LV: Kun juridiske personer, som er stiftet i Letland, og fysiske personer i Letland har ret til at grundlægge og udgive offentlige massemedier. Filialer er ikke tilladt (CPC 88442).
Foranstaltninger:
LV: Lov om pressen og andre massemedier, s. 8.
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I DE (gælder ligeledes det regionale forvaltningsniveau): Enhver offentligt distribueret eller trykt avis eller ethvert tidsskrift skal tydeligt angive en "ansvarshavende redaktør" (det fulde navn og adresse på en fysisk person). Den ansvarshavende redaktør kan kræves at have fast bopæl i Tyskland, Unionen eller en EØS-medlemsstat. Dispensationer kan gives af forbundsindenrigsministeren (ISIC Rev. 3.1223, 224).
Foranstaltninger:
DE:
Regionalt niveau:
Gesetz über die Presse Baden-Württemberg (LPG BW),
Bayerisches Pressegesetz (BayPrG),
Berliner Pressegesetz (BlnPrG),
Brandenburgisches Landespressegesetz (BbgPG),
Gesetz über die Presse Bremen (BrPrG),
Hamburgisches Pressegesetz,
Hessisches Pressegesetz (HPresseG),
Landespressegesetz für das Land Mecklenburg-Vorpommern (LPrG M-V),
Niedersächsisches Pressegesetz (NPresseG),
Pressegesetz für das Land Nordrhein-Westfalen (Landespressegesetz NRW),
Landesmediengesetz (LMG) Rheinland-Pfalz,
Saarländisches Mediengesetz (SMG),
Sächsisches Gesetz über die Presse (SächsPresseG),
Pressegesetz für das Land Sachsen-Anhalt (Landespressegesetz),
Gesetz über die Presse Schleswig-Holstein (PressG SH),
Thüringer Pressegesetz (TPG).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I IT: Såfremt Det Forenede Kongerige tillader italienske investorer at eje mere end 49 procent af kapitalen og stemmerettighederne i en trykkerivirksomhed i Det Forenede Kongerige, vil Italien tillade investorer fra Det Forenede Kongerige at eje mere end 49 procent af kapitalen og stemmerettighederne i en italiensk trykkerivirksomhed på samme vilkår (ISIC Rev. 3.1221, 222).
Foranstaltninger:
IT: Lov 416/1981, artikel 1 (og senere ændringer deraf).
Hvad angår liberalisering af investeringer – øverste ledelse og bestyrelse:
I PL: Statsborgerskabskrav for chefredaktører for aviser og tidsskrifter (ISIC Rev. 3.1221, 222).
Foranstaltninger:
PL: Lov af 26. januar 1984 om presselov, statstidende, nr. 5, punkt 24, med senere ændringer.
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – national behandling, lokal tilstedeværelse:
I SE: Fysiske personer, som er ejere af tidsskrifter, der trykkes og udgives i Sverige, skal være bosiddende i Sverige eller være statsborgere i en EØS-medlemsstat. Ejerne af sådanne tidsskrifter, der er juridiske personer, skal være etableret i EØS. Tidsskrifter, der trykkes og udgives i Sverige, og tekniske optegnelser skal have en ansvarshavende redaktør, som skal have bopæl i Sverige (ISIC Rev. 3.1 22, CPC 88442).
Foranstaltninger:
SE: Lov om pressefrihed (1949:105),
grundlæggende lov om ytringsfrihed (1991:1469) og
lov om bekendtgørelser med henblik på lov om pressefrihed og den grundlæggende lov om ytringsfrihed (1991:1559).
Det Forenede Kongeriges liste
Forbehold nr. 1 – Alle sektorer
Forbehold nr. 2 – Liberale tjenesteydelser (alle erhverv undtagen sundhedsrelaterede erhverv)
Forbehold nr. 3 – Liberale tjenesteydelser (veterinærtjenesteydelser)
Forbehold nr. 4 – Forsknings- og udviklingsvirksomhed
Forbehold nr. 5 – Forretningstjenesteydelser
Forbehold nr. 6 – Kommunikationstjenesteydelser
Forbehold nr. 7 – Transport og tjenesteydelser i tilknytning til transportvirksomhed
Forbehold nr. 8 – Energirelaterede aktiviteter
Forbehold nr. 1 – Alle sektorer
Sektor:
Alle sektorer
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Øverste ledelse og bestyrelse
Præstationskrav
Kapitel:
Liberalisering af investeringer
Forvaltningsniveau:
Centralt og regionalt (medmindre andet er angivet)
Beskrivelse:
Hvad angår liberalisering af investeringer – præstationskrav
Det Forenede Kongerige kan håndhæve en forpligtelse eller et tilsagn, der er afgivet i overensstemmelse med bestemmelserne om tilsagn efter tilbud i "City Code on Takeovers and Mergers" eller i henhold til tilsagnsdokumenter i forbindelse med overtagelser eller fusioner, hvis forpligtelsen eller tilsagnet ikke afkræves eller er påkrævet som en betingelse for godkendelse af overtagelsen eller fusionen.
Foranstaltninger:
City Code on Takeovers and Mergers
Companies Act 2006
Law of Property (diverse bestemmelser) Act 1989 for så vidt angår håndhævelse af tilsagnsdokumenter i forbindelse med overtagelser eller fusioner
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse
Dette forbehold gælder kun for sundhedstjenesteydelser, sociale tjenesteydelser og undervisning:
Det Forenede Kongerige kan, når det sælger eller afhænder sine kapitalandele eller aktiver i et eksisterende statsforetagende eller en eksisterende statslig enhed, der leverer sundhedstjenesteydelser, sociale tjenesteydelser eller undervisning (CPC 93, 92), forbyde eller pålægge begrænsninger for ejerskabet af sådanne andele eller aktiver og for muligheden for, at ejerne af sådanne andele og aktiver kan kontrollere et foretagende, for så vidt angår investorer fra EU eller deres virksomheder. Med hensyn til et sådant salg eller anden afhændelse kan Det Forenede Kongerige indføre eller opretholde foranstaltninger vedrørende statsborgerskab for den øverste ledelse eller bestyrelsesmedlemmer samt foranstaltninger, der begrænser antallet af leverandører.
Med henblik på dette forbehold forstås ved:
i)
"eksisterende foranstaltning": en foranstaltning, der opretholdes eller vedtages efter denne aftales ikrafttræden, og som på tidspunktet for salg eller anden afhændelse forbyder eller pålægger begrænsninger for ejerskabet af kapitalandele eller aktiver eller pålægger et nationalitetskrav eller pålægger begrænsninger i antallet af leverandører, som beskrevet i dette forbehold, og
ii)
"statsforetagende": et foretagende, der ejes eller kontrolleres af en Det Forenede Kongerige gennem ejerandele og indbefatter et foretagende, der etableres efter denne aftales ikrafttræden udelukkende med det formål at sælge eller afhænde kapitalandele eller aktiver i et eksisterende statsforetagende eller en eksisterende statslig enhed.
Foranstaltninger:
Som anført ovenfor under elementet "beskrivelse".
Forbehold nr. 2 – Liberale tjenesteydelser (alle erhverv undtagen sundhedsrelaterede erhverv)
Sektor – delsektor:
Liberale tjenesteydelser - juridiske tjenesteydelser; revisionstjenesteydelser
Brancheklassifikation:
Del af CPC 861, CPC 862
Forbeholdstype:
Markedsadgang
National behandling
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
Centralt og regionalt (medmindre andet er angivet)
Beskrivelse:
a)   Juridiske tjenesteydelser (del af CPC 861)
For at levere visse juridiske tjenesteydelser kan det være nødvendigt at indhente tilladelse eller licens fra en kompetent myndighed eller at overholde registreringskravene. I det omfang kravene til opnåelse af tilladelse, licens eller registrering er ikkediskriminerende og i overensstemmelse med de forpligtelser, der er fastsat i denne aftales artikel 194, er de ikke opført på listen. Disse kan f.eks. omfatte et krav om at have opnået bestemte kvalifikationer, have gennemført en anerkendt uddannelsesperiode eller et krav om kontor eller postadresse i den kompetente myndigheds jurisdiktion i forbindelse med medlemskab.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, lokal tilstedeværelse, national behandling:
Det relevante faglige eller regulerende organ kan kræve bopæl (handelsmæssig tilstedeværelse) for at yde bestemte juridiske tjenesteydelser inden for national lovgivning i Det Forenede Kongerige. Der gælder ikkediskriminerende krav til retlig form.
Det relevante faglige eller regulerende organ kan kræve bopæl for i Det Forenede Kongerige at yde visse juridiske tjenesteydelser inden for national lovgivning i relation til immigration.
Foranstaltninger:
England og Wales: Solicitors Act 1974, Administration of Justice Act 1985 og Legal Services Act 2007. Skotland: Solicitors (Scotland) Act 1980 og Legal Services (Scotland) Act 2010. Nordirland: Solicitors (Northern Ireland) Order 1976. For alle jurisdiktioner, Immigration and Asylum Act 1999. Derudover omfatter de gældende foranstaltninger i hver jurisdiktion alle krav, der er fastlagt af faglige og regulerende organer.
b)   Revisionstjenesteydelser (CPC 86211, 86212 undtagen regnskabsvæsen og bogholderivirksomhed)
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – national behandling:
De kompetente myndigheder i Det Forenede Kongerige kan anerkende en kvalifikationsækvivalens for en revisor, som er statsborger fra en EU-medlemsstat eller et tredjeland, med henblik på at godkende denne til at fungere som statsautoriseret revisor i Det Forenede Kongerige under forudsætning af gensidighed (CPC 8621).
Foranstaltninger:
Companies Act 2006
Forbehold nr. 3 – Liberale tjenesteydelser (veterinærtjenesteydelser)
Sektor – delsektor:
Liberale tjenesteydelser –veterinærtjenesteydelser
Brancheklassifikation:
CPC 932
Forbeholdstype:
Markedsadgang
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
Centralt og regionalt (medmindre andet er angivet)
Beskrivelse:
Der kræves fysisk tilstedeværelse for at udføre veterinær kirurgi. Udførelse af veterinær kirurgi er forbeholdt kvalificerede veterinærkirurger, der er registreret hos Royal College of Veterinary Surgeons (RCVS).
Foranstaltninger:
Veterinary Surgeons Act 1966
Forbehold nr. 4 – Forsknings- og udviklingsvirksomhed
Sektor – delsektor:
Forsknings- og udviklingsvirksomhed (FoU)
Brancheklassifikation:
CPC 851, 853
Forbeholdstype:
Markedsadgang
National behandling
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
Centralt og regionalt (medmindre andet er angivet)
Beskrivelse:
I forbindelse med tjenesteydelser angående offentligt finansieret forskning og udvikling (FoU), der finansieres af Det Forenede Kongerige, kan enerettigheder og tilladelser kun tildeles statsborgere fra Det Forenede Kongerige og juridiske personer i Det Forenede Kongerige, der har deres registrerede kontor, centraladministration eller primære forretningssted i Det Forenede Kongerige (CPC 851, 853).
Dette forbehold berører ikke denne aftales femte del og udelukkelsen af en parts offentlige udbud eller subsidier eller tilskud i denne aftales artikel 123, stk. 6 og 7.
Foranstaltninger:
Alle eksisterende og alle fremtidige forsknings- og innovationsprogrammer.
Forbehold nr. 5 – Forretningstjenesteydelser
Sektor – delsektor:
Forretningstjenesteydelser – udlejning eller leasing uden betjeningspersonale samt andre forretningstjenesteydelser
Brancheklassifikation:
Del af CPC 831
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
Centralt og regionalt (medmindre andet er angivet)
Beskrivelse:
Hvad angår udlejning eller leasing af luftfartøjer uden besætning (dry lease), er luftfartøjer, som anvendes af luftfartsselskaber i Det Forenede Kongerige, omfattet af gældende registreringskrav. En dry lease-aftale, som et luftfartsselskab fra Det Forenede Kongerige er part i, er underlagt krav i national ret om luftfartssikkerhed, som f.eks. forhåndsgodkendelse og andre betingelser for anvendelsen af tredjelandes registrerede fly. For blive registreret skal luftfartøjet være ejet enten af fysiske personer, som opfylder specifikke nationalitetskriterier, eller af foretagender, som opfylder specifikke kriterier vedrørende kapitalforhold og kontrol (CPC 83104).
Med henblik på tjenesteydelser i forbindelse med edb-reservationssystemer (CRS) forholder det sig sådan, at når leverandører af CRS-tjenesteydelser, der opererer uden for Det Forenede Kongerige, ikke giver luftfartsselskaber fra Det Forenede Kongerige ligeværdig behandling (i betydningen ikkediskriminerende) i forhold til den, der ydes i Det Forenede Kongerige, eller når luftfartsselskaber, som ikke er fra Det Forenede Kongerige, ikke giver leverandører fra Det Forenede Kongerige af CRS-tjenesteydelser ligeværdig behandling i forhold til den, der ydes i Det Forenede Kongerige, kan der træffes foranstaltninger til at sikre, at leverandører af CRS-tjenesteydelser, der opererer i Det Forenede Kongerige, giver ligeværdig behandling til luftfartsselskaber, som ikke er fra Det Forenede Kongerige, eller at luftfartsselskaber fra Det Forenede Kongerige giver ligeværdig behandling til leverandører af CRS-tjenesteydelser, der opererer uden for Det Forenede Kongerige.
Foranstaltninger:
Europa-Parlamentets og Rådets forordning (EF) nr. 1008/2008 af 24. september 2008 om fælles regler for driften af lufttrafiktjenester i Fællesskabet (omarbejdning) som bibeholdt i Det Forenede Kongeriges lovgivning ved European Union (Withdrawal) Act 2018 og som ændret ved forordningerne om drift af lufttrafiktjenester (ændring osv.) (EU Exit) (S.I. 2018/1392).
Europa-Parlamentets og Rådets forordning (EF) nr. 80/2009 af 14. januar 2009 om en adfærdskodeks for edb-reservationssystemer og om ophævelse af Rådets forordning (EØF) nr. 2299/89 som bibeholdt i Det Forenede Kongeriges lovgivning ved European Union (Withdrawal) Act 2018 og som ændret ved 2018-forordningerne om edb-reservationssystemer (ændring) (EU Exit) (S.I. 2018/1080).
Forbehold nr. 6 – Kommunikationstjenesteydelser
Sektor – delsektor:
Kommunikationstjenesteydelser - post- og kurertjenesteydelser
Brancheklassifikation:
Del af CPC 71235, del af 73210, del af 751
Forbeholdstype:
Markedsadgang
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
Centralt og regionalt (medmindre andet er angivet)
Beskrivelse:
Organisationen af opstillingen af postkasser på offentlig vej, udstedelsen af frimærker og tilvejebringelsen af rekommanderet posttjeneste, der anvendes i forbindelse med retlige eller administrative procedurer, kan begrænses i overensstemmelse med national lovgivning. Det skal præciseres, at postvirksomheder kan være omfattet af en særlig forsyningspligt eller finansielle bidrag til en kompensationsfond.
Foranstaltninger:
Postal Services Act 2000 og Postal Services Act 2011
Forbehold nr. 7 – Transport og tjenesteydelser i tilknytning til transportvirksomhed
Sektor – delsektor:
Transporttjenesteydelser – tjenesteydelser i tilknytning til vandtransport, tjenesteydelser i tilknytning til jernbanetransport, tjenesteydelser i tilknytning til vejtransport, tjenesteydelser i tilknytning til luftfart
Brancheklassifikation:
CPC 711, 712, 721, 741, 742, 743, 744, 745, 746, 748, 749
Forbeholdstype:
Markedsadgang
National behandling
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
Centralt og regionalt (medmindre andet er angivet)
Beskrivelse:
a)   Tjenesteydelser i tilknytning til lufttransport (CPC 746)
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang:
Niveauet for åbenheden af groundhandlingtjenesteydelserne afhænger af lufthavnens størrelse. Antallet af tjenesteydere i hver lufthavn kan være begrænset. I "store lufthavne" må denne begrænsning ikke være på under to leverandører.
Foranstaltninger:
1997-lufthavnsforordningerne (Groundhandling) (S.I. 1997/2389)
b)   Hjælpetjenesteydelser inden for alle transportformer
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, lokal tilstedeværelse, national behandling:
Toldtjenester, herunder toldklareringstjenester og tjenester i forbindelse med anvendelse af lagerfaciliteter til midlertidig opbevaring eller toldoplag, må kun leveres af personer, der er etableret i Det Forenede Kongerige. For at undgå tvivl omfatter dette personer med bopæl i Det Forenede Kongerige, personer med fast forretningssted i Det Forenede Kongerige eller et vedtægtsmæssigt hjemsted i Det Forenede Kongerige.
Foranstaltninger:
Beskatning (Cross-Border Trade Act) 2018, Customs and Excise Management Act 1979, 2019-toldforordningerne (Export) (EU Exit), 2018-toldforordningerne (Import Duty) (EU Exit), 2018-toldforordningerne (Special Procedures and Outward Processing) (EU Exit), "Customs and Excise"-forordningerne 2019/1215 (diverse bestemmelser og ændringer) (EU Exit).
c)   Tjenesteydelser i tilknytning til vandtransport
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang:
For havnetjenesters vedkommende kan havnemyndigheden eller den kompetente myndighed begrænse antallet af leverandører af havnetjenester for en given havnetjeneste.
Foranstaltninger:
Artikel 6 i Europa-Parlamentets og Rådets forordning (EU) 2017/352 af 15. februar 2017 om opstilling af rammer for levering af havnetjenester og fælles regler om finansiel gennemsigtighed for havne som bibeholdt i Det Forenede Kongeriges lovgivning ved European Union (Withdrawal) Act 2018 og som ændret ved 2020-forordningerne om lods- og havnetjenester (ændring) (EU Exit) (S.I. 2020/671) og
2019-forordningen om havnetjenester
Forbehold nr. 8 – Energirelaterede aktiviteter
Sektor – delsektor:
Energirelaterede aktiviteter - råstofudvinding
Brancheklassifikation:
ISIC Rev. 3.1 11, 8675, 883
Forbeholdstype:
Markedsadgang
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Forvaltningsniveau:
Centralt og regionalt (medmindre andet er angivet)
Beskrivelse:
Der kræves en licens for at udføre efterforsknings- og produktionsaktiviteter på Det Forenede Kongeriges kontinentalsokkel (UKCS) og udføre tjenesteydelser, som kræver direkte adgang til eller udvinding af naturressourcer.
Dette forbehold gælder for produktionslicenser, der er udstedt med henblik på Det Forenede Kongeriges kontinentalsokkel. For at opnå en licens skal en virksomhed have forretningssted inden for Det Forenede Kongerige. Dette betyder enten:
i)
personaletilstedeværelse i Det Forenede Kongerige
ii)
registrering af en virksomhed i Det Forenede Kongerige hos Companies House eller
iii)
registrering af en filial af en udenlandsk virksomhed i Det Forenede Kongerige hos Companies House.
Dette krav gælder for alle virksomheder, der ansøger om en ny licens, og for alle virksomheder, der ansøger om at deltage i en eksisterende licens efter tildeling. Det gælder for alle licenser og for alle virksomheder, hvad enten de er operatører eller ej. For at være parthaver i en licens, som omfatter et produktionsfelt, skal en virksomhed: a) være registreret hos Companies House som en virksomhed Det Forenede Kongerige eller b) drive sin forretning via et fast forretningssted i Det Forenede Kongerige som defineret i afsnit 148 i Finance Act 2003 (som normalt kræver personaletilstedeværelse) (ISIC Rev. 3.1 11, CPC 883, 8675).
Foranstaltninger:
Petroleum Act 1998
(
1
)
  Med henblik på dette forbehold forstås ved:
a)
"retten i værtsjurisdiktionen": retten i den konkrete medlemsstat samt EU-retten "retten i hjemlandsjurisdiktionen": retten i Det Forenede Kongerige
b)
"international ret": folkeretten med undtagelse af EU-retten, herunder regler i henhold til internationale traktater og konventioner samt folkeretlig sædvaneret
c)
"juridisk rådgivning": vejledning til og rådgivning af kunder vedrørende forhold som transaktioner, forbindelser og tvister, som indebærer anvendelse eller fortolkning af retsregler, deltagelse sammen med eller på vegne af klienter i forhandlinger og andre forbindelser med tredjepart vedrørende sådanne forhold samt udarbejdelse af dokumenter, som helt eller delvis reguleres ved lov, og verificering af dokumenter af enhver art med henblik på og i overensstemmelse med lovkrav
d)
"juridisk repræsentation": udarbejdelse af dokumenter, som skal forelægges for administrative organer, domstole og andre behørigt oprettede officielle retsinstanser, samt møde for administrative organer, domstole og andre behørigt oprettede officielle retsinstanser
e)
"juridisk voldgift, forlig og mægling": udarbejdelse af dokumenter, der skal forelægges for, forberedelse på møde med og møde for en voldgiftsmand, forligsmand eller mægler i enhver tvist, der vedrører anvendelsen og fortolkningen af lovgivningen. Det omfatter ikke voldgift, forlig og mægling i tvister, der ikke vedrører anvendelse og fortolkning af lovgivning, og som henhører under tjenesteydelser i tilknytning til virksomhedsrådgivning. Det omfatter heller ikke det at fungere som voldgiftsmand, forligsmand eller mægler. Som underkategori henviser internationale juridiske voldgifts-, mæglings- eller mæglingstjenesteydelser til de samme tjenesteydelser, når tvisten involverer parter fra to eller flere lande.
(
2
)
  Europa-Parlamentets og Rådets forordning (EU) 2017/1001 af 14. juni 2017 om EU-varemærker (
EUT L 154 af 16.6.2017, s. 1
).
(
3
)
  Rådets forordning (EF) nr. 6/2002 af 12. december 2001 om EF-design (
EFT L 3 af 5.1.2002, s. 1
).
(
4
)
  Europa-Parlamentets og Rådets direktiv 2013/34/EU af 26. juni 2013 om årsregnskaber, konsoliderede regnskaber og tilhørende beretninger for visse virksomhedsformer, om ændring af Europa-Parlamentets og Rådets direktiv 2006/43/EF og om ophævelse af Rådets direktiv 78/660/EØF og 83/349/EØF (
EUT L 182 af 29.6.2013, s. 19
).
(
5
)
  Europa-Parlamentets og Rådets direktiv 2006/43/EF af 17. maj 2006 om lovpligtig revision af årsregnskaber og konsoliderede regnskaber, om ændring af Rådets direktiv 78/660/EØF og 83/349/EØF og om ophævelse af Rådets direktiv 84/253/EØF (
EUT L 157 af 9.6.2006, s. 87
).
(
6
)
  Europa-Parlamentets og Rådets forordning (EF) nr. 1008/2008 af 24. september 2008 om fælles regler for driften af lufttrafiktjenester i Fællesskabet (
EUT L 293 af 31.10.2008, s. 3
).
(
7
)
  Europa-Parlamentets og Rådets forordning (EF) nr. 80/2009 af 14. januar 2009 om en adfærdskodeks for edb-reservationssystemer og om ophævelse af Rådets forordning (EØF) nr. 2299/89 (
EUT L 35 af 4.2.2009, s. 47
).
(
8
)
  Europa-Parlamentets og Rådets direktiv 97/67/EF af 15. december 1997 om fælles regler for udvikling af Fællesskabets indre marked for posttjenester og forbedring af disse tjenesters kvalitet (
EFT L 15 af 21.1.1998, s. 14
).
(
9
)
  Europa-Parlamentets og Rådets forordning (EU) nr. 909/2014 af 23. juli 2014 om forbedring af værdipapirafviklingen i Den Europæiske Union og om værdipapircentraler samt om ændring af direktiv 98/26/EF og 2014/65/EU samt forordning (EU) nr. 236/2012 (
EUT L 257 af 28.8.2014, s. 1
).
(
10
)
  Europa-Parlamentets og Rådets forordning (EU) 2017/352 af 15. februar 2017 om opstilling af rammer for levering af havnetjenester og fælles regler om finansiel gennemsigtighed for havne (
EUT L 57 af 3.3.2017, s. 1
).
(
11
)
  Rådets direktiv 96/67/EF af 15. oktober 1996 om adgang til ground handling-markedet i Fællesskabets lufthavne (
EFT L 272 af 25.10.1996, s. 36
).
(
12
)
  Europa-Parlamentets og Rådets forordning (EU) nr. 952/2013 af 9. oktober 2013 om EU-toldkodeksen (
EUT L 269 af 10.10.2013, s. 1
).
BILAG 20
FREMTIDIGE FORANSTALTNINGER
Indledende noter
1.
I Det Forenede Kongeriges og Unionens lister er der i denne aftales artikel 133, 139 og 195 fastsat de forbehold, som Det Forenede Kongerige og Unionen har taget med hensyn til eksisterende foranstaltninger, der ikke er forenelige med forpligtelserne i henhold til:
a)
denne aftales artikel 128 eller 135
b)
denne aftales artikel 136
c)
denne aftales artikel 129 eller 137
d)
denne aftales artikel 130 eller 138
e)
denne aftales artikel 131
f)
denne aftales artikel 132
g)
denne aftales artikel 194.
2.
En parts forbehold berører ikke parternes rettigheder og forpligtelser i medfør af GATS.
3.
Hvert forbehold omfatter følgende elementer:
a)
ved "sektor" forstås den overordnede sektor, hvori forbeholdet er taget
b)
ved "delsektor" forstås den specifikke sektor, hvori forbeholdet er taget
c)
"brancheklassifikation" henviser i givet fald til den aktivitet, der er omfattet af forbeholdet i henhold til CPC, ISIC rev 3.1, eller som på anden vis udtrykkeligt er beskrevet i en parts forbehold
d)
"forbeholdstype" præciserer den forpligtelse, der er omhandlet i punkt 1, og for hvilken der er taget et forbehold
e)
"beskrivelse" angiver omfanget af den sektor, den delsektor eller de aktiviteter, der er omfattet af forbeholdet, og
f)
"gældende foranstaltninger" angiver af hensyn til gennemsigtigheden eksisterende foranstaltninger, der gælder for den sektor, den delsektor eller de aktiviteter, der er omfattet af forbeholdet.
4.
I forbindelse med fortolkning af et forbehold skal der tages højde for alle elementer i forbeholdet. Elementet "beskrivelse" går forud for alle andre elementer.
5.
Med henblik på anvendelsen af Det Forenede Kongeriges og Den Europæiske Unions lister forstås ved:
a)
"ISIC Rev. 3.1": den internationale standardklassifikation af al erhvervsmæssig virksomhed som fastsat i de statistiske publikationer fra De Forenede Nationers statistiske kontor, Statistical Papers, Series M, No. 4, ISIC Rev. 3.1, 2002
b)
"CPC": den foreløbige centrale produktnomenklatur (Statistical Papers Series M No. 77, Department of International Economic and Social Affairs, Statistical Office of the United Nations, New York, 1991).
6.
Med henblik på anvendelsen af Det Forenede Kongeriges og Unionens lister tages et forbehold for kravet om lokal tilstedeværelse på Unionens eller Det Forenede Kongeriges område, jf. denne aftales artikel 136, men ikke denne aftales artikel 135 eller 137. Desuden tages et sådant krav ikke som et forbehold for denne aftales artikel 129.
7.
Et forbehold taget på EU-plan finder anvendelse på en foranstaltning truffet af Unionen, en foranstaltning truffet af en medlemsstat på centralt plan eller en foranstaltning truffet af en regering i en medlemsstat, medmindre forbeholdet udelukker en medlemsstat. Et forbehold taget af en medlemsstat finder anvendelse på en foranstaltning truffet af en regering på centralt, regionalt eller lokalt plan i den pågældende medlemsstat. Hvad angår forbeholdene i Belgien, omfatter det centrale forvaltningsniveau forbundsregeringen og regeringerne i regionerne og fællesskaberne, da hver af disse har samme lovgivende myndighed. Med henblik på forbeholdene i Unionen og dens medlemsstater betyder et regionalt forvaltningsniveau i Finland Ålandsøerne. Et forbehold taget af Det Forenede Kongerige gælder for en foranstaltning truffet af centralregeringen, en regional regering eller en lokal myndighed.
8.
Nedenstående liste over forbehold omfatter ikke foranstaltninger vedrørende kvalifikationskrav og -procedurer, tekniske standarder og licenskrav og -procedurer, der ikke begrænser markedsadgangen eller den nationale behandling som defineret i denne aftales artikel 128, 129, 135, 136, 137 eller 194. Disse foranstaltninger omfatter navnlig kravet om licens, kravet om at levere forsyningspligtydelser, kravet om anerkendte kvalifikationer inden for regulerede sektorer, kravet om at bestå specifikke eksamener, herunder sprogeksamener, kravet om medlemskab af et bestemt erhverv såsom en faglig organisation, kravet om en lokal repræsentant for tjenester eller en lokal adresse og andre ikkediskriminerende krav om, at visse aktiviteter ikke må udøves i beskyttede områder. Disse foranstaltninger finder fortsat anvendelse, selv om de ikke er opført på listen.
9.
Det skal præciseres, at for Unionens vedkommende indebærer forpligtelsen til at indrømme national behandling ikke krav om, at fysiske eller juridiske personer fra Det Forenede Kongerige også indrømmes den behandling, der indrømmes i en medlemsstat i henhold til traktaten om Den Europæiske Unions funktionsmåde eller andre foranstaltninger vedtaget i henhold til nævnte traktat, herunder deres gennemførelse i medlemsstaterne, til:
a)
fysiske personer eller personer med fast bopæl i en anden medlemsstat eller
b)
juridiske personer, der er stiftet eller organiseret efter lov i en anden medlemsstat eller Unionen, og hvis vedtægtsmæssige hjemsted, hovedkontor eller hovedvirksomhed er beliggende i Unionen.
10.
Den behandling, der indrømmes juridiske personer, som er etableret af investorer fra en part i overensstemmelse med den anden parts ret (og, for så vidt angår Unionen, en medlemsstats ret), og hvis vedtægtsmæssige hjemsted, hovedkontor eller hovedvirksomhed er beliggende i den anden part, berører ikke betingelser eller forpligtelser, som er i overensstemmelse med denne aftales anden del, sektion et, afsnit II, kapitel 2, og som kan være blevet pålagt sådanne juridiske personer, da de blev etableret i den anden part, og som fortsat skal gælde.
11.
Listerne gælder kun for Det Forenede Kongeriges og Den Europæiske Unions områder, jf. denne aftales artikel 520, stk. 2, og artikel 774, og er kun relevante i forbindelse med Unionen og dens medlemsstaters handelsforbindelser med Det Forenede Kongerige. De berører ikke medlemsstaternes rettigheder og forpligtelser i henhold til EU-retten.
12.
Det skal præciseres, at ikkediskriminerende foranstaltninger ikke udgør begrænsninger af markedsadgangen som defineret i denne aftales artikel 128, 135 eller 194:
a)
der kræver adskillelse af ejerskabet af infrastruktur fra ejerskabet af de varer eller tjenesteydelser, der leveres via denne infrastruktur, for at sikre fair konkurrence, f.eks. inden for energi, transport og telekommunikation
b)
der begrænser koncentrationen af ejerskab for at sikre fair konkurrence
c)
der tilsigter at sikre bevarelse og beskyttelse af naturressourcerne og af miljøet, herunder en begrænsning af tilgængeligheden, antallet og omfanget af bevilgede koncessioner og indførelse af et moratorium eller forbud
d)
der begrænser antallet af udstedte tilladelser på grund af tekniske og fysiske begrænsninger, f.eks. telekommunikationsspektrummer og -frekvenser, eller
e)
der kræver, at en bestemt procentdel af en virksomheds aktionærer, ejere, partnere eller ledere skal være uddannet til eller udøve et bestemt erhverv såsom advokater og revisorer.
13.
Hvad angår finansielle tjenesteydelser gælder følgende: Modsat hvad der er tilfældet for udenlandske datterselskaber, er filialer, der direkte er etableret i en medlemsstat af en finansiel institution fra et tredjeland med visse mindre undtagelser ikke omfattet af de tilsynsregler, der er harmoniseret på EU-plan, og som gør det muligt for sådanne datterselskaber at nyde godt af udvidede faciliteter ved oprettelse af nye kontorer og levere grænseoverskridende tjenesteydelser overalt i Unionen. Sådanne filialer får derfor tilladelse til at drive virksomhed på en medlemsstats område på betingelser svarende til dem, der gælder for indenlandske finansielle institutioner i den pågældende medlemsstat, og skal eventuelt opfylde en række særlige forsigtighedskrav såsom, for så vidt angår bankvirksomhed og værdipapirer, krav om særskilt kapital og andre solvenskrav og krav om regnskabsaflæggelse og -offentliggørelse eller, for så vidt angår forsikring, særlige garanti- og indlånskrav, særskilt kapital og placering i den pågældende medlemsstat af de aktiver, der repræsenterer de tekniske reserver og mindst en tredjedel af solvensmargenen.
Følgende forkortelser er benyttet i nedenstående liste over forbehold:
UK
Det Forenede Kongerige
EU
Den Europæiske Union og alle dens medlemsstater
AT
Østrig
BE
Belgien
BG
Bulgarien
CY
Cypern
CZ
Tjekkiet
DE
Tyskland
DK
Danmark
EE
Estland
EL
Grækenland
ES
Spanien
FI
Finland
FR
Frankrig
HR
Kroatien
HU
Ungarn
IE
Irland
IT
Italien
LT
Litauen
LU
Luxembourg
LV
Letland
MT
Malta
NL
Nederlandene
PL
Polen
PT
Portugal
RO
Rumænien
SE
Sverige
SI
Slovenien
SK
Den Slovakiske Republik
Unionens liste
Forbehold nr. 1 – Alle sektorer
Forbehold nr. 2 – Liberale tjenesteydelser – undtagen sundhedsrelaterede erhverv
Forbehold nr. 3 – Liberale tjenesteydelser – sundhedsrelaterede erhverv og detailhandel med farmaceutiske produkter
Forbehold nr. 4 – Forretningstjenesteydelser – forsknings- og udviklingsvirksomhed
Forbehold nr. 5 – Forretningstjenesteydelser – tjenesteydelser i forbindelse med fast ejendom
Forbehold nr. 6 – Forretningstjenesteydelser – udlejning eller leasing
Forbehold nr. 7 – Forretningstjenesteydelser – inkassovirksomhed og kreditoplysningsvirksomhed
Forbehold nr. 8 – Forretningstjenesteydelser – arbejdsformidling
Forbehold nr. 9 – Forretningstjenesteydelser – vagt- og sikkerhedstjenesteydelser og detektivtjenesteydelser
Forbehold nr. 10 – Forretningstjenesteydelser – andre forretningstjenesteydelser
Forbehold nr. 11 – Telekommunikation
Forbehold nr. 12 – Bygge- og anlægsvirksomhed
Forbehold nr. 13 – Distributionstjenesteydelser
Forbehold nr. 14 – Undervisning
Forbehold nr. 15 – Tjenesteydelser på miljøområdet
Forbehold nr. 16 – Finansielle tjenesteydelser
Forbehold nr. 17 – Sundhedstjenesteydelser og sociale tjenesteydelser
Forbehold nr. 18 – Turisme og rejserelaterede tjenesteydelser
Forbehold nr. 19 – Fritids- og sportsaktiviteter samt kulturelle aktiviteter
Forbehold nr. 20 – Transport og hjælpetjenesteydelser i tilknytning til transport
Forbehold nr. 21 – Landbrug, fiskeri og vand
Forbehold nr. 22 – Energirelaterede aktiviteter
Forbehold nr. 23 – Andre tjenesteydelser, i.a.n.
Forbehold nr. 1 – Alle sektorer
Sektor:
Alle sektorer
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Øverste ledelse og bestyrelser
Præstationskrav
Lokal tilstedeværelse
Forpligtelser vedrørende juridiske tjenesteydelser
Kapitel/afsnit:
Liberalisering af investeringer, grænseoverskridende handel med tjenesteydelser og lovgivningsmæssige rammer for juridiske tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Etablering
Hvad angår liberalisering af investeringer – markedsadgang:
EU: Tjenesteydelser, der betragtes som offentlig forsyningsvirksomhed på nationalt eller lokalt plan, kan være genstand for offentlige monopoler eller eksklusive rettigheder, som indrømmes private operatører.
Offentlig forsyningsvirksomhed findes i sektorer som f.eks. beslægtet teknisk-videnskabelig konsulenttjenesteydelser, forsknings- og udviklingsvirksomhed (FoU-tjenesteydelser) i tilknytning til samfundsvidenskab og humanistiske videnskaber, teknisk afprøvning og analyse, miljø, sundhedsydelser, transport og tjenesteydelser i tilknytning til alle transportformer. Eksklusive rettigheder til sådanne tjenesteydelser indrømmes ofte til private operatører, f.eks. sådanne, som de offentlige myndigheder har indrømmet koncessioner forbundet med specifikke serviceforpligtelser. Da der også ofte findes offentlig forsyningsvirksomhed på niveauer under centraladministrationen, er en detaljeret og udtømmende opregning ikke praktisk mulig. Dette forbehold finder ikke anvendelse på telekommunikation og computertjenesteydelser og tilknyttede tjenesteydelser.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling og lovgivningsmæssige rammer for juridiske tjenesteydelser – forpligtelser:
I FI: Restriktioner med hensyn til retten for fysiske personer, som ikke har regionalt borgerskab på Åland, og for juridiske personer til at erhverve og besidde fast ejendom på Ålandsøerne uden tilladelse fra de kompetente myndigheder på øerne. Restriktioner med hensyn til etableringsretten og retten til at udføre økonomiske aktiviteter for fysiske personer, som ikke har regionalt borgerskab på Åland, eller for enhver virksomhed uden tilladelse fra de kompetente myndigheder på Ålandsøerne.
Eksisterende foranstaltninger:
FI: Ahvenanmaan maanhankintalaki (lov om erhvervelse af jord på Ålandsøerne) (3/1975), s. 2, og Ahvenanmaan itsehallintolaki (lov om Ålandsøernes autonomi) (1144/1991), s. 11.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, præstationskrav, øverste ledelse og bestyrelse, lovgivningsmæssige rammer for juridiske tjenesteydelser – forpligtelser:
I FR: I henhold til artikel L151-1 og 151-1 og følgende i loven om monetære og finansielle forhold, skal udenlandske investeringer i Frankrig i sektorer, der er opført på listen i artikel R.151-3 i loven om monetære og finansielle forhold, forhåndsgodkendes af økonomiministeren.
Eksisterende foranstaltninger:
FR: Som anført ovenfor under elementet "beskrivelse".
Hvad angår liberalisering af investeringer – national behandling, øverste ledelse og bestyrelse:
I FR: Begrænsning af udenlandsk deltagelse i nyligt privatiserede virksomheder til en varierende del, der fastsættes af den franske regering fra sag til sag, af den aktiekapital, der udbydes til offentligheden. For etablering af visse former for handels-, industri- og håndværksvirksomhed kræves der en særlig tilladelse, hvis den administrerende direktør ikke har fast opholdstilladelse.
Hvad angår liberalisering af investeringer – markedsadgang og lovgivningsmæssige rammer for juridiske tjenesteydelser – forpligtelser:
I HU: Etablering bør antage form af selskab med begrænset ansvar, aktieselskab eller repræsentationskontor. Start som filial er ikke tilladt, undtagen for finansielle tjenesteydelser.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I BG: Visse former for erhvervsvirksomhed i forbindelse med udnyttelse eller anvendelse af statslig eller offentlig ejendom kan udøves på grundlag af koncessioner, som indrømmes i henhold til loven om koncessioner.
I kommercielle selskaber, i hvilke staten eller en kommune har en selskabsandel på mere end 50 procent, kræves der ved transaktioner i forbindelse med afhændelse af aktiver i selskabet, indgåelse af kontrakter om erhvervelse af kapitalinteresser, leasing, fælles aktiviteter, kredit, sikring af tilgodehavender samt andre forpligtelser ifølge veksler, autorisation eller tilladelse fra den kompetente myndighed, dvs. privatiseringsorganet eller andre statslige eller regionale organer. Dette forbehold finder ikke anvendelse på råstofindvinding, som er underlagt et særskilt forbehold på Unionens liste i denne aftales bilag 19.
I IT: Staten kan udøve visse særlige beføjelser i forbindelse med virksomheder, der opererer inden for forsvar og national sikkerhed, og i forbindelse med visse aktiviteter af strategisk betydning inden for energi, transport og kommunikation. Dette gælder for alle juridiske personer, der udfører aktiviteter, som anses for at være af strategisk betydning inden for forsvar og national sikkerhed, og ikke kun privatiserede virksomheder.
Hvis der er trussel om alvorlig skade for de væsentlige interesser vedrørende forsvar og national sikkerhed, har regeringen følgende særlige beføjelser til:
a)
at indføre særlige betingelser i forbindelse med køb af aktier
b)
at nedlægge veto mod vedtagelsen af resolutioner om særlige operationer såsom overførsler, fusioner, opdelinger og skift af aktivitet eller
c)
at afvise erhvervelsen af aktier, hvis køberen ønsker at opnå en kapitaldeltagelse, som kan formodes at skade interesserne vedrørende forsvar og national sikkerhed.
Den pågældende virksomhed giver premierministerens kontor meddelelse om enhver beslutning, handling eller transaktion (f.eks. overførsler, fusioner, opdelinger, skift af aktivitet eller ophør), som vedrører strategiske aktiver inden for energi, transport og kommunikation. Navnlig skal der gives meddelelse om erhvervelser foretaget af en fysisk eller juridisk person uden for EU, som giver vedkommende kontrol med virksomheden.
Premierministeren kan udøve følgende særlige beføjelser:
a)
nedlæggelse af veto mod enhver beslutning, handling og transaktion, som udgør en særlig fare for alvorlig skade for de offentlige interesser med hensyn til sikkerhed og drift af net og forsyninger
b)
indførelse af særlige betingelser for at sikre de offentlige interesser eller
c)
afvisning af en erhvervelse i ekstraordinære tilfælde, hvor der er risiko for statens væsentlige interesser.
Kriterierne for at vurdere den reelle eller ekstraordinære trussel samt betingelser og procedurer for udøvelsen af de særlige beføjelser er fastsat i lovgivningen.
Eksisterende foranstaltninger:
IT: Lov nr. 56/2012 om særlige beføjelser i virksomheder, der beskæftiger sig med forsvar og national sikkerhed, energi, transport og kommunikation, og
premierministerens dekret DPCM 253 af 30.11.2012, der definerer aktiviteterne af strategisk betydning inden for forsvar og national sikkerhed.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, mestbegunstigelsesbehandling, præstationskrav, øverste ledelse og bestyrelse:
I LT: Virksomheder, sektorer og faciliteter af strategisk betydning for den nationale sikkerhed
Eksisterende foranstaltninger:
LT: Lov om beskyttelse af genstande af betydning for Republikken Litauens nationale sikkerhed af 10. oktober 2002 nr. IX-1132 (senest ændret den 12. januar 2018 ved lov nr. XIII-992).
Hvad angår liberalisering af investeringer – national behandling og øverste ledelse og bestyrelse:
I SE: Diskriminerende krav til grundlæggere, øverste ledelse og bestyrelse, når nye former for juridiske enheder inkorporeres i svensk ret.
b)   Erhvervelse af fast ejendom
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse:
I HU: Erhvervelse af statsejet ejendom.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I HU: Udenlandske juridiske personers og ikkehjemmehørende fysiske personers erhvervelse af landbrugsjord.
Eksisterende foranstaltninger:
HU: Lov CXXII af 2013 om omsætning af landbrugs- og skovbrugsjord (kapitel II (paragraf 6-36) og kapitel IV (paragraf 38-59)) og
lov CCXII af 2013 om overgangsforanstaltninger og visse bestemmelser i forbindelse med lov CXXII af 2013 om omsætning af landbrugs- og skovbrugsjord (kapitel IV (paragraf 8-20)).
I LV: Erhvervelse af landbrugsjord foretaget af statsborgere i Det Forenede Kongerige eller af tredjelandsstatsborgere.
Eksisterende foranstaltninger:
LV: Lov om privatisering af jord i landområder, ff. 28, 29 og 30.
I SK: Udenlandske virksomheder eller fysiske personer må ikke erhverve land- eller skovarealer uden for kommuners bebyggede områder og visse andre arealer (f.eks. naturressourcer, søer, floder, offentlige veje osv.).
Eksisterende foranstaltninger:
SK: Lov nr. 44/1988 om beskyttelse og udnyttelse af naturressourcer
lov nr. 229/1991 om regulering af ejendomsretten til jord eller anden landbrugsejendom
lov nr. 460/1992 Den Slovakiske Republiks forfatning
lov nr. 180/1995 om visse foranstaltninger i forbindelse med ordninger for jordejerskab
lov nr. 202/1995 om valuta
lov nr. 503/2003 om genindførelse af ejendomsretten til jord
lov nr. 326/2005 om skove og
lov nr. 140/2014 om erhvervelse af ejendomsret til landbrugsjord.
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I BG: Udenlandske fysiske og juridiske personer kan ikke erhverve jord. Bulgarske juridiske personer med udenlandsk deltagelse kan ikke erhverve landbrugsjord. Udenlandske juridiske personer og udenlandske fysiske personer med fast bopæl i udlandet kan erhverve bygninger og fast ejendom (brugsret, bygningsret, ret til at opføre overbygninger og servitutter). Udenlandske fysiske personer med fast bopæl i udlandet, udenlandske juridiske personer, i hvilke den udenlandske aktieandel sikrer flertal ved vedtagelse af beslutninger eller blokering af beslutninger, kan erhverve ejendomsret til fast ejendom i specifikke geografiske regioner, som udvælges af ministerrådet med forbehold af tilladelse.
BG: Republikken Bulgariens forfatning, artikel 22, lov om ejendomsret til og anvendelse af landbrugsarealer, artikel 3, og lov om skove, artikel 10.
I EE: Udenlandske fysiske eller juridiske personer, som ikke er fra EØS eller fra medlemmer af Organisationen for Økonomisk Samarbejde og Udvikling, kan kun erhverve fast ejendom, der omfatter landbrugs- og/eller skovarealer, med amtsmandens og kommunalbestyrelsens godkendelse, og de skal kunne bevise således som foreskrevet i lovgivningen, at den faste ejendom vil blive anvendt til sit formål på en effektiv, bæredygtig og hensigtsmæssig måde.
Eksisterende foranstaltninger:
EE: Kinnisasja omandamise kitsendamise seadus (restriktioner på erhvervelse af fast ejendom), kapitel 2 og 3.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I LT: Foranstaltninger, der er i overensstemmelse med de forpligtelser, der er indgået af Den Europæiske Union, og som finder anvendelse i Litauen, i GATS med hensyn til erhvervelse af jord. Procedurerne, vilkårene og betingelserne samt begrænsningerne for køb af jord er fastsat i forfatningen, loven om jord og loven om erhvervelse af landbrugsjord.
Lokale myndigheder (kommuner) og andre nationale enheder i medlemmer af Organisationen for Økonomisk Samarbejde og Udvikling samt Den Nordatlantiske Traktats Organisation med økonomiske aktiviteter i Litauen, der er specificeret i forfatningen i overensstemmelse med kriterierne for EU- eller anden integration, som Litauen har forpligtet sig til, har dog retten til at købe og eje ikkelandbrugsjord, der er nødvendig til opførelse og drift af de bygninger og anlæg, som er nødvendige for deres direkte aktiviteter.
Eksisterende foranstaltninger:
LT: Republikken Litauens forfatning,
Republikken Litauens forfatningsretlige bestemmelser om gennemførelsen af artikel 47, stk. 3, i Republikken Litauens forfatning af 20. juni 1996, nr. I-1392, som senest ændret den 20. marts 2003, nr. IX-1381,
lov om jord af 27. januar 2004, nr. IX-1983, og
lov om erhvervelse af landbrugsjord af 24. april 2014, nr. XII-854.
c)   Anerkendelse
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – national behandling:
I EU: EU-direktiverne om gensidig anerkendelse af eksamensbeviser og andre erhvervsmæssige kvalifikationer finder kun anvendelse på EU-statsborgere. Retten til at levere lovregulerede liberale tjenesteydelser i en medlemsstat medfører ikke samme ret i en anden medlemsstat.
d)   Mestbegunstigelsesbehandling
Hvad angår liberalisering af investeringer – mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – mestbegunstigelsesbehandling og lovgivningsmæssige rammer for juridiske tjenesteydelser – forpligtelser:
EU: Der indrømmes et tredjeland differentieret behandling i henhold til enhver international investerings- eller handelsaftale, der er gældende eller undertegnes før denne aftales ikrafttrædelsesdato.
EU: Der indrømmes et tredjeland differentieret behandling i henhold til en eksisterende eller fremtidig bilateral eller multilateral aftale, som:
i)
skaber et indre marked for tjenesteydelser og investeringer
ii)
giver etableringsret eller
iii)
kræver tilnærmelse af lovgivningen i en eller flere økonomiske sektorer.
Ved et "indre marked for tjenesteydelser og investeringer" forstås et område uden indre grænser og med fri bevægelighed for tjenesteydelser, kapital og personer.
Ved "etableringsret" forstås forpligtelsen til fra og med aftalens ikrafttræden at ophæve alle hindringer for etablering mellem parterne i den bilaterale eller multilaterale aftale. Etableringsretten giver statsborgere i parterne i den bilaterale eller multilaterale aftale ret til at oprette og drive virksomheder på de betingelser, der i henhold til lovgivningen gælder for partens egne statsborgere.
Ved "tilnærmelse af lovgivningen" forstås:
i)
tilpasning af lovgivningen i en eller flere af parterne i den bilaterale eller multilaterale aftale til lovgivningen i en anden eller flere andre parter i aftalen eller
ii)
inkorporering af fælles bestemmelser i lovgivningen hos parterne i den bilaterale eller multilaterale aftale.
En sådan tilpasning eller inkorporering skal finde sted og anses først for at træde i kraft fra det tidspunkt, hvor den er blevet indført i lovgivningen i parten eller parterne i den bilaterale eller multilaterale aftale.
Eksisterende foranstaltninger:
EU: Aftale om Det Europæiske Økonomiske Samarbejdsområde,
Stabiliseringsaftaler,
Bilaterale aftaler mellem EU og Schweiz og
Vidtgående og brede frihandelsaftaler.
EU: Der indrømmes differentieret behandling vedrørende etableringsret til statsborgere eller virksomheder gennem eksisterende eller fremtidige bilaterale aftaler mellem følgende medlemsstater: BE, DE, DK, EL, ES, FR, IE, IT, LU, NL, PT og følgende lande eller fyrstendømmer: Andorra, Monaco, San Marino og Vatikanstaten.
I DK, FI, SE: Foranstaltninger truffet af Danmark, Sverige og Finland med henblik på nordisk samarbejde, herunder:
a)
finansiel støtte til forsknings- og udviklingsprojekter (FoU-projekter) (Nordisk Industrifond),
b)
støtte til gennemførlighedsundersøgelser vedrørende internationale projekter (Nordisk Eksportprojektfond) og
c)
finansiel støtte til virksomheder, der anvender miljøteknologi (Nordisk Miljøfinansieringsbureau). Nordisk miljøfinansieringsbureau (NEFCO) skal fremme investeringer af nordisk miljømæssig interesse med fokus på Østeuropa.
Dette forbehold berører ikke udelukkelsen af en parts offentlige udbud eller subsidier i denne aftales artikel 123, stk. 6 og 7.
I PL: Anvendelsesområdet for gunstige betingelser for etablering eller grænseoverskridende levering af tjenesteydelser, som kan omfatte afskaffelse eller ændring af visse restriktioner, der findes på den liste over forbehold, der gælder i Polen, kan udvides gennem handels- og skibsfartsaftaler.
I PT: Undtagelser fra krav om statsborgerskab for udøvelse af visse aktiviteter og erhverv for fysiske personer, der leverer tjenesteydelser til lande, hvor portugisisk er det officielle sprog (Angola, Brasilien, Kap Verde, Guinea-Bissau, Ækvatorialguinea, Mozambique, São Tomé og Principe og Østtimor).
e)   Våben, ammunition og krigsmateriel
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, mestbegunstigelsesbehandling, øverste ledelse og bestyrelse, præstationskrav og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, mestbegunstigelsesbehandling, lokal tilstedeværelse:
I EU: Produktion og distribution af, eller handel med, våben, ammunition og krigsmateriel. Krigsmateriel er begrænset til produkter, som udelukkende er bestemt og fremstillet til militær brug i forbindelse med krigsførelse eller forsvar.
Forbehold nr. 2 – Liberale tjenesteydelser – undtagen sundhedsrelaterede erhverv
Sektor:
Liberale tjenesteydelser – juridiske tjenesteydelser: notarers og stævningsmænds tjenesteydelser, regnskabsvæsens- og bogholderivirksomhed, revisionsvirksomhed, skatterådgivning; arkitekt- og byplanlægningstjenesteydelser, ingeniørtjenesteydelser og integrerede ingeniørtjenesteydelser
Brancheklassifikation:
Del af CPC 861, del af 87902, 862, 863, 8671, 8672, 8673, 8674, del af 879
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Øverste ledelse og bestyrelser
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Juridiske tjenesteydelser
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
EU, med undtagelse af SE: Juridisk rådgivning, lovbestemte tilladelser og juridisk dokumentation og certificering, der udøves af selvstændige inden for de juridiske erhverv, der er betroet et offentligt embede, herunder notarer, fogeder ("huissiers de justice") eller andre myndighedspersoner ("officiers publics et ministériels"), og for så vidt angår tjenesteydelser, som leveres af stævningsmænd, der er udnævnt af en offentlig myndighed (del af CPC 861, del af 87902).
Hvad angår liberalisering af investeringer – mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – mestbegunstigelsesbehandling:
I BG: Den fulde nationale behandling, der gælder for etablering og drift af virksomheder samt levering af tjenesteydelser, kan kun udvides til også at gælde virksomheder etableret i og statsborgere fra de lande, med hvem der er indgået eller vil blive indgået præferenceordninger (del af CPC 861).
I LT: Udenlandske advokater har kun møderet i henhold til internationale aftaler (del af CPC 861), herunder særlige bestemmelser om møderet ved domstolene.
b)   Regnskabsvæsens- og bogholderitjenesteydelser (CPC 8621 undtagen revisionstjenesteydelser, 86213, 86219, 86220)
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang:
I HU: Grænseoverskridende regnskabsvæsens- og bogholderitjenesteydelser
Eksisterende foranstaltninger:
HU: Lov C af 2000 og lov LXXV af 2007.
c)   Revisionstjenesteydelser (CPC – 86211, 86212 undtagen regnskabsvæsen og bogholderivirksomhed)
Hvad angår grænseoverskridende handel med tjenesteydelser – national behandling:
I BG: En uafhængig finansiel revision gennemføres af registrerede revisorer, som er medlemmer af sammenslutningen af statsautoriserede revisorer. Under forudsætning af gensidighed registrerer sammenslutningen af statsautoriserede revisorer et revisionsfirma fra Det Forenede Kongerige eller et tredjeland, hvis der forelægges bevis for, at:
a)
tre fjerdedele af medlemmerne af ledelsesorganerne og de registrerede revisorer, der udfører revision på vegne af virksomheden, opfylder kriterier svarende til dem, der gælder for bulgarske revisorer, og har bestået de relevante prøver
b)
revisionsfirmaet udfører uafhængig finansiel revision i overensstemmelse med kravene til uafhængighed og objektivitet, og
c)
revisionsfirmaet på sit websted offentliggør en årlig beretning om gennemsigtighed eller opfylder andre tilsvarende krav om oplysning, hvis det reviderer virksomheder af interesse for offentligheden.
Eksisterende foranstaltninger:
BG: lov om uafhængig finansiel revision.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse:
I CZ: Kun en juridisk person, hvor mindst 60 procent af kapitalen eller stemmerettighederne er forbeholdt statsborgere i Den Tjekkiske Republik eller i EU's medlemsstater, har tilladelse til at udføre revisioner i Den Tjekkiske Republik.
Eksisterende foranstaltninger:
CZ: Lov af 14. april 2009 nr. 93/2009 sml. om revisorer.
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang:
I HU: Grænseoverskridende levering af revisionstjenesteydelser.
Eksisterende foranstaltninger:
HU: Lov C af 2000 og lov LXXV af 2007.
I PT: Grænseoverskridende levering af revisionstjenesteydelser.
d)   Arkitekt- og byplanlægningstjenesteydelser (CPC 8674)
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I HR: Grænseoverskridende levering af byplanlægningstjenesteydelser
Forbehold nr. 3 – Liberale tjenesteydelser – sundhedsrelaterede erhverv og detailhandel med farmaceutiske produkter
Sektor:
Sundhedsrelaterede ydelser og detailhandel med farmaceutiske produkter og medicinske og ortopædiske artikler, andre tjenesteydelser leveret af farmaceuter
Brancheklassifikation:
CPC 63211, 85201, 9312, 9319, 93121
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelser
Præstationskrav
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Læge- og tandlægevirksomhed, jordemodertjenesteydelser, tjenesteydelser leveret af sygeplejersker, fysioterapeuter, psykologer og paramedicinsk personale (CPC 63211, 85201, 9312, 9319, CPC 932)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang og national behandling:
I FI: Levering af alle sundhedsrelaterede ydelser, uanset om de er offentligt eller privat finansierede, herunder ydelser leveret af læger, tandlæger, jordemødre, fysioterapeuter, paramedicinsk personale og psykologer, undtagen ydelser leveret af sygeplejersker (CPC 9312, 93191).
Eksisterende foranstaltninger:
FI: Laki yksityisestä terveydenhuollosta (lov om privat sundhedspleje) (152/1990).
I BG: Levering af alle sundhedsrelaterede ydelser, uanset om de er offentligt eller privat finansierede, herunder ydelser leveret af læger, tandlæger, sygeplejersker, jordemødre, fysioterapeuter, paramedicinsk personale og psykologer (CPC 9312, del af 9319).
Eksisterende foranstaltninger:
BG: Lov om lægers etableringsret, foreninger for sygeplejersker, jordemødre og speciallæger.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang og national behandling:
I CZ, MT: Levering af alle sundhedsrelaterede ydelser, uanset om de er offentligt eller privat finansierede, herunder ydelser leveret af fagfolk såsom læger, tandlæger, jordemødre, sygeplejersker, fysioterapeuter, paramedicinsk personale og psykologer samt andre tilknyttede ydelser (CPC 9312, del af 9319).
Eksisterende foranstaltninger:
CZ: Lov nr. 296/2008 sml. om sikring af kvaliteten og sikkerheden ved humane væv og
celler bestemt til anvendelse i mennesker ("lov om humane væv og celler"),
lov nr. 378/2007 sml. om farmaceutiske produkter og om ændring af en række relaterede retsakter (lov om farmaceutiske produkter),
lov nr. 268/2014 sml. om medicinsk udstyr og om ændring af lov nr. 634/2004 sml. om administrative gebyrer med senere ændringer,
lov nr. 285/2002 sml. om donation, udtagning og transplantation af væv og organer og om ændring af visse love (transplantationsloven),
lov nr. 372/2011 sml. om sundhedstjenesteydelser og vilkårene for levering heraf,
lov nr. 373/2011, sml. om kontoret for statsejet jord.
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
EU, med undtagelse af NL og SE: Der er bopælskrav for levering af alle sundhedsrelaterede ydelser, uanset om de er offentligt eller privat finansierede, herunder ydelser leveret af fagfolk såsom læger, tandlæger, jordemødre, sygeplejersker, fysioterapeuter, paramedicinsk personale og psykologer. Disse tjenesteydelser kan kun leveres af fysiske personer, der er fysisk til stede på EU's område (CPC 9312, del af 93191).
I BE: Grænseoverskridende levering af sundhedsrelaterede ydelser, uanset om de er offentligt eller privat finansierede, herunder ydelser leveret af læger, tandlæger, jordemødre, sygeplejersker, fysioterapeuter, psykologer og paramedicinsk personale (del af CPC 85201, del af 9312, del af 93191).
I PT: (også med hensyn til mestbegunstigelsesbehandling) Med hensyn til fysioterapeuter, paramedicinsk personale og fodterapeuter kan udenlandske fagpersoner opnå tilladelse til at udøve erhvervet på grundlag af gensidighed.
b)   Dyrlægevirksomhed (CPC 932)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – national behandling, lokal tilstedeværelse:
I BG: En dyrlægepraksis kan oprettes af en fysisk eller en juridisk person.
Udøvelse af dyrlægegerning er kun tilladt for statsborgere i en EØS-medlemsstat og for personer med fast bopæl (fysisk tilstedeværelse kræves for personer med fast bopæl).
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I BE, LV: Grænseoverskridende levering af veterinærtjenesteydelser.
c)   Detailhandel med farmaceutiske produkter og medicinske og ortopædiske artikler, andre tjenesteydelser leveret af farmaceuter (CPC 63211)
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
EU med undtagelse af EL, IE, LU, LT og NL: Begrænsning af antallet af leverandører, der har ret til at levere en bestemt tjenesteydelse i en bestemt lokal zone eller et bestemt lokalt område på et ikkediskriminerende grundlag. En økonomisk behovsprøve kan derfor anvendes, idet der tages hensyn til faktorer som f.eks. de eksisterende operatørers antal og virkningen for disse, transportinfrastrukturen, befolkningstætheden eller den geografiske spredning.
EU med undtagelse af BE, BG, EE, ES, IE and IT: Postordresalg er kun muligt fra EØS-medlemsstaterne, og etablering i et af disse lande er således nødvendig for detailhandel med farmaceutiske produkter og specifikke medicinske artikler til offentligheden i Unionen.
I CZ: Detailhandel er kun mulig fra medlemsstaterne.
I BE: Detailhandel med farmaceutiske produkter og specifikke medicinske artikler er kun mulig fra et apotek etableret i Belgien.
I BG, EE, ES, IT og LT: Grænseoverskridende detailhandel med farmaceutiske produkter.
I IE og LT: Grænseoverskridende detailhandel med receptpligtige farmaceutiske produkter.
I PL: Formidlere inden for handel med lægemidler skal være registreret og have bopæl eller vedtægtsmæssigt hjemsted på Republikken Polens område.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse, præstationskrav og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I FI: Detailhandel med farmaceutiske produkter og medicinske og ortopædiske artikler.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I SE: Detailhandel med farmaceutiske produkter og levering af farmaceutiske produkter til offentligheden.
Eksisterende foranstaltninger:
AT: Arzneimittelgesetz (lov om lægemidler), BGBl. nr. 185/1983 som ændret, §§ 57, 59, 59a, og
Medizinproduktegesetz (lov om medicinske produkter), BGBl. nr. 657/1996 som ændret, § 99.
BE: Arrêté royal du 21 janvier 2009 portant instructions pour les pharmaciens og Arrêté royal du 10 novembre 1967 relatif à l'exercice des professions des soins de santé.
CZ: Lov nr. 378/2007, sml. om farmaceutiske produkter som ændret og lov nr. 372/2011, sml. om sundhedstjenesteydelser som ændret.
FI: Lääkelaki (lov om lægemidler) (395/1987).
PL: Lægemiddelloven, artikel 73a (statstidende 2020, punkt 944, 1493).
SE: Lov om handel med farmaceutiske produkter (2009:336),
forordning om handel med farmaceutiske produkter (2009:659) og
det svenske lægemiddelagentur har vedtaget yderligere bestemmelser, jf. (LVFS 2009:9).
Forbehold nr. 4 – Forretningstjenesteydelser – forsknings- og udviklingsvirksomhed
Sektor:
Tjenesteydelser vedrørende forskning og udvikling
Brancheklassifikation:
CPC 851, 852, 853
Forbeholdstype:
Markedsadgang
National behandling
Kapitel:
Grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
I RO: Grænseoverskridende udøvelse af forsknings- og udviklingsvirksomhed.
Eksisterende foranstaltninger:
RO: Regeringsbekendtgørelse nr. 6/2011,
bekendtgørelse fra ministeren for undervisning og forskning nr. 3548/2006 og regeringsbekendtgørelse nr. 134/2011.
Forbehold nr. 5 – Forretningstjenesteydelser – tjenesteydelser i forbindelse med fast ejendom
Sektor:
Tjenesteydelser i forbindelse med fast ejendom
Brancheklassifikation:
CPC 821, 822
Forbeholdstype:
Markedsadgang
National behandling
Kapitel:
Grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
I CZ og HU: Grænseoverskridende levering af tjenesteydelser i forbindelse med fast ejendom.
Forbehold nr. 6 – Forretningstjenesteydelser – udlejning eller leasing
Sektor:
Udlejning eller leasing uden personale
Brancheklassifikation:
CPC 832
Forbeholdstype:
Markedsadgang
National behandling
Kapitel:
Grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
I BE og FR: Grænseoverskridende leasing eller udlejning uden betjeningspersonale vedrørende personlige ejendele og husholdningsartikler.
Forbehold nr. 7 – Forretningstjenesteydelser – inkassovirksomhed og kreditoplysningsvirksomhed
Sektor:
Inkassovirksomhed, kreditoplysningsvirksomhed
Brancheklassifikation:
CPC 87901, 87902
Forbeholdstype:
Markedsadgang
National behandling
Lokal tilstedeværelse
Kapitel:
Grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
EU, med undtagelse af ES, LV og SE, vedrørende inkassovirksomhed og kreditoplysningsvirksomhed.
Forbehold nr. 8 – Forretningstjenesteydelser – arbejdsformidling
Sektor – delsektor:
Forretningstjenesteydelser – arbejdsformidling
Brancheklassifikation:
CPC 87201, 87202, 87203, 87204, 87205, 87206, 87209
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelse
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I EU, med undtagelse af HU og SE: Anvisning af hushjælpspersonale, andre arbejdstagere til erhverv og industri, plejepersonale og andet personale (CPC 87204, 87205, 87206, 87209)
I BG, CY, CZ, DE, EE, FI, MT, LT, LV, PL, PT, RO, SI og SK: Rekruttering af ledende personale (CPC 87201).
I AT, BG, CY, CZ, EE, FI, LT, LV MT, PL, PT, RO, SI og SK: Etablering af virksomheder, der tilbyder rekruttering af kontorpersonale og andre arbejdstagere (CPC 87202).
I AT, BG, CY, CZ, DE, EE, FI, MT, LT, LV, PL, PT, RO, SI og SK: Kontorvikarvirksomhed (CPC 87203).
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I EU, med undtagelse af BE, HU og SE: Grænseoverskridende rekruttering af kontorpersonale og andre arbejdstagere (CPC 87202).
I IE: Grænseoverskridende rekruttering af ledende personale (CPC 87201).
I FR, IE, IT og NL: Grænseoverskridende kontorvikarvirksomhed (CPC 87203).
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang:
I DE: Ret til at begrænse antallet af udbydere af arbejdsformidling.
I ES: Ret til at begrænse antallet af virksomheder, der tilbyder rekruttering af ledende personale og arbejdsformidling (CPC 87201, 87202).
I FR: Disse tjenesteydelser kan være underlagt et statsmonopol (CPC 87202).
I IT: Ret til at begrænse antallet af virksomheder, der er aktive inden for kontorvikarvirksomhed (CPC 87203).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I DE: Forbundsministeriet for Arbejds- og Socialspørgsmål må udstede en forskrift vedrørende placering og rekruttering af ikke-EU- og ikke-EØS-personale med henblik på bestemte erhverv (CPC 87201, 87202, 87203, 87204, 87205, 87206, 87209).
Eksisterende foranstaltninger:
AT: §§97 og 135 i den østrigske handelslov (Gewerbeordnung), forbundslovtidende nr. 194/1994, som ændret, og
lov om midlertidig beskæftigelse (Arbeitskräfteüberlassungsgesetz/AÜG), forbundslovtidende nr. 196/1988 som ændret.
BG: Lov om fremme af beskæftigelsen, artikel 26, 27, 27a og 28.
CY: Lov om private arbejdsformidlinger N. 126(I)/2012 som ændret.
CZ: Lov om beskæftigelse (435/2004).
DE: Gesetz zur Regelung der Arbeitnehmerüberlassung (AÜG),
Sozialgesetzbuch Drittes Buch (SGB III; Socialloven, tredje bog) - beskæftigelsesfremme,
Verordnung über die Beschäftigung von Ausländerinnen und Ausländern (BeschV; bekendtgørelse om beskæftigelse af udlændinge).
DK: §§ 8a-8f i lovbekendtgørelse nr. 73 af 17. januar 2014 og præciseret i bekendtgørelse nr. 228 af 7. marts 2013 (ansættelse af søfarende) og lov om arbejdstilladelse 2006, S1(2) og (3).
EL: Lov 4052/2012 (statstidende 41 Α) som ændret ved lov Ν.4093/2012 (statstidende 222 Α).
ES: Real Decreto-ley 8/2014, de 4 de julio, de aprobación de medidas urgentes para el crecimiento, la competitividad y la eficiencia, artículo 117 (tramitado como Ley 18/2014, de 15 de octubre).
FI: Laki julkisesta työvoima-ja yrityspalvelusta (lov om offentlig ansættelse og virksomhedstjenester) (916/2012).
HR: Arbejdsmarkedslov (OG 118/18, 32/20),
arbejdslov (OG 93/14, 127/17, 98/19),
lov om arbejde for udlændinge (OG 130/11m 74/13, 67/17, 46/18, 53/20).
IE: Lov om arbejdstilladelse 2006, S1(2) og (3).
IT: Lovdekret 276/2003, artikel 4, 5.
LT: Republikken Litauens arbejdsmarkedslov vedtaget ved lov nr. XII-2603 af 14. september 2016,
Republikken Litauens lov nr. IX-2206 om udlændinges retsstilling af 29. april 2004, senest ændret den 3. december 2019 ved nr. XIII-2582.
LU: Loi du 18 janvier 2012 portant création de l'Agence pour le développement de l'emploi (lov af 18. januar 2012 om oprettelse af et arbejdsformidlingskontor – ADEM).
MT: Lov om arbejdsformidlings- og erhvervsuddannelsestjenester, (kapitel 343) (artikel 23-25) og forordninger om arbejdsformidlingskontorer (S.L. 343.24).
PL: Artikel 18 i lov af 20. april 2004 om fremme af beskæftigelsen og om arbejdsmarkedets institutioner (Dz. U. af 2015, position 149, som ændret).
PT: Lovdekret nr. 260/2009 af 25. september, som ændret ved lov nr. 5/2014 af 12. februar (adgang til og levering af arbejdsformidlingskontorers tjenesteydelser).
RO: Lov nr. 156/2000 om beskyttelse af rumænske statsborgere, der arbejder i udlandet, genudgivet, og regeringsbeslutning nr. 384/2001 om godkendelse af de metodologiske standarder med henblik på anvendelse af lov nr. 156/2000, med senere ændringer,
regeringsbekendtgørelse nr. 277/2002 som ændret ved regeringsbekendtgørelse nr. 790/2004 og regeringsbekendtgørelse nr. 1122/2010 og
lov nr. 53/2003 - arbejdsmarkedslov, genudgivet, med senere ændringer og supplement og regeringsbeslutning nr. 1256/2011 om driftsbetingelser og godkendelsesprocedure for vikarbureauer.
SI: Arbejdsmarkedslov (statstidende – RS, nr. 80/2010, 21/2013, 63/2013, 55/2017) og lov om ansættelse af samt selvstændig virksomhed og arbejde for udlændinge – ZZSDT (statstidende – RS, nr. 47/2015), ZZSDT– UPB2 (statstidende for RS, nr. 1/2018).
SK: Lov nr. 5/2004 om arbejdsformidling og lov nr. 455/1991 om næringsbreve.
Forbehold nr. 9 – Forretningstjenesteydelser – vagt- og sikkerhedstjenesteydelser og detektivtjenesteydelser
Sektor – delsektor:
Forretningstjenesteydelser – vagt- og sikkerhedstjenesteydelser og detektivtjenesteydelser
Brancheklassifikation:
CPC 87301, 87302, 87303, 87304, 87305 og 87309
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelse
Præstationskrav
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Sikkerhedstjenesteydelser (CPC 87302, 87303, 87304, 87305, 87309)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse, præstationskrav og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I BG, CY, CZ, EE, ES, LT, LV, MT, PL, RO, SI og SK: Levering af sikkerhedstjenesteydelser.
I DK, HR og HU: Levering af følgende delsektorer: vagttjenesteydelser (87305) i HR og HU, tjenesteydelser leveret af sikkerhedskonsulenter (87302) i HR, sikkerhedskontrolvirksomhed i lufthavne (del af 87305) i DK og sikkerhedstransport (87304) i HU.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – national behandling, lokal tilstedeværelse:
I BE: Krav om statsborgerskab i en medlemsstat for bestyrelse i virksomheder juridiske personer, der leverer vagt- og sikkerhedstjenester (87305) samt rådgivning og uddannelse inden for vagt- og sikkerhedsvirksomhed (87302). Den øverste ledelse i virksomheder, der tilbyder vagt- og sikkerhedskonsulentvirksomhed, skal være statsborgere i en medlemsstat.
I FI: Licenser til at levere vagt- og sikkerhedsvirksomhed kan kun gives til fysiske personer med bopæl i EØS eller juridiske personer, der er etableret i EØS.
I ES: Grænseoverskridende levering af vagt- og sikkerhedstjenester. Der er krav om statsborgerskab for private sikkerhedsfolk.
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I BE, FI, FR og PT: Det er ikke tilladt for udenlandske leverandører at levere vagt- og sikkerhedsvirksomhed på tværs af grænserne. Der er statsborgerskabskrav for specialiseret personale i PT og for administrerende direktører og direktører i FR.
Eksisterende foranstaltninger:
BE: Loi réglementant la sécurité privée et particulière, 2 Octobre 2017.
BG: Lov om privat vagt- og sikkerhedsvirksomhed.
CZ: Lov om næringsbeviser.
DK: Lov om luftfartssikkerhed.
FI: Laki yksityisistä turvallisuuspalveluista 282/2002 (lov om privat vagt- og sikkerhedsvirksomhed).
LT: Lov om sikring af personer og aktiver af 8. juli 2004 nr. IX-2327.
LV: Lov om vagtvirksomhed (afdeling 6, 7, 14).
PL: Lov af 22. august 1997 om beskyttelse af personer og ejendom (lovtidende fra 2016, punkt 1432 som ændret).
PT: Law 34/2013 alterada p/ Lei 46/2019, 16 maio, og Ordinance 273/2013 alterada p/ Portaria 106/2015, 13 abril.
SI: Zakon o zasebnem varovanju (lov om privat vagtvirksomhed).
b)   Detektivvirksomhed (CPC 87301)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse, præstationskrav og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
EU med undtagelse af AT og SE: Levering af detektivtjenesteydelser.
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang:
I LT og PT: Detektivtjenesteydelser er et monopol, der er forbeholdt staten.
Forbehold nr. 10 – Forretningstjenesteydelser – andre forretningstjenesteydelser
Sektor – delsektor:
Forretningstjenesteydelser – andre forretningstjenesteydelser (tolkning og oversættelse, kopieringsvirksomhed, tjenesteydelser i tilknytning til energidistribution og tjenesteydelser i tilknytning til fremstillingsvirksomhed)
Brancheklassifikation:
CPC 87905, 87904, 884 og 887
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Øverste ledelse og bestyrelser
Præstationskrav
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Oversættelse og tolkning (CPC 87905)
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I HR: Grænseoverskridende levering af tolkning og oversættelse af officielle dokumenter.
b)   Kopieringsvirksomhed (CPC 87904)
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I HU: Grænseoverskridende levering af kopieringstjenesteydelser.
c)   Tjenesteydelser i tilknytning til energidistribution og tjenesteydelser i tilknytning til fremstillingsvirksomhed (del af CPC 884, 887 med undtagelse af rådgivning og konsulentvirksomhed)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I HU: Tjenesteydelser i tilknytning til energidistribution og grænseoverskridende levering af tjenesteydelser i tilknytning til fremstillingsvirksomhed med undtagelse af rådgivning og konsulentvirksomhed i forbindelse med disse sektorer.
d)   Vedligeholdelse og reparation af fartøjer, jernbanetransportudstyr og luftfartøjer samt dele dertil (del af CPC 86764, CPC 86769, CPC 8868)
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I EU, med undtagelse af DE, EE og HU: Grænseoverskridende levering af tjenesteydelser vedrørende vedligeholdelse og reparation af jernbanetransportudstyr.
I EU, med undtagelse af CZ, EE, HU, LU og SK: Grænseoverskridende levering af tjenesteydelser vedrørende vedligeholdelse og reparation af fartøjer til transport ad indre vandveje.
I EU, med undtagelse af EE, HU og LV: Grænseoverskridende levering af tjenesteydelser vedrørende vedligeholdelse og reparation af maritime fartøjer.
I EU, med undtagelse af AT, EE, HU, LV og PL: Grænseoverskridende levering af tjenesteydelser vedrørende vedligeholdelse og reparation af luftfartøjer samt dele dertil (del af CPC 86764, CPC 86769, CPC 8868).
I EU: Grænseoverskridende levering af tjenesteydelser vedrørende lovbestemt inspektion og certificering af skibe.
Eksisterende foranstaltninger:
EU: Europa-Parlamentets og Rådets forordning (EF) nr. 391/2009 
(
1
)
.
e)   Andre forretningstjenesteydelser i tilknytning til luftfart
Hvad angår liberalisering af investeringer – mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – mestbegunstigelsesbehandling:
EU: Der indrømmes differentieret behandling til et tredjeland i henhold til gældende eller fremtidige bilaterale aftaler vedrørende følgende tjenesteydelser:
a)
salg og markedsføring af lufttransporttjenesteydelser
b)
tjenesteydelser i forbindelse med IT-reservationssystemer (CRS)
c)
vedligeholdelse og reparation af luftfartøjer og dele dertil
d)
udlejning eller leasing af luftfartøjer uden besætning.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, præstationskrav, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I DE, FR: Brandbekæmpelse fra luften, flyvetræning, sprøjtning, landmåling, kortlægning, fotografering og andre luftbårne landbrugs-, industri- og tilsynstjenester.
I FI, SE: Brandbekæmpelse fra luften.
Forbehold nr. 11 – Telekommunikation
Sektor:
Satellittransmissionsvirksomhed
Brancheklassifikation:
Forbeholdstype:
Markedsadgang
National behandling
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
I BE: Satellittransmissionsvirksomhed.
Forbehold nr. 12 – Bygge- og anlægsvirksomhed
Sektor:
Bygge- og anlægstjenesteydelser
Brancheklassifikation:
CPC 51
Forbeholdstype:
Markedsadgang
National behandling
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
I LT: Retten til at udarbejde teknisk dokumentation for bygge- og anlægsarbejder af særlig betydning er forbeholdt arkitektvirksomheder, der er registreret i Litauen, eller udenlandske arkitektvirksomheder, som er blevet godkendt af en institution, som af regeringen er godkendt til disse aktiviteter. Retten til at udføre tekniske aktiviteter på de vigtigste områder inden for bygge- og anlægsvirksomhed kan gives til ikkelitauiske personer, der er blevet godkendt af en institution, som er bemyndiget af regeringen i Litauen.
Forbehold nr. 13 – Distributionstjenesteydelser
Sektor:
Distributionstjenesteydelser
Brancheklassifikation:
CPC 62117, 62251, 8929, del af 62112, 62226, del af 631
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelse
Præstationskrav
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Distribution af farmaceutiske produkter
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I BG: Grænseoverskridende engrosdistribution af farmaceutiske produkter (CPC 62251).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, præstationskrav, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I FI: Distribution af farmaceutiske produkter (CPC 62117, 62251, 8929).
Eksisterende foranstaltninger:
BG: Lov om lægemidler i humanmedicin, lov om medicinsk udstyr.
FI: Lääkelaki (lov om lægemidler) (395/1987).
b)   Distribution af alkoholiske drikkevarer
I FI: Distribution af alkoholiske drikkevarer (del af CPC 62112, 62226, 63107, 8929).
Eksisterende foranstaltninger:
FI: Alkoholilaki (lov om alkohol) (1102/2017).
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang:
I SE: Regeringsmonopol på salg af spiritus, vin og øl (bortset fra alkoholfrie øl). På nuværende tidspunkt har Systembolaget AB et sådant regeringsmonopol på salg af spiritus, vin og øl (bortset fra alkoholfrie øl). Alkoholholdige drikkevarer er drikkevarer med en alkoholprocent på over 2,25. For øl er grænsen for alkoholprocenten på over 3,5 (del af CPC 631).
Eksisterende foranstaltninger:
SE: Alkoholloven (2010:1622).
c)   Anden distribution (del af CPC 621, CPC 62228, CPC 62251, CPC 62271, del af CPC 62272, CPC 62276, CPC 63108, del af CPC 6329)
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I BG: Engrosdistribution af kemiske produkter, ædle metaller og sten, lægemidler og produkter og genstande til medicinsk brug, tobak og tobaksvarer samt alkoholiske drikkevarer.
Bulgarien forbeholder sig retten til at indføre eller opretholde foranstaltninger vedrørende tjenesteydelser leveret af varemæglere.
Eksisterende foranstaltninger:
I BG: Lov om lægemidler i humanmedicin,
lov om medicinsk udstyr,
lov om dyrlægegerning,
lov om forbud mod kemiske våben og kontrol med giftige kemiske stoffer og deres prækursorer,
lov om tobak og tobaksvarer, lov om punktafgifter og afgiftsoplag og lov om vin og spiritus.
Forbehold nr. 14 – Undervisning
Sektor:
Undervisning
Brancheklassifikation:
CPC 92
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelse
Præstationskrav
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, præstationskrav, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
EU: Undervisning, der modtager offentlig støtte eller statsstøtte i en hvilken som helst form. Når det er tilladt for udenlandske tjenesteydere at levere privatfinansieret undervisning, kan private operatørers deltagelse i uddannelsessystemet være underlagt en koncession, som tildeles på et ikkediskriminerende grundlag.
EU med undtagelse af CZ, NL, SE og SK: Vedrørende levering af anden privatfinansieret uddannelse, dvs. uddannelse, der ikke klassificeres som primærundervisning, sekundærundervisning, videregående uddannelse og voksenundervisning (CPC 929).
I CY, FI, MT og RO: Levering af privatfinansieret primær-, sekundær- og voksenundervisning (CPC 921, 922, 924).
I AT, BG, CY, FI, MT og RO: Levering af privatfinansieret videregående uddannelse (CPC 923).
I CZ og SK: Flertallet af medlemmerne af bestyrelsen for en institution, der tilbyder privatfinansieret undervisning, skal være statsborgere i dette land (CPC 921, 922, 923 for SK undtagen 92310, 924).
I SI: Privatfinansierede grundskoler må kun oprettes af slovenske fysiske og juridiske personer. Tjenesteyderen skal etablere et registreret kontor eller en filial. Flertallet af medlemmerne af bestyrelsen for en institution, der tilbyder privatfinansieret sekundærundervisning eller privatfinansierede videregående uddannelser skal være slovenske statsborgere (CPC 922, 923).
I SE: Leverandører af undervisningstjenesteydelser, der er godkendt af de offentlige myndigheder til at levere undervisning. Dette forbehold gælder for privatfinansierede leverandører af undervisningstjenesteydelser med en form for statsstøtte, bl.a. leverandører af undervisningstjenesteydelser, som er godkendt af staten, leverandører af undervisningstjenesteydelser, som er under statens tilsyn, eller undervisning, der giver ret til uddannelsesstøtte (CPC 92).
I SK: Der er krav om bopæl i EØS for udbydere af al privatfinansieret undervisning, undtagen teknisk og erhvervsfaglig videregående uddannelse. Der kan evt. anvendes en økonomisk behovsprøve, og antallet af skoler, der oprettes, kan begrænses af de lokale myndigheder (CPC 921, 922, 923 undtagen 92310, 924).
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I BG, IT og SI: Ret til at begrænse grænseoverskridende levering af privatfinansieret primærundervisning (CPC 921).
I BG og IT: Ret til at begrænse grænseoverskridende levering af privatfinansieret sekundærundervisning (CPC 922).
I AT: Ret til at begrænse grænseoverskridende levering af privatfinansieret voksenundervisning ved hjælp af radio- eller TV-spredning (CPC 924).
Eksisterende foranstaltninger:
BG: Lov om offentlig uddannelse, artikel 12,
lov om videregående uddannelse, afsnit 4 i de supplerende bestemmelser, og lov om erhvervsuddannelse, artikel 22.
FI: Perusopetuslaki (lov om grunduddannelse) (628/1998),
Lukiolaki (lov om almene gymnasier) (629/1998),
Laki ammatillisesta koulutuksesta (lov om erhvervsuddannelse) (630/1998),
Laki ammatillisesta aikuiskoulutuksesta (lov om voksenerhvervsuddannelse) (631/1998),
Ammattikorkeakoululaki (lov om polytekniske læreanstalter) (351/2003) og Yliopistolaki (lov om universiteter) (558/2009).
IT: Kongeligt dekret 1592/1933 (lov om sekundærundervisning),
lov 243/1991 (lejlighedsvise offentlige tilskud til private universiteter),
resolution 20/2003 fra CNVSU (Comitato nazionale per la valutazione del sistema universitario) og
dekret fra republikkens præsident (DPR) 25/1998.
SK: lov 245/2008 om uddannelse,
lov 131/2002 om universiteter og
lov 596/2003 om statsforvaltning inden for uddannelse og selvforvaltning af skoler.
Forbehold nr. 15 – Tjenesteydelser på miljøområdet
Sektor – delsektor:
Miljøtjenester – affaldshåndtering og jordforvaltning
Brancheklassifikation:
CPC 9401, 9402, 9403 og 94060
Forbeholdstype:
Markedsadgang
Kapitel:
Grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
I DE: Levering af tjenesteydelser i tilknytning til affaldshåndtering, med undtagelse af rådgivning, og for så vidt angår tjenesteydelser vedrørende jordbeskyttelse og håndtering af forurenet jord, med undtagelse af rådgivning.
Forbehold nr. 16 – Finansielle tjenesteydelser
Sektor:
Finansielle tjenesteydelser
Brancheklassifikation:
Ikke relevant
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Øverste ledelse og bestyrelser
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Alle finansielle tjenesteydelser
Hvad angår liberalisering af investeringer – markedsadgang:
Ret til på et ikkediskriminerende grundlag at kræve, at leverandører af finansielle tjenesteydelser, med undtagelse af filialer, har en specifik juridisk form, når de etablerer sig i en medlemsstat.
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I EU: Ret til at indføre eller opretholde foranstaltninger vedrørende grænseoverskridende levering af alle finansielle tjenesteydelser undtagen:
I EU (med undtagelse af BE, CY, EE, LT, LV, MT, PL, RO, SI):
i)
direkte forsikring (herunder coassurance) og direkte forsikringsmægling til forsikring af risici i forbindelse med:
a.
søtransport og kommerciel luftfart samt opsendelse og fragt i rummet (inklusive satellitter) med en forsikring, der dækker et eller samtlige af de følgende: de transporterede varer, transportmidlet og alt ansvar i forbindelse med transporten og
b.
varer i international transit
ii)
genforsikring og retrocession
iii)
tjenesteydelser i tilknytning til forsikring
iv)
tilvejebringelse og overførsel af finansielle oplysninger samt software til behandling af finansielle data og dermed beslægtet software fra leverandører af andre finansielle tjenesteydelser og
v)
rådgivning og dermed beslægtede finansielle tjenesteydelser i forbindelse med bankvirksomhed og andre finansielle tjenesteydelser som omhandlet i litra L) i definitionen af bankvirksomhed og andre finansielle tjenesteydelser (undtagen forsikring) i denne aftales artikel 183, litra a), nr. ii), men ikke mægling som omhandlet i samme litra.
I BE:
i)
direkte forsikring (herunder coassurance) og direkte forsikringsmægling til forsikring af risici i forbindelse med:
a.
søtransport og kommerciel luftfart samt opsendelse og fragt i rummet (inklusive satellitter) med en forsikring, der dækker et eller samtlige af de følgende: de transporterede varer, transportmidlet og alt ansvar i forbindelse med transporten og
b.
varer i international transit
ii)
genforsikring og retrocession
iii)
tjenesteydelser i tilknytning til forsikring
iv)
tilvejebringelse og overførsel af finansielle oplysninger samt software til behandling af finansielle data og dermed beslægtet software fra leverandører af andre finansielle tjenesteydelser.
I CY:
i)
direkte forsikring (herunder coassurance) til forsikring af risici i forbindelse med:
a.
søtransport og kommerciel luftfart samt opsendelse og fragt i rummet (inklusive satellitter) med en forsikring, der dækker et eller samtlige af de følgende: de transporterede varer, transportmidlet og alt ansvar i forbindelse med transporten og
b.
varer i international transit
ii)
forsikringsmægling
iii)
genforsikring og retrocession
iv)
tjenesteydelser i tilknytning til forsikring
v)
handel med værdipapirer for egen eller kunders regning på børsen, OTC-markedet eller på anden måde
vi)
tilvejebringelse og overførsel af finansielle oplysninger samt software til behandling af finansielle data og dermed beslægtet software fra leverandører af andre finansielle tjenesteydelser og
vii)
rådgivning og dermed beslægtede finansielle tjenesteydelser i forbindelse med bankvirksomhed og andre finansielle tjenesteydelser som omhandlet i litra L) i definitionen af bankvirksomhed og andre finansielle tjenesteydelser (undtagen forsikring) i denne aftales artikel 183, litra a), nr. ii), men ikke mægling som omhandlet i samme litra.
I EE:
i)
direkte forsikring (inklusive coassurance)
ii)
genforsikring og retrocession
iii)
forsikringsmægling
iv)
tjenesteydelser i tilknytning til forsikring
v)
modtagelse af indlån
vi)
alle former for långivning
vii)
finansiel leasing
viii)
alle betalings- og pengeoverførselstjenester, garantier og forpligtelser
ix)
handel for egen eller kunders regning på børsen eller OTC-markedet
x)
deltagelse i udstedelse af alle former for værdipapirer, herunder tegningsgaranti og salg som agent (såvel offentligt som privat) og tilvejebringelse af tjenesteydelser i forbindelse med sådanne udstedelser
xi)
låneformidling
xii)
forvaltning af aktiver såsom likviditets- eller porteføljeforvaltning, alle former for forvaltning af kollektive investeringer samt tjenesteydelser i tilknytning til forvaring, indskud og forvaltning af betroede midler
xiii)
afregning og clearing i forbindelse med finansielle aktiver, herunder værdipapirer, derivatprodukter og andre omsætningspapirer
xiv)
tilvejebringelse og overførsel af finansielle oplysninger samt software til finansiel databehandling og dermed beslægtet software og
xv)
rådgivning og dermed beslægtede finansielle tjenesteydelser i forbindelse med bankvirksomhed og andre finansielle tjenesteydelser som omhandlet i litra L) i definitionen af bankvirksomhed og andre finansielle tjenesteydelser (undtagen forsikring) i denne aftales artikel 183, litra a), nr. ii), men ikke mægling som omhandlet i samme litra.
I LT:
i)
direkte forsikring (herunder coassurance) til forsikring af risici i forbindelse med:
a.
søtransport og kommerciel luftfart samt opsendelse og fragt i rummet (inklusive satellitter) med en forsikring, der dækker et eller samtlige af de følgende: de transporterede varer, transportmidlet og alt ansvar i forbindelse med transporten og
b.
varer i international transit
ii)
genforsikring og retrocession
iii)
tjenesteydelser i tilknytning til forsikring
iv)
modtagelse af indlån
v)
alle former for långivning
vi)
finansiel leasing
vii)
alle betalings- og pengeoverførselstjenester, garantier og forpligtelser
viii)
handel for egen eller kunders regning på børsen eller OTC-markedet
ix)
deltagelse i udstedelse af alle former for værdipapirer, herunder tegningsgaranti og salg som agent (såvel offentligt som privat) og tilvejebringelse af tjenesteydelser i forbindelse med sådanne udstedelser
x)
låneformidling
xi)
forvaltning af aktiver såsom likviditets- eller porteføljeforvaltning, alle former for forvaltning af kollektive investeringer samt tjenesteydelser i tilknytning til forvaring, indskud og forvaltning af betroede midler
xii)
afregning og clearing i forbindelse med finansielle aktiver, herunder værdipapirer, derivatprodukter og andre omsætningspapirer
xiii)
tilvejebringelse og overførsel af finansielle oplysninger samt software til finansiel databehandling og dermed beslægtet software og
xiv)
rådgivning og dermed beslægtede finansielle tjenesteydelser i forbindelse med bankvirksomhed og andre finansielle tjenesteydelser som omhandlet i litra L) i definitionen af bankvirksomhed og andre finansielle tjenesteydelser (undtagen forsikring) i denne aftales artikel 183, litra a), nr. ii), men ikke mægling som omhandlet i nævnte litra.
I LV:
i)
direkte forsikring (herunder coassurance) til forsikring af risici i forbindelse med:
a.
søtransport og kommerciel luftfart samt opsendelse og fragt i rummet (inklusive satellitter) med en forsikring, der dækker et eller samtlige af de følgende: de transporterede varer, transportmidlet og alt ansvar i forbindelse med transporten og
b.
varer i international transit
ii)
genforsikring og retrocession
iii)
tjenesteydelser i tilknytning til forsikring
iv)
deltagelse i udstedelse af alle former for værdipapirer, herunder tegningsgaranti og salg som agent (såvel offentligt som privat) og tilvejebringelse af tjenesteydelser i forbindelse med sådanne udstedelser
v)
tilvejebringelse og overførsel af finansielle oplysninger samt software til behandling af finansielle data og dermed beslægtet software fra leverandører af andre finansielle tjenesteydelser og
vi)
rådgivning og dermed beslægtede finansielle tjenesteydelser i forbindelse med bankvirksomhed og andre finansielle tjenesteydelser som omhandlet i litra L) i definitionen af bankvirksomhed og andre finansielle tjenesteydelser (undtagen forsikring) i denne aftales artikel 183, litra a), nr. ii), men ikke mægling som omhandlet i samme litra.
I MT:
i)
direkte forsikring (herunder coassurance) til forsikring af risici i forbindelse med:
a.
søtransport og kommerciel luftfart samt opsendelse og fragt i rummet (inklusive satellitter) med en forsikring, der dækker et eller samtlige af de følgende: de transporterede varer, transportmidlet og alt ansvar i forbindelse med transporten og
b.
varer i international transit
ii)
genforsikring og retrocession
iii)
tjenesteydelser i tilknytning til forsikring
iv)
modtagelse af indlån
v)
alle former for långivning
vi)
tilvejebringelse og overførsel af finansielle oplysninger samt software til behandling af finansielle data og dermed beslægtet software fra leverandører af andre finansielle tjenesteydelser og
vii)
rådgivning og dermed beslægtede finansielle tjenesteydelser i forbindelse med bankvirksomhed og andre finansielle tjenesteydelser som omhandlet i litra L) i definitionen af bankvirksomhed og andre finansielle tjenesteydelser (undtagen forsikring) i denne aftales artikel 183, litra a), nr. ii), men ikke mægling som omhandlet i samme litra.
I PL:
i)
direkte forsikring (herunder coassurance) til forsikring af risici i forbindelse med varer i international handel
ii)
genforsikring og retrocession af risici i forbindelse med varer i international handel
iii)
direkte forsikring (herunder coassurance og retrocession) og direkte forsikringsmægling til forsikring af risici i forbindelse med:
a.
søtransport og kommerciel luftfart samt opsendelse og fragt i rummet (inklusive satellitter) med en forsikring, der dækker et eller samtlige af de følgende: de transporterede varer, transportmidlet og alt ansvar i forbindelse med transporten og
b.
varer i international transit
iv)
tilvejebringelse og overførsel af finansielle oplysninger samt software til behandling af finansielle data og dermed beslægtet software fra leverandører af andre finansielle tjenesteydelser og
v)
rådgivning og dermed beslægtede finansielle tjenesteydelser i forbindelse med bankvirksomhed og andre finansielle tjenesteydelser som omhandlet i litra L) i definitionen af bankvirksomhed og andre finansielle tjenesteydelser (undtagen forsikring) i denne aftales artikel 183, litra a), nr. ii), men ikke mægling som omhandlet i samme litra.
I RO:
i)
direkte forsikring (herunder coassurance) og direkte forsikringsmægling til forsikring af risici i forbindelse med:
a.
søtransport og kommerciel luftfart samt opsendelse og fragt i rummet (inklusive satellitter) med en forsikring, der dækker et eller samtlige af de følgende: de transporterede varer, transportmidlet og alt ansvar i forbindelse med transporten og
b.
varer i international transit
ii)
genforsikring og retrocession
iii)
tjenesteydelser i tilknytning til forsikring
iv)
modtagelse af indlån
v)
alle former for långivning
vi)
garantier og forpligtelser
vii)
låneformidling
viii)
tilvejebringelsen og overførslen af finansielle oplysninger samt software til finansiel databehandling og dermed beslægtet software og
ix)
rådgivning og dermed beslægtede finansielle tjenesteydelser i forbindelse med bankvirksomhed og andre finansielle tjenesteydelser som omhandlet i litra L) i definitionen af bankvirksomhed og andre finansielle tjenesteydelser (undtagen forsikring) i denne aftales artikel 183, litra a), nr. ii), men ikke mægling som omhandlet i samme litra.
I SI:
i)
direkte forsikring (herunder coassurance) og direkte forsikringsmægling til forsikring af risici i forbindelse med:
a.
søtransport og kommerciel luftfart samt opsendelse og fragt i rummet (inklusive satellitter) med en forsikring, der dækker et eller samtlige af de følgende: de transporterede varer, transportmidlet og alt ansvar i forbindelse med transporten og
b.
varer i international transit
ii)
genforsikring og retrocession
iii)
tjenesteydelser i tilknytning til forsikring
iv)
alle former for långivning
v)
indenlandske juridiske enheders og eneejeres godtagelse af garantier og forpligtelser indgået af udenlandske kreditinstitutter
vi)
tilvejebringelse og overførsel af finansielle oplysninger samt software til behandling af finansielle data og dermed beslægtet software fra leverandører af andre finansielle tjenesteydelser og
ix)
rådgivning og dermed beslægtede finansielle tjenesteydelser i forbindelse med bankvirksomhed og andre finansielle tjenesteydelser som omhandlet i litra L) i definitionen af bankvirksomhed og andre finansielle tjenesteydelser (undtagen forsikring) i denne aftales artikel 183, litra a), nr. ii), men ikke mægling som omhandlet i samme litra.
b)   Forsikring og forsikringsrelaterede tjenesteydelser
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I BG: Kontrakter om transportforsikring af gods, køretøjsforsikring og ansvarsforsikring for risici beliggende i Bulgarien må ikke indgås direkte af udenlandske forsikringsselskaber.
I DE: Hvis et udenlandsk forsikringsselskab har etableret en filial i Tyskland, må det kun tegne forsikringskontrakter i Tyskland vedrørende international transport gennem den filial, der er etableret i Tyskland.
Eksisterende foranstaltninger:
DE: Luftverkehrsgesetz (LuftVG) og
Luftverkehrszulassungsordnung (LuftVZO).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I ES: Der kræves bopæl eller alternativt to års relevant erhvervserfaring for udøvelse af aktuarvirksomhed.
Hvad angår grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I FI: Forsikringsmæglervirksomhed er betinget af et fast forretningssted i EU.
Kun forsikringsvirksomheder med hovedsæde i EU eller filial i Finland må tilbyde direkte forsikring, herunder coassurance.
Eksisterende foranstaltninger:
FI: Laki ulkomaisista vakuutusyhtiöistä (lov om udenlandske forsikringsselskaber) (398/1995),
Vakuutusyhtiölaki (lov om forsikringsselskaber) (521/2008),
Laki vakuutusten tarjoamisesta (lov om forsikringsdistribution) (234/2018).
I FR: Forsikringskontrakter om risici i forbindelse med landtransport må kun indgås af forsikringsvirksomheder, der er etableret i EU.
Eksisterende foranstaltninger:
FR: Code des assurances (forsikringsloven).
I HU: Kun juridiske personer fra EU og filialer registreret i Ungarn må levere direkte forsikringstjenesteydelser.
Eksisterende foranstaltninger:
HU: Lov LX af 2003.
I IT: Kontrakter om transportforsikring af gods, køretøjsforsikring og ansvarsforsikring for risici beliggende i Italien må kun indgås af forsikringsvirksomheder etableret i EU, undtagen for international transport omfattende import til Italien.
Grænseoverskridende levering af aktuartjenesteydelser.
Eksisterende foranstaltninger:
IT: Artikel 29 i loven om privat forsikring (lovdekret nr. 209 af 7. september 2005), lov 194/1942 om aktuarvirksomhed.
I PT: Kontrakter om forsikring af luft- og søtransport af gods samt fly-, skrog- og ansvarsforsikring må kun tegnes af virksomheder juridiske personer fra Den Europæiske Union. Kun fysiske personer fra eller virksomheder etableret i EU kan optræde som mæglere for en sådan forsikringsvirksomhed i Portugal.
Eksisterende foranstaltning:
PT: Artikel 3 i lov nr. 147/2015, artikel 8 i lov nr. 7/2019.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I SK: Udenlandske statsborgere kan etablere et forsikringsselskab i form af et aktieselskab eller kan udøve forsikringsvirksomhed gennem deres filialer med registreret kontor i Den Slovakiske Republik. Tilladelsen er i begge tilfælde afhængig af resultaterne af tilsynsmyndighedernes evaluering.
Eksisterende foranstaltninger:
SK: Lov 39/2015 om forsikring.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang:
I FI: Mindst halvdelen af medlemmerne af bestyrelsen og tilsynsrådet og den administrerende direktør i et forsikringsselskab, der tilbyder lovpligtig pensionsforsikring, skal have bopæl i EØS, medmindre de kompetente myndigheder har givet dispensation. Filialer af udenlandske forsikringsvirksomheder i Finland kan ikke opnå tilladelse til at tilbyde lovpligtige pensionsforsikringer. Mindst én revisor skal være bosiddende i EØS.
For andre forsikringsselskaber kræves der bopæl i EØS for mindst ét medlem af bestyrelsen, tilsynsrådet og den administrerende direktør. Mindst én revisor skal være bosiddende i EØS. Generalagenten fra et forsikringsselskab i Det Forenede Kongerige skal være bosiddende i Finland, medmindre selskabet har sit hovedsæde i EU.
Eksisterende foranstaltninger:
FI: Laki ulkomaisista vakuutusyhtiöistä (lov om udenlandske forsikringsselskaber) (398/1995), Vakuutusyhtiölaki (lov om forsikringsselskaber) (521/2008),
Laki vakuutusedustuksesta (lov om forsikringsformidling) (570/2005),
Laki vakuutusten tarjoamisesta (lov om forsikringsdistribution) (234/2018) og
Laki työeläkevakuutusyhtiöistä (lov om selskaber, der tilbyder lovpligtig pensionsforsikring) (354/1997).
c)   Bankvirksomhed og andre finansielle tjenesteydelser
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I EU: Kun juridiske personer, der har deres vedtægtsmæssige hjemsted i Unionen, kan fungere som depositarer for investeringsinstitutters aktiver. Til forvaltning af fælles fonde, herunder investeringsforeninger og, såfremt det er tilladt i henhold til den nationale lovgivning, investeringsselskaber, skal der etableres et specialiseret administrationsselskab med hovedkontor og forretningssted i samme medlemsstat.
Eksisterende foranstaltninger:
EU: Europa-Parlamentets og Rådets direktiv 2009/65/EF 
(
2
)
, og
Europa-Parlamentets og Rådets direktiv 2011/61/EU 
(
3
)
.
I EE: For modtagelse af indlån: krav om tilladelse fra Estlands finansielle tilsynsmyndighed og om registrering i henhold til estisk lov som aktieselskab, datterselskab eller filial.
Eksisterende foranstaltninger:
EE: Krediidiasutuste seadus (lov om kreditinstitutter) § 206 og § 21.
I SK: Investeringstjenesteydelser kan kun leveres af administrationsselskaber, som har retlig status som et aktieselskab med en egenkapital, som er i overensstemmelse med lovens bestemmelser.
Eksisterende foranstaltninger:
SK: Lov 566/2001 om værdipapirer og investeringstjenesteydelser og lov 483/2001 om banker.
Hvad angår liberalisering af investeringer – national behandling, øverste ledelse og bestyrelse:
I FI: Mindst én af stifterne, medlemmerne af bestyrelsen, tilsynsrådet, den administrerende direktør for leverandøren af bankvirksomhed og den person, der er bemyndiget til at underskrive i kreditinstituttets navn, skal have fast bopæl i EØS. Mindst én revisor skal være bosiddende i EØS.
Eksisterende foranstaltninger:
FI: Laki liikepankeista ja muista osakeyhtiömuotoisista luottolaitoksista (lov om kommercielle
banker og andre kreditinstitutter i form af aktieselskaber) (1501/2001),
Säästöpankkilaki (1502/2001) (lov om sparekasser),
Laki osuuspankeista ja muista osuuskuntamuotoisista luottolaitoksista (1504/2001) (lov om kooperative banker og andre kreditinstitutter i form af kooperative banker),
Laki hypoteekkiyhdistyksistä (936/1978) (lov om kreditforeninger),
Maksulaitoslaki (297/2010) (lov om betalingsinstitutter),
Laki ulkomaisen maksulaitoksen toiminnasta Suomessa (298/2010) (lov om udenlandske betalingsinstitutter i Finland) og
Laki luottolaitostoiminnasta (lov om kreditinstitutter) (121/2007).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I IT: Tjenesteydelser leveret af "consulenti finanziari" (finansielle rådgivere). Til dørsalg skal formidlere anvende autoriserede sælgere af finansielle tjenesteydelser med bopæl i en medlemsstat.
Eksisterende foranstaltninger:
IT: Artikel 91-111 i Consob-bekendtgørelsen om mæglere (nr. 16190 af 29. oktober 2007).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
I LT: Kun banker, der har deres vedtægtsmæssige hjemsted eller en filial i Litauen, og som har tilladelse til at levere investeringstjenesteydelser i EØS, kan fungere som depositarer for pensionsfondes aktiver. Mindst én af de ledende ansatte i en banks administration skal kunne tale litauisk.
Eksisterende foranstaltninger:
LT: Republikken Litauens lov om banker af 30. marts 2004, nr. IX-2085, som ændret ved lov nr. XIII-729 af 16. november 2017,
Republikken Litauens lov om institutter for kollektive investeringer af 4. juli 2003, nr. IX-1709, som ændret ved lov nr. XIII-1872 af 20. december 2018,
Republikken Litauens lov om frivillige supplerende pensionsordninger af 3. juni 1999, nr. VIII-1212 (som revideret ved lov nr. XII-70 af 20. december 2012),
Republikken Litauens lov om betalinger af 5. juni 2003, nr. IX-1596, senest ændret den 17. oktober 2019 nr. XIII-2488,
Republikken Litauens lov om betalingsinstitutter af 10. december 2009 nr. XI-549 (ny version af loven: nr. XIII-1093 af 17. april 2018).
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang:
I FI: For betalingstjenester kan ophold eller bopæl i Finland være påkrævet.
Forbehold nr. 17 – Sundhedstjenesteydelser og sociale tjenesteydelser
Sektor:
Sundhedstjenesteydelser og sociale tjenesteydelser
Brancheklassifikation:
CPC 93, 931, bortset fra 9312, del af 93191, 9311, 93192, 93193, 93199
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Øverste ledelse og bestyrelser
Præstationskrav
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Sundhedstjenesteydelser – hospitalsvirksomhed, ambulancetjenesteydelser, behandlingshjem (CPC 93, 931, bortset fra 9312, del af 93191, 9311, 93192, 93193, 93199)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, præstationskrav, øverste ledelse og bestyrelse:
I EU: For levering af alle sundhedstjenesteydelser, der modtager offentlig støtte eller statsstøtte i en hvilken som helst form.
I EU: For alle privatfinansierede sundhedstjenesteydelser med undtagelse af privatfinansieret hospitalsvirksomhed og ambulancetjenesteydelser og privatfinansierede behandlingshjem, der ikke udøver hospitalsvirksomhed. Private operatørers deltagelse i privatfinansierede sundhedsnetværk kan være underlagt koncession på et ikkediskriminerende grundlag. Der kan evt. anvendes en økonomisk behovsprøve. Hovedkriterium: de eksisterende operatørers antal og virkningen for disse, transportinfrastrukturen, befolkningstætheden, den geografiske spredning og skabelsen af nye arbejdspladser.
Dette forbehold vedrører ikke levering af sundhedsrelaterede ydelser, herunder ydelser leveret af fagfolk såsom læger, tandlæger, jordemødre, sygeplejersker, fysioterapeuter, paramedicinsk personale og psykologer, der er omfattet af andre forbehold (CPC 931 undtagen 9312, del af 93191).
I AT, PL og SI: Levering af privatfinansierede ambulancetjenesteydelser (CPC 93192).
I BE: Etablering af privatfinansierede ambulancetjenesteydelser og behandlingshjem, der ikke udøver hospitalsvirksomhed (CPC 93192, 93193).
I BG, CY, CZ, FI, MT og SK: Levering af privatfinansieret hospitalsvirksomhed og ambulancetjenesteydelser og privatfinansierede behandlingshjem, der ikke udøver hospitalsvirksomhed (CPC 9311, 93192, 93193).
I FI: Levering af andre sundhedstjenesteydelser (CPC 93199).
Eksisterende foranstaltninger:
CZ: Lov nr. 372/2011 sml. om sundhedstjenesteydelser og vilkårene for levering heraf.
FI: Laki yksityisestä terveydenhuollosta (lov om privat sundhedspleje) (152/1990).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, mestbegunstigelsesbehandling, øverste ledelse og bestyrelse, præstationskrav:
I DE: Tysklands sociale sikringsordning, hvor tjenesteydelser kan leveres af forskellige virksomheder eller enheder i en konkurrencesituation og således ikke er tjenesteydelser, som udelukkende leveres under udøvelse af offentlig myndighed. Ret til at give en bedre behandling inden for rammerne af en bilateral handelsaftale for så vidt angår sundhedstjenesteydelser og sociale tjenesteydelser (CPC 93).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I DE: Ejerskab af hospitaler, som drives af de tyske styrker.
Ret til at nationalisere andre centrale privatfinansierede hospitaler (CPC 93110).
I FR: Levering af privatfinansierede laboratorieanalyser og -undersøgelser.
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I FR: Levering af privatfinansierede laboratorieanalyser og -undersøgelser (del af CPC 9311).
Eksisterende foranstaltninger:
FR: Code de la Santé Publique
b)   Sundhedstjenesteydelser og sociale tjenesteydelser, herunder pensionsforsikring
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
EU med undtagelse af HU: Den grænseoverskridende levering af sundhedstjenesteydelser, sociale tjenesteydelser samt aktiviteter eller tjenesteydelser, der er del af en offentlig pensionsplan eller en lovbestemt social sikringsordning. Dette forbehold vedrører ikke levering af sundhedsrelaterede ydelser, herunder ydelser leveret af fagfolk såsom læger, tandlæger, jordemødre, sygeplejersker, fysioterapeuter, paramedicinsk personale og psykologer, der er omfattet af andre forbehold (CPC 931 undtagen 9312, del af 93191).
I HU: Grænseoverskridende levering af al hospitalsvirksomhed, alle ambulancetjenesteydelser og alle tjenesteydelser i tilknytning til behandlingshjem, undtagen hospitalsvirksomhed, der modtager offentlig støtte (CPC 9311, 93192, 93193).
c)   Sociale tjenesteydelser, herunder pensionsforsikring
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse, præstationskrav:
I EU: Levering af alle sociale tjenesteydelser, der modtager offentlig støtte eller statsstøtte i en hvilken som helst form, samt aktiviteter eller tjenesteydelser, der er del af en offentlig pensionsplan eller en lovbestemt social sikringsordning. Private operatørers deltagelse i privatfinansierede sociale netværk kan være underlagt koncession på et ikkediskriminerende grundlag. Der kan evt. anvendes en økonomisk behovsprøve. Hovedkriterium: de eksisterende operatørers antal og virkningen for disse, transportinfrastrukturen, befolkningstætheden, den geografiske spredning og skabelsen af nye arbejdspladser.
I BE, CY, DE, DK, EL, ES, FR, IE, IT og PT: Levering af privatfinansierede sociale tjenesteydelser med undtagelse af tjenesteydelser i tilknytning til hvilehjem, plejehjem og ældrehjem.
I CZ, FI, HU, MT, PL, RO, SK, og SI: Levering af privatfinansierede sociale tjenesteydelser.
I DE: Tysklands sociale sikringsordning, hvor tjenesteydelser leveres af forskellige virksomheder eller enheder i en konkurrencesituation og således muligvis ikke kan defineres som tjenesteydelser, som udelukkende leveres under udøvelse af offentlig myndighed.
Eksisterende foranstaltninger:
FI: Laki yksityisistä sosiaalipalveluista (lov om private sociale tjenesteydere) (922/2011).
IE: Health Act 2004 (S. 39) og
Health Act 1970 (som ændret – S.61A).
IT: Lov 833/1978 om det offentlige sundhedssystem,
lovdekret nr. 502/1992 om tilrettelæggelse af sundhedsvæsenet og lov nr. 328/2000 om reform af sociale tjenesteydelser.
Forbehold nr. 18 – Turisme og rejserelaterede tjenesteydelser
Sektor:
Turistguidevirksomhed, sundhedstjenesteydelser og sociale tjenesteydelser
Brancheklassifikation:
CPC 7472
Forbeholdstype:
National behandling
Mestbegunstigelsesbehandling
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
Hvad angår liberalisering af investeringer – national behandling og grænseoverskridende handel med tjenesteydelser – national behandling:
I FR: Ret til at kræve statsborgerskab i en medlemsstat for levering af turistguidevirksomhed.
Hvad angår liberalisering af investeringer – mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – mestbegunstigelsesbehandling:
I LT: For så vidt, at Det Forenede Kongerige tillader statsborgere i Litauen at levere turistguidevirksomhed, vil Litauen tillade statsborgere i Det Forenede Kongerige at levere turistguidevirksomhed på samme betingelser.
Forbehold nr. 19 – Fritids- og sportsaktiviteter samt kulturelle aktiviteter
Sektor:
Fritids- og sportsaktiviteter samt kulturelle aktiviteter
Brancheklassifikation:
CPC 962, 963, 9619 og 964
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelser
Præstationskrav
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Biblioteker, arkiver, museer og anden kulturel virksomhed (CPC 963)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, præstationskrav, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
EU med undtagelse af AT og, med henblik på liberalisering af investeringer, LT: Biblioteker, arkiver, museer og anden kulturel virksomhed.
I AT og LT: Der kan kræves licens eller koncession for etablering.
b)   Forlystelsesvirksomhed, teater, levende musik og cirkus (CPC 9619, 964 undtagen 96492)
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
EU med undtagelse af AT og SE: Grænseoverskridende levering af forlystelsesvirksomhed, herunder teater, levende musik, cirkus og diskoteksvirksomhed.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, præstationskrav, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I CY, CZ, FI, MT, PL, RO, SI og SK: Hvad angår levering af forlystelsesvirksomhed, herunder teater, levende musik, cirkus og diskoteksvirksomhed.
I BG: Levering af følgende former for forlystelsesvirksomhed: cirkus- og forlystelsesparktjenesteydelser og lignende tjenesteydelser samt tjenesteydelser i forbindelse med dansearrangementer, diskoteker og danseundervisning og anden forlystelsesvirksomhed.
I EE: Levering af andre former for forlystelsesvirksomhed med undtagelse af biografer og teatre.
I LT og LV: Levering af alle tjenesteydelser i forbindelse med forlystelsesvirksomhed med undtagelse af drift af biografer og teatre.
I CY, CZ, LV, PL, RO og SK: Grænseoverskridende levering af sports- og andre fritidsaktiviteter.
c)   Nyheds- og pressebureauer (CPC 962)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I FR: Den udenlandske deltagelse i eksisterende selskaber, der udgiver publikationer på fransk, må ikke overstige 20 % af kapitalen eller stemmerettighederne i selskabet. Etableringen af pressebureauer fra Det Forenede Kongerige er underlagt betingelser, der er fastsat i den nationale lovgivning. Udenlandske investorers etablering af pressebureauer er betinget af gensidighed.
Eksisterende foranstaltninger:
FR: Ordonnance no 45-2646 du 2 novembre 1945 portant règlementation provisoire des agences de presse og loi n° 86-897 du 1 août 1986 portant réforme du régime juridique de la presse.
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang:
I HU: For nyheds- og pressebureauer.
d)   Spil og væddemål (CPC 96492)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, præstationskrav, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I EU: Udbud af spil, som indebærer, at der gøres en indsats med penge i hasardspil, herunder lotterier, skrabelodder, spilletjenester udbudt i kasinoer, spillehaller eller udskænkningssteder, bookmakervirksomhed, bingospil og spilletjenester, der drives af og til fordel for velgørenhedsorganisationer eller almennyttige organisationer.
Forbehold nr. 20 – Transport og hjælpetjenesteydelser i tilknytning til transport
Sektor:
Transport
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Øverste ledelse og bestyrelser
Præstationskrav
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Søtransport – enhver anden erhvervsmæssig aktivitet, der udføres fra et skib
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse, præstationskrav og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I EU: Besætningens nationalitet på søgående og ikkesøgående fartøjer.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, mestbegunstigelsesbehandling, øverste ledelse og bestyrelse:
EU med undtagelse af LV og MT: Kun fysiske eller juridiske personer fra EU kan registrere et fartøj eller drive en flåde under flaget i den stat, hvor virksomheden etableres (gælder al kommerciel aktivitet på havene fra et søgående skib, herunder fiskeri, akvakultur og tjenesteydelser i tilknytning til fiskeri, international passager- og godstransport (CPC 721) og tjenesteydelser i tilknytning til søtransport).
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang:
I MT: Maltas maritime forbindelse til det kontinentale Europa gennem Italien er genstand for enerettigheder (CPC 7213, 7214, del af 742, 745, del af 749).
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I SK: Udenlandske investorer skal have hjemsted i Den Slovakiske Republik for at ansøge om en licens, der gør det muligt for dem at udføre en tjenesteydelse (CPC 722).
b)   Tjenesteydelser i tilknytning til søtransport
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I EU: Levering af lodsning og liggepladsfaciliteter. Det skal præciseres, at uanset de kriterier, der finder anvendelse på registrering af skibe i en EU-medlemsstat, forbeholder EU sig retten til at kræve, at kun skibe, der er registreret i de nationale registre i EU's medlemsstater, kan levere lodsning og liggepladsfaciliteter (CPC 7452).
EU med undtagelse af LT og LV: Kun fartøjer, der fører en EU-medlemsstats flag, kan udføre slæbe- og bugservirksomhed (CPC 7214).
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – national behandling, lokal tilstedeværelse:
I LT: Kun juridiske personer fra Litauen eller juridiske personer fra en EU-medlemsstat med filialer I
Litauen, som er i besiddelse af et certifikat, der er udstedt af de litauiske søfartssikkerhedsmyndigheder, kan levere tjenesteydelser inden for lodsning og liggepladsfaciliteter samt slæbe- og bugservirksomhed (CPC 7214, 7452).
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I BE: Godshåndtering kan kun udføres af godkendte arbejdstagere, som er berettigede til at arbejde i havneområder, der er udpeget ved kongeligt dekret (CPC 741).
Eksisterende foranstaltninger:
BE: Loi du 8 juin 1972 organisant le travail portuaire,
Arrêté royal du 12 janvier 1973 instituant une Commission paritaire des ports et fixant sa dénomination et sa compétence,
Arrêté royal du 4 septembre 1985 portant agrément d'une organisation d'employeur (Anvers),
Arrêté royal du 29 janvier 1986 portant agrément d'une organisation d'employeur (Gand),
Arrêté royal du 10 juillet 1986 portant agrément d'une organisation d'employeur (Zeebrugge), Arrêté royal du 1er mars 1989 portant agrément d'une organisation d'employeur (Ostende) og
Arrêté royal du 5 juillet 2004 relatif à la reconnaissance des ouvriers portuaires dans les zones portuaires tombant dans le champ d'application de la loi du 8 juin 1972 organisant le travail portuaire, tel que modifié.
c)   Tjenesteydelser i tilknytning til transport ad indre vandveje
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, mestbegunstigelsesbehandling, øverste ledelse og bestyrelser, præstationskrav og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse, mestbegunstigelsesbehandling:
I EU: Tjenesteydelser i tilknytning til transport ad indre vandveje
d)   Jernbanetransport og tjenesteydelser i tilknytning til jernbanetransport
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I EU: Passagertransport med jernbane (CPC 7111).
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang, lokal tilstedeværelse:
I EU: Godstransport med jernbane (CPC 7112).
I LT: Vedligeholdelse og reparation af jernbanetransportudstyr er underlagt et statsmonopol (CPC 86764, 86769, del af 8868).
I SE (gælder kun markedsadgang): Vedligeholdelse og reparation af jernbanetransportudstyr er underlagt en økonomisk behovsprøve, når en investor agter at etablere sine egne terminalinfrastrukturfaciliteter. Hovedkriterium: de pågældende rum- og kapacitetsmuligheder (CPC 86764, 86769, del af 8868).
Eksisterende foranstaltninger:
EU: Europa-Parlamentets og Rådets direktiv 2012/34/EU 
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SE: Planlægnings- og byggeloven (2010:900).
e)   Vejtransport (passagertransport, godstransport, international lastvognstransport) og tjenesteydelser i tilknytning til vejtransport
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I EU: For vejtransporttjenester, der er omfattet af denne aftales anden del, sektion tre, og denne aftales bilag 31.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse:
I EU: For vejtransporttjenester, der er omfattet af denne aftales anden del, sektion tre, og denne aftales bilag 31:
Ret til at begrænse muligheden for levering af cabotage inden for en medlemsstat for udenlandske investorer, der er etableret i en anden medlemsstat (CPC 712).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I EU: For vejtransporttjenester, der ikke er omfattet af denne aftales anden del, sektion tre, og denne aftales bilag 31:
i)
Ret til at kræve etablering og til at begrænse den grænseoverskridende levering af vejtransporttjenesteydelser (CPC 712).
ii)
Ret til at begrænse muligheden for levering af cabotage inden for en medlemsstat for udenlandske investorer, der er etableret i en anden medlemsstat (CPC 712).
iii)
Eventuel anvendelse af økonomisk behovsprøve for taxikørsel i Unionen, hvorved der fastsættes en grænse for antallet af tjenesteydere. Hovedkriterium: Lokal efterspørgsel som fastsat i gældende lovgivning (CPC 71221).
Hvad angår liberalisering af investeringer – markedsadgang:
I BE: Det maksimale antal licenser kan fastsættes ved lov (CPC 71221).
I IT: Økonomisk behovsprøve for limousinekørsel. Hovedkriterium: de eksisterende operatørers antal og virkningen for disse, befolkningstætheden, den geografiske spredning, indvirkningen på de trafikale forhold og skabelsen af nye arbejdspladser.
Økonomisk behovsprøve for intercitybuskørsel. Hovedkriterium: de eksisterende operatørers antal og virkningen for disse, befolkningstætheden, den geografiske spredning, indvirkningen på de trafikale forhold og skabelsen af nye arbejdspladser.
Økonomisk behovsprøve for godstransportvirksomhed. Hovedkriterium: lokal efterspørgsel (CPC 712).
I BG, DE: Der kan for passager- og godstransport kun gives eksklusive rettigheder eller tilladelser til fysiske personer fra Unionen og juridiske personer fra Unionen, som har deres hovedkontor i Unionen. (CPC 712)
I MT: Personbefordring med bus: Hele nettet er genstand for en koncession, som omfatter en forpligtelse til offentlig tjeneste for at dække behovene i visse sociale sektorer (f.eks. studerende og ældre) (CPC 712).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I FI: Der kræves en tilladelse for at udøve vejtransportvirksomhed, og den omfatter ikke udenlandsk registrerede køretøjer (CPC 712).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I FR: Levering af intercitybuskørsel (CPC 712).
Hvad angår liberalisering af investeringer – markedsadgang:
I ES: For så vidt angår passagerbefordring, anvendes der en økonomisk behovsprøve for tjenesteydelser, der er omfattet af CPC 7122. Hovedkriterium: lokal efterspørgsel. Økonomisk behovsprøve for intercitybuskørsel. Hovedkriterium: de eksisterende operatørers antal og virkningen for disse, befolkningstætheden, den geografiske spredning, indvirkningen på de trafikale forhold og skabelsen af nye arbejdspladser.
I SE: Vedligeholdelse og reparation af vejtransportudstyr er underlagt en økonomisk behovsprøve, når en leverandør agter at etablere sine egne terminalinfrastrukturfaciliteter. Hovedkriterium: de pågældende rum- og kapacitetsmuligheder (CPC 6112, 6122, 86764, 86769, del af 8867).
I SK: For godstransport anvendes en økonomisk behovsprøve. Hovedkriterium: lokal efterspørgsel (CPC 712).
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang:
I BG: Ret til at kræve etablering for hjælpetjenesteydelser inden for vejtransport (CPC 744).
Eksisterende foranstaltninger:
EU: Europa-Parlamentets og Rådets forordning (EF) nr. 1071/2009 
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, Europa-Parlamentets og Rådets forordning (EF) nr. 1072/2009 
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 og Europa-Parlamentets og Rådets forordning (EF) nr. 1073/2009 
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FI: Laki kaupallisista tavarankuljetuksista tiellä (lov om kommerciel vejtransport) 693/2006, Laki liikenteen palveluista (lov om transporttjenester) 320/2017,
Ajoneuvolaki (lov om køretøjer) 1090/2002.
IT: Lovdekret 285/1992 (færdselsreglerne med senere ændringer), artikel 85,
lovdekret 395/2000, artikel 8 (vejtransport af passagerer),
lov 21/1992 (rammelov om offentlig vejtransport af passagerer – ikke rutefart),
lov 218/2003, artikel 1 (transport af passagerer i lejede busser med chauffør) og lov 151/1981 (rammelov om offentlig personbefordring).
SE: Planlægnings- og byggeloven (2010:900).
f)   Rumfart og udlejning af rumfartøjer
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, præstationskrav, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I EU: Levering af rumtransporttjenesteydelser og udlejning af rumfartøjer (CPC 733, del af 734).
g)   Mestbegunstigelsesundtagelser
Hvad angår liberalisering af investeringer – mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – mestbegunstigelsesbehandling:
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Transport (cabotage) undtagen søtransport
I FI: Indrømmelse af differentieret behandling til et land i henhold til eksisterende eller fremtidige bilaterale aftaler, hvorefter skibe, der er registreret under udenlandsk flag fra et specifikt andet land, eller udenlandsk registrerede køretøjer fritages fra det generelle forbud mod at udbyde cabotagetransport (herunder kombineret vejtransport/jernbanetransport) i Finland på grundlag af gensidighed (del af CPC 711, del af 712, del af 722).
—
Hjælpetjenesteydelser inden for søtransport
I BG: For så vidt Det Forenede Kongerige tillader tjenesteydere fra Bulgarien at levere godshåndtering og lager- og pakhusvirksomhed i maritime havne og flodhavne, herunder tjenesteydelser i tilknytning til containere og containergods, vil Bulgarien tillade tjenesteydere fra Det Forenede Kongerige at levere godshåndring og lager- og pakhusvirksomhed i maritime havne og flodhavne, herunder tjenesteydelser i tilknytning til containere og containergods, på samme betingelser (del af CPC 741, del af 742).
—
Leje eller leasing af fartøjer
I DE: Udenlandske skibe, der indchartres af forbrugere med bopæl i Tyskland, kan være omfattet af et krav om gensidighed (CPC 7213, 7223, 83103).
—
Vej- og jernbanetransport
I EU: Ret til at indrømme differentieret behandling til et land i henhold til eksisterende eller fremtidige bilaterale aftaler om international godskørsel (herunder kombineret vejtransport/jernbanetransport) og passagertransport, der indgås mellem Unionen eller medlemsstaterne og et tredjeland (CPC 7111, 7112, 7121, 7122, 7123). En sådan behandling kan:
a)
forbeholde eller begrænse leveringen af de pågældende transporttjenesteydelser mellem de kontraherende parter eller gennem de kontraherende parters territorium til køretøjer, der er registreret i de kontraherende parter 
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b)
give skattefritagelse for sådanne køretøjer.
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Vejtransport
I BG: Foranstaltninger, der træffes inden for rammerne af eksisterende eller fremtidige aftaler, og som forbeholder eller begrænser leveringen af disse typer transporttjenesteydelser samt specificerer leveringsbetingelserne, herunder transittilladelser eller fordelagtige vejafgifter, i Bulgarien eller over Bulgariens grænser (CPC 7121, 7122, 7123).
I CZ: Foranstaltninger, der træffes inden for rammerne af eksisterende eller fremtidige aftaler, og som forbeholder eller begrænser leveringen af transporttjenesteydelser og specificerer driftsbetingelserne, herunder transittilladelser eller fordelagtige vejafgifter for transporttjenesteydelser til, i, gennem eller fra Den Tjekkiske Republik til de berørte kontraherende parter (CPC 7121, 7122, 7123).
I ES: Autorisation for etablering af handelsmæssig tilstedeværelse i Spanien kan nægtes tjenesteydere, hvis hjemland ikke giver spanske tjenesteydere en effektiv markedsadgang (CPC 7123).
Eksisterende foranstaltninger:
Ley 16/1987, de 30 de julio, de Ordenación de los Transportes Terrestres.
I HR: Foranstaltninger, der anvendes inden for rammerne af eksisterende eller fremtidige aftaler om international vejtransport, og som forbeholder eller begrænser leveringen af transporttjenesteydelser og specificerer driftsbetingelserne, herunder transittilladelser eller fordelagtige vejafgifter for transporttjenesteydelser til, i, gennem eller fra Kroatien til de berørte parter (CPC 7121, 7122, 7123).
I LT: Foranstaltninger, der træffes inden for rammerne af bilaterale aftaler, og som regulerer transporttjenesteydelser og specificerer driftsbetingelser, herunder bilateral transit og andre transporttilladelser for transporttjenesteydelser til, gennem eller fra Litauen til de berørte kontraherende parter, samt vejafgifter og skatter (CPC 7121, 7122, 7123).
I SK: Foranstaltninger, der træffes inden for rammerne af eksisterende eller fremtidige aftaler, og som forbeholder eller begrænser leveringen af transporttjenesteydelser og specificerer driftsbetingelserne, herunder transittilladelser eller fordelagtige vejafgifter for transporttjenesteydelser til, i, gennem eller fra Den Slovakiske Republik til de berørte kontraherende parter (CPC 7121, 7122, 7123).
—
Jernbanetransport
I BG, CZ og SK: For så vidt angår eksisterende eller fremtidige aftaler, som regulerer trafikrettigheder og driftsbetingelser samt leveringen af transporttjenesteydelser i Bulgarien, Den Tjekkiske Republik og Slovakiet og mellem de berørte lande. (CPC 7111, 7112)
—
Lufttransport – Tjenesteydelser i tilknytning til lufttransport
I EU: Der indrømmes differentieret behandling til et tredjeland i henhold til gældende eller fremtidige bilaterale aftaler vedrørende groundhandling.
—
Vej- og jernbanetransport
I EE: Ved indrømmelse af differentieret behandling til et land i henhold til eksisterende eller fremtidige bilaterale aftaler om international vejtransport (herunder kombineret transport – vej/jernbane) bestemmelser om at forbeholde eller begrænse leveringen af transporttjenesteydelser til, i, gennem eller fra Estland til de kontraherende parter til køretøjer, der er registreret i de kontraherende parter, og at give skattefritagelse for sådanne køretøjer (del af CPC 711, del af 712, del af 721).
—
Alle passager- og godstransporttjenesteydelser, undtagen sø- og lufttransport
I PL: For så vidt Det Forenede Kongerige tillader polske leverandører af passager- og godstransporttjenesteydelser at levere transporttjenesteydelser i og gennem Det Forenede Kongeriges område, vil Polen tillade leverandører af passager- og godstransporttjenesteydelser fra Det Forenede Kongerige at levere transporttjenesteydelser i og gennem Polens område på samme betingelser.
Forbehold nr. 21 – Landbrug, fiskeri og vand
Sektor:
Landbrug, jagt og skovbrug; fiskeri, akvakultur, tjenesteydelser i tilknytning til fiskeri; indvinding, rensning og distribution af vand
Brancheklassifikation:
ISIC Rev. 3.1 011, ISIC Rev. 3.1 012, ISIC Rev. 3.1 013, ISIC Rev. 3.1 014, ISIC Rev. 3.1 015, CPC 8811, 8812, 8813 med undtagelse af rådgivning og konsulentvirksomhed, ISIC Rev. 3.1 0501 og 0502 samt CPC 882
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Øverste ledelse og bestyrelser
Præstationskrav
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Landbrug, jagt og skovbrug
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I HR: Landbrugs- og jagtaktiviteter.
I HU: Landbrugsaktiviteter (ISIC Rev. 3.1 011, 3.1 012, 3.1 013, 3.1 014, 3.1 015, CPC 8811, 8812, 8813 med undtagelse af rådgivning og konsulentvirksomhed).
Eksisterende foranstaltninger:
HR: Lov om landbrugsjord (statstidende 20/18, 115/18, 98/19)
b)   Fiskeri, akvakultur og tjenesteydelser i tilknytning til fiskeri (ISIC Rev. 3.1 0501, 0502, CPC 882)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelser, præstationskrav, mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, mestbegunstigelsesbehandling, lokal tilstedeværelse:
I EU:
1.
Navnlig inden for rammerne af den fælles fiskeripolitik og fiskeriaftaler med tredjelande, adgang til og udnyttelse af de biologiske ressourcer og fangstpladser i farvande henhørende under medlemsstaters overhøjhed eller deres jurisdiktion eller fiskerettigheder i henhold til en medlemsstats fiskerilicens, herunder foranstaltninger:
a)
der regulerer af landing af fangster taget af fartøjer, der fører Det Forenede Kongeriges eller et tredjelands flag, for så vidt angår de kvoter, de har fået tildelt, eller, for så vidt angår fartøjer, der fører en medlemsstats flag, krav om, at en del af den samlede fangst landes i EU-havne
b)
der fastlægger en mindstestørrelse for virksomheder med henblik på at bevare fartøjer til henholdsvis ikkeindustrielt og kystnært fiskeri
c)
der indrømmer differentieret behandling i henhold til gældende eller fremtidige bilaterale aftaler vedrørende fiskeri og
d)
der kræver, at besætningen på et fartøj, der fører en medlemsstats flag, er statsborgere i medlemsstaterne.
2.
Et fiskerfartøjs ret til kun at føre en medlemsstats flag, hvis:
a)
det fuldt ud ejes af:
i)
selskaber, der er stiftet i Unionen, eller
ii)
medlemsstatsstatsborgere
b)
den daglige drift ledes og kontrolleres fra Unionen og
c)
befragteren, forvalteren eller operatøren af fartøjet er en virksomhed, som er stiftet i Unionen eller er statsborger i en medlemsstat.
3.
En kommerciel licens, som giver ret til at fiske i en medlemsstats søterritorium, kan kun indrømmes til fartøjer, der fører flaget fra en medlemsstat.
4.
Etablering af havbrugsfaciliteter og landbaserede faciliteter inden for akvakultur.
5.
Punkt 1, litra a), b), c) (bortset fra mestbegunstigelsesbehandling) og d), punkt 2, litra a), nr. i), litra b) og c), og punkt 3 finder kun anvendelse på foranstaltninger, der gælder for fartøjer eller virksomheder, uanset de reelle ejeres nationalitet.
Hvad angår liberalisering af investeringer – markedsadgang:
I FR: Statsborgere fra ikke-EU-lande kan ikke etablere sig på statens kystområder for at drive fiske-, skaldyrs- eller algefarme.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I BG: Fangst af levende ressourcer i have og floder, der udføres af fartøjer i indre farvande og territorialfarvandet i Bulgarien, skal udføres fra fartøjer, der fører bulgarsk flag. Et udenlandsk skib må ikke udøve erhvervsfiskeri i den eksklusive økonomiske zone, medmindre der foreligger en aftale mellem Bulgarien og flagstaten. Under passagen gennem den eksklusive økonomiske zone må udenlandske fiskefartøjer ikke have deres fiskeredskaber i drift.
c)   Indvinding, rensning og distribution af vand
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
EU: For så vidt angår levering af tjenesteydelser i tilknytning til indvinding, rensning og distribution af vand til husholdninger, industrielle, kommercielle eller andre brugere, herunder drikkevand, og vandforvaltning.
Forbehold nr. 22 – Energirelaterede aktiviteter
Sektor:
Produktion af energi og tjenesteydelser i tilknytning hertil
Brancheklassifikation:
ISIC Rev. 3.1 10, 1110, 12, 120, 1200, 13, 14, 232, 233, 2330, 40, 401, 4010, 402, 4020, del af 4030, CPC 613, 62271, 63297, 7131, 71310, 742, 7422, del af 88, 887.
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelser
Præstationskrav
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Energitjenesteydelser – generelt (ISIC Rev. 3.1 10, 1110, 13, 14, 232, 40, 401, 402, del af 403, 41; CPC 613, 62271, 63297, 7131, 742, 7422, 887 (med undtagelse af rådgivning og konsulentvirksomhed))
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse, præstationskrav og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
EU: Hvis en medlemsstat tillader udenlandsk ejerskab af et transmissionssystem til elektricitet eller gas eller et system til transport via olie- og gasrørledning, vedrørende virksomheder i Det Forenede Kongerige, der kontrolleres af fysiske eller juridiske personer i et tredjeland, som tegner sig for mere end fem procent af Unionens import af olie, naturgas eller elektricitet, for at garantere energiforsyningssikkerheden i Unionen som helhed eller i en enkelt medlemsstat. Dette forbehold finder ikke anvendelse på rådgivning og konsulentvirksomhed, der leveres som tjenesteydelser i tilknytning til energidistribution.
Dette forbehold finder ikke anvendelse på HR, HU og LT (LT, kun CPC 7131) for så vidt angår rørledningstransport af brændstoffer, eller på LV for så vidt angår tjenesteydelser i tilknytning til energidistribution, eller på SI for så vidt angår tjenesteydelser i tilknytning til gasdistribution (ISIC Rev. 3.1 401, 402, CPC 7131, 887 med undtagelse af rådgivning og konsulentvirksomhed).
I CY: For fremstilling af raffinerede olieprodukter, for så vidt at investoren kontrolleres af en fysisk eller juridisk person fra et tredjeland, der står for mere end 5 procent af Unionens import af olie eller naturgas, samt fremstilling af gas, distribution af gasformige brændstoffer gennem rørledninger for egen regning, produktion, transmission og distribution af elektricitet, rørledningstransport af brændstoffer, tjenesteydelser i tilknytning til elektricitets- og naturgasdistribution, med undtagelse af rådgivning og konsulentvirksomhed, engroshandel med elektricitet og detailhandel med motorbrændstof, elektricitet og gas (ikke flaskeglas). Der gælder statsborgerskabs- og bopælskrav for elektricitetsrelaterede tjenesteydelser. (ISIC Rev. 3.1 232, 4010, 4020, CPC 613, 62271, 63297, 7131 og 887 med undtagelse af rådgivning og konsulentvirksomhed).
I FI: Transmissions- og distributionsnet og -systemer for energi samt damp og varmt vand.
I FI: Kvantitative begrænsninger i form af monopoler eller eksklusive rettigheder for import af naturgas og for produktion og distribution af damp og varmt vand. I øjeblikket findes der naturlige monopoler og eksklusive rettigheder (ISIC Rev. 3.1 40, CPC 7131, 887 med undtagelse af rådgivning og konsulentvirksomhed).
I FR: Transmissionssystemer til elektricitet og gas samt transport via olie- og gasrørledning (CPC 7131).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I BE: Energidistribution og tjenesteydelser i tilknytning til energidistribution (CPC 887 med undtagelse af konsulentvirksomhed).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – national behandling, lokal tilstedeværelse:
I BE: For så vidt angår energitransmission, vedrørende juridiske enheders form og behandlingen af offentlige eller private aktører, som BE har indrømmet eksklusive rettigheder. Der er krav om etablering i Unionen (ISIC Rev. 3.1 4010, CPC 71310).
I BG: For så vidt angår tjenesteydelser i tilknytning til energidistribution (del af CPC 88).
I PT: For så vidt angår produktion, transmission og distribution af elektricitet, produktion af gas, rørledningstransport af brændstoffer, engroshandel med elektricitet, detailhandel med elektricitet og gas (ikke flaskeglas) og tjenesteydelser i tilknytning til elektricitets- og naturgasdistribution. Koncessioner for el- og gassektoren tildeles kun aktieselskaber med hovedkvarter og faktisk ledelse i PT (ISIC Rev. 3.1 232, 4010, 4020, CPC 7131, 7422, 887 med undtagelse af rådgivning og konsulentvirksomhed).
I SK: Der kræves en tilladelse til produktion, transmission og distribution af elektricitet, fremstilling af gas og distribution af gasformige brændstoffer, produktion og distribution af damp og varmt vand, rørledningstransport af brændstoffer, engros- og detailsalg af elektricitet, damp og varmt vand samt tjenesteydelser i tilknytning til energidistribution, herunder tjenesteydelser på området for energieffektivitet, energibesparelser og energisyn. En økonomisk behovsprøve anvendes, og ansøgningen kan kun afvises, hvis markedet er mættet. For alle disse aktiviteter kan der kun gives tilladelse til en fysisk person med fast bopæl i EØS eller en juridisk person fra EØS.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I BE: Med undtagelse af udvinding af metalholdige malme og anden råstofindvinding kan virksomheder, der kontrolleres af fysiske eller juridiske personer i et tredjeland, som tegner sig for mere end 5 procent af EU's olie-, naturgas- eller elektricitetsimport, være udelukket fra at opnå kontrol over aktiviteten. Krav om registrering som juridisk person (ingen filialer) (ISIC Rev. 3.1 10, 1110, 13, 14, 232, del af 4010, del af 4020, del af 4030).
Eksisterende foranstaltninger:
EU: Europa-Parlamentets og Rådets direktiv (EU) 2019/944 
(
9
)
 og
Europa-Parlamentets og Rådets direktiv 2009/73/EF 
(
10
)
.
BG: Energiloven.
CY: Lovene om regulering af elektricitetsmarkedet fra 2003, lov 122(I)/2003 som ændret
lovene om regulering af gasmarkedet fra 2004, lov 183(I)/2004 som ændret
loven om olieprodukter (rørledninger), kapitel 273
loven om olieprodukter, kapitel 272 som ændret og
lovene om olieprodukt- og brændstofspecifikationer fra 2003, lov 148(I)/2003 som ændret
FI: Maakaasumarkkinalaki (lov om markedet for naturgas) (508/2000), og Sähkömarkkinalaki (lov om elektricitetsmarkedet) (386/1995). Maakaasumarkkinalaki (lov om markedet for naturgas) (587/2017).
FR: Code de l’énergie.
PT: Lovdekret 230/2012 og lovdekret 231/2012, 26. oktober – naturgas, lovdekret 215-A/2012 og lovdekret 215-B/2012, 8. oktober – elektricitet og lovdekret 31/2006, 15. februar – råolie/olieprodukter.
SK: Lov 51/1988 om minedrift, sprængstoffer og statens minedriftadministration
lov 569/2007 om geologiske arbejder
lov 251/2012 om energi og lov 657/2004 om termisk energi.
b)   Elektricitet (ISIC Rev. 3.1 40, 401; CPC 62271, 887 (med undtagelse af rådgivning og konsulentvirksomhed))
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse, præstationskrav og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I FI: Import af elektricitet. For så vidt angår grænseoverskridende handel, engroshandel og detailhandel med elektricitet.
I FR: Kun virksomheder, hvor 100 procent af kapitalen indehaves af den franske stat, af en anden offentlig organisation eller af Electricité de France (EDF), kan eje og drive transmissions- eller distributionssystemer til elektricitet.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I BG: For så vidt angår produktion af elektricitet og varme.
I PT: Elektricitetstransmission og -distribution sker på grundlag af eksklusive koncessionskontrakter om offentlige tjenesteydelser.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I BE: En individuel godkendelse til produktion af elektricitet med en kapacitet på 25 MW eller derover kræver etablering i Unionen eller i en anden stat, som har en ordning svarende til den, der håndhæves ved Europa-Parlamentets og Rådets direktiv 96/92/EF 
(
11
)
, og hvor virksomheden har en reel og vedvarende forbindelse med landets økonomi.
Produktionen af elektricitet inden for Belgiens offshoreterritorium er underlagt koncession og en forpligtelse til at indgå i et joint venture med en juridisk person fra Unionen eller en juridisk person fra et land, som har en ordning svarende til den, der er omhandlet i Europa-Parlamentets og Rådets direktiv 2003/54/EF 
(
12
)
, navnlig med hensyn til betingelser vedrørende godkendelse og udvælgelse.
Desuden skal den juridiske person have sit hovedkontor i en EU-medlemsstat eller et land, der opfylder ovennævnte kriterier, hvor den har en reel og vedvarende forbindelse med landets økonomi.
Etablering af elektriske ledninger, som forbinder offshoreproduktionen med Elia-transmissionsnettet, kræver tilladelse, og virksomheden skal opfylde de tidligere omhandlede betingelser med undtagelse af kravene om et joint venture.
Hvad angår grænseoverskridende handel med tjenesteydelser – national behandling:
I BE: En tilladelse er nødvendig for levering af elektricitet via en mellemmand, der har kunder etableret i BE, som er tilsluttet det nationale net eller en direkte linje, hvis nominelle spænding er højere end 70000 volt. Denne tilladelse kan kun gives til en fysisk eller juridisk person fra EØS.
Hvad angår liberalisering af investeringer – markedsadgang:
I FR: For så vidt angår produktion af elektricitet.
Eksisterende foranstaltninger:
BE: Arrêté Royal du 11 octobre 2000 fixant les critères et la procédure d'octroi des autorisations individuelles préalables à la construction de lignes directes,
Arrêté Royal du 20 décembre 2000 relatif aux conditions et à la procédure d'octroi des concessions domaniales pour la construction et l'exploitation d'installations de production d'électricité à partir de l'eau, des courants ou des vents, dans les espaces marins sur lesquels la Belgique peut exercer sa juridiction conformément au droit international de la mer and Arrêté Royal du 12 mars 2002 relatif aux modalités de pose de câbles d'énergie électrique qui pénètrent dans la mer territoriale ou dans le territoire national ou qui sont installés ou utilisés dans le cadre de l'exploration du plateau continental, de l'exploitation des ressources minérales et autres ressources non vivantes ou de l'exploitation d'îles artificielles, d'installations ou d'ouvrages relevant de la juridiction belge,
Arrêté royal relatif aux autorisations de fourniture d'électricité par des intermédiaires et aux règles de conduite applicables à ceux-ci,
Arrêté royal du 12 juin 2001 relatif aux conditions générales de fourniture de gaz naturel et aux conditions d'octroi des autorisations de fourniture de gaz naturel.
FI: Maakaasumarkkinalaki (lov om markedet for naturgas) (508/2000), og Sähkömarkkinalaki (lov om elektricitetsmarkedet) (588/2013), Maakaasumarkkinalaki (lov om markedet for naturgas) (587/2017).
FR: Code de l’énergie.
PT: Lovdekret 215-A/2012 og
lovdekret 215-B/2012, 8. oktober – elektricitet.
c)   Brændstoffer, gas, råolie og olieprodukters (ISIC Rev. 3.1 232, 40, 402; CPC 613, 62271, 63297, 7131, 71310, 742, 7422, del af 88, 887 (med undtagelse af rådgivning og konsulentvirksomhed)).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse, præstationskrav og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I FI: Ret til at forhindre udenlandske fysiske eller juridiske personers kontrol eller ejerskab af terminaler til flydende naturgas (LNG) (herunder de dele af LNG-terminaler, der benyttes til oplagring og forgasning af LNG) af hensyn til energisikkerheden.
I FR: Kun virksomheder, hvor 100 procent af kapitalen indehaves af den franske stat, af en anden offentlig organisation eller af ENGIE, kan eje og drive transmissions- eller distributionssystemer til gas af hensyn til den nationale energisikkerhed.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I BE: For så vidt angår styrtgodslagring af gas, vedrørende juridiske enheders form og behandlingen af offentlige eller private aktører, som Belgien har indrømmet eksklusive rettigheder. Der kræves etablering inden for Unionen for styrtgodslagring af gas (del af CPC 742).
I BG: For så vidt angår rørledningstransport, opbevaring og oplagring af olieprodukter og naturgas, herunder transitoverførsel (CPC 71310, del af CPC 742).
I PT: For så vidt angår grænseoverskridende levering af lager- og pakhusvirksomhed for brændstoffer, der transporteres ad rørledning (naturgas). Koncessioner vedrørende transmission, distribution og underjordisk oplagring af naturgas samt LNG-terminaler til modtagelse, oplagring og forgasning tildeles desuden på grundlag af koncessionskontrakter efter offentlige udbud (CPC 7131, CPC 7422).
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I BE: Rørledningstransport af naturgas og andre brændstoffer er genstand for et krav om tilladelse. En godkendelse kan kun gives til en fysisk eller juridisk person, der er etableret i en medlemsstat (i overensstemmelse med artikel 3 i Arrêté Royal af 14. maj 2002).
Hvis en virksomhed anmoder om tilladelse, skal:
a)
virksomheden være etableret i henhold til belgisk lovgivning, lovgivningen i en anden medlemsstat eller lovgivningen i et tredjeland, der har forpligtet sig til at opretholde en administrativ ramme svarende til de fælles krav, der er omhandlet i Europa-Parlamentets og Rådets direktiv 98/30/EF 
(
13
)
, og
b)
virksomheden have sit forvaltningsmæssige hjemsted, sit hovedforretningssted eller sit hovedkontor i en medlemsstat eller et tredjeland, der har forpligtet sig til at opretholde en administrativ ramme svarende til de fælles krav, der er omhandlet i Europa-Parlamentets og Rådets direktiv 98/30/EF, forudsat at den virksomhed, der udøves på hovedforretningsstedet eller hovedkontoret, udgør en reel og vedvarende forbindelse med økonomien i det pågældende land (CPC 7131).
I BE: Generelt er levering af naturgas til kunder (kunder er både distributionsvirksomheder og forbrugere, hvis samlede kombinerede forbrug af gas hidrørende fra alle forsyningspunkter er på mindst en million kubikmeter pr. år), der er etableret i Belgien, genstand for et krav om individuel godkendelse udstedt af ministeren, medmindre leverandøren er en distributionsvirksomhed, som benytter sit eget distributionsnet. En sådan godkendelse kan kun gives til fysiske eller juridiske personer fra EU.
I CY: For så vidt angår grænseoverskridende levering af lager- og pakhusvirksomhed for brændstoffer, der transporteres ad rørledning, og detailhandel med brændselsolier og flaskegas undtagen pr. postordre (CPC 613, CPC 62271, CPC 63297, CPC 7131, CPC 742).
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang:
I HU: Levering af tjenesteydelser i tilknytning til rørledningstransport kræver etablering. Tjenesteydelser kan leveres på grundlag af en koncessionskontrakt udstedt af de statslige eller lokale myndigheder. Leveringen af disse tjenesteydelser er reguleret ved den ungarske koncessionslovgivning (CPC 7131).
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang:
I LT: For så vidt angår rørledningstransport af brændstoffer og hjælpetjenesteydelser for rørledningstransport af andre varer end brændstoffer.
Eksisterende foranstaltninger:
BE: Arrêté Royal du 14 mai 2002 relatif à l'autorisation de transport de produits gazeux et autres par canalisations og
loi du 12 avril 1965 relative au transport de produits gazeux et autres par canalisations (artikel 8.2).
BG: Energiloven.
CY: Loven om regulering af elektricitetsmarkedet fra 2003, lov 122(I)/2003 som ændret,
lovene om regulering af gasmarkedet fra 2004, lov 183(I)/2004 som ændret,
loven om olieprodukter (rørledninger), kapitel 273,
loven om olieprodukter, kapitel 272 som ændret, og
lovene om olieprodukt- og brændstofspecifikationer fra 2003, lov 148(I)/2003 som ændret.
FI: Maakaasumarkkinalaki (lov om markedet for naturgas) (508/2000), og Maakaasumarkkinalaki (lov om markedet for naturgas) (587/2017).
FR: Code de l’énergie.
HU: Lov XVI fra 1991 om koncessioner.
LT: Lov om naturgas for Republikken Litauen af 10. oktober 2000, nr. VIII-1973.
PT: Lovdekret 230/2012 og lovdekret 231/2012, 26. oktober – naturgas, lovdekret 215-A/2012 og lovdekret 215-B/2012, 8. oktober – elektricitet og lovdekret 31/2006, 15. februar – råolie/olieprodukter.
d)   Kerneenergi (ISIC Rev. 3.1 12, 3.1 23, 120, 1200, 233, 2330, 40, del af 4010, CPC 887)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I DE: For så vidt angår produktion, bearbejdning eller transport af nukleart materiale samt produktion og distribution af kerneenergi.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
I AT og FI: For så vidt angår produktion, bearbejdning, distribution eller transport af nukleart materiale samt produktion og distribution af kerneenergi.
I BE: For så vidt angår produktion, bearbejdning eller transport af nukleart materiale samt produktion og distribution af kerneenergi.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse, præstationskrav:
I HU og SE: For så vidt angår bearbejdning af nukleart brændsel og kerneenergiproduktion.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse:
I BG: For så vidt angår bearbejdning af fissions- og fusionsmaterialer eller materialer, af hvilke disse udvindes, samt handel hermed, vedligeholdelse og reparation af udstyr og systemer i kernekraftanlæg, transport af dette materiale og skrot og affald fra bearbejdning, brug af ioniserende stråling og alle andre tjenesteydelser i forbindelse med udnyttelse af kerneenergi til fredelige formål (herunder ingeniør- og konsulenttjenesteydelser og tjenesteydelser i forbindelse med software osv.).
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I FR: Disse aktiviteter skal være i overensstemmelse med en Euratomaftale.
Eksisterende foranstaltninger:
AT: Bundesverfassungsgesetz für ein atomfreies Österreich (forfatningsloven om et atomfrit Østrig) BGBl. I nr. 149/1999.
BG: Lov om sikker anvendelse af kerneenergi.
FI: Ydinenergialaki (lov om kerneenergi) (990/1987).
HU: Lov CXVI af 1996 om kerneenergi og
regeringsdekret nr. 72/2000 om kerneenergi.
SE: Den svenske miljølov (1998:808) og lov om aktiviteter inden for nuklear teknologi (1984:3).
Forbehold nr. 23 – Andre tjenesteydelser, i.a.n.
Sektor:
Andre tjenesteydelser, i.a.n.
Brancheklassifikation:
CPC 9703, del af CPC 612, del af CPC 621, del af CPC 625, del af 85990
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelser
Præstationskrav
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
EU forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Tjenesteydelser i forbindelse med begravelser, ligbrænding og bedemandsvirksomhed (CPC 9703)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling:
I FI: Ligbrændingstjenester og drift/vedligeholdelse af kirkegårde og gravpladser kan kun udføres af staten, kommunerne, sogne, trossamfund eller non-profit-fonde eller -foreninger.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
I DE: Kun juridiske personer, der er etableret i henhold til offentlig ret kan drive en kirkegård. Oprettelse og drift af kirkegårde og tjenesteydelser i forbindelse med begravelsesvæsen.
I PT: Der er krav om handelsmæssig tilstedeværelse for at levere tjenesteydelser i forbindelse med begravelser og bedemandsvirksomhed. Der kræves EØS-statsborgerskab for at blive teknisk leder for enheder, der leverer tjenesteydelser i forbindelse med begravelser og bedemandsvirksomhed.
I SE: Den svenske kirke og de lokale myndigheder har monopol på levering af tjenesteydelser i forbindelse med begravelser og ligbrænding.
I CY, SI: Tjenesteydelser i forbindelse med begravelser, ligbrænding og bedemandsvirksomhed.
Eksisterende foranstaltninger:
FI: Hautaustoimilaki (lov om begravelsesvirksomhed) (457/2003).
PT: Lovdekret nr. 10/2015 af 16. januar som ændret ved lov 15/2018, 27. marts).
SE: Begravningslag (1990:1144) (begravelsesloven), Begravningsförordningen (1990:1147) (begravelsesforordningen).
b)   Andre forretningsrelaterede tjenesteydelser
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang:
I FI: Krav om etablering i Finland eller andre steder i EØS for at udbyde elektroniske identifikationstjenesteydelser.
Eksisterende foranstaltninger:
FI: Laki vahvasta sähköisestä tunnistamisesta ja sähköisistä luottamuspalveluista 617/2009 (lov om stærk elektronisk identifikation og elektroniske signaturer 617/2009).
c)   Nye tjenesteydelser
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse, præstationskrav og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
EU: For så vidt angår levering af andre nye tjenesteydelser end dem, der er klassificeret i De Forenede Nationers centrale produktklassifikation (CPC), 1991.
Det Forenede Kongeriges liste
Forbehold nr. 1 – Alle sektorer
Forbehold nr. 2 – Liberale tjenesteydelser (alle erhverv undtagen sundhedsrelaterede erhverv)
Forbehold nr. 3 – Liberale tjenesteydelser (sundhedsrelaterede erhverv og detailhandel med lægemidler)
Forbehold nr. 4 – Forretningstjenesteydelser (inkassovirksomhed og kreditoplysningsvirksomhed)
Forbehold nr. 5 – Forretningstjenesteydelser (arbejdsformidling)
Forbehold nr. 6 – Forretningstjenesteydelser (detektivvirksomhed)
Forbehold nr. 7 – Forretningstjenesteydelser (andre forretningstjenesteydelser)
Forbehold nr. 8 – Undervisning
Forbehold nr. 9 – Finansielle tjenesteydelser
Forbehold nr. 10 – Sundhedstjenesteydelser og sociale tjenesteydelser
Forbehold nr. 11 – Fritids- og sportsaktiviteter samt kulturelle aktiviteter
Forbehold nr. 12 – Transport og hjælpetjenesteydelser i tilknytning til transport
Forbehold nr. 13 – Fiskeri og vand
Forbehold nr. 14 – Energirelaterede aktiviteter
Forbehold nr. 15 – Andre tjenesteydelser, i.a.n.
Forbehold nr. 1 – Alle sektorer
Sektor:
Alle sektorer
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelser
Præstationskrav
Lokal tilstedeværelse
Forpligtelser vedrørende juridiske tjenesteydelser
Kapitel/afsnit:
Liberalisering af investeringer, grænseoverskridende handel med tjenesteydelser og lovgivningsmæssig ramme for juridiske tjenesteydelser
Beskrivelse:
Det Forenede Kongerige forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Handelsmæssig tilstedeværelse
Hvad angår liberalisering af investeringer – markedsadgang:
Tjenesteydelser, der betragtes som offentlig forsyningsvirksomhed på nationalt eller lokalt plan, kan være genstand for offentlige monopoler eller eksklusive rettigheder, som indrømmes private operatører.
Offentlig forsyningsvirksomhed findes i sektorer som f.eks. beslægtet teknisk-videnskabelig konsulenttjenesteydelser, forsknings- og udviklingsvirksomhed (FoU-tjenesteydelser) i tilknytning til samfundsvidenskab og humanistiske videnskaber, teknisk afprøvning og analyse, miljø, sundhedsydelser, transport og tjenesteydelser i tilknytning til alle transportformer. Eksklusive rettigheder til sådanne tjenesteydelser indrømmes ofte til private operatører, f.eks. sådanne, som de offentlige myndigheder har indrømmet koncessioner forbundet med specifikke serviceforpligtelser. Da der også ofte findes offentlig forsyningsvirksomhed på niveauer under centraladministrationen, er en detaljeret og udtømmende opregning ikke praktisk mulig. Dette forbehold finder ikke anvendelse på telekommunikation og computertjenesteydelser og tilknyttede tjenesteydelser.
b)   Mestbegunstigelsesbehandling
Hvad angår liberalisering af investeringer – mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – mestbegunstigelsesbehandling og lovgivningsmæssige rammer for juridiske tjenesteydelser – forpligtelser:
Der indrømmes differentieret behandling i henhold til enhver international investerings- eller handelsaftale, der er gældende eller undertegnes før denne aftales ikrafttræden.
Der indrømmes et land differentieret behandling i henhold til en eksisterende eller fremtidig bilateral eller multilateral aftale, som:
i)
skaber et indre marked for tjenesteydelser og investeringer
ii)
giver etableringsret eller
iii)
kræver tilnærmelse af lovgivningen i en eller flere økonomiske sektorer.
Ved et "indre marked for tjenesteydelser og etablering" forstås et område uden indre grænser og med fri bevægelighed for tjenesteydelser, kapital og personer.
Ved "etableringsret" forstås forpligtelsen til fra og med aftalens ikrafttræden at ophæve alle hindringer for etablering mellem parterne i aftalen om regional økonomisk integration. Etableringsretten giver statsborgere i parterne i aftalen om regional økonomisk integration ret til at oprette og drive virksomheder på de betingelser, der i henhold til lovgivningen gælder for værtslandets egne statsborgere.
Ved "tilnærmelse af lovgivningen" forstås:
i)
tilpasning af lovgivningen i en eller flere af parterne i aftalen om regional økonomisk integration til lovgivningen i en anden eller flere andre parter i aftalen eller
ii)
inkorporering af fælles bestemmelser i lovgivningen hos parterne i aftalen om regional økonomisk integration.
En sådan tilpasning eller inkorporering skal finde sted og anses først for at træde i kraft fra det tidspunkt, hvor den er blevet indført i lovgivningen i parten eller parterne i aftalen om regional økonomisk integration.
Der indrømmes differentieret behandling vedrørende etableringsret til statsborgere eller virksomheder gennem eksisterende eller fremtidige bilaterale aftaler mellem Det Forenede Kongerige og følgende lande eller fyrstendømmer: Andorra, Monaco, San Marino og Vatikanstaten.
c)   Våben, ammunition og krigsmateriel
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, mestbegunstigelsesbehandling, øverste ledelse og bestyrelse, præstationskrav og grænseoverskridende handel med tjenesteydelser – markedsadgang, lokal tilstedeværelse, national behandling, mestbegunstigelsesbehandling:
Produktion og distribution af, eller handel med, våben, ammunition og krigsmateriel. Krigsmateriel er begrænset til produkter, som udelukkende er bestemt og fremstillet til militær brug i forbindelse med krigsførelse eller forsvar.
Forbehold nr. 2 – Liberale tjenesteydelser (alle erhverv undtagen sundhedsrelaterede erhverv)
Sektor – delsektor:
Liberale tjenesteydelser - juridiske tjenesteydelser, revisionstjenesteydelser:
Brancheklassifikation:
Del af CPC 861, del af 87902, del af 862
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelser
Lokal tilstedeværelse
Forpligtelser vedrørende juridiske tjenesteydelser
Kapitel/afsnit:
Liberalisering af investeringer, grænseoverskridende handel med tjenesteydelser og lovgivningsmæssig ramme for juridiske tjenesteydelser
Beskrivelse:
a)   Juridiske tjenesteydelser
Hvad angår liberalisering af investeringer – markedsadgang, øverste ledelse og bestyrelse, national behandling, grænseoverskridende handel med tjenesteydelser – markedsadgang, lokal tilstedeværelse, national behandling og lovgivningsmæssige rammer for juridiske tjenesteydelser – forpligtelser:
Det Forenede Kongerige forbeholder sig retten til at indføre eller opretholde foranstaltninger vedrørende juridisk rådgivning, lovbestemte tilladelser og juridisk dokumentation og certificering, der udøves af selvstændige inden for de juridiske erhverv, der er betroet et offentligt embede, herunder notarer, og for så vidt angår tjenesteydelser, som leveres af stævningsmænd (del af CPC 861, del af 87902).
b)   Revisionstjenesteydelser (CPC 86211, 86212 undtagen regnskabsvæsen og bogholderivirksomhed)
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, lokal tilstedeværelse, national behandling:
Det Forenede Kongerige forbeholder sig retten til at indføre eller opretholde foranstaltninger vedrørende grænseoverskridende levering af revisionstjenesteydelser.
Eksisterende foranstaltninger:
Companies Act 2006
Forbehold nr. 3 – Liberale tjenesteydelser (sundhedsrelaterede erhverv og detailhandel med lægemidler)
Sektor:
Sundhedsrelaterede ydelser og detailhandel med farmaceutiske produkter og medicinske og ortopædiske artikler, andre tjenesteydelser leveret af farmaceuter
Brancheklassifikation:
CPC 63211, 85201, 9312, 9319, 93121
Forbeholdstype:
Markedsadgang
National behandling
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
Det Forenede Kongerige forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Læge- og tandlægevirksomhed, jordemodertjenesteydelser, tjenesteydelser leveret af sygeplejersker, fysioterapeuter, psykologer og paramedicinsk personale (CPC 63211, 85201, 9312, 9319)
Hvad angår liberalisering af investeringer – markedsadgang:
Læger kan kun nedsætte sig under det nationale sundhedsvæsen afhængigt af personaleplanlægningen på det medicinske område (CPC 93121, 93122).
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, lokal tilstedeværelse, national behandling:
Der er bopælskrav for levering af alle sundhedsrelaterede ydelser, herunder ydelser leveret af fagfolk såsom læger, tandlæger, jordemødre, sygeplejersker, fysioterapeuter, paramedicinsk personale og psykologer. Disse tjenesteydelser kan kun leveres af fysiske personer, der er fysisk til stede på Det Forenede Kongeriges område (CPC 9312, del af 93191).
Grænseoverskridende levering af ydelser leveret af læger, tandlæger, jordemødre, sygeplejersker, fysioterapeuter, psykologer og paramedicinsk personale (del af CPC 85201, 9312, del af 93191).
For tjenesteydere, der ikke er fysisk til stede i UK (del af CPC 85201, 9312, del af 93191).
b)   Detailhandel med farmaceutiske produkter og medicinske og ortopædiske artikler, andre tjenesteydelser leveret af farmaceuter (CPC 63211)
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang, lokal tilstedeværelse:
Postordresalg er kun muligt fra Det Forenede Kongerige, og etablering i Det Forenede Kongerige er således nødvendig for detailhandel med farmaceutiske produkter og specifikke medicinske artikler til offentligheden i Det Forenede Kongerige.
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, lokal tilstedeværelse, national behandling:
Grænseoverskridende detailhandel med farmaceutiske produkter og medicinske og ortopædiske artikler og andre tjenesteydelser leveret af farmaceuter.
Forbehold nr. 4 – Forretningstjenesteydelser (inkassovirksomhed og kreditoplysningsvirksomhed)
Sektor – delsektor:
Forretningstjenesteydelser - inkassovirksomhed, kreditoplysningsvirksomhed
Brancheklassifikation:
CPC 87901, 87902
Forbeholdstype:
Markedsadgang
National behandling
Lokal tilstedeværelse
Kapitel:
Grænseoverskridende handel med tjenesteydelser
Beskrivelse:
Det Forenede Kongerige forbeholder sig retten til at indføre eller opretholde foranstaltninger vedrørende inkassovirksomhed og kreditoplysningsvirksomhed.
Forbehold nr. 5 – Forretningstjenesteydelser (arbejdsformidling)
Sektor – delsektor:
Forretningstjenesteydelser – arbejdsformidling
Brancheklassifikation:
CPC 87202, 87204, 87205, 87206, 87209
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelser
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
Det Forenede Kongerige forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
Anvisning af hushjælpspersonale, arbejdstagere til erhverv og industri, plejepersonale og andet personale (CPC 87204, 87205, 87206, 87209).
Ret til at kræve etablering og til at forbyde grænseoverskridende levering af rekruttering af kontorpersonale og andre arbejdstagere.
Forbehold nr. 6 – Forretningstjenesteydelser (detektivvirksomhed)
Sektor – delsektor:
Forretningstjenesteydelser – detektivvirksomhed
Brancheklassifikation:
CPC 87301
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelser
Præstationskrav
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
Det Forenede Kongerige forbeholder sig retten til at indføre eller opretholde foranstaltninger vedrørende detektivvirksomhed (CPC 87301).
Forbehold nr. 7 – Forretningstjenesteydelser (andre forretningstjenesteydelser)
Sektor – delsektor:
Forretningstjenesteydelser – andre forretningstjenesteydelser
Brancheklassifikation:
CPC 86764, 86769, 8868, del af 8790
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
Det Forenede Kongerige forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Vedligeholdelse og reparation af fartøjer, jernbanetransportudstyr og luftfartøjer samt dele dertil (del af CPC 86764, CPC 86769, CPC 8868)
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, lokal tilstedeværelse, national behandling:
Krav om oprettelse eller fysisk tilstedeværelse på dets område og om forbud mod grænseoverskridende levering af vedligeholdelse og reparation af jernbanetransportudstyr, som er leveret fra et sted uden for dets område.
Krav om oprettelse eller fysisk tilstedeværelse på dets område og om forbud mod grænseoverskridende levering af vedligeholdelse og reparation af fartøjer til transport ad indre vandveje, som er leveret fra et sted uden for dets område.
Krav om oprettelse eller fysisk tilstedeværelse på dets område og om forbud mod grænseoverskridende levering af vedligeholdelse og reparation af maritime fartøjer, som er leveret fra et sted uden for dets område.
Krav om oprettelse eller fysisk tilstedeværelse på dets område og om forbud mod grænseoverskridende levering af vedligeholdelse og reparation af luftfartøjer samt dele dertil, som er leveret fra et sted uden for dets område (del af CPC 86764, CPC 86769, CPC 8868).
Kun anerkendte organisationer bemyndiget i Det Forenede Kongerige kan gennemføre lovbestemt inspektion og certificering af skibe på vegne af Det Forenede Kongerige. Etablering kan være påkrævet.
Eksisterende foranstaltninger:
Europa-Parlamentets og Rådets forordning (EF) nr. 391/2009 af 23. april 2009 om fælles regler og standarder for organisationer, der udfører inspektion og syn af skibe som bibeholdt i Det Forenede Kongeriges lovgivning ved European Union (Withdrawal) Act 2018 og som ændret ved 2019-forordningerne om handelsskibsfart (anerkendte organisationer) (ændring) (EU Exit).
b)   Andre forretningstjenesteydelser i tilknytning til luftfart
Hvad angår liberalisering af investeringer – mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – mestbegunstigelsesbehandling:
Der indrømmes differentieret behandling til et tredjeland i henhold til gældende eller fremtidige bilaterale aftaler vedrørende følgende tjenesteydelser:
i)
tjenester i forbindelse med reparation og vedligeholdelse af flyvemaskiner
ii)
udlejning eller leasing af luftfartøjer uden besætning
iii)
tjenesteydelser i forbindelse med IT-reservationssystemer (CRS)
iv)
følgende tjenester, der leveres med et bemandet luftfartøj, med forbehold af overholdelsen af parternes respektive love og forskrifter vedrørende luftfartøjers indflyvning i, operationer i eller udflyvning fra deres territorium: brandbekæmpelse fra luften, flyvetræning, sprøjtning, landmåling, kortlægning, fotografering og andre luftbårne landbrugs-, industri- og tilsynstjenester og
v)
salg og markedsføring af lufttransporttjenesteydelser.
Forbehold nr. 8 – Undervisning
Sektor:
Undervisning
Brancheklassifikation:
CPC 92
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelser
Præstationskrav
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
Det Forenede Kongerige forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
Alle uddannelsestjenester, der modtager offentlig støtte eller statsstøtte i en hvilken som helst form og derfor ikke kan anses for at være privatfinansieret. Når det er tilladt for udenlandske tjenesteydere at levere privatfinansieret undervisning, kan private operatørers deltagelse i uddannelsessystemet være underlagt tildeling af en koncession, som tildeles på et ikkediskriminerende grundlag.
Levering af anden privatfinansieret uddannelse, dvs. uddannelse, der ikke klassificeres som primærundervisning, sekundærundervisning, videregående uddannelse og voksenundervisning (CPC 929).
Forbehold nr. 9 – Finansielle tjenesteydelser
Sektor:
Finansielle tjenesteydelser
Brancheklassifikation:
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
Det Forenede Kongerige forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Alle finansielle tjenesteydelser
Hvad angår liberalisering af investeringer – markedsadgang:
Ret til på et ikkediskriminerende grundlag at kræve, at leverandører af finansielle tjenesteydelser, med undtagelse af filialer, har en specifik juridisk form, når de etablerer sig i Det Forenede Kongerige.
Hvad angår liberalisering af investeringer – mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – mestbegunstigelsesbehandling:
Der indrømmes differentieret behandling til en investor eller en leverandør af finansielle tjenesteydelser fra et tredjeland i henhold til enhver bilateral eller multilateral international investerings- eller handelsaftale.
b)   Forsikring og forsikringsrelaterede tjenesteydelser
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
Med henblik på levering af forsikringstjenesteydelser og forsikringsrelaterede tjenesteydelser undtagen:
i)
direkte forsikring (herunder coassurance) og direkte forsikringsmægling til forsikring af risici i forbindelse med:
—
søtransport og kommerciel luftfart samt opsendelse og fragt i rummet (inklusive satellitter) med en forsikring, der dækker et eller samtlige af de følgende: de transporterede varer, transportmidlet og alt ansvar i forbindelse med transporten og
—
varer i international transit
ii)
genforsikring og retrocession og
iii)
tjenesteydelser i tilknytning til forsikring.
c)   Bankvirksomhed og andre finansielle tjenesteydelser
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – lokal tilstedeværelse:
Kun virksomheder, der har deres vedtægtsmæssige hjemsted i Det Forenede Kongerige, kan fungere som depositarer for investeringsinstitutters aktiver. Til forvaltning af fælles fonde, herunder investeringsforeninger og, såfremt det er tilladt i henhold til den nationale lovgivning, investeringsselskaber, skal der etableres et specialiseret administrationsselskab med hovedkontor og vedtægtsmæssigt hjemsted i Det Forenede Kongerige.
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
Med henblik på bankvirksomhed og andre finansielle tjenesteydelser undtagen:
i)
tilvejebringelse og overførsel af finansielle oplysninger samt software til behandling af finansielle data og dermed beslægtet software fra leverandører af andre finansielle tjenesteydelser og
ii)
rådgivning og dermed beslægtede finansielle tjenesteydelser i forbindelse med bankvirksomhed og andre finansielle tjenesteydelser som omhandlet i litra L) i definitionen af bankvirksomhed og andre finansielle tjenesteydelser (undtagen forsikring) i denne aftales artikel 183, litra a), nr. ii), men ikke mægling som omhandlet i samme litra.
Forbehold nr. 10 – Sundhedstjenesteydelser og sociale tjenesteydelser
Sektor:
Sundhedstjenesteydelser og sociale tjenesteydelser
Brancheklassifikation:
CPC 931 undtagen 9312, del af 93191
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelser
Præstationskrav
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
Det Forenede Kongerige forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Sundhedstjenesteydelser – hospitalsvirksomhed, ambulancetjenesteydelser, behandlingshjem (CPC 931 bortset fra 9312, del af 93191)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, præstationskrav, øverste ledelse og bestyrelse:
For levering af alle sundhedstjenesteydelser, der modtager offentlig støtte eller statsstøtte i en hvilken som helst form og derfor ikke kan anses for at være privatfinansieret.
Alle privatfinansierede sundhedstjenesteydelser med undtagelse af hospitalsvirksomhed Private operatørers deltagelse i privatfinansierede sundhedsnetværk kan være underlagt koncession på et ikkediskriminerende grundlag. Der kan evt. anvendes en økonomisk behovsprøve. Hovedkriterium: de eksisterende operatørers antal og virkningen for disse, transportinfrastrukturen, befolkningstætheden, den geografiske spredning og skabelsen af nye arbejdspladser.
Dette forbehold vedrører ikke levering af sundhedsrelaterede ydelser, herunder ydelser leveret af fagfolk såsom læger, tandlæger, jordemødre, sygeplejersker, fysioterapeuter, paramedicinsk personale og psykologer, der er omfattet af andre forbehold (CPC 931 undtagen 9312, del af 93191).
b)   Sundhedstjenesteydelser og sociale tjenesteydelser, herunder pensionsforsikring
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, lokal tilstedeværelse, national behandling:
Krav om etablering eller fysisk tilstedeværelse på dets område for leverandører og begrænsning af grænseoverskridende levering af sundhedstjenesteydelser fra et sted uden for dets område, grænseoverskridende levering af sociale tjenesteydelser fra et sted uden for EU's område samt aktiviteter eller tjenesteydelser, der er del af en offentlig pensionsplan eller en lovbestemt social sikringsordning. Dette forbehold vedrører ikke levering af sundhedsrelaterede ydelser, herunder ydelser leveret af fagfolk såsom læger, tandlæger, jordemødre, sygeplejersker, fysioterapeuter, paramedicinsk personale og psykologer, der er omfattet af andre forbehold (CPC 931 undtagen 9312, del af 93191).
c)   Sociale tjenesteydelser, herunder pensionsforsikring
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse, præstationskrav:
Levering af alle sociale tjenesteydelser, der modtager offentlig støtte eller statsstøtte i en hvilken som helst form og derfor ikke kan anses for at være privatfinansieret, samt aktiviteter eller tjenesteydelser, der er del af en offentlig pensionsplan eller en lovbestemt social sikringsordning. Private operatørers deltagelse i privatfinansierede sociale netværk kan være underlagt koncession på et ikkediskriminerende grundlag. Der kan evt. anvendes en økonomisk behovsprøve. Hovedkriterium: de eksisterende operatørers antal og virkningen for disse, transportinfrastrukturen, befolkningstætheden, den geografiske spredning og skabelsen af nye arbejdspladser.
Levering af privatfinansierede sociale tjenesteydelser med undtagelse af tjenesteydelser i tilknytning til hvilehjem, plejehjem og ældrehjem.
Forbehold nr. 11 – Fritids- og sportsaktiviteter samt kulturelle aktiviteter
Sektor:
Fritids- og sportsaktiviteter samt kulturelle aktiviteter
Brancheklassifikation:
CPC 963, 9619, 964
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelser
Præstationskrav
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
Det Forenede Kongerige forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Biblioteker, arkiver, museer og anden kulturel virksomhed (CPC 963)
Biblioteker, arkiver, museer og anden kulturel virksomhed.
b)   Forlystelsesvirksomhed, teater, levende musik og cirkus (CPC 9619, 964 undtagen 96492)
Grænseoverskridende levering af forlystelsesvirksomhed, herunder teater, levende musik, cirkus og diskoteksvirksomhed.
c)   Spil og væddemål (CPC 96492)
Udbud af spil, som indebærer, at der gøres en indsats med penge i hasardspil, herunder lotterier, skrabelodder, spilletjenester udbudt i kasinoer, spillehaller eller udskænkningssteder, bookmakervirksomhed, bingospil og spilletjenester, der drives af og til fordel for velgørenhedsorganisationer eller almennyttige organisationer.
Forbehold nr. 12 – Transport og hjælpetjenesteydelser i tilknytning til transport
Sektor:
Transport
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Øverste ledelse og bestyrelser
Præstationskrav
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
Det Forenede Kongerige forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Søtransport – enhver anden erhvervsmæssig aktivitet, der udføres fra et skib
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse, præstationskrav og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
Besætningens nationalitet på søgående og ikkesøgående fartøjer.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, mestbegunstigelsesbehandling, øverste ledelse og bestyrelse:
Med henblik på registrering af et fartøj eller flådedrift under Det Forenede Kongeriges flag (al kommerciel aktivitet på havene fra et søgående skib, herunder fiskeri, akvakultur og tjenesteydelser i tilknytning til fiskeri, international passager- og godstransport (CPC 721) og tjenesteydelser i tilknytning til søtransport). Dette forbehold finder ikke anvendelse på juridiske personer, som er stiftet i Det Forenede Kongerige, og som har en effektiv og vedvarende forbindelse til dets økonomi.
b)   Tjenesteydelser i tilknytning til søtransport
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
Levering af lodsning og liggepladsfaciliteter. Det skal præciseres, at uanset de kriterier, der finder anvendelse på registrering af skibe i Det Forenede Kongerige, forbeholder Det Forenede Kongerige sig retten til at kræve, at kun skibe, der er registreret i de nationale registre i Det Forenede Kongerige, kan levere lodsning og liggepladsfaciliteter (CPC 7452).
Kun fartøjer, der fører Det Forenede Kongeriges flag, kan udføre slæbe- og bugservirksomhed (CPC 7214).
c)   Tjenesteydelser i tilknytning til transport ad indre vandveje
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, mestbegunstigelsesbehandling, øverste ledelse og bestyrelse, præstationskrav og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, mestbegunstigelsesbehandling:
Tjenesteydelser i tilknytning til transport ad indre vandveje.
d)   Jernbanetransport og tjenesteydelser i tilknytning til jernbanetransport
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, lokal tilstedeværelse, national behandling:
Passagertransport med jernbane (CPC 7111).
Hvad angår liberalisering af investeringer – markedsadgang og grænseoverskridende handel med tjenesteydelser – markedsadgang, lokal tilstedeværelse:
Godstransport med jernbane (CPC 7112).
e)   Vejtransport (passagertransport, godstransport, international lastvognstransport) og tjenesteydelser i tilknytning til vejtransport
Hvad angår grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse:
For vejtransporttjenester, der er omfattet af denne aftales anden del, sektion tre, og denne aftales bilag 31.
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling:
For vejtransporttjenester, der ikke er omfattet af denne aftales anden del, sektion tre, og denne aftales bilag 31:
i)
Ret til at kræve etablering og til at begrænse den grænseoverskridende levering af vejtransporttjenesteydelser (CPC 712)
ii)
Eventuel anvendelse af økonomisk behovsprøve for taxikørsel i Det Forenede Kongerige, hvorved der fastsættes en grænse for antallet af tjenesteydere. Hovedkriterium: Lokal efterspørgsel som fastsat i gældende lovgivning (CPC 71221).
Eksisterende foranstaltninger:
Europa-Parlamentets og Rådets forordning (EF) nr. 1071/2009 af 21. oktober 2009 om fælles regler om betingelser for udøvelse af vejtransporterhvervet og om ophævelse af Rådets direktiv 96/26/EF som bibeholdt i Det Forenede Kongeriges lovgivning ved European Union (Withdrawal) Act 2018 og som ændret ved 2019-forordningerne om licens til operatører og international godskørsel (ændring osv.) (EU Exit),
Europa-Parlamentets og Rådets forordning (EF) nr. 1072/2009 af 21. oktober 2009 om fælles regler for adgang til markedet for international godskørsel som bibeholdt i Det Forenede Kongeriges lovgivning ved European Union (Withdrawal) Act 2018 og som ændret ved 2019-forordningerne om licens til operatører og international godskørsel (ændring osv.) (EU Exit) og
Europa-Parlamentets og Rådets forordning (EF) nr. 1073/2009 af 21. oktober 2009 om fælles regler for adgang til det internationale marked for buskørsel og om ændring af forordning (EF) nr. 561/2006 som bibeholdt i Det Forenede Kongeriges lovgivning ved European Union (Withdrawal) Act 2018 og som ændret ved 2019-forordningerne om fælles regler for adgang til det internationale marked for buskørsel (ændring osv.) (EU Exit).
f)   Rumfart og udlejning af rumfartøjer
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse og grænseoverskridende handel med tjenesteydelser – markedsadgang, lokal tilstedeværelse, national behandling:
Transporttjenesteydelser gennem rummet og udlejning af rumfartøjer (CPC 733, del af 734).
g)   Mestbegunstigelsesundtagelser
Hvad angår liberalisering af investeringer – mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – mestbegunstigelsesbehandling:
i)
Vej- og jernbanetransport
Ret til at indrømme differentieret behandling til et land i henhold til eksisterende eller fremtidige bilaterale aftaler om international godskørsel (herunder kombineret vejtransport/jernbanetransport) og passagertransport, der indgås mellem Det Forenede Kongerige og et tredjeland (CPC 7111, 7112, 7121, 7122, 7123). En sådan behandling kan:
—
forbeholde eller begrænse leveringen af de pågældende transporttjenesteydelser mellem de kontraherende parter eller gennem de kontraherende parters territorium til køretøjer, der er registreret i de kontraherende parter, eller
—
give skattefritagelse for sådanne køretøjer.
ii)
Lufttransport – Tjenesteydelser i tilknytning til lufttransport
Der indrømmes differentieret behandling til et tredjeland i henhold til gældende eller fremtidige bilaterale aftaler vedrørende groundhandling.
Forbehold nr. 13 – Fiskeri og vand
Sektor:
Fiskeri, akvakultur, tjenesteydelser i tilknytning til fiskeri; indvinding, rensning og distribution af vand
Brancheklassifikation:
ISIC Rev. 3.1 0501, 0502, CPC 882, ISIC Rev. 3.1 41
Forbeholdstype:
Markedsadgang
National behandling
Mestbegunstigelsesbehandling
Øverste ledelse og bestyrelser
Præstationskrav
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
Det Forenede Kongerige forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår følgende:
a)   Fiskeri, akvakultur og tjenesteydelser i tilknytning til fiskeri (ISIC Rev. 3.1 0501, 0502, CPC 882)
Hvad angår liberalisering af investeringer – markedsadgang, national behandling, øverste ledelse og bestyrelse, præstationskrav mestbegunstigelsesbehandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, national behandling, lokal tilstedeværelse, mestbegunstigelsesbehandling:
1.
Navnlig inden for rammerne af Det Forenede Kongeriges fiskeripolitik og fiskeriaftaler med tredjelande, adgang til og udnyttelse af biologiske ressourcer og fangstpladser i farvandene henhørende under Det Forenede Kongeriges overhøjhed eller jurisdiktion eller fiskerettigheder i henhold til en fiskerilicens fra Det Forenede Kongerige, herunder foranstaltninger:
a)
der regulerer af landing af fangster taget af fartøjer, der fører en medlemsstats eller et tredjelands flag, for så vidt angår de kvoter, de har fået tildelt, eller, for så vidt angår fartøjer, der fører Det Forenede Kongeriges flag, krav om, at en del af den samlede fangst landes i Det Forenede Kongeriges havne
b)
der fastlægger en mindstestørrelse for virksomheder med henblik på at bevare fartøjer til henholdsvis ikkeindustrielt og kystnært fiskeri
c)
der indrømmer differentieret behandling i henhold til gældende eller fremtidige internationale aftaler vedrørende fiskeri og
d)
der kræver, at besætningen på et fartøj, der fører Det Forenede Kongeriges flag, er statsborgere i Det Forenede Kongerige.
2.
Et fiskerfartøjs ret til kun at føre Det Forenede Kongeriges flag, hvis:
a)
det fuldt ud ejes af:
i)
selskaber, der er stiftet i Det Forenede Kongerige, eller
ii)
statsborgere i Det Forenede Kongerige
b)
den daglige drift ledes og kontrolleres fra Det Forenede Kongerige, og
c)
befragteren, forvalteren eller operatøren af fartøjet er en virksomhed, som er stiftet i Det Forenede Kongerige eller er statsborger i Det Forenede Kongerige.
3.
En kommerciel licens, som giver ret til at fiske i Det Forenede Kongeriges søterritorium, kan kun indrømmes til fartøjer, der fører Det Forenede Kongeriges flag.
4.
Etablering af havbrugsfaciliteter og landbaserede faciliteter inden for akvakultur.
5.
Punkt 1, litra a), b), c) (bortset fra mestbegunstigelsesbehandling) og d), punkt 2, litra a), nr. i), litra b) og c), og punkt 3 finder kun anvendelse på foranstaltninger, der gælder for fartøjer eller virksomheder, uanset de reelle ejeres nationalitet.
b)   Indvinding, rensning og distribution af vand
Hvad angår liberalisering af investeringer – markedsadgang, national behandling og grænseoverskridende handel med tjenesteydelser – markedsadgang, lokal tilstedeværelse, national behandling:
For så vidt angår levering af tjenesteydelser i tilknytning til indvinding, rensning og distribution af vand til husholdninger, industrielle, kommercielle eller andre brugere, herunder drikkevand, og vandforvaltning.
Forbehold nr. 14 – Energirelaterede aktiviteter
Sektor:
Produktion af energi og tjenesteydelser i tilknytning hertil
Brancheklassifikation:
ISIC Rev. 3.1 401, 402, CPC 7131, CPC 887 (med undtagelse af rådgivning og konsulentvirksomhed).
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelser
Præstationskrav
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
Det Forenede Kongerige forbeholder sig retten til at indføre eller opretholde foranstaltninger, hvor Det Forenede Kongerige tillader udenlandsk ejerskab af et transmissionssystem til elektricitet eller gas eller et system til transport via olie- og gasrørledning, vedrørende virksomheder i Unionen, der kontrolleres af fysiske personer eller virksomheder i et tredjeland, som tegner sig for mere end fem procent af Det Forenede Kongeriges import af olie, naturgas eller elektricitet, for at garantere energiforsyningssikkerheden i Det Forenede Kongerige. Dette forbehold finder ikke anvendelse på rådgivning og konsulentvirksomhed, der leveres som tjenesteydelser i tilknytning til energidistribution.
Forbehold nr. 15 – Andre tjenesteydelser, i.a.n.
Sektor:
Andre tjenesteydelser, i.a.n.
Forbeholdstype:
Markedsadgang
National behandling
Øverste ledelse og bestyrelser
Præstationskrav
Lokal tilstedeværelse
Kapitel:
Liberalisering af investeringer og grænseoverskridende handel med tjenesteydelser
Beskrivelse:
Det Forenede Kongerige forbeholder sig retten til at indføre eller opretholde foranstaltninger for så vidt angår levering af andre nye tjenesteydelser end dem, der er klassificeret i De Forenede Nationers centrale produktklassifikation (CPC), 1991.
(
1
)
  Europa-Parlamentets og Rådets forordning (EF) nr. 391/2009 af 23. april 2009 om fælles regler og standarder for organisationer, der udfører inspektion og syn af skibe (
EUT L 131 af 28.5.2009, s. 11
).
(
2
)
  Europa-Parlamentets og Rådets direktiv 2009/65/EF af 13. juli 2009 om samordning af love og administrative bestemmelser om visse institutter for kollektiv investering i værdipapirer (investeringsinstitutter) (
EUT L 302 af 17.11.2009, s. 32
).
(
3
)
  Europa-Parlamentets og Rådets direktiv 2011/61/EU af 8. juni 2011 om forvaltere af alternative investeringsfonde og om ændring af direktiv 2003/41/EF og 2009/65/EF samt forordning (EF) nr. 1060/2009 og (EU) nr. 1095/2010 (
EUT L 174 af 1.7.2011, s. 1
).
(
4
)
  Europa-Parlamentets og Rådets direktiv 2012/34/EU af 21. november 2012 om oprettelse af et fælles europæisk jernbaneområde (
EUT L 343 af 14.12.2012, s. 32
).
(
5
)
  Europa-Parlamentets og Rådets forordning (EF) nr. 1071/2009 af 21. oktober 2009 om fælles regler om betingelser for udøvelse af vejtransporterhvervet og om ophævelse af Rådets direktiv 96/26/EF (
EUT L 300 af 14.11.2009, s. 51
).
(
6
)
  Europa-Parlamentets og Rådets forordning (EF) nr. 1072/2009 af 21. oktober 2009 om fælles regler for adgang til markedet for international godskørsel (
EUT L 300 af 14.11.2009, s. 72
).
(
7
)
  Europa-Parlamentets og Rådets forordning (EF) nr. 1073/2009 af 21. oktober 2009 om fælles regler for adgang til det internationale marked for buskørsel og om ændring af forordning (EF) nr. 561/2006 (
EUT L 300 af 14.11.2009, s. 88
).
(
8
)
  For så vidt angår Østrig dækker den del af undtagelsen vedrørende mestbegunstigelsesbehandling med hensyn til trafikrettigheder alle lande, hvormed der findes eller i fremtiden kan overvejes bilaterale aftaler om vejtransport eller andre ordninger vedrørende vejtransport.
(
9
)
  Europa-Parlamentets og Rådets direktiv (EU) 2019/944 af 5. juni 2019 om fælles regler for det indre marked for elektricitet og om ændring af direktiv 2012/27/EU (
EUT L 158 af 14.6.2019, s. 125
).
(
10
)
  Europa-Parlamentets og Rådets direktiv 2009/73/EF af 13. juli 2009 om fælles regler for det indre marked for naturgas og om ophævelse af direktiv 2003/55/EF (
EUT L 211 af 14.8.2009, s. 94
).
(
11
)
  Europa-Parlamentets og Rådets direktiv 96/92/EF af 19. december 1996 om fælles regler for det indre marked for elektricitet (
EFT L 27 af 30.1.1997, s. 20
).
(
12
)
  Europa-Parlamentets og Rådets direktiv 2003/54/EF af 26. juni 2003 om fælles regler for det indre marked for elektricitet og om ophævelse af direktiv 96/92/EF (
EUT L 176 af 15.7.2003, s. 37
).
(
13
)
  Europa-Parlamentets og Rådets direktiv 98/30/EF af 22. juni 1998 om fælles regler for det indre marked for naturgas (
EFT L 204 af 21.7.1998, s. 1
).
BILAG 21
FORRETNINGSREJSENDE I ETABLERINGSØJEMED, VIRKSOMHEDSINTERNT UDSTATIONEREDE OG FORRETNINGSREJSENDE PÅ KORTVARIGT OPHOLD
1.
En foranstaltning, som er opført i dette bilag, kan opretholdes, videreføres, forlænges hurtigt eller ændres, forudsat at ændringen ikke gør foranstaltningen mindre forenelig med denne aftales artikel 141 og 142, end tilfældet var umiddelbart før ændringen.
2.
Denne aftales artikel 141 og 142 finder ikke anvendelse på eksisterende ikkeforenelige foranstaltninger, som er opført i dette bilag, i det omfang der foreligger uforenelighed.
3.
Listerne i punkt 6, 7 og 8 gælder kun for Det Forenede Kongeriges og Unionens områder, jf. denne aftales artikel 520, stk. 2, og artikel 774, og er kun relevante i forbindelse med Unionen og dens medlemsstaters handelsforbindelser med Det Forenede Kongerige. De berører ikke medlemsstaternes rettigheder og forpligtelser i henhold til EU-retten.
4.
Det skal præciseres, at for Unionens vedkommende indebærer forpligtelsen til at indrømme national behandling ikke krav om, at fysiske eller juridiske personer fra Det Forenede Kongerige også indrømmes den behandling, der indrømmes i en medlemsstat i medfør af traktaten om Den Europæiske Unions funktionsmåde eller andre foranstaltninger vedtaget i henhold til nævnte traktat, herunder deres gennemførelse i medlemsstaterne, til:
i)
fysiske personer eller personer med fast bopæl i en anden medlemsstat eller
ii)
juridiske personer, der er stiftet eller organiseret efter lov i en anden medlemsstat eller Unionen, og hvis vedtægtsmæssige hjemsted, hovedkontor eller hovedvirksomhed er beliggende i Unionen.
5.
Følgende forkortelser er benyttet i nedenstående punkter:
AT
Østrig
BE
Belgien
BG
Bulgarien
CY
Cypern
CZ
Tjekkiet
DE
Tyskland
DK
Danmark
EE
Estland
EL
Grækenland
ES
Spanien
EU
Den Europæiske Union og alle dens medlemsstater
FI
Finland
FR
Frankrig
HR
Kroatien
HU
Ungarn
IE
Irland
IT
Italien
LT
Litauen
LU
Luxembourg
LV
Letland
MT
Malta
NL
Nederlandene
PL
Polen
PT
Portugal
RO
Rumænien
SE
Sverige
SI
Slovenien
SK
Den Slovakiske Republik
6.
Unionens ikkeforenelige foranstaltninger er:
Forretningsrejsende i etableringsøjemed
Alle sektorer
AT, CZ: En forretningsrejsende i etableringsøjemed skal arbejde for en virksomhed, der ikke er en nonprofitorganisation, eller: Ubundet.
SK: En forretningsrejsende i etableringsøjemed skal arbejde for en virksomhed, der ikke er en nonprofitorganisation, eller: Ubundet. Krav om arbejdstilladelse, herunder økonomisk behovsprøve.
CY: Tilladt opholdsperiode: højst 90 dage inden for en periode på tolv måneder. En forretningsrejsende i etableringsøjemed skal arbejde for en virksomhed, der ikke er en nonprofitorganisation, eller: Ubundet.
Virksomhedsinternt udstationerede
Alle sektorer
EU: Frem til den 31. december 2022 alle afgifter, gebyrer eller skatter, som pålægges af en part (bortset fra gebyrer forbundet med behandling af ansøgning om eller fornyelse af visum eller arbejds- eller opholdstilladelse) som følge af en tilladelse til at udføre en aktivitet eller til at ansætte en person, som kan udføre en sådan aktivitet, på en parts område, medmindre der er tale om et krav i overensstemmelse med denne aftales artikel 140, stk. 3, eller et sundhedsgebyr i henhold til national lovgivning i forbindelse med en ansøgning om tilladelse til indrejse, ophold, arbejde eller ophold på den anden parts område.
AT, CZ, SK: En virksomhedsinternt udstationeret skal være beskæftiget af en virksomhed, der ikke er en nonprofitorganisation, eller: Ubundet.
FI: Ledende personale skal være beskæftiget af en virksomhed, der ikke er en nonprofitorganisation.
HU: Fysiske personer, der har været partnere i en virksomhed, opfylder ikke kravene med henblik på at blive virksomhedsinternt udstationeret.
Forretningsrejsende på kortvarigt ophold
Alle de aktiviteter, der er omhandlet i punkt 8:
CY, DK, HR: Krav om arbejdstilladelse, herunder økonomisk behovsprøve, hvis den forretningsrejsende på kortvarigt ophold leverer en tjenesteydelse.
LV: Krav om arbejdstilladelse for transaktioner/aktiviteter, der skal udføres på grundlag af en kontrakt.
MT: Krav om arbejdstilladelse. Der foretages ikke nogen økonomisk behovsprøve.
SI: Krav om en kombineret opholds- og arbejdstilladelse for levering af tjenesteydelser i over 14 dage ad gangen og for visse aktiviteter (forskning og design, uddannelsesseminarer, indkøb, handelstransaktioner, oversættelse og tolkning). Der er intet krav om en økonomisk behovsprøve.
SK: Krav om arbejdstilladelse, herunder økonomisk behovsprøve, ved levering af en tjenesteydelse på Slovakiets område af en varighed på over syv dage inden for en måned eller 30 dage inden for et kalenderår.
Forskning og udvikling
AT: Krav om arbejdstilladelse, herunder økonomisk behovsprøve, undtagen for forskningsaktiviteter udført af videnskabelige og statistiske forskere.
Markedsundersøgelser
AT: Krav om arbejdstilladelse, herunder økonomisk behovsprøve. Der er intet krav om en økonomisk behovsprøve for forsknings- og analyseaktiviteter af en varighed på op til syv dage inden for en måned eller 30 dage inden for et kalenderår. Krav om universitetsgrad.
CY: Krav om arbejdstilladelse, herunder økonomisk behovsprøve.
Handelsmesser og udstillinger
AT, CY: Krav om arbejdstilladelse, herunder økonomisk behovsprøve, for aktiviteter af en varighed på over syv dage inden for en måned eller 30 dage inden for et kalenderår.
Tjenesteydelser efter salg eller leje
AT: Krav om arbejdstilladelse, herunder økonomisk behovsprøve. Der er intet krav om en økonomisk behovsprøve for fysiske personer med specialviden, der uddanner arbejdstagere til at levere tjenesteydelser.
CY, CZ: Krav om arbejdstilladelse for aktiviteter af en varighed på over syv dage inden for en måned eller 30 dage inden for et kalenderår.
ES: Installatører, reparatører og vedligeholdelsespersonale bør beskæftiges som sådan af den juridiske person, der leverer varen eller tjenesteydelsen, eller af en virksomhed, som er en del af den samme gruppe som førstnævnte juridiske person, i mindst tre måneder umiddelbart forud for indgivelsen af en ansøgning om indrejse og bør om nødvendigt være i besiddelse af mindst tre års relevant erhvervserfaring opnået efter myndighedsalderen.
FI: Afhængigt af aktiviteten kan der være krav om opholdstilladelse.
SE: Krav om arbejdstilladelse, undtagen for i) fysiske personer, der deltager i uddannelse, prøvning, forberedelse eller afslutning af leveringer eller lignende aktiviteter som led i en forretningstransaktion, eller ii) montører eller faglærere, der foretager hastende installation eller reparation af maskiner i op til to måneder, når der er tale om en nødsituation. Der kræves ikke nogen økonomisk behovsprøve.
Handelstransaktioner
AT, CY: Krav om arbejdstilladelse, herunder økonomisk behovsprøve, for aktiviteter af en varighed på over syv dage inden for en måned eller 30 dage inden for et kalenderår.
FI: Den fysiske person skal levere tjenesteydelser som beskæftiget i en juridisk person fra den anden part.
Turismepersonale
CY, ES, PL: Ubundet.
FI: Den fysiske person skal levere tjenesteydelser som beskæftiget af en juridisk person fra den anden part.
SE: Krav om arbejdstilladelse, undtagen for chauffører og personale i turistbusser. Der kræves ikke nogen økonomisk behovsprøve.
Oversættelse og tolkning
AT: Krav om arbejdstilladelse, herunder økonomisk behovsprøve.
CY, PL: Ubundet.
7.
Det Forenede Kongeriges ikkeforenelige foranstaltninger er:
Forretningsrejsende i etableringsøjemed
Alle sektorer
En forretningsrejsende i etableringsøjemed skal arbejde for en virksomhed, der ikke er en nonprofitorganisation, eller: Ubundet.
Virksomhedsinternt udstationerede
Alle sektorer
En virksomhedsinternt udstationeret skal være beskæftiget af en virksomhed, der ikke er en nonprofitorganisation, eller: Ubundet.
Frem til den 31. december 2022 alle afgifter, gebyrer eller skatter, som pålægges af en part (bortset fra gebyrer forbundet med behandling af ansøgning om eller fornyelse af visum eller arbejds- eller opholdstilladelse) som følge af en tilladelse til at udføre en aktivitet eller til at ansætte en person, som kan udføre en sådan aktivitet, på en parts område, medmindre der er tale om et krav i overensstemmelse med denne aftales artikel 140, stk. 3, eller et sundhedsgebyr i henhold til national lovgivning i forbindelse med en ansøgning om tilladelse til indrejse, ophold, arbejde eller ophold på den anden parts område.
Forretningsrejsende på kortvarigt ophold
Alle de aktiviteter, der er omhandlet i punkt 8:
Ingen
8.
Forretningsrejsende på kortvarigt ophold kan deltage i følgende aktiviteter:
a)
møder og høringer: fysiske personer, der deltager i møder eller konferencer eller høringer med forretningspartnere
b)
forskning og design: tekniske, videnskabelige og statistiske forskere, som foretager uafhængig forskning eller forskning for en juridisk person fra den part, hvori den forretningsrejsende på kortvarigt ophold er en fysisk person,
c)
markedsundersøgelser: markedsforskere og -analytikere, som foretager forskning og analyser for en juridisk person fra den part, hvori den forretningsrejsende på kortvarigt ophold er en fysisk person,
d)
uddannelsesseminarer: en virksomheds personale, der kommer til det område, som besøges af den forretningsrejsende på kortvarigt ophold, for at blive uddannet i teknikker og arbejdsmetoder, der anvendes af virksomheder eller organisationer i det område, som besøges af den forretningsrejsende på kortvarigt ophold, forudsat at uddannelsen alene begrænses til iagttagelse, fortroliggørelse og klasseundervisning
e)
handelsmesser og udstillinger: personale, der deltager i en handelsmesse med det formål at promovere deres virksomhed eller dennes produkter eller tjenesteydelser
f)
salg: repræsentanter for en leverandør af tjenesteydelser eller varer, der modtager ordrer på eller forhandler om salg af tjenesteydelser eller varer eller indgår aftaler om salg af tjenesteydelser eller varer for den pågældende leverandør, men som ikke selv leverer varer eller tjenesteydelser. Forretningsrejsende på kortvarigt ophold må ikke involveres i direkte salg til offentligheden
g)
indkøb: personale, der foretager indkøb af varer og tjenesteydelser for en virksomhed, eller ledelses- eller tilsynspersonale, der er involveret i en handelstransaktion på området i den part, hvor den forretningsrejsende på kortvarigt ophold er en fysisk person
h)
tjenesteydelser efter salg eller leje: installatører, reparatører og vedligeholdelsespersonale og tilsynspersonale, der besidder specialviden af væsentlig betydning for en sælgers kontraktlige forpligtelse, og som leverer tjenesteydelser eller uddanner arbejdstagere i at levere tjenesteydelser i medfør af en garanti eller en anden tjenesteydelseskontrakt, der er knyttet til salg eller leje af udstyr eller maskiner, herunder computersoftware, i relation til handel eller industri, der er købt eller lejet hos en juridisk person fra den part, hvori den forretningsrejsende på kortvarigt ophold er en fysisk person, i hele garantiens eller tjenesteydelseskontraktens varighed
i)
handelstransaktioner: ledelses- eller tilsynspersonale samt personale, der leverer finansielle tjenesteydelser (herunder forsikringsfolk, bankfolk og investeringsmæglere), som er involveret i en handelstransaktion for en juridisk person fra den part, hvori den forretningsrejsende på kortvarigt ophold er en fysisk person
j)
turismepersonale: rejsearrangører og -bureauer, turistguider og turoperatører, som deltager i turistmesser eller fungerer som ledsagere i forbindelse med en rejse, der er påbegyndt på området i den part, hvor den forretningsrejsende på kortvarigt ophold er en fysisk person, og
k)
oversættelse og tolkning: oversættere og tolke, der leverer tjenesteydelser som beskæftiget af en juridisk person fra den part, hvori den forretningsrejsende på kortvarigt ophold er en fysisk person.
BILAG 22
LEVERANDØRER AF KONTRAKTBASEREDE TJENESTEYDELSER OG SELVSTÆNDIGE ERHVERVSDRIVENDE
1.
Hver part tillader, at leverandører af kontraktbaserede tjenesteydelser eller selvstændige erhvervsdrivende fra den anden part leverer tjenesteydelser på dens område gennem fysiske personers tilstedeværelse, jf. denne aftales artikel 143, inden for de sektorer, der er opført i dette bilag, under hensyntagen til de relevante begrænsninger.
2.
Nedenstående liste består af følgende elementer:
a)
første kolonne med angivelse af den sektor eller delsektor, for hvilken kategorien af leverandører af kontraktbaserede tjenesteydelser og selvstændige erhvervsdrivende er liberaliseret, og
b)
anden kolonne med en beskrivelse af de gældende begrænsninger.
3.
Ud over listen over forbehold i dette bilag kan hver part indføre eller opretholde en foranstaltning vedrørende kvalifikationskrav, kvalifikationsprocedurer, tekniske standarder og godkendelseskrav eller -procedurer, der ikke udgør en begrænsning som omhandlet i denne aftales artikel 143. Disse foranstaltninger, herunder kravet om godkendelser, kravet om at opnå anerkendelse af uddannelsesbeviser inden for regulerede sektorer eller kravet om at bestå specifikke eksaminer, f.eks. sprogeksaminer, finder under alle omstændigheder anvendelse på leverandører af kontraktbaserede tjenesteydelser og selvstændige erhvervsdrivende fra parterne, selv om de ikke er opført i dette bilag.
4.
Parterne påtager sig ingen forpligtelser vedrørende leverandører af kontraktbaserede tjenesteydelser og selvstændige erhvervsdrivende inden for de økonomiske aktiviteter, der ikke er opført.
5.
Ved angivelsen af de forskellige sektorer og delsektorer er CPC den centrale produktnomenklatur (Central Products Classification) som fastsat i de statistiske publikationer fra De Forenede Nationers statistiske kontor (Statistical Office of the United Nations, Statistical Papers, Series M, N° 77, CPC prov., 1991).
6.
I de sektorer, hvor en økonomisk behovsprøve finder anvendelse, er hovedkriteriet vurderingen af:
a)
for Det Forenede Kongerige den relevante markedssituation i Det Forenede Kongerige og
b)
for Unionen den relevante markedssituation i den medlemsstat eller den region, hvor tjenesteydelsen vil blive leveret, under hensyntagen til bl.a. antallet af og konsekvenserne for leverandører af tjenesteydelser, som allerede leverer tjenesten, når vurderingen foretages.
7.
Listerne i punkt 10-13 gælder kun for Det Forenede Kongeriges og Unionens områder, jf. denne aftales artikel 520, stk. 2, og artikel 774, og er kun relevante i forbindelse med Unionen og dens medlemsstaters handelsforbindelser med Det Forenede Kongerige. De berører ikke medlemsstaternes rettigheder og forpligtelser i henhold til EU-retten.
8.
Det skal præciseres, at for Unionens vedkommende indebærer forpligtelsen til at indrømme national behandling ikke krav om, at fysiske eller juridiske personer fra Det Forenede Kongerige også indrømmes den behandling, der indrømmes i en medlemsstat i medfør af traktaten om Den Europæiske Unions funktionsmåde eller andre foranstaltninger vedtaget i henhold til nævnte traktat, herunder deres gennemførelse i medlemsstaterne, til:
i)
fysiske personer eller personer med fast bopæl i en anden medlemsstat eller
ii)
juridiske personer, der er stiftet eller organiseret efter lov i en anden medlemsstat eller Unionen, og hvis vedtægtsmæssige hjemsted, hovedkontor eller hovedvirksomhed er beliggende i Unionen.
9.
Følgende forkortelser er benyttet i nedenstående lister:
AT
Østrig
BE
Belgien
BG
Bulgarien
CY
Cypern
CZ
Tjekkiet
DE
Tyskland
DK
Danmark
EE
Estland
EL
Grækenland
ES
Spanien
EU
Den Europæiske Union og alle dens medlemsstater
FI
Finland
FR
Frankrig
HR
Kroatien
HU
Ungarn
IE
Irland
IT
Italien
LT
Litauen
LU
Luxembourg
LV
Letland
MT
Malta
NL
Nederlandene
PL
Polen
PT
Portugal
RO
Rumænien
SE
Sverige
SI
Slovenien
SK
Den Slovakiske Republik
LKT
Leverandører af kontraktbaserede tjenesteydelser
IP
Selvstændige erhvervsdrivende
Leverandører af kontraktbaserede tjenesteydelser
10.
Med forbehold af listen over forbehold i punkt 12 og 13 indgår parterne forpligtelser i henhold til denne aftales artikel 143 med hensyn til leverandører af kontraktbaserede tjenesteydelser under leveringsmåde 4 inden for følgende sektorer eller delsektorer:
a)
Juridisk rådgivning vedrørende folkeretten og retten i hjemlandsjurisdiktionen
b)
Regnskabsvæsen og bogholderivirksomhed
c)
Skatterådgivning
d)
Arkitekttjenesteydelser samt byplanlægning og landskabsarkitektur
e)
Ingeniørtjenesteydelser og integreret ingeniørtjenesteydelser
f)
Læge- og tandlægevirksomhed
g)
Dyrlægevirksomhed
h)
Jordemodervirksomhed
i)
Virksomhed udøvet af sygeplejersker, fysioterapeuter og paramedicinsk personale
j)
IT-tjenesteydelser og lign.
k)
Tjenesteydelser vedrørende forskning og udvikling
l)
Reklamevirksomhed
m)
Markeds- og opinionsundersøgelsestjenesteydelser
n)
Virksomhedsrådgivning
o)
Tjenesteydelser i tilknytning til virksomhedsrådgivning
p)
Teknisk prøvning og analyse
q)
Tilknyttet videnskabelig og teknisk rådgivning
r)
Minedrift
s)
Vedligeholdelse og reparation af fartøjer
t)
Vedligeholdelse og reparation af jernbanetransportudstyr
u)
Vedligeholdelse og reparation af motorkøretøjer, motorcykler, snescootere og vejtransportudstyr
v)
Vedligeholdelse og reparation af fly og flydele
w)
Vedligeholdelse og reparation af metalprodukter, maskiner (undtagen kontormaskiner), udstyr (undtagen transport- og kontorudstyr) og personlige ejendele og husholdningsartikler
x)
Oprettelse af adressekartoteker og postservice
y)
Telekommunikationstjenesteydelser
z)
Post- og kurertjenesteydelser
aa)
Bygge- og anlægsarbejde og tilknyttet ingeniørvirksomhed
bb)
Byggepladsundersøgelser
cc)
Videregående uddannelser
dd)
Tjenesteydelser i tilknytning til landbrug, jagt og skovbrug
ee)
Miljøtjenester
ff)
Forsikring og forsikringsrelaterede tjenesteydelser – rådgivning og konsulenttjenesteydelser
gg)
Andre finansielle tjenesteydelser – rådgivning og konsulenttjenesteydelser
hh)
Rådgivning og konsulenttjenesteydelser på transportområdet
ii)
Rejsebureau- og rejsearrangørtjenesteydelser
jj)
Turistguidevirksomhed
kk)
Rådgivning og konsulenttjenesteydelser i tilknytning til fremstillingstjenesteydelser
Selvstændige erhvervsdrivende
11.
Med forbehold af listen over forbehold i punkt 12 og 13 indgår parterne forpligtelser i henhold til denne aftales artikel 143 med hensyn til selvstændige erhvervsdrivende under leveringsmåde 4 inden for følgende sektorer eller delsektorer:
a)
Juridisk rådgivning vedrørende folkeretten og retten i hjemlandsjurisdiktionen
b)
Arkitekttjenesteydelser samt byplanlægning og landskabsarkitektur
c)
Ingeniørtjenesteydelser og integreret ingeniørtjenesteydelser
d)
IT-tjenesteydelser og lign.
e)
Tjenesteydelser vedrørende forskning og udvikling
f)
Markeds- og opinionsundersøgelsestjenesteydelser
g)
Virksomhedsrådgivning
h)
Tjenesteydelser i tilknytning til virksomhedsrådgivning
i)
Minedrift
j)
Oversættelse og tolkning
k)
Telekommunikationstjenesteydelser
l)
Post- og kurertjenesteydelser
m)
Videregående uddannelser
n)
Forsikringsrelaterede tjenesteydelser – rådgivning og konsulenttjenesteydelser
o)
Andre finansielle tjenesteydelser – rådgivning og konsulenttjenesteydelser
p)
Rådgivning og konsulenttjenesteydelser på transportområdet
q)
Rådgivning og konsulenttjenesteydelser i tilknytning til fremstillingstjenesteydelser
12.
Unionens forbehold er:
Sektor eller delsektor
Beskrivelse af forbehold
Alle sektorer
LKT og IP:
I AT: Tilladelse til ophold gives for en samlet periode på højst seks måneder inden for en periode på 12 måneder eller i kontraktens varighed, alt efter hvad der er kortest.
I CZ: Tilladelse til ophold gives for en periode på højst 12 på hinanden følgende måneder eller i kontraktens varighed, alt efter hvad der er kortest.
Juridisk rådgivning vedrørende folkeretten og retten i hjemlandsjurisdiktionen
(del af CPC 861)
LKT:
I AT, BE, CY, DE, EE, EL, ES, FR, HR, IE, IT, LU, NL, PL, PT, SE: Ingen.
I BG, CZ, DK, FI, HU, LT, LV, MT, RO, SI, SK: Økonomisk behovsprøve.
IP:
I AT, CY, DE, EE, FR, HR, IE, LU, LV, NL, PL, PT, SE: Ingen.
I BE, BG, CZ, DK, EL, ES, FI, HU, IT, LT, MT, RO, SI, SK: Økonomisk behovsprøve.
Regnskabsvæsen og bogholderivirksomhed
(CPC 86212 undtagen "revisionstjenesteydelser", 86213, 86219 og 86220)
LKT:
I AT, BE, DE, EE, ES, HR, IE, IT, LU, NL, PL, PT, SI, SE: Ingen.
I BG, CZ, CY, DK, EL, FI, FR, HU, LT, LV, MT, RO, SK: Økonomisk behovsprøve.
IP:
EU: Ubundet.
Skatterådgivning
(CPC 863)
 (
1
)
LKT:
I AT, BE, DE, EE, ES, FR, HR, IE, IT, LU, NL, PL, SI, SE: Ingen.
I BG, CZ, CY, DK, EL, FI, HU, LT, LV, MT, RO, SK: Økonomisk behovsprøve.
I PT: Ubundet.
IP:
EU: Ubundet.
Arkitektvirksomhed
og
Byplanlægnings- og landskabsarkitekturvirksomhed
(CPC 8671 og 8674)
LKT:
I BE, CY, EE, ES, EL, FR, HR, IE, IT, LU, MT, NL, PL, PT, SI, SE: Ingen.
I FI: Ingen, bortset fra: at fysiske personer skal dokumentere at være i besiddelse af den specialviden, der kræves for at levere den pågældende tjenesteydelse.
I BG, CZ, DE, HU, LT, LV, RO, SK: Økonomisk behovsprøve.
I DK: Økonomisk behovsprøve, undtagen for LKT-ophold på op til tre måneder.
I AT: Kun for planlægningsvirksomhed: Økonomisk behovsprøve.
IP:
I CY, DE, EE, EL, FR, HR, IE, LU, LV, MT, NL, PL, PT, SI, SE: Ingen.
I FI: Ingen, bortset fra: at fysiske personer skal dokumentere at være i besiddelse af den specialviden, der kræves for at levere den pågældende tjenesteydelse.
I BE, BG, CZ, DK, ES, HU, IT, LT, RO, SK: Økonomisk behovsprøve.
I AT: Kun for planlægningsvirksomhed: Økonomisk behovsprøve.
Ingeniørvirksomhed
og
Integreret ingeniørvirksomhed
(CPC 8672 og 8673)
LKT:
I BE, CY, EE, ES, EL, FR, HR, IE, IT, LU, MT, NL, PL, PT, SI, SE: Ingen.
I FI: Ingen, bortset fra: at fysiske personer skal dokumentere at være i besiddelse af den specialviden, der kræves for at levere den pågældende tjenesteydelse.
I BG, CZ, DE, HU, LT, LV, RO, SK: Økonomisk behovsprøve.
I DK: Økonomisk behovsprøve, undtagen for LKT-ophold på op til tre måneder.
I AT: Kun for planlægningsvirksomhed: Økonomisk behovsprøve.
IP:
I CY, DE, EE, EL, FR, HR, IE, LU, LV, MT, NL, PL, PT, SI, SE: Ingen.
I FI: Ingen, bortset fra: at fysiske personer skal dokumentere at være i besiddelse af den specialviden, der kræves for at levere den pågældende tjenesteydelse.
I BE, BG, CZ, DK, ES, HU, IT, LT, RO, SK: Økonomisk behovsprøve.
I AT: Kun for planlægningsvirksomhed: Økonomisk behovsprøve.
Lægevirksomhed (herunder psykologvirksomhed) og tandlægevirksomhed
(CPC 9312 og del af 85201)
LKT:
I SE: Ingen.
I CY, CZ, DE, DK, EE, ES, IE, IT, LU, MT, NL, PL, PT, RO, SI: Økonomisk behovsprøve.
I FR: Økonomisk behovsprøve, undtagen for psykologvirksomhed: Ubundet.
I AT: Ubundet, undtagen for psykolog- og tandlægevirksomhed: Økonomisk behovsprøve.
I BE, BG, EL, FI, HR, HU, LT, LV, SK: Ubundet.
IP:
EU: Ubundet.
Dyrlægevirksomhed
(CPC 932)
LKT:
I SE: Ingen.
I CY, CZ, DE, DK, EE, EL, ES, FI, FR, IE, IT, LT, LU, MT, NL, PL, PT, RO, SI: Økonomisk behovsprøve.
I AT, BE, BG, HR, HU, LV, SK: Ubundet.
IP:
EU: Ubundet.
Jordemodervirksomhed
(del af CPC 93191)
LKT:
I IE, SE: Ingen.
I AT, CY, CZ, DE, DK, EE, EL, ES, FR, IT, LT, LV, LU, MT, NL, PL, PT, RO, SI: Økonomisk behovsprøve.
I BE, BG, FI, HR, HU, SK: Ubundet.
IP:
EU: Ubundet.
Virksomhed udøvet af sygeplejersker, fysioterapeuter og paramedicinsk personale
(del af CPC 93191)
LKT:
I IE, SE: Ingen.
I AT, CY, CZ, DE, DK, EE, EL, ES, FR, IT, LT, LV, LU, MT, NL, PL, PT, RO, SI: Økonomisk behovsprøve.
I BE, BG, FI, HR, HU, SK: Ubundet.
IP:
EU: Ubundet.
IT-tjenesteydelser og lign.
(CPC 84)
LKT:
I BE, DE, EE, EL, ES, FR, HR, IE, IT, LU, LV, MT, NL, PL, PT, SI, SE: Ingen.
I FI: Ingen, bortset fra: at fysiske personer skal dokumentere at være i besiddelse af den specialviden, der kræves for at levere den pågældende tjenesteydelse.
I AT, BG, CZ, CY, HU, LT, RO, SK: Økonomisk behovsprøve.
I DK: Økonomisk behovsprøve, undtagen for LKT-ophold på op til tre måneder.
IP:
I DE, EE, EL, FR, IE, LU, LV, MT, NL, PL, PT, SI, SE: Ingen.
I FI: Ingen, bortset fra: at fysiske personer skal dokumentere at være i besiddelse af den specialviden, der kræves for at levere den pågældende tjenesteydelse.
I AT, BE, BG, CZ, CY, DK, ES, HU, IT, LT, RO, SK: Økonomisk behovsprøve.
I HR: Ubundet.
Forsknings- og udviklingsvirksomhed
(CPC 851, 852 undtagen psykologvirksomhed
 (
2
)
 og 853)
LKT:
EU, undtagen i NL, SE: Krav om værtsaftale med et godkendt forskningsinstitut
 (
3
)
.
EU, undtagen i CZ, DK, SK: Ingen
I CZ, DK, SK: Økonomisk behovsprøve.
IP:
EU, undtagen i NL, SE: Krav om værtsaftale med et godkendt forskningsinstitut
 (
4
)
.
EU, undtagen i BE, CZ, DK, IT, SK: Ingen
I BE, CZ, DK, IT, SK: Økonomisk behovsprøve.
Reklamevirksomhed
(CPC 871)
LKT:
I BE, DE, EE, ES, FR, HR, IE, IT, LU, NL, PL, PT, SI, SE: Ingen.
I AT, BG, CZ, CY, DK, EL, FI, HU, LT, LV, MT, RO, SK: Økonomisk behovsprøve.
IP:
EU: Ubundet, undtagen i NL. I NL: Ingen.
Markeds- og opinionsundersøgelser
(CPC 864)
LKT:
I BE, DE, EE, ES, FR, IE, IT, LU, NL, PL, SE: Ingen.
I AT, BG, CZ, CY, DK, EL, FI, HR, LV, MT, RO, SI, SK: Økonomisk behovsprøve.
I PT: Kun for opinionsundersøgelser (CPC 86402): Ubundet.
I HU, LT: Økonomisk behovsprøve, undtagen for opinionsundersøgelser (CPC 86402): Ubundet.
IP:
I DE, EE, FR, IE, LU, NL, PL, SE: Ingen.
I AT, BE, BG, CZ, CY, DK, EL, ES, FI, HR, IT, LV, MT, RO, SI, SK: Økonomisk behovsprøve.
I PT: Kun for opinionsundersøgelser (CPC 86402): Ubundet.
I HU, LT: Økonomisk behovsprøve, undtagen for opinionsundersøgelser (CPC 86402): Ubundet.
Virksomhedsrådgivning
(CPC 865)
LKT:
I BE, DE, EE, EL, ES, FI, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BG, CZ, CY, HU, LT, RO, SK: Økonomisk behovsprøve.
I DK: Økonomisk behovsprøve, undtagen for LKT-ophold på op til tre måneder.
IP:
I CY, DE, EE, EL, FI, FR, IE, LV, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BE, BG, CZ, DK, ES, HR, HU, IT, LT, RO, SK: Økonomisk behovsprøve.
Tjenesteydelser i tilknytning til virksomhedsrådgivning
(CPC 866)
LKT:
I BE, DE, EE, EL, ES, FI, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BG, CZ, CY, LT, RO, SK: Økonomisk behovsprøve.
I DK: Økonomisk behovsprøve, undtagen for LKT-ophold på op til tre måneder.
I HU: Økonomisk behovsprøve, undtagen for voldgifts- og mæglingsvirksomhed (CPC 86602): Ubundet.
IP:
I CY, DE, EE, EL, FI, FR, IE, LV, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BE, BG, CZ, DK, ES, HR, IT, LT, RO, SK: Økonomisk behovsprøve.
I HU: Økonomisk behovsprøve, undtagen for voldgifts- og mæglingsvirksomhed (CPC 86602): Ubundet.
Teknisk prøvning og analyse
(CPC 8676)
LKT:
I BE, DE, EE, EL, ES, FR, HR, IE, IT, LU, NL, PL, SI, SE: Ingen.
I AT, BG, CZ, CY, FI, HU, LT, LV, MT, PT, RO, SK: Økonomisk behovsprøve.
I DK: Økonomisk behovsprøve, undtagen for LKT-ophold på op til tre måneder.
IP:
EU: Ubundet, undtagen i NL. I NL: Ingen.
Tilknyttet videnskabelig og teknisk rådgivning
(CPC 8675)
LKT:
I BE, EE, EL, ES, HR, IE, IT, LU, NL, PL, SI, SE: Ingen.
I AT, CZ, CY, DE, DK, FI, HU, LT, LV, MT, PT, RO, SK: Økonomisk behovsprøve.
I DE: Ingen, undtagen for offentligt udnævnte landmålere: Ubundet.
I FR: Ingen, undtagen for landmåling i forbindelse med etablering af ejendomsrettigheder og med jordlovgivning: Ubundet.
I BG: Ubundet.
IP:
EU: Ubundet, undtagen i NL. I NL: Ingen.
Minedrift (CPC 883, kun rådgivning og konsulenttjenesteydelser)
LKT:
I BE, DE, EE, EL, ES, FI, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BG, CZ, CY, HU, LT, RO, SK: Økonomisk behovsprøve.
I DK: Økonomisk behovsprøve, undtagen for LKT-ophold på op til tre måneder.
IP:
I DE, EE, EL, FI, FR, HR, IE, LV, LU, MT, NL, PT, SI, SE: Ingen.
I AT, BE, BG, CZ, CY, DK, ES, HU, IT, LT, PL, RO, SK: Økonomisk behovsprøve.
Vedligeholdelse og reparation af fartøjer
(del af CPC 8868)
LKT:
I BE, EE, EL, ES, FR, HR, IT, LV, LU, NL, PL, PT, SI, SE: Ingen
I AT, BG, CZ, CY, DE, DK, FI, HU, IE, LT, MT, RO, SK: Økonomisk behovsprøve.
IP:
EU: Ubundet, undtagen i NL. I NL: Ingen.
Vedligeholdelse og reparation af jernbanetransportudstyr
(del af CPC 8868)
LKT:
I BE, EE, EL, ES, FR, HR, IT, LV, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BG, CZ, CY, DE, DK, FI, HU, IE, LT, RO, SK: Økonomisk behovsprøve.
IP:
EU: Ubundet, undtagen i NL. I NL: Ingen.
Vedligeholdelse og reparation af motorkøretøjer, motorcykler, snescootere og vejtransportudstyr
(CPC 6112, 6122, del af 8867 og del af 8868)
LKT:
I BE, EE, EL, ES, FR, HR, IT, LV, LU, NL, PL, PT, SI, SE: Ingen.
I AT, BG, CZ, CY, DE, DK, FI, HU, IE, LT, MT, RO, SK: Økonomisk behovsprøve.
IP:
EU: Ubundet, undtagen i NL. I NL: Ingen.
Vedligeholdelse og reparation af fly og flydele
(del af CPC 8868)
LKT:
I BE, EE, EL, ES, FR, HR, IT, LV, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BG, CZ, CY, DE, DK, FI, HU, IE, LT, RO, SK: Økonomisk behovsprøve.
IP:
EU: Ubundet, undtagen i NL. I NL: Ingen.
Vedligeholdelse og reparation af metalprodukter, maskiner (undtagen kontormaskiner), udstyr (undtagen transport- og kontorudstyr) og personlige ejendele og husholdningsartikler
 (
5
)
(CPC 633, 7545, 8861, 8862, 8864, 8865 og 8866)
LKT:
I BE, EE, EL, ES, FR, HR, IT, LV, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BG, CZ, CY, DE, DK, HU, IE, LT, RO, SK: Økonomisk behovsprøve.
I FI: Ubundet, undtagen som led i en kontrakt om tjenesteydelser efter salg eller leje; for vedligeholdelse og reparation af personlige ejendele og husholdningsartikler (CPC 633): Økonomisk behovsprøve.
IP:
EU: Ubundet, undtagen i NL. I NL: Ingen.
Oversættelse og tolkning
(CPC 87905, undtagen officielle eller autoriserede aktiviteter)
LKT:
I BE, CY, DE, EE, EL, ES, FR, HR, IT, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BG, CZ, DK, FI, HU, IE, LT, LV, RO, SK: Økonomisk behovsprøve.
IP:
I CY, DE, EE, FR, LU, LV, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BE, BG, CZ, DK, EL, ES, FI, HU, IE, IT, LT, RO, SK: Økonomisk behovsprøve.
I HR: Ubundet.
Telekommunikationstjenesteydelser (CPC 7544, kun rådgivning og konsulenttjenesteydelser)
LKT:
I BE, DE, EE, EL, ES, FI, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BG, CZ, CY, HU, LT, RO, SK: Økonomisk behovsprøve.
I DK: Økonomisk behovsprøve, undtagen for LKT-ophold på op til tre måneder.
IP:
I DE, EE, EL, FI, FR, HR, IE, LV, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BE, BG, CZ, CY, DK, ES, HU, IT, LT, RO, SK: Økonomisk behovsprøve.
Post- og kurertjenesteydelser (CPC 751, kun rådgivning og konsulenttjenesteydelser)
LKT:
I BE, DE, EE, EL, ES, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BG, CZ, CY, FI, HU, LT, RO, SK: Økonomisk behovsprøve.
I DK: Økonomisk behovsprøve, undtagen for LKT-ophold på op til tre måneder.
IP:
I DE, EE, EL, FR, HR, IE, LV, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BE, BG, CZ, CY, DK, ES, FI, HU, IT, LT, RO, SK: Økonomisk behovsprøve.
Bygge- og anlægsarbejde og tilknyttet ingeniørvirksomhed
(CPC 511, 512, 513, 514, 515, 516, 517 og 518. BG: CPC 512, 5131, 5132, 5135, 514, 5161, 5162, 51641, 51643, 51644, 5165 og 517)
LKT:
EU: Ubundet, undtagen i BE, CZ, DK, ES, FR, NL og SE.
I BE, DK, ES, NL, SE: Ingen.
I CZ: Økonomisk behovsprøve.
IP:
EU: Ubundet, undtagen i NL. I NL: Ingen.
Byggepladsundersøgelser
(CPC 5111)
LKT:
I BE, DE, EE, EL, ES, FR, HR, IE, IT, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BG, CZ, CY, FI, HU, LT, LV, RO, SK: Økonomisk behovsprøve.
I DK: Økonomisk behovsprøve, undtagen for LKT-ophold på op til tre måneder.
IP:
EU: Ubundet.
Videregående uddannelser
(CPC 923)
LKT:
EU, undtagen i LU, SE: Ubundet.
I LU: Ubundet, undtagen for universitetsprofessorer: Ingen.
I SE: Ingen, undtagen for offentligt finansierede og privatfinansierede leverandører af undervisningstjenesteydelser med en form for statsstøtte: Ubundet.
IP:
EU, undtagen i SE: Ubundet.
I SE: Ingen, undtagen for offentligt finansierede og privatfinansierede leverandører af undervisningstjenesteydelser med en form for statsstøtte: Ubundet.
Landbrug, jagt og skovbrug (CPC 881, kun rådgivning og konsulenttjenesteydelser)
LKT:
EU, undtagen i BE, DE, DK, ES, FI, HR og SE: Ubundet.
I BE, DE, ES, HR, SE: Ingen
I DK: Økonomisk behovsprøve.
I FI: Ubundet, undtagen for rådgivning og konsulenttjenesteydelser i tilknytning til skovbrug: Ingen.
IP:
EU: Ubundet.
Miljøtjenester
(CPC 9401, 9402, 9403, 9404, del af 94060, 9405, del af 9406 og 9409)
LKT:
I BE, EE, ES, FI, FR, HR, IE, IT, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BG, CZ, CY, DE, DK, EL, HU, LT, LV, RO, SK: Økonomisk behovsprøve.
IP:
EU: Ubundet.
Forsikring og forsikringsrelaterede tjenesteydelser (kun rådgivning og konsulenttjenesteydelser)
LKT:
I BE, DE, EE, EL, ES, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BG, CZ, CY, FI, LT, RO, SK: Økonomisk behovsprøve.
I DK: Økonomisk behovsprøve, undtagen for LKT-ophold på op til tre måneder.
I HU: Ubundet.
IP:
I DE, EE, EL, FR, HR, IE, LV, LU, MT, NL, PT, SI, SE: Ingen.
I AT, BE, BG, CZ, CY, DK, ES, FI, IT, LT, PL, RO, SK: Økonomisk behovsprøve.
I HU: Ubundet.
Andre finansielle tjenesteydelser (kun rådgivning og konsulenttjenesteydelser)
LKT:
I BE, DE, ES, EE, EL, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BG, CZ, CY, FI, LT, RO, SK: Økonomisk behovsprøve.
I DK: Økonomisk behovsprøve, undtagen for LKT-ophold på op til tre måneder.
I HU: Ubundet.
IP:
I DE, EE, EL, FR, HR, IE, LV, LU, MT, NL, PT, SI, SE: Ingen.
I AT, BE, BG, CZ, CY, DK, ES, FI, IT, LT, PL, RO, SK: Økonomisk behovsprøve.
I HU: Ubundet.
Transport (CPC 71, 72, 73 og 74, kun rådgivning og konsulenttjenesteydelser)
LKT:
I DE, EE, EL, ES, FI, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BG, CZ, CY, HU, LT, RO, SK: Økonomisk behovsprøve.
I DK: Økonomisk behovsprøve, undtagen for LKT-ophold på op til tre måneder.
I BE: Ubundet.
IP:
I CY, DE, EE, EL, FI, FR, HR, IE, LV, LU, MT, NL, PT, SI, SE: Ingen.
I AT, BG, CZ, DK, ES, HU, IT, LT, RO, SK: Økonomisk behovsprøve.
I PL: Økonomisk behovsprøve, undtagen for lufttransport: Ingen.
I BE: Ubundet.
Rejsebureauer og rejsearrangører (herunder rejseledere
 (
6
)
)
(CPC 7471)
LKT:
I AT, CY, CZ, DE, EE, ES, FR, HR, IT, LU, NL, PL, SI, SE: Ingen.
I BG, EL, FI, HU, LT, LV, MT, PT, RO, SK: Økonomisk behovsprøve.
I DK: Økonomisk behovsprøve, undtagen for LKT-ophold på op til tre måneder.
I BE, IE: Ubundet, undtagen for rejseledere: Ingen.
IP:
EU: Ubundet.
Turistguidevirksomhed
(CPC 7472)
LKT:
I NL, PT, SE: Ingen.
I AT, BE, BG, CY, CZ, DE, DK, EE, FI, FR, EL, HU, IE, IT, LV, LU, MT, RO, SK, SI: Økonomisk behovsprøve.
I ES, HR, LT, PL: Ubundet.
IP:
EU: Ubundet.
Fremstillingsvirksomhed (CPC 884 og 885, kun rådgivning og konsulenttjenesteydelser)
LKT:
I BE, DE, EE, EL, ES, FI, FR, HR, IE, IT, LV, LU, MT, NL, PL, PT, SI, SE: Ingen.
I AT, BG, CZ, CY, HU, LT, RO, SK: Økonomisk behovsprøve.
I DK: Økonomisk behovsprøve, undtagen for LKT-ophold på op til tre måneder.
IP:
I DE, EE, EL, FI, FR, HR, IE, LV, LU, MT, NL, PT, SI, SE: Ingen.
I AT, BE, BG, CZ, CY, DK, ES, HU, IT, LT, PL, RO, SK: Økonomisk behovsprøve.
13.
Det Forenede Kongeriges forbehold er:
Sektor eller delsektor
Beskrivelse af forbehold
Alle sektorer
Ingen
Juridisk rådgivning vedrørende folkeretten og retten i hjemlandsjurisdiktionen
(del af CPC 861)
LKT:
Ingen.
IP:
Ingen.
Regnskabsvæsen og bogholderivirksomhed
(CPC 86212 undtagen "revisionstjenesteydelser", 86213, 86219 og 86220)
LKT:
Ingen.
IP:
Ubundet.
Skatterådgivning
(CPC 863)
 (
7
)
LKT:
Ingen.
IP:
Ubundet.
Arkitektvirksomhed
og
Byplanlægnings- og landskabsarkitekturvirksomhed
(CPC 8671 og 8674)
LKT:
Ingen.
IP:
Ingen.
Ingeniørvirksomhed
og
Integreret ingeniørvirksomhed
(CPC 8672 og 8673)
LKT:
Ingen.
IP:
Ingen.
Lægevirksomhed (herunder psykologvirksomhed) og tandlægevirksomhed
(CPC 9312 og del af 85201)
LKT:
Ubundet.
IP:
Ubundet.
Dyrlægevirksomhed
(CPC 932)
LKT:
Ubundet.
IP:
Ubundet.
Jordemodervirksomhed
(del af CPC 93191)
LKT:
Ubundet.
IP:
Ubundet.
Virksomhed udøvet af sygeplejersker, fysioterapeuter og paramedicinsk personale
(del af CPC 93191)
LKT:
Ubundet.
IP:
Ubundet.
IT-tjenesteydelser og lign.
(CPC 84)
LKT:
Det Forenede Kongerige: Ingen.
IP:
Ingen.
Forsknings- og udviklingsvirksomhed
(CPC 851, 852 undtagen psykologvirksomhed
 (
8
)
 og 853)
LKT:
Ingen
IP:
Ingen
Reklamevirksomhed
(CPC 871)
LKT:
Ingen.
IP:
Ubundet.
Markeds- og opinionsundersøgelser
(CPC 864)
LKT:
Ingen.
IP:
Ingen.
Virksomhedsrådgivning
(CPC 865)
LKT:
Ingen.
IP:
Ingen.
Tjenesteydelser i tilknytning til virksomhedsrådgivning
(CPC 866)
LKT:
Ingen.
IP:
Ingen.
Teknisk prøvning og analyse
(CPC 8676)
LKT:
Ingen.
IP:
Ubundet.
Tilknyttet videnskabelig og teknisk rådgivning
(CPC 8675)
LKT:
Ingen.
IP:
Ubundet.
Minedrift (CPC 883, kun rådgivning og konsulenttjenesteydelser)
LKT:
Ingen.
IP:
Ingen.
Vedligeholdelse og reparation af fartøjer
(del af CPC 8868)
LKT:
Ingen
IP:
Ubundet.
Vedligeholdelse og reparation af jernbanetransportudstyr
(del af CPC 8868)
LKT:
Ingen.
IP:
Ubundet.
Vedligeholdelse og reparation af motorkøretøjer, motorcykler, snescootere og vejtransportudstyr
(CPC 6112, 6122, del af 8867 og del af 8868)
LKT:
Ingen.
IP:
Ubundet.
Vedligeholdelse og reparation af fly og flydele
(del af CPC 8868)
LKT:
Ingen.
IP:
Ubundet.
Vedligeholdelse og reparation af metalprodukter, maskiner (undtagen kontormaskiner), udstyr (undtagen transport- og kontorudstyr) og personlige ejendele og husholdningsartikler
 (
9
)
(CPC 633, 7545, 8861, 8862, 8864, 8865 og 8866)
LKT:
Ingen.
IP:
Ubundet.
Oversættelse og tolkning
(CPC 87905, undtagen officielle eller autoriserede aktiviteter)
LKT:
Ingen.
IP:
Ingen.
Telekommunikationstjenesteydelser (CPC 7544, kun rådgivning og konsulenttjenesteydelser)
LKT:
Ingen.
IP:
Ingen.
Post- og kurertjenesteydelser (CPC 751, kun rådgivning og konsulenttjenesteydelser)
LKT:
Ingen.
IP:
Ingen.
Bygge- og anlægsarbejde og tilknyttet ingeniørvirksomhed
(CPC 511, 512, 513, 514, 515, 516, 517 og 518. BG: CPC 512, 5131, 5132, 5135, 514, 5161, 5162, 51641, 51643, 51644, 5165 og 517)
LKT:
Ubundet.
IP:
Ubundet.
Byggepladsundersøgelser
(CPC 5111)
LKT:
Ingen.
IP:
Ubundet.
Videregående uddannelser
(CPC 923)
LKT:
Ubundet.
IP:
Ubundet.
Landbrug, jagt og skovbrug (CPC 881, kun rådgivning og konsulenttjenesteydelser)
LKT:
Ubundet.
IP:
Ubundet.
Miljøtjenester
(CPC 9401, 9402, 9403, 9404, del af 94060, 9405, del af 9406 og 9409)
LKT:
Ingen.
IP:
Ubundet.
Forsikring og forsikringsrelaterede tjenesteydelser (kun rådgivning og konsulenttjenesteydelser)
LKT:
Ingen.
IP:
Ingen.
Andre finansielle tjenesteydelser (kun rådgivning og konsulenttjenesteydelser)
LKT:
Ingen.
IP:
Ingen.
Transport (CPC 71, 72, 73 og 74, kun rådgivning og konsulenttjenesteydelser)
LKT:
Ingen.
IP:
Ingen.
Rejsebureauer og rejsearrangører (herunder rejseledere
 (
10
)
)
(CPC 7471)
LKT:
Ingen.
IP:
Ubundet.
Turistguidevirksomhed
(CPC 7472)
LKT:
Ingen.
IP:
Ubundet.
Fremstillingsvirksomhed (CPC 884 og 885, kun rådgivning og konsulenttjenesteydelser)
LKT:
Ingen.
IP:
Ingen.
(
1
)
  Omfatter ikke juridisk rådgivning og juridisk repræsentation i skattesager, som hører under juridisk rådgivning inden for folkeretten og retten i hjemlandsjurisdiktionen.
(
2
)
  Del af CPC 85201, der hører under lægevirksomhed og tandlægevirksomhed.
(
3
)
  For samtlige medlemsstater undtagen DK skal godkendelsen af forskningsorganisationen og værtsaftalen ske i henhold til betingelserne i EU's direktiv 2005/71/EF af 12. oktober 2005.
(
4
)
  For samtlige medlemsstater undtagen DK skal godkendelsen af forskningsorganisationen og værtsaftalen ske i henhold til betingelserne i EU's direktiv 2005/71/EF af 12. oktober 2005.
(
5
)
  Vedligeholdelse og reparation af kontormaskiner og udstyr, herunder IT-udstyr (CPC 845), hører under IT-tjenesteydelser.
(
6
)
  Tjenesteydere, hvis funktion er at ledsage en gruppe på mindst ti fysiske personer uden at være guider i bestemte områder.
(
7
)
  Omfatter ikke juridisk rådgivning og juridisk repræsentation i skattesager, som hører under juridisk rådgivning inden for folkeretten og retten i hjemlandsjurisdiktionen.
(
8
)
  Del af CPC 85201, der hører under lægevirksomhed og tandlægevirksomhed.
(
9
)
  Vedligeholdelse og reparation af kontormaskiner og udstyr, herunder IT-udstyr (CPC 845), hører under IT-tjenesteydelser.
(
10
)
  Tjenesteydere, hvis funktion er at ledsage en gruppe på mindst ti fysiske personer uden at være guider i bestemte områder.
BILAG 23
BEVÆGELIGHED FOR FYSISKE PERSONER
Artikel 1
Proceduremæssige forpligtelser vedrørende indrejse og midlertidigt ophold
Parterne bestræber sig på at sikre, at behandlingen af ansøgninger om indrejse og midlertidigt ophold i henhold til deres respektive forpligtelser i aftalen følger god administrativ praksis:
a)
Parterne sikrer, at gebyrer, som de kompetente myndigheder opkræver for behandlingen af ansøgninger om indrejse og midlertidigt ophold, ikke på urimelig vis skader eller forsinker handelen med tjenesteydelser i henhold til denne aftale.
b)
Med forbehold for parternes kompetente myndigheders skøn bør de dokumenter, der kræves af en ansøger i forbindelse med ansøgninger om indrømmelse af indrejse og midlertidigt ophold for forretningsrejsende på kortvarigt ophold, stå i et rimeligt forhold til det formål, hvortil de er indsamlet.
c)
Fyldestgørende ansøgninger om indrømmelse af indrejse og midlertidigt ophold behandles så hurtigt som muligt.
d)
De kompetente myndigheder for hver part bestræber sig på hurtigst muligt at fremskaffe oplysninger som svar på enhver rimelig anmodning fra en ansøger vedrørende ansøgningens status.
e)
Hvis de kompetente myndigheder for en part kræver yderligere oplysninger fra en ansøger for at behandle ansøgningen, skal de bestræbe sig på hurtigst muligt at underrette ansøgeren herom.
f)
De kompetente myndigheder for hver part underretter ansøgeren om ansøgningens resultat hurtigst muligt, efter at der er truffet afgørelse.
g)
Hvis en ansøgning imødekommes, skal de kompetente myndigheder for hver part underrette ansøgeren om opholdsperioden og andre relevante vilkår og betingelser.
h)
Hvis en ansøgning afslås, skal de kompetente myndigheder i en part efter anmodning eller på eget initiativ underrette ansøgeren om adgang til fornyet behandling og klage, og
i)
hver part skal bestræbe sig på at acceptere og behandle ansøgninger i elektronisk format.
Artikel 2
Yderligere proceduremæssige forpligtelser med hensyn til virksomhedsinternt udstationerede og deres partner, børn og familiemedlemmer 
(
1
)
1.   Parternes kompetente myndigheder træffer en afgørelse vedrørende en ansøgning om indrejse eller midlertidigt ophold for virksomhedsinternt udstationerede eller en forlængelse heraf og giver i overensstemmelse med meddelelsesprocedurerne i henhold til national ret ansøgeren skriftlig meddelelse om afgørelsen snarest muligt og senest 90 dage efter datoen for indgivelsen af den fuldstændige ansøgning.
2.   Hvis de oplysninger eller den dokumentation, der er vedlagt ansøgningen som bilag, er ufuldstændig(e), bestræber de pågældende kompetente myndigheder sig på inden for en rimelig frist at meddele ansøgeren, hvilke yderligere oplysninger der kræves, og fastsætter en rimelig frist for indsendelsen af disse. Den i stk. 1 nævnte periode suspenderes, indtil de kompetente myndigheder har modtaget de nødvendige supplerende oplysninger.
3.   Unionen giver familiemedlemmer til fysiske personer fra Det Forenede Kongerige, som er virksomhedsinternt udstationerede i Unionen, ret til indrejse og midlertidigt ophold tildelt til familiemedlemmer af virksomhedsinternt udstationerede i henhold til artikel 19 i Europa-Parlamentets og Rådets direktiv 2014/66/EU 
(
2
)
.
4.   Det Forenede Kongerige tillader indrejse og midlertidigt ophold for virksomhedsinternt udstationeredes partnere og børn med krav på forsørgelse i overensstemmelse med de muligheder, som Det Forenede Kongeriges indvandringsbestemmelser giver.
5.   Det Forenede Kongerige tillader de virksomhedsinternt udstationeredes partnere og børn med krav på forsørgelse, jf. stk. 4, at arbejde som arbejdstagere eller selvstændige i deres visums gyldighedsperiode uden krav om arbejdstilladelse.
(
1
)
  Stk. 1, 2 og 3 gælder ikke for medlemsstater, der ikke er omfattet af anvendelsen af Europa-Parlamentets og Rådets direktiv 2014/66/EU af 15. maj 2014 om indrejse- og opholdsbetingelser for virksomhedsinternt udstationerede tredjelandsstatsborgere (
EUT L 157 af 27.5.2014, s. 1
) ("ICT-direktivet").
(
2
)
  Europa-Parlamentets og Rådets direktiv 2014/66/EU af 15. maj 2014 om indrejse- og opholdsbetingelser for virksomhedsinternt udstationerede tredjelandsstatsborgere (
EUT L 157 af 27.5.2014, s. 1
).
BILAG 24
RETNINGSLINJER FOR ORDNINGER VEDRØRENDE ANERKENDELSE AF ERHVERVSMÆSSIGE KVALIFIKATIONER
AFDELING A
ALMINDELIGE BESTEMMELSER
Indledning
1.
Dette bilag indeholder retningslinjer for ordninger vedrørende betingelserne for anerkendelse af erhvervsmæssige kvalifikationer ("ordninger"), jf. denne aftales artikel 158.
2.
I henhold til denne aftales artikel 158 skal der tages hensyn til disse retningslinjer ved udarbejdelsen af fælles anbefalinger fra parternes faglige organer eller deres myndigheder ("fælles anbefalinger").
3.
Retningslinjerne er ikkebindende, ikkeudtømmende og berører ikke parternes rettigheder og forpligtelser i henhold til denne aftale. De beskriver det typiske indhold af ordningerne og indeholder generelle oplysninger om ordningens økonomiske værdi og foreneligheden af de respektive ordninger vedrørende erhvervsmæssige kvalifikationer.
4.
Ikke alle elementer i disse retningslinjer er nødvendigvis relevante i alle tilfælde, og det står de professionelle organer og myndigheder frit for i deres fælles anbefalinger at medtage ethvert andet element, som de finder relevant for ordningerne for det pågældende erhverv og de pågældende erhvervsaktiviteter i overensstemmelse med denne aftale.
5.
Partnerskabsrådet bør tage hensyn til retningslinjerne, når det træffer afgørelse om, hvorvidt der skal udarbejdes og vedtages ordninger. De berører ikke dets gennemgang af fælles anbefalingers overensstemmelse med denne aftales anden del, sektion et, afsnit II, og dets skønsbeføjelse til at tage de elementer i betragtning, som det anser for relevante, herunder dem, der er indeholdt i fælles anbefalinger.
AFDELING B
EN ORDNINGS FORM OG INDHOLD
6.
I dette afsnit beskrives det typiske indhold af en ordning, hvoraf visse aspekter ikke hører under ansvarsområdet for de faglige organer eller myndigheder, der udarbejder fælles anbefalinger. Disse aspekter udgør ikke desto mindre nyttige oplysninger, der skal tages i betragtning ved udarbejdelsen af fælles anbefalinger, så de bedre kan tilpasses en ordnings mulige anvendelsesområde.
7.
Anliggender, der specifikt behandles i denne aftale, og som gælder for ordninger (som f.eks. en ordnings geografiske anvendelsesområde, samspil med planlagte ikkeforenelige foranstaltninger, tvistbilæggelsessystemet, mekanismer for klageadgang, overvågning og revision af ordningen) bør ikke behandles i fælles anbefalinger.
8.
En ordning kan indeholde forskellige mekanismer til anerkendelse af erhvervsmæssige kvalifikationer inden for en part. Den kan, men er ikke nødvendigvis, begrænset til bestemmelser om anvendelsesområde og procedurer, virkninger af anerkendelse og supplerende krav samt administrative ordninger.
9.
En ordning, der vedtages af Partnerskabsrådet, bør afspejle den grad af skønsbeføjelse, som de kompetente myndigheder, der træffer afgørelse om anerkendelse, efter hensigten skal bevare.
En ordnings anvendelsesområde
10.
Ordningen bør indeholde en angivelse af:
a)
de specifikke lovregulerede erhverv, relevante faglige titler og den aktivitet eller gruppe af aktiviteter, der er omfattet af udøvelsesrettighederne for det lovregulerede erhverv i begge parter ("udøvelsesrettighederne"), og
b)
hvorvidt den omfatter anerkendelse af erhvervsmæssige kvalifikationer med henblik på adgang til erhvervsmæssige aktiviteter på et tidsbegrænset eller tidsubestemt grundlag.
Betingelser for godkendelse
11.
Ordningen kan navnlig indeholde følgende oplysninger:
a)
de erhvervsmæssige kvalifikationer, der kræves for at blive anerkendt i henhold til ordningen (f.eks. uddannelsesbevis, erhvervserfaring eller et andet kompetencesbevis)
b)
anerkendelsesmyndighedernes skønsbeføjelser ved vurdering af anmodninger om anerkendelse af disse kvalifikationer og
c)
procedurerne for håndtering af variationer og forskelle mellem erhvervsmæssige kvalifikationer og midler til at afhjælpe forskellene, herunder muligheden for at pålægge eventuelle kompensationsforanstaltninger eller andre relevante betingelser og begrænsninger.
Procedurebestemmelser
12.
Ordningen kan indeholde angivelser af:
a)
de krævede dokumenter og den form, hvori de skal forelægges (f.eks. elektronisk eller på anden vis, om de skal understøttes af oversættelser eller attestering af ægthed osv.)
b)
trinnene og procedurerne i anerkendelsesprocessen, herunder dem, der vedrører mulige kompensationsforanstaltninger, tilsvarende forpligtelser og tidsfrister, og
c)
tilgængeligheden af oplysninger, der er relevante for alle aspekter af anerkendelsesprocessen og kravene.
Virkninger af anerkendelse og supplerende krav
13.
Ordningen kan fastsætte bestemmelser om anerkendelsens virkninger (eventuelt også for forskellige leveringsmåder).
14.
Ordningen kan omfatte eventuelle yderligere krav med henblik på effektiv udøvelse af det lovregulerede erhverv i værtsparten. Sådanne krav kan omfatte:
a)
krav om registrering hos lokale myndigheder
b)
passende sprogkundskaber
c)
vandelsattest
d)
overholdelse af værtspartens krav med hensyn til brug af forretningsbetegnelse eller firmanavn
e)
overholdelse af værtspartens regler for etik, uafhængighed og faglig hæderlighed
f)
krav om en erhvervsansvarsforsikring
g)
regler om disciplinære foranstaltninger samt økonomisk og fagligt ansvar og
h)
krav til løbende faglig udvikling.
Forvaltning af ordningen
15.
Ordningen bør fastsætte de betingelser, på hvilke den kan revideres eller tilbagekaldes, og virkningerne af en eventuel revision eller tilbagekaldelse. Det kan også overvejes at medtage bestemmelser vedrørende virkningerne af en tidligere indrømmet anerkendelse.
AFDELING C
EN PLANLAGT ORDNINGS ØKONOMISKE VÆRDI
16.
I henhold til denne aftales artikel 158, stk. 2, skal fælles anbefalinger underbygges af en evidensbaseret vurdering af den påtænkte ordnings økonomiske værdi. Dette kan bestå i en evaluering af de økonomiske fordele, som en ordning forventes at medføre for begge parters økonomier. En sådan vurdering kan bistå Partnerskabsrådet, når det udformer og vedtager en ordning.
17.
Aspekter såsom den nuværende åbenhed på markedet, erhvervslivets behov, tendenser på markedet og markedsudviklingen, kundernes forventninger og krav samt forretningsmuligheder vil være nyttige elementer.
18.
Det kræves ikke, at evalueringen er en fuldstændig og detaljeret økonomisk analyse, men den skal indeholde en redegørelse for erhvervets interesser og de forventede fordele for parterne som følge af vedtagelsen af en ordning.
AFDELING D
FORENELIGHED MELLEM DE RESPEKTIVE ORDNINGER FOR ERHVERVSMÆSSIGE KVALIFIKATIONER
19.
I henhold til denne aftales artikel 158, stk. 2, skal fælles anbefalinger underbygges af en evidensbaseret vurdering af foreneligheden mellem de respektive ordninger for erhvervsmæssige kvalifikationer. Denne vurdering kan bistå Partnerskabsrådet, når det udformer og vedtager en ordning.
20.
Nedenstående proces har til formål at vejlede faglige organer og myndigheder, når de skal vurdere foreneligheden af de respektive erhvervsmæssige kvalifikationer og aktiviteter med henblik på at forenkle og lette anerkendelsen af erhvervsmæssige kvalifikationer.
Trin 1: Vurdering af udøvelsesrettighederne og de erhvervsmæssige kvalifikationer, der kræves for at udøve det lovregulerede erhverv i hver af parterne.
21.
Vurderingen af udøvelsesrettighederne og de erhvervsmæssige kvalifikationer, der kræves for at udøve et lovreguleret erhverv i hver af parterne, bør baseres på alle relevante oplysninger.
22.
Følgende elementer bør identificeres:
a)
aktiviteter eller grupper af aktiviteter, der er dækket af udøvelsesrettighederne til det lovregulerede erhverv, og
b)
de erhvervsmæssige kvalifikationer, der kræves i hver af parterne for at udøve det lovregulerede erhverv, og som kan omfatte et eller flere af følgende elementer:
i)
minimumskrav til uddannelse, f.eks. adgangskrav, uddannelsesniveau, studielængde og uddannelsens indhold
ii)
minimumskrav til erhvervserfaring, f.eks. placering, varighed og vilkår for praktisk uddannelse eller overvåget udøvelse af erhvervet forud for registrering, udstedelse af licenser eller tilsvarende
iii)
beståede eksaminer, især eksaminer vedrørende faglig kompetence, og
iv)
opnåelse af en tilladelse eller tilsvarende, som bl.a. bekræfter opfyldelsen af de nødvendige faglige kvalifikationskrav med henblik på udøvelse af erhvervet.
Trin 2: Evaluering af forskellen mellem udøvelsesrettighederne eller de erhvervsmæssige kvalifikationer, der kræves for at udøve dette erhverv i hver af parterne
23.
Vurderingen af forskellen mellem udøvelsesrettighederne for det lovregulerede erhverv eller i de erhvervsmæssige kvalifikationer, der kræves for at udøve det lovregulerede erhverv i hver af parterne, bør navnlig identificere væsentlige forskelle.
24.
Der kan være betydelige forskelle på udøvelsesrettighederne, hvis alle følgende betingelser er opfyldt:
a)
en eller flere former for virksomhed omfattet af et lovreguleret erhverv i værtsparten er ikke omfattet af det tilsvarende erhverv i oprindelsesparten
b)
disse former for virksomhed kræver en særlig uddannelse i værtsparten
c)
uddannelsen i disse former for virksomhed i værtsparten omfatter emner, som er forskellige fra de emner, ansøgerens uddannelsesbevis omfatter.
25.
Der kan være betydelige forskelle i de erhvervsmæssige kvalifikationer, der kræves for at udøve et lovreguleret erhverv, hvis der er forskelle mellem parternes krav med hensyn til niveau, varighed eller indhold af den uddannelse, der er nødvendig for udøvelsen af den virksomhed, der er omfattet af det lovregulerede erhverv.
Tredje trin: Anerkendelsesmekanismer
26.
Der kan afhængigt af omstændighederne være forskellige mekanismer til anerkendelse af erhvervsmæssige kvalifikationer. Der kan være forskellige ordninger inden for en part.
27.
Hvis der ikke er nogen væsentlig forskel i udøvelsesrettighederne og de erhvervsmæssige kvalifikationer, der kræves for at udøve et lovreguleret erhverv, kan en ordning give mulighed for en enklere, mere strømlinet anerkendelsesproces, end det ville være tilfældet, hvis der er tale om væsentlige forskelle.
28.
Hvis der er væsentlige forskelle, kan ordningen omfatte kompenserende foranstaltninger, der er tilstrækkelige til at afhjælpe disse forskelle.
29.
Hvis der anvendes kompensationsforanstaltninger for at mindske de væsentlige forskelle, bør de stå i et rimeligt forhold til den forskel, de sigter mod at afhjælpe. Der kan tages hensyn til eventuelle praktiske faglige erfaringer eller formel uddannelse i vurderingen af omfanget af de nødvendige kompensationsforanstaltninger.
30.
Uanset om forskellen er væsentlig eller ikke, kan ordningen tage hensyn til den skønsbeføjelse, som de kompetente myndigheder, der træffer afgørelse om anerkendelse, efter hensigten skal bevare.
31.
Kompensationsforanstaltninger kan antage forskellige former, herunder:
a)
en periode med overvåget udøvelse af et lovreguleret erhverv i værtsparten, eventuelt ledsaget af yderligere uddannelse under en kvalificeret persons ansvar og underlagt en reguleret vurdering
b)
en test, der er foretaget eller anerkendt af de relevante myndigheder i værtsparten med henblik på at vurdere ansøgerens evne til at udøve et lovreguleret erhverv i den pågældende part, eller
c)
en midlertidig begrænsning af udøvelsesrettighederne eller en kombination af disse.
32.
Ordningen kan give ansøgere mulighed for at vælge mellem forskellige kompensationsforanstaltninger, hvis dette kan begrænse den administrative byrde for ansøgerne, og sådanne foranstaltninger er ækvivalente.
BILAG 25
OFFENTLIGE UDBUD
AFDELING A
RELEVANTE BESTEMMELSER I GPA-AFTALEN
Artikel I-II, artikel IV, stk. 1, litra a), artikel IV, stk. 2-7, artikel VI-XV, artikel XVI, stk. 1-3, artikel XVII og XVIII.
AFDELING B:
MARKEDSADGANGSFORPLIGTELSER
I denne afdeling forstås ved "CPC": den foreløbige centrale produktnomenklatur (Statistical Papers Series M No. 77, Department of International Economic and Social Affairs, Statistical Office of the United Nations, New York, 1991).
UNDERAFDELING B1
Den Europæiske Union
I overensstemmelse med denne aftales artikel 277, stk. 2 og 3, finder denne aftales anden del, sektion et, afsnit VI, anvendelse i tilgift til de udbud, der er omfattet af bilagene fra Den Europæiske Union til tillæg I til GPA-aftalen, på udbud omfattet af denne afdeling.
Bemærkningerne i bilag 1-7 fra Den Europæiske Union til tillæg I til GPA-aftalen gælder også for indkøb, der er omfattet af denne underafdeling, medmindre andet er fastsat i denne underafdeling.
Udbud omfattet af denne underafdeling
1.   Yderligere ordregivende enheder
Indkøb af varer og tjenesteydelser som fastsat i bilag 4-6 fra Den Europæiske Union til tillæg I til GPA-aftalen og i punkt 2 i denne underafdeling, foretaget af følgende ordregivende enheder i medlemsstaterne:
a)
alle ordregivende enheder, hvis indkøb er omfattet af Europa-Parlamentets og Rådets direktiv 2014/25/EU 
(
1
)
 ("EU's forsyningsvirksomhedsdirektiv"), som er ordregivende myndigheder (f.eks. sådanne, som er omfattet af bilag 1 og 2 til tillæg I til GPA-aftalen) eller offentlige virksomheder 
(
2
)
, og som udøver følgende virksomhed:
i)
tilrådighedsstillelse eller drift af faste net til betjening af offentligheden i forbindelse med produktion, transport eller distribution af gas eller varme eller forsyning af disse net med gas eller varme eller
ii)
enhver kombination af en sådan virksomhed og en virksomhed omhandlet i bilag 3 til tillæg I til GPA-aftalen
b)
privatejede ordregivende enheder, som udøver en virksomhed som omhandlet i litra a), i punkt 1 i bilag 3 til tillæg I til GPA-aftalen eller enhver kombination heraf og drives på grundlag af særlige eller eksklusive rettigheder, der er meddelt af en kompetent myndighed i en medlemsstat
for så vidt angår indkøb, der svarer til eller overstiger nedennævnte tærskler:
—
400 000 SDR for indkøb af varer og tjenesteydelser
—
5 000 000 SDR for indkøb af tjenesteydelser i forbindelse med bygge- og anlægsvirksomhed (CPC 51).
2.   Supplerende tjenester
Indkøb af følgende tjenesteydelser i tilgift til de tjenesteydelser, der er opført i bilag 5 fra Den Europæiske Union til tillæg I til GPA-aftalen, for enheder omfattet af bilag 1-3 fra Den Europæiske Union til tillæg I til GPA-aftalen eller i henhold til punkt 1 i denne underafdeling:
—
Hotel- og restauranttjenesteydelser (CPC 641)
—
Restaurationstjenesteydelser (CPC 642)
—
Servering af drikkevarer (CPC 643)
—
Tjenesteydelser i tilknytning til telekommunikation (CPC 754)
—
Tjenesteydelser i forbindelse med fast ejendom: på honorar- eller kontraktbasis (CPC 8220)
—
Andre forretningstjenesteydelser (CPC 87901, 87903, 87905-87907)
—
Uddannelsestjenester (CPC 92)
Bemærkninger:
1.
Hotel- og restauranttjenesteydelser (CPC 641), restaurationstjenesteydelser (CPC 642), servering af drikkevarer (CPC 643) og uddannelsestjenester (CPC 92): Kontrakterne er medtaget under ordningen om national behandling for leverandører, herunder tjenesteudbydere, fra Det Forenede Kongerige, såfremt deres værdi er lig med eller overstiger 750 000 EUR, når de tildeles af ordregivende enheder omfattet af bilag 1 og 2 fra Den Europæiske Union til tillæg I til GPA-aftalen, og deres værdi er lig med eller overstiger 1 000 000 EUR, når de tildeles af ordregivende enheder omfattet af bilag 3 fra Den Europæiske Union til tillæg I til GPA-aftalen eller af ordregivende enheder omfattet af punkt 1 i denne underafdeling.
2.
Når en ordregivende enhed, som ikke er en ordregivende myndighed, forsyner net, som skal betjene offentligheden med gas eller varme, betragtes dette ikke som en virksomhed som omhandlet i denne underafdeling, når:
a)
den pågældende enheds produktion af gas eller varme finder sted, fordi forbruget heraf er nødvendigt for udøvelsen af en anden form for virksomhed end den, der er omhandlet i denne underafdeling eller i litra a)-f) i bilag 3 fra Den Europæiske Union til tillæg I til GPA-aftalen, og
b)
forsyningen af det offentlige net kun tager sigte på en rationel udnyttelse af denne produktion og svarer til højst 20 % af enhedens omsætning beregnet som et gennemsnit over de sidste tre år, heri medregnet det løbende år.
3.
Denne aftales anden del, sektion et, afsnit VI, og dette bilag omfatter ikke udbud af følgende tjenesteydelser:
a)
Sundhedstjenesteydelser (CPC 931)
b)
Administrative tjenesteydelser på sundhedsområdet (CPC 91122) og
c)
Anvisning af plejepersonale og anvisning af hospitalspersonale (CPC 87206 og CPC 87209).
UNDERAFDELING B2
Det Forenede Kongerige
I overensstemmelse med denne aftales artikel 277, stk. 2 og 3, finder denne aftales anden del, sektion et, afsnit VI, anvendelse i tilgift til de udbud, der er omfattet af artikel II i GPA-aftalen, på udbud omfattet af denne underafdeling.
Bemærkningerne i bilag 1-7 fra Det Forenede Kongerige til tillæg I til GPA-aftalen gælder også for indkøb, der er omfattet af denne underafdeling, medmindre andet er fastsat i denne underafdeling.
Udbud omfattet af denne underafdeling
1.   Yderligere ordregivende enheder
Indkøb af varer og tjenesteydelser som fastsat i bilag 4-6 fra Det Forenede Kongerige til tillæg I til GPA-aftalen og i punkt 2 i denne underafdeling, foretaget af følgende ordregivende enheder i Det Forenede Kongerige:
a)
alle ordregivende enheder, hvis indkøb er omfattet af Utilities Contracts Regulation 2016 og Utilities Contracts (Scotland) Regulations 2016, som er ordregivende myndigheder (f.eks. sådanne, som er omfattet af bilag 1 og 2 til tillæg I til GPA-aftalen) eller offentlige virksomheder (se bemærkning 1), og som udøver følgende virksomhed:
i)
tilrådighedsstillelse eller drift af faste net til betjening af offentligheden i forbindelse med produktion, transport eller distribution af gas eller varme eller forsyning af disse net med gas eller varme eller
ii)
enhver kombination af en sådan virksomhed og en virksomhed omhandlet i bilag 3 til tillæg I til GPA-aftalen
b)
privatejede ordregivende enheder, som udøver en virksomhed som omhandlet i litra a), i punkt 1 i bilag 3 til tillæg I til GPA-aftalen eller enhver kombination heraf og drives på grundlag af særlige eller eksklusive rettigheder, der er meddelt af en kompetent myndighed i Det Forenede Kongerige
for så vidt angår indkøb, der svarer til eller overstiger nedennævnte tærskler:
—
400 000 SDR for indkøb af varer og tjenesteydelser
—
5 000 000 SDR for indkøb af tjenesteydelser i forbindelse med bygge- og anlægsvirksomhed (CPC 51).
Bemærkninger til punkt 1:
1.
I Utilities Contracts Regulations 2016 defineres "offentlige virksomheder" som enhver virksomhed, som de ordregivende myndigheder direkte eller indirekte kan have bestemmende indflydelse på som følge af:
a)
deres ejerforhold til virksomheden
b)
deres kapitalindskud i virksomheden eller
c)
de for virksomheden gældende regler.
2.
I Utilities Contracts (Scotland) Regulations 2016 defineres "offentlige virksomheder" som enhver person, som en eller flere ordregivende myndigheder direkte eller indirekte kan have bestemmende indflydelse på som følge af:
a)
deres ejerforhold til personen
b)
deres kapitalindskud i personen
c)
de rettigheder, der er tildelt dem ved de for personen gældende regler.
3.
I både Utilities Contracts Regulations 2016 og Utilities Contracts (Scotland) Regulations 2016 antages bestemmende indflydelse at foreligge, når de ordregivende myndigheder direkte eller indirekte:
a)
besidder majoriteten af virksomhedens tegnede kapital
b)
råder over flertallet af de stemmer, som er knyttet til de kapitalandele, som virksomheden har udstedt
c)
kan udpege mere end halvdelen af medlemmerne i virksomhedens administrations-, ledelses- eller tilsynsorgan.
2.   Supplerende tjenester
Indkøb af følgende tjenesteydelser i tilgift til de tjenesteydelser, der er opført i bilag 5 fra Det Forenede Kongerige til tillæg I til GPA-aftalen, for enheder omfattet af bilag 1-3 fra Det Forenede Kongerige til tillæg I til GPA-aftalen eller i henhold til punkt 1 i denne underafdeling:
—
Hotel- og restauranttjenesteydelser (CPC 641)
—
Restaurationstjenesteydelser (CPC 642)
—
Servering af drikkevarer (CPC 643)
—
Tjenesteydelser i tilknytning til telekommunikation (CPC 754)
—
Tjenesteydelser i forbindelse med fast ejendom: på honorar- eller kontraktbasis (CPC 8220)
—
Andre forretningstjenesteydelser (CPC 87901, 87903, 87905-87907)
—
Uddannelsestjenester (CPC 92)
Bemærkninger:
1.
Hotel- og restauranttjenesteydelser (CPC 641), restaurationstjenesteydelser (CPC 642), udskænkning af drikkevarer (CPC 643) og undervisning (CPC 92): Kontrakterne er medtaget under ordningen om national behandling for leverandører, herunder tjenesteudbydere, fra Den Europæiske Union, såfremt deres værdi er lig med eller overstiger 663 540 GBP, når de tildeles af ordregivende enheder omfattet af bilag 1 og 2 fra Det Forenede Kongerige til tillæg I til GPA-aftalen, og deres værdi er lig med eller overstiger 884 720 GBP, når de tildeles af ordregivende enheder omfattet af bilag 3 fra Det Forenede Kongerige til tillæg I til GPA-aftalen eller af ordregivende enheder omfattet af punkt 1 i denne afdeling.
2.
Når en ordregivende enhed, som ikke er en ordregivende myndighed, forsyner net, som skal betjene offentligheden med gas eller varme, betragtes dette ikke som en virksomhed som omhandlet i denne afdeling, når:
a)
den pågældende enheds produktion af gas eller varme finder sted, fordi forbruget heraf er nødvendigt for udøvelsen af en anden form for virksomhed end den, der er omhandlet i denne afdeling eller i litra a)-f) i bilag 3 fra Det Forenede Kongerige til tillæg I til GPA-aftalen, og
b)
forsyningen af det offentlige net kun tager sigte på en rationel udnyttelse af denne produktion og svarer til højst 20 % af enhedens omsætning beregnet som et gennemsnit over de sidste tre år, heri medregnet det løbende år.
3.
Denne aftales anden del, sektion et, afsnit VI, og dette bilag omfatter ikke udbud af følgende tjenesteydelser:
a)
Sundhedstjenesteydelser (CPC 931)
b)
Administrative tjenesteydelser på sundhedsområdet (CPC 91122) og
c)
Anvisning af plejepersonale og anvisning af hospitalspersonale (CPC 87206 og CPC 87209).
(
1
)
  Europa-Parlamentets og Rådets direktiv 2014/25/EU af 26. februar 2014 om fremgangsmåderne ved indgåelse af kontrakter inden for vand- og energiforsyning, transport samt posttjenester og om ophævelse af direktiv 2004/17/EF (
EUT L 94 af 28.3.2014, s. 243
).
(
2
)
  I EU's forsyningsvirksomhedsdirektiv defineres "offentlige virksomheder" som enhver virksomhed, som de ordregivende myndigheder direkte eller indirekte kan have bestemmende indflydelse på som følge af ejerforhold, kapitalindskud eller de for virksomheden gældende regler. Bestemmende indflydelse antages at foreligge, når de ordregivende myndigheder direkte eller indirekte i relation til en virksomhed:
i)
besidder majoriteten af virksomhedens tegnede kapital
ii)
råder over flertallet af de stemmer, som er knyttet til de kapitalandele, som virksomheden har udstedt, eller
iii)
kan udpege mere end halvdelen af medlemmerne i virksomhedens administrations-, ledelses- eller tilsynsorgan.
BILAG 26
LISTER OVER ENERGIVARER, KULBRINTER OG RÅSTOFFER
LISTE OVER ENERGIVARER EFTER HS-KODE
—
Naturgas, herunder flydende naturgas, flydende jordoliegas (LPG), (HS-kode 27.11)
—
Elektrisk energi (HS-kode 27.16)
—
Råolie og olieprodukter (HS-kode 27.09 - 27.10, 27.13-27.15)
—
Fast brændsel (HS-kode 27.01, HS-kode 27.02, HS-kode 27.04)
—
Brænde og trækul (HS-kode 44.01 og HS-kode 44.02 til energi anvendte varer)
—
Biogas (HS-kode 38.25)
LISTE OVER KULBRINTER EFTER HS-KODE
—
Råolie (HS-kode 27.09)
—
Naturgas (HS-kode 27.11)
LISTE OVER RÅSTOFFER EFTER HS-KAPITEL
Kapitel
Overskrift
25
Salt; svovl; jord- og stenarter; gips, kalk og cement
26
Malme, slagger og aske undtagen uran- og thoriummalme samt koncentrater (HS-kode 26.12)
27
Mineralske brændselsstoffer, mineralolier og destillationsprodukter deraf; bituminøse stoffer; mineralsk voks
28
Uorganiske kemikalier; uorganiske eller organiske forbindelser af ædle metaller, af sjældne jordarters metaller; af radioaktive grundstoffer og af isotoper, undtagen radioaktive kemiske grundstoffer og radioaktive isotoper (herunder spaltelige eller fertile kemiske grundstoffer og isotoper) samt forbindelser deraf; blandinger og restprodukter med indhold af sådanne produkter (HS-kode 28.44); samt isotoper, andre end de under position 28.44 hørende uorganiske eller organiske forbindelser deraf, også når de ikke er kemisk definerede (HS-kode 28.45)
29
Organiske kemikalier
31
Gødningsstoffer
71
Naturperler, kulturperler, ædel- og halvædelsten, ædle metaller, ædelmetaldublé samt varer af disse materialer, med undtagelse af naturperler og kulturperler, også bearbejdede eller sorterede, men ikke trukket på snor, monterede eller indfattede; naturperler eller kulturperler, midlertidigt trukket på snor for transport (HS-kode 7101)
72
Jern og stål
74
Kobber og varer deraf
75
Nikkel og varer deraf
76
Aluminium og varer deraf
78
Bly og varer deraf
79
Zink og varer deraf
80
Tin og varer deraf
81
Andre uædle metaller; sintrede keramiske metaller (cermets); varer af disse materialer
BILAG 27
ENERGI- OG MILJØSUBSIDIER
Som led i principperne i denne aftales artikel 367, stk. 14:
1)
Subsidier til tilstrækkelig elproduktion, vedvarende energi og kraftvarmeproduktion må ikke underminere en parts evne til at opfylde sine forpligtelser i henhold til denne aftales artikel 304, må ikke unødigt påvirke den effektive anvendelse af elsamkøringslinjer som omhandlet i denne aftales artikel 311 og, uden at det berører denne aftales artikel 304, stk. 3, fastsættes ved hjælp af en gennemsigtig, ikkediskriminerende og effektiv konkurrencepræget proces, og
a)
subsidier med henblik på tilstrækkelig elproduktion skal give kapacitetsleverandører incitamenter til at være tilgængelige i forbindelse med forventet systemstress og kan begrænses til anlæg, der ikke overskrider de specificerede CO
2
-emissionsgrænser. og
b)
subsidier med henblik på vedvarende energikilder og kraftvarmeproduktion må ikke påvirke modtagernes forpligtelser eller muligheder for at deltage på elektricitetsmarkederne.
2)
Uanset nr. 1) kan ikkekonkurrencebaserede procedurer, forudsat at der træffes passende foranstaltninger for at forhindre overkompensation, anvendes til at yde subsidier til vedvarende energi og kraftvarmeproduktion, hvis det potentielle udbud ikke er tilstrækkeligt til at sikre en konkurrencepræget proces, den støtteberettigede kapacitet sandsynligvis ikke vil have væsentlige virkninger for samhandelen eller investeringerne mellem parterne, eller der ydes subsidier til demonstrationsprojekter.
3)
Hvis der indføres delvise fritagelser fra energirelaterede skatter og afgifter 
(
1
)
 til fordel for energiintensive brugere, må de ikke overstige de samlede skatter eller afgifter.
4)
Hvis der ydes kompensation til elintensive brugere i tilfælde af en stigning i elomkostningerne som følge af klimapolitiske instrumenter, skal den begrænses til sektorer med en betydelig risiko for kulstoflækage på grund af omkostningsstigningen.
5)
Subsidier til dekarbonisering af emissioner, der er knyttet til egne industrielle aktiviteter, skal resultere i en samlet reduktion af drivhusgasemissionerne. Subsidierne skal reducere de emissioner, der direkte hidrører fra den industrielle aktivitet. Subsidier til forbedring af energieffektiviteten i egne industriaktiviteter skal forbedre energieffektiviteten ved at reducere energiforbruget, enten direkte eller pr. produktionsenhed.
(
1
)
  Det præciseres, at afgifter ikke omfatter netafgifter eller -takster.
BILAG 28
MANGLENDE ANVENDELSE AF TREDJEPARTSADGANG OG EJERSKABSMÆSSIG ADSKILLELSE AF INFRASTRUKTUR
En part kan beslutte ikke at anvende denne aftales artikel 306 og 307 på ny infrastruktur eller på en betydelig udvidelse af eksisterende infrastruktur, hvis:
a)
risikoen ved investeringen i den nye infrastruktur er så stor, at investeringen ikke ville finde sted, medmindre en undtagelse blev indrømmet
b)
investeringen øger konkurrencen eller forsyningssikkerheden
c)
infrastrukturen er ejet af en fysisk eller juridisk person, der i det mindste hvad angår retlig form er adskilt fra de systemoperatører, i hvis systemer den skal bygges
d)
parten træffer afgørelse om reglerne og mekanismerne for kapacitetsforvaltning og -fordeling, inden den indrømmer undtagelsen.
BILAG 29
TILDELING AF ELSAMKØRINGSLINJEKAPACITET INDEN FOR DAY-AHEAD-MARKEDETS TIDSRAMME
DEL 1
1.
Den nye procedure for kapacitetstildeling på elsamkøringslinjer inden for day-ahead-markedets tidsramme baseres på konceptet med "multi-region loose volume coupling".
Det overordnede formål med den nye procedure er at maksimere fordelene ved handel.
Som et første skridt hen imod udviklingen af den nye procedure skal parterne sikre, at transmissionssystemoperatørerne udarbejder forslagsskitser og cost-benefit-analyser.
2.
Som led i "multi-region loose volume coupling" skal der udvikles en markedskoblingsfunktion til fastlæggelse af nettoenergistillingerne (implicit tildeling) mellem:
a)
budområder, som er fastlagt i overensstemmelse med forordning (EU) 2019/943, og som er direkte forbundet med Det Forenede Kongerige ved hjælp af en elsamkøringslinje, og
b)
Det Forenede Kongerige.
3.
Nettoenergistillingerne i forhold til elsamkøringslinjerne beregnes ved hjælp af en implicit tildeling ved anvendelse af en særlig algoritme til:
a)
erhvervsmæssige bud og tilbud til day-ahead-markedets tidsramme fra budområderne, som er fastlagt i overensstemmelse med forordning (EU) 2019/943, og som er direkte forbundet med Det Forenede Kongerige ved hjælp af en elsamkøringslinje
b)
erhvervsmæssige bud og tilbud til day-ahead-markedets tidsramme fra relevante day-ahead-markeder i Det Forenede Kongerige
c)
netværkskapacitetsdata og systemkapacitet fastlagt i overensstemmelse med den procedure, der er aftalt mellem transmissionssystemoperatørerne, og
d)
data for forventede strømme i elsamkøringslinjer mellem budområder, som er forbundet med Det Forenede Kongerige, og andre budområder i Unionen som fastlagt af EU-transmissionssystemoperatører ved hjælp af solide metoder.
Denne fremgangsmåde skal være i overensstemmelse med de særlige kendetegn ved jævnstrømssamkøringslinjer, herunder tab og rampingkrav.
4.
Markedskoblingsfunktionen skal:
a)
generere resultater i tilstrækkelig god tid før aktiviteten på parternes day-ahead-markeder (for Unionens vedkommende er der tale om fælles day-ahead-kobling, jf. Kommissionens forordning (EU) 2015/1222 
(
1
)
), således at sådanne resultater kan benyttes som input i forbindelse med fastlæggelsen af resultaterne for disse markeder
b)
generere resultater, som er pålidelige og kan reproduceres
c)
være en særlig måde til at forbinde de forskellige og adskilte day-ahead-markeder i Unionen og Det Forenede Kongerige; dette betyder navnlig, at den særlige algoritme skal være forskellig og adskilt fra den, der anvendes i forbindelse med fælles day-ahead-kobling, jf. forordning (EU) 2015/1222 og – for så vidt angår bud og tilbud i Unionen – kun gave adgang til sådanne fra budområder, som er direkte forbundet med Det Forenede Kongerige ved hjælp af en elsamkøringslinje.
5.
Den beregnede nettoenergiposition offentliggøres efter validering og verifikation. Hvis markedskoblingsfunktionen enten ikke kan fungere eller generere et resultat, tildeles elsamkøringslinjekapacitet efter en tilbagefaldsregel, og markedsdeltagerne underrettes om anvendelsen heraf.
6.
Omkostningerne ved udvikling og gennemførelse af de tekniske procedurer deles ligelige mellem de relevante transmissionssystemoperatører eller andre enheder fra Det Forenede Kongerige på den ene side og de relevante transmissionssystemoperatører eller andre enheder fra Unionen på den anden side, medmindre Specialudvalget om Energi bestemmer andet.
DEL 2
Tidsplanen for gennemførelsen af dette bilag efter denne aftales ikrafttræden er som følger:
a)
senest efter 3 måneder – cost-benefit-analyser og forslagsskitser til de tekniske procedurer
b)
senest efter 10 måneder – forslag til de tekniske procedurer
c)
senest efter 15 måneder – ibrugtagning af de tekniske procedurer.
(
1
)
  Kommissionens forordning (EU) 2015/1222 af 24. juli 2015 om fastsættelse af retningslinjer for kapacitetstildeling og håndtering af kapacitetsbegrænsninger (
EUT L 197 af 25.7.2015, s. 24
).
BILAG 30
LUFTDYGTIGHEDS- OG MILJØCERTIFICERING
AFDELING A
ALMINDELIGE BESTEMMELSER
Artikel 1
Formål og anvendelsesområde
1.   Formålet med dette bilag er at gennemføre samarbejdet på følgende områder i henhold til denne aftales artikel 445, stk. 2, og indeholder en beskrivelse af vilkår, betingelser og metoder for gensidig anerkendelse af konstateringer af overensstemmelse og certifikater:
a)
luftdygtighedsbeviser for og kontrolovervågning af civile luftfartsprodukter, jf. denne aftales artikel 445, stk. 1, litra a)
b)
miljøcertifikater for og prøvning af civile luftfartsprodukter, jf. denne aftales artikel 445, stk. 1, litra b), og
c)
konstruktions- og produktionscertifikater og kontrolovervågning af konstruktions- og produktionsorganisationer, jf. denne aftales artikel 445, stk. 1, litra c).
2.   Uanset stk. 1 er andre brugte civile luftfartsprodukter end brugte luftfartøjer udelukket fra dette bilags anvendelsesområde.
Artikel 2
Definitioner
I dette bilag forstås ved:
a)
"godkendelse": den anden parts anerkendelse af den ene parts certifikater, godkendelser, ændringer, reparationer, dokumenter og data uden valideringsaktiviteter, og uden at denne anden part udsteder et tilsvarende certifikat
b)
"godkendt frigivelsescertifikat": et certifikat udstedt af en godkendt organisation eller en kompetent myndighed i den eksporterende part til anerkendelse af overensstemmelse, hvorved det attesteres, at et andet nyt civilt luftfartsprodukt end et luftfartøj er i overensstemmelse med en konstruktion, der er godkendt af den eksporterende part, og er i sikker operativ stand
c)
"kategori af civile luftfartsprodukter": en række produkter, der har fælles karakteristika, og som er grupperet i de tekniske gennemførelsesprocedurer på grundlag af EASA's og UK CAA's certificeringsspecifikationer
d)
"certificeringsmyndighed": den eksporterende parts tekniske repræsentant, som udsteder et konstruktionscertifikat for et civilt luftfartsprodukt i sin egenskab af myndighed, der varetager konstruktionsstatens ansvar som fastsat i bilag 8 til konventionen angående international civil luftfart. Når et konstruktionscertifikat udstedes af en godkendt organisation i den eksporterende part, betragtes den eksporterende parts tekniske repræsentant som certificeringsmyndighed
e)
"konstruktionscertifikat": en form for anerkendelse fra en parts tekniske repræsentant eller godkendte organisation af, at konstruktionen eller ændringen af konstruktionen af et civilt luftfartsprodukt er i overensstemmelse med luftdygtighedskrav, hvis dette er relevant, og miljøbeskyttelseskrav, bl.a. vedrørende miljøkarakteristika, som er fastlagt i den pågældende parts love, forskrifter og administrative bestemmelser
f)
"konstruktionsrelaterede driftskrav": driftskrav og herunder miljøkrav, som enten påvirker det civile luftfartsprodukts konstruktionskarakteristika eller konstruktionsdata vedrørende produktets drift eller vedligeholdelse af produktet, som gør det egnet til en bestemt slags drift
g)
"eksport": den procedure, efter hvilken et civilt luftfartsprodukt frigives fra en parts regelsystem for civilluftfartens sikkerhed til den anden parts regelsystem
h)
"eksportluftdygtighedsbevis": et certifikat udstedt af den eksporterende parts kompetente myndighed – eller for brugte luftfartøjer af den kompetente myndighed i den registreringsstat, hvorfra produktet eksporteres – til anerkendelse af overensstemmelse, hvorved det attesteres, at et luftfartøj opfylder de gældende luftdygtigheds- og miljøbeskyttelseskrav, der er meddelt af den importerende part
i)
"eksporterende part": den part, fra hvis regelsystem for civilluftfartens sikkerhed et civilt luftfartsprodukt frigives
j)
"import": den procedure, efter hvilken et civilt luftfartsprodukt, der er eksporteret fra en parts regelsystem for civilluftfartens sikkerhed, indføres i den anden parts regelsystem
k)
"importerende part": den part, i hvis regelsystem for civilluftfartens sikkerhed et civilt luftfartsprodukt indføres
l)
"større ændring": alle andre ændringer af typekonstruktioner end "mindre ændringer"
m)
"mindre ændring": en ændring af typekonstruktioner, som ikke har nogen mærkbar effekt på vægt, balance, strukturel styrke, driftssikkerhed, operationelle egenskaber, støj, brændstofluftning, udstødningsemission eller andre egenskaber, der påvirker det civile luftfartsprodukts luftdygtighed
n)
"data om operationel egnethed": det datasæt, som er nødvendigt for at understøtte og skabe grundlaget for de typespecifikke operationelle aspekter af visse luftfartøjstyper, der er omfattet af Unionens eller Det Forenede Kongeriges regelsystem for civilluftfartens sikkerhed Det skal være udformet af typecertifikatansøgeren eller indehaveren af luftfartøjet og indgå i typecertifikatet. Ifølge Unionens eller Det Forenede Kongeriges regelsystem for civilluftfartens sikkerhed skal en førstegangsansøgning om et typecertifikat eller et begrænset typecertifikat omfatte, eller senere suppleres af, ansøgningen om godkendelse af data om operationel egnethed, alt efter hvad der er relevant for luftfartøjstypen
o)
"produktionsgodkendelse": et certifikat udstedt af en parts kompetente myndighed til en fabrikant, der producerer civile luftfartsprodukter, til anerkendelse af overensstemmelse, hvorved det attesteres, at fabrikanten overholder de gældende krav, der er fastsat i den pågældende parts love, forskrifter og administrative bestemmelser i forbindelse med produktionen af disse civile luftfartsprodukter
p)
"tekniske gennemførelsesprocedurer": de gennemførelsesprocedurer i relation til dette bilag, som udarbejdes af parternes tekniske repræsentanter i henhold til denne aftales artikel 445, stk. 5
q)
"valideringsmyndighed": den tekniske repræsentant for den importerende part, der accepterer eller validerer et konstruktionscertifikat udstedt af certificeringsmyndigheden som angivet i dette bilag.
AFDELING B
TILSYNSUDVALGET FOR CERTIFICERING
Artikel 3
Oprettelse og sammensætning
1.   Tilsynsudvalget for Certificering, som er ansvarligt over for Specialudvalget om Luftfartssikkerhed, nedsættes herved under fælles ledelse af de tekniske repræsentanter for parterne som et teknisk koordineringsorgan, der skal stå for den effektive gennemførelse af dette bilag. Det sammensættes af repræsentanter for hver parts tekniske repræsentant og kan indbyde yderligere deltagere til at lette opfyldelsen af dets mandat.
2.   Tilsynsudvalget for Certificering mødes med jævne mellemrum efter anmodning fra en af de tekniske repræsentanter og træffer afgørelser og fremsætter anbefalinger ved konsensus. Det udarbejder og vedtager sin forretningsorden.
Artikel 4
Mandat
Det mandat, som Tilsynsudvalget for Certificering har, omfatter navnlig følgende:
a)
udvikle, vedtage og revidere de tekniske gennemførelsesprocedurer, der er omhandlet i artikel 6
b)
udveksle oplysninger om væsentlige sikkerhedsmæssige betænkeligheder, når dette er relevant, og opstille handlingsplaner for at imødegå dem
c)
løse tekniske problemstillinger, der hører under de kompetente myndigheders ansvar og påvirker gennemførelsen af dette bilag
d)
hvis det er relevant udvikle effektive midler til at samarbejde, yde teknisk bistand og udveksle oplysninger om sikkerheds- og miljøbeskyttelseskrav, certificeringssystemer, kvalitetsstyringssystemer og standardiseringssystemer
e)
foretage regelmæssige gennemgange af de nærmere bestemmelser om validering eller godkendelse af certifikater, der er fastsat i artikel 10 og 13
f)
foreslå ændringer til dette bilag til Specialudvalget om Luftfartssikkerhed
g)
fastlægge procedurer i henhold til artikel 29 for at sikre hver parts vedvarende tillid til, at den anden parts procedurer for konstatering af overensstemmelse er pålidelige
h)
analysere og følge op på gennemførelsen af de procedurer, som er omhandlet i litra g), og
i)
indberette uløste sager til Specialudvalget om Luftfartssikkerhed og sikre gennemførelsen af afgørelser truffet af Specialudvalget om Luftfartssikkerhed vedrørende dette bilag.
AFDELING C
GENNEMFØRELSE
Artikel 5
Kompetente myndigheder med ansvar for konstruktionscertificering, produktionscertificering og eksportcertifikater
1.   De kompetente myndigheder for så vidt angår konstruktionscertificering er:
a)
for Unionen Det Europæiske Luftfartssikkerhedsagentur og
b)
for Det Forenede Kongerige den relevante markedssituation i Det Forenede Kongerige.
2.   De kompetente myndigheder med ansvar for produktionscertificering og eksportcertifikater er:
a)
for Unionen Det Europæiske Luftfartssikkerhedsagentur og medlemsstaternes kompetente myndigheder. For så vidt angår eksportcertifikater for brugte luftfartøjer er det den kompetente myndighed i den registreringsstat, hvorfra luftfartøjet eksporteres, og
b)
for Det Forenede Kongerige den relevante markedssituation i Det Forenede Kongerige
Artikel 6
Tekniske gennemførelsesprocedurer
1.   De tekniske gennemførelsesprocedurer udvikles af de tekniske repræsentanter for parterne inden for rammerne af Tilsynsudvalget for Certificering med henblik på at fastlægge specifikke procedurer, hvormed gennemførelsen af dette bilag lettes, idet der fastlægges procedurer for kommunikationsaktiviteterne mellem parternes kompetente myndigheder.
2.   De tekniske gennemførelsesprocedurer skal også tage højde for forskellene mellem parternes standarder, regler, praksis, procedurer og systemer for civil luftfart i relation til gennemførelsen af dette bilag, jf. denne aftales artikel 445, stk. 5.
Artikel 7
Udveksling og beskyttelse af fortrolige oplysninger og ophavsretligt beskyttede data og oplysninger
1.   Data og oplysninger, der udveksles ved gennemførelsen af dette bilag, er omfattet af denne aftales artikel 453.
2.   Data og oplysninger, der udveksles i forbindelse med valideringsprocedurer, skal være afgrænset i deres art og omfang til det nødvendige grundlag for at dokumentere opfyldelse af de gældende tekniske krav som angivet i de tekniske gennemførelsesprocedurer.
3.   Enhver uenighed angående en udveksling af data og oplysninger mellem de kompetente myndigheder håndteres som angivet i de tekniske gennemførelsesprocedurer. Hver part har ret til at henvise tvisten til Tilsynsudvalget for Certificering med henblik på bilæggelse.
AFDELING D
KONSTRUKTIONSCERTIFICERING
Artikel 8
Generelle principper
1.   Denne afdeling vedrører alle konstruktionscertifikater og eventuelle ændringer heraf inden for dette bilags anvendelsesområde, og navnlig:
a)
typecertifikater, herunder begrænsede typecertifikater
b)
supplerende typecertifikater
c)
godkendelser af reparationskonstruktioner og
d)
TSO-godkendelser.
2.   Valideringsmyndigheden validerer, under hensyntagen til involveringsgraden, jf. artikel 12, eller accepterer et konstruktionscertifikat eller en ændring, som certificeringsmyndigheden har udstedt eller godkendt eller er i færd med at udstede eller godkende, i henhold til de vilkår og betingelser, der er fastsat i dette bilag og angivet i de tekniske gennemførelsesprocedurer, herunder retningslinjerne for accept og validering af certifikater.
3.   I forbindelse med gennemførelsen af dette bilag sikrer hver part, at enhver konstruktionsorganisations evne til at løse sine opgaver kontrolleres i tilstrækkelig grad i dennes regelsystem for civilluftfartens sikkerhed i kraft af en certificeringsordning for konstruktionsorganisationer.
Artikel 9
Valideringsproces
1.   En ansøgning om validering af et konstruktionscertifikat for et civilt luftfartsprodukt skal indgives til valideringsmyndigheden gennem certificeringsmyndigheden som angivet i de tekniske gennemførelsesprocedurer.
2.   Certificeringsmyndigheden skal sikre, at valideringsmyndigheden modtager alle de relevante data og oplysninger, der er nødvendige for at validere konstruktionscertifikatet, som angivet i de tekniske gennemførelsesprocedurer.
3.   Efter at have modtaget ansøgningen om validering af konstruktionscertifikatet fastlægger valideringsmyndigheden certificeringsgrundlaget for validering i henhold til artikel 11 samt valideringsmyndighedens involveringsgrad i valideringsprocessen i henhold til artikel 12.
4.   Valideringsmyndigheden baserer, som angivet i de tekniske gennemførelsesprocedurer, og så vidt det er praktisk muligt, sin validering på de tekniske evalueringer, prøvninger, inspektioner og konstateringer af overensstemmelse, som certificeringsmyndigheden har foretaget.
5.   Valideringsmyndigheden udsteder efter sin gennemgang af relevante data og oplysninger, som certificeringsmyndigheden har forelagt, sit konstruktionscertifikat for det validerede civile luftfartsprodukt ("valideret konstruktionscertifikat"), hvis:
a)
det bekræftes, at certificeringsmyndigheden har udstedt sit eget konstruktionscertifikat for det civile luftfartsprodukt
b)
certificeringsmyndigheden har fastslået, at det civile luftfartsprodukt er i overensstemmelse med det certificeringsgrundlag, der er omhandlet i artikel 11
c)
der er fundet en løsning på alle problemstillinger, som valideringsmyndigheden har behandlet under valideringsproceduren, og
d)
ansøgeren har opfyldt supplerende administrative krav, som er angivet i de tekniske gennemførelsesprocedurer.
6.   Hver part skal sikre, at for at opnå og opretholde et valideret konstruktionscertifikat skal ansøgeren opbevare og give certificeringsmyndigheden adgang til alle relevante konstruktionsoplysninger, tegninger og prøvningsrapporter, herunder inspektionsrapporter om det certificerede civile luftfartsprodukt, for at kunne stille de fornødne informationer til rådighed til sikring af det civile luftfartsprodukts vedvarende luftdygtighed og overensstemmelse med de gældende miljøbeskyttelseskrav.
Artikel 10
Nærmere bestemmelser for validering af konstruktionscertifikater
1.   Typecertifikater, der er udstedt af Unionens tekniske repræsentant som certificeringsmyndighed, valideres af Det Forenede Kongeriges tekniske repræsentant som valideringsmyndighed. Følgende oplysninger skal fremlægges til accept:
a)
monteringsvejledning for motorer (typecertifikat for motorer)
b)
reparationshåndbog vedrørende konstruktionen
c)
instruks angående elektriske kabler og konnektorer i relation til vedvarende luftdygtighed og
d)
håndbog om masse og balance.
Proceduremæssige detaljer vedrørende accept af de relevante oplysninger kan fastlægges i en teknisk gennemførelsesprocedure. Sådanne proceduremæssige detaljer må ikke påvirke kravet om godkendelse i medfør af første afsnit.
2.   Betydelige supplerende typecertifikater og godkendelser af betydelige større ændringer, der er udstedt af Unionens tekniske repræsentant som certificeringsmyndighed, valideres af Det Forenede Kongeriges tekniske repræsentant som valideringsmyndighed. Som hovedregel anvendes en strømlinet valideringsproces, der er afgrænset til teknisk rutineopbygning uden valideringsmyndighedens medvirken til ansøgerens godtgørelse af overensstemmelsesaktiviteter, medmindre de tekniske repræsentanter træffer anden afgørelse i hvert enkelt tilfælde.
3.   Typecertifikater, der er udstedt af Det Forenede Kongeriges tekniske repræsentant som certificeringsmyndighed, valideres af Unionens tekniske repræsentant som valideringsmyndighed.
4.   Supplerende typecertifikater, godkendelser af større ændringer, større reparationer og TSO-godkendelser, der er udstedt af Det Forenede Kongeriges tekniske repræsentant som certificeringsmyndighed eller af en godkendt organisation i henhold til Det Forenede Kongeriges love og bestemmelser, accepteres af Unionens tekniske repræsentant som valideringsmyndighed. Der kan anvendes en strømlinet valideringsproces, der er afgrænset til teknisk rutineopbygning uden valideringsmyndighedens medvirken til ansøgerens godtgørelse af overensstemmelsesaktiviteter, hvis de tekniske repræsentanter træffer afgørelse herom i hvert enkelt tilfælde.
Artikel 11
Certificeringsgrundlag for valideringen
1.   Med henblik på validering af et konstruktionscertifikat for et civilt luftfartsprodukt skal valideringsmyndigheden henvise til følgende krav, som er fastsat i partens love, forskrifter og administrative bestemmelser, når certificeringsgrundlaget skal fastslås:
a)
luftdygtighedskravene for et tilsvarende civilt luftfartsprodukt, som var i kraft på den faktiske dato for anvendelse, og som certificeringsmyndigheden har fastsat, og suppleret, hvis det er relevant, med yderligere tekniske betingelser som angivet i de tekniske gennemførelsesprocedurer og
b)
miljøbeskyttelseskravene til det civile luftfartsprodukt, som var gældende på datoen for indgivelse af ansøgningen om validering til valideringsmyndigheden.
2.   Valideringsmyndigheden skal, når dette er relevant, specificere eventuelle:
a)
undtagelser fra gældende krav
b)
afvigelser fra gældende krav eller
c)
kompenserende faktorer, hvormed der tilvejebringes et tilsvarende sikkerhedsniveau, når gældende krav ikke er opfyldt.
3.   Ud over de krav, der er fastsat i stk. 1 og 2, skal valideringsmyndigheden angive eventuelle særlige betingelser, der skal opfyldes, hvis de relevante luftdygtighedsbestemmelser, love, forskrifter og administrative bestemmelser ikke indeholder hensigtsmæssige eller relevante sikkerhedskrav til det civile luftfartsprodukt, fordi:
a)
det civile luftfartsprodukt har nye eller usædvanlige konstruktionsegenskaber i forhold til den konstruktionspraksis, som de gældende luftdygtighedsbestemmelser, love, forskrifter og administrative bestemmelser er baseret på
b)
den tilsigtede anvendelse af det civile luftfartsprodukt er utraditionel eller
c)
erfaringer fra andre tilsvarende civile luftfartsprodukter i brug eller civile luftfartsprodukter, der har tilsvarende konstruktionsegenskaber, har vist, at der kan opstå betingelser, som ikke frembyder den fornødne sikkerhed.
4.   Ved angivelsen af undtagelser, afvigelser, kompenserende faktorer eller særlige betingelser skal valideringsmyndigheden tage behørigt hensyn til de af certificeringsmyndigheden anvendte undtagelser, afvigelser, kompenserende faktorer eller særlige betingelser, og disse må ikke pålægge de civile luftfartsprodukter, som foreligger til validering, strengere krav end dem, der gælder for de tilsvarende egne produkter. Valideringsmyndigheden skal meddele certificeringsmyndigheden sådanne undtagelser, afvigelser, kompenserende faktorer eller særlige betingelser.
Artikel 12
Valideringsmyndighedens involveringsgrad
1.   En parts valideringsmyndigheds involveringsgrad i forbindelse med den valideringsprocedure, der er omhandlet i artikel 9 og angivet i de tekniske gennemførelsesprocedurer, fastlægges primært i forhold til:
a)
den anden parts kompetente myndigheds erfaring og dokumenterede indsats som certificeringsmyndighed
b)
valideringsmyndighedens allerede høstede erfaringer fra tidligere valideringsrunder sammen med den anden parts kompetente myndighed
c)
den validerede konstruktions art
d)
ansøgerens hidtidige præstationer og erfaring opnået hos valideringsmyndigheden og
e)
resultatet af vurderinger af kvalifikationskrav som omhandlet i artikel 28 og 29.
2.   Valideringsmyndigheden gennemfører specialprocedurer og kontrol, især vedrørende certificeringsmyndighedens processer og metoder, ved den første validering af certifikater, hvor certificeringsmyndigheden ikke tidligere har udstedt et certifikat i den pågældende kategori af civile luftfartsprodukter efter den 30. september 2004. De anvendte procedurer og krav beskrives i detaljer i de tekniske gennemførelsesprocedurer.
3.   Tilsynsudvalget for Certificering skal regelmæssigt måle, kontrollere og gennemgå den praktiske gennemførelse af de principper, som er anført i stk. 1 og 2, efter måleparametre, som er angivet i de tekniske gennemførelsesprocedurer.
Artikel 13
Godkendelse
1   For et konstruktionscertifikat, der skal godkendes, anerkender valideringsmyndigheden det konstruktionscertifikat, som er udstedt af certificeringsmyndigheden, uden valideringsaktiviteter. Valideringsmyndigheden anerkender i så fald konstruktionscertifikatet som ækvivalent med et certifikat, der er udstedt i henhold til sin egen parts love, forskrifter og administrative bestemmelser, og valideringsmyndigheden må ikke udstede sit tilsvarende certifikat.
2.   Ubetydelige supplerende typecertifikater, ubetydelige større ændringer og TSO-godkendelser, der er udstedt af Unionens tekniske repræsentant som certificeringsmyndighed eller af en godkendt organisation i henhold til EU-retten, anerkendes af Det Forenede Kongeriges tekniske repræsentant som valideringsmyndighed.
3.   Mindre ændringer og reparationer, der er godkendt af Unionens tekniske repræsentant som certificeringsmyndighed eller af en godkendt organisation i henhold til EU-retten, anerkendes af Det Forenede Kongeriges tekniske repræsentant som valideringsmyndighed.
4.   Mindre ændringer og mindre reparationer, der er godkendt af Det Forenede Kongeriges tekniske repræsentant som certificeringsmyndighed eller af en godkendt organisation i henhold til Det Forenede Kongeriges love og bestemmelser, anerkendes af Unionens tekniske repræsentant som valideringsmyndighed.
Artikel 14
Gennemførelsesbestemmelser til artikel 10 og 13
1.   Certificeringsmyndigheden klassificerer mindre eller større ændringer i henhold til de definitioner, som er fastsat i dette bilag, og de fortolkes i overensstemmelse med certificeringsmyndighedens gældende regler og procedurer.
2.   I forbindelse med klassificeringen af, hvorvidt et supplerende typecertifikat eller en større ændring er betydelig eller ubetydelig, overvejer certificeringsmyndigheden ændringen i sammenhæng med alle tidligere relevante konstruktionsændringer og alle hermed forbundne revisioner af de gældende certificeringsspecifikationer, der er indarbejdet i typecertifikatet for det civile luftfartsprodukt. Ændringer, der opfylder et af følgende kriterier, betragtes automatisk som betydelige:
a)
konfigurationen som helhed eller konstruktionsprincipperne er ikke bibeholdt eller
b)
de forudsætninger, der er anvendt ved certificeringen af det produkt, der skal ændres, bevarer ikke deres gyldighed.
Artikel 15
Eksisterende konstruktionscertifikater
Men henblik på dette bilag gælder følgende:
a)
typecertifikater, supplerende typecertifikater, godkendelser af ændringer og reparationer samt TSO-godkendelser og ændringer heraf, der er udstedt af Unionens tekniske repræsentant til ansøgere fra Det Forenede Kongerige eller af en godkendt konstruktionsorganisation beliggende i Det Forenede Kongerige i henhold til EU-retten, og som er gyldige den 31. december 2020, anses som værende udstedt af Det Forenede Kongeriges tekniske repræsentant som certificeringsmyndighed eller af en godkendt organisation i henhold til Det Forenede Kongeriges love og bestemmelser, og at være godkendt af Unionens tekniske repræsentant som valideringsmyndighed i overensstemmelse med artikel 13, stk. 1
b)
typecertifikater, supplerende typecertifikater, godkendelser af ændringer og reparationer samt TSO-godkendelser og ændringer heraf, der er udstedt af Unionens tekniske repræsentant til ansøgere fra Unionen eller af en konstruktionsorganisation beliggende i Unionen i henhold til EU-retten, og som er gyldige den 31. december 2020, anses som værende godkendt af Det Forenede Kongeriges tekniske repræsentant som valideringsmyndighed i overensstemmelse med artikel 13, stk. 1.
Artikel 16
Overførsel af et konstruktionscertifikat
Hvis et konstruktionscertifikat overdrages til en anden enhed, underretter certificeringsmyndigheden, der har ansvaret for konstruktionscertifikatet, straks valideringsmyndigheden om overdragelsen og anvender proceduren vedrørende overdragelse af konstruktionscertifikater som angivet i de tekniske gennemførelsesprocedurer.
Artikel 17
Konstruktionsrelaterede driftskrav
1.   De tekniske repræsentanter sikrer om nødvendigt, at data og oplysninger vedrørende konstruktionsrelaterede driftskrav udveksles i løbet af valideringsproceduren.
2.   Hvis de tekniske repræsentanter træffer afgørelse herom, kan valideringsmyndigheden for nogle konstruktionsrelaterede driftskravs vedkommende anerkende certificeringsmyndighedens overensstemmelseserklæring i forbindelse med valideringsproceduren.
Artikel 18
Typerelaterede operationelle dokumenter og data
1   Nogle typespecifikke sæt af operationelle dokumenter og data, bl.a. data om operationel egnethed i EU-systemet og ækvivalente data i Det Forenede Kongeriges system, der leveres af indehaveren af typecertifikatet, godkendes eller accepteres af certificeringsmyndigheden og udveksles om nødvendigt i forbindelse med valideringsproceduren.
2.   Valideringsmyndigheden kan enten acceptere eller validere de i stk. 1 omhandlede operationelle dokumenter og data som angivet i de tekniske gennemførelsesprocedurer.
Artikel 19
Sideløbende validering
Hvis ansøgeren og de tekniske repræsentanter træffer afgørelse herom, kan der benyttes en sideløbende certificerings- og valideringsprocedure, hvis dette er relevant, som angivet i de tekniske gennemførelsesprocedurer.
Artikel 20
Vedvarende luftdygtighed
1.   De kompetente myndigheder påtager sig at træffe forholdsregler for at imødegå sikkerhedsmæssige problemer ved civile luftfartsprodukter, for hvilke de er certificeringsmyndighed.
2.   Efter anmodning bistår den ene parts kompetente myndighed i forbindelse med civile luftfartsprodukter, der konstrueres eller produceres i henhold til dens regelsystem, den anden parts kompetente myndighed ved fastlæggelsen af eventuelle foranstaltninger, som anses for nødvendige af hensyn til de civile luftfartsprodukters vedvarende luftdygtighed.
3.   I tilfælde, hvor driftsrelaterede vanskeligheder eller andre potentielle sikkerhedsproblemer, der berører et civilt luftfartsprodukt inden for dette bilags anvendelsesområde, giver en parts tekniske repræsentant, der er certificeringsmyndighed for det civile luftfartsprodukt, anledning til at foretage en efterforskning, skal den anden parts tekniske repræsentant efter anmodning støtte denne efterforskning bl.a. ved at forelægge relevante oplysninger, som dennes relevante enheder har rapporteret om svigt, mangler, fejl eller andre hændelser, der berører dette civile luftfartsprodukt.
4.   Med udvekslingen af disse oplysninger til certificeringsmyndigheden og den mekanisme for udveksling af oplysninger, der oprettes ved dette bilag, anses indehavere af et konstruktionscertifikat for at have opfyldt deres forpligtelse til at rapportere om svigt, mangler, fejl eller andre hændelser, der berører dette civile luftfartsprodukt, til valideringsmyndigheden.
5.   Forholdsregler mod sikkerhedsmæssige problemer og udveksling af sikkerhedsoplysninger som omhandlet i stk. 1 til 4 skal angives i de tekniske gennemførelsesprocedurer.
6.   Den ene parts tekniske repræsentant skal holde den anden parts tekniske repræsentant underrettet om alle obligatoriske oplysninger om vedvarende luftdygtighed i relation til civile luftfartsprodukter, som er konstrueret eller produceret i henhold til partens tilsynssystem, og som er omfattet af dette bilags anvendelsesområde.
7.   Eventuelle ændringer af luftdygtighedsstatus med hensyn til certifikater, der er udstedt af en parts tekniske repræsentant, meddeles rettidigt den anden parts tekniske repræsentant.
AFSNIT E
PRODUKTIONSCERTIFICERING
Artikel 21
Anerkendelse af produktionscertificerings- og produktionstilsynssystemer
1.   Den importerende part anerkender den eksporterende parts produktionscertificerings- og produktionstilsynssystem, idet systemet anses for at være tilstrækkeligt ækvivalent med den importerende parts system inden for rammerne af dette bilag, jf. dog bestemmelserne i denne artikel.
2.   Unionens anerkendelse af Det Forenede Kongeriges produktionscertificerings- og produktionstilsynssystemer omfatter kun anerkendelsen af de kategorier af civile luftfartsprodukter, som allerede var omfattet af dette system den 31. december 2020, som angivet i de tekniske gennemførelsesprocedurer.
3.   Hvis en ny kategori af civile luftfartsprodukter tilføjes til den eksporterende parts produktionscertificerings- og produktionstilsynssystem, underretter den eksporterende parts kompetente myndighed den importerende parts tekniske repræsentant. Før anerkendelsen af produktionscertificerings- og produktionstilsynssystemet udvides til at omfatte den nye kategori af civile luftfartsprodukter, kan den importerende parts tekniske repræsentant beslutte at gennemføre en vurdering for at bekræfte, at den eksporterende parts produktionscertificerings- og produktionstilsynssystem for denne kategori er tilstrækkeligt ækvivalent med den importerende parts produktionscertificerings- og produktionstilsynssystem. Vurderingen gennemføres som angivet i de tekniske gennemførelsesprocedurer og kan omfatte en vurdering af indehaveren af produktionsgodkendelsen under tilsyn af den eksporterende parts kompetente myndighed. Proceduren for udvidelsen af den importerende parts anerkendelse af den eksporterende parts produktionscertificerings- og produktionstilsynssystem til også at omfatte den nye kategori af civile luftfartsprodukter skal angives i de tekniske gennemførelsesprocedurer.
4.   Den importerende parts anerkendelse af den eksporterende parts produktionscertificerings- og produktionstilsynssystem gøres betinget af, at den eksporterende parts produktionscertificerings- og produktionstilsynssystem fortsat er tilstrækkeligt ækvivalent med den importerende parts system. Produktionscertificerings- og produktionstilsynssystemets ækvivalens overvåges kontinuerligt ved hjælp af de procedurer, der er anført i artikel 29.
5.   Stk. 1-3 finder også anvendelse på produktionen af et civilt luftfartsprodukt, for hvilket konstruktionsstatens ansvarsområder varetages af et andet land end den part, som eksporterer det civile luftfartsprodukt, forudsat at den eksporterende parts kompetente myndighed sammen med konstruktionsstatens relevante myndighed har opstillet og gennemført de nødvendige procedurer for at kontrollere grænsefladen mellem indehaveren af konstruktionscertifikatet og indehaveren af produktionsgodkendelsen for dette civile luftfartsprodukt.
Artikel 22
Udvidelse af produktionsgodkendelse
1.   En produktionsgodkendelse, som den eksporterende parts kompetente myndighed udsteder til en producent, der primært er lokaliseret på den pågældende eksporterende parts område, og som anerkendes i henhold til artikel 21, stk. 1, kan udvides til også at omfatte producentens produktionsanlæg og -faciliteter på den anden parts område eller på et tredjelands område, uanset disse produktionsanlægs og -faciliteters retlige status og uanset hvilken type civilt luftfartsprodukt, som fremstilles i disse anlæg og faciliteter. Den eksporterende parts kompetente myndighed skal i dette tilfælde bære ansvaret for tilsynet med disse produktionsanlæg og -faciliteter, og den importerende parts kompetente myndighed må ikke udstede sin egen produktionsgodkendelse til disse produktionsanlæg og -faciliteter for det samme civile luftfartsprodukt.
2.   Hvis en producent, som primært er lokaliseret på den eksporterende parts område, har produktionsanlæg og -faciliteter, der er lokaliseret hos den anden part, skal begge parters kompetente myndigheder samarbejde med hinanden inden for rammerne af bestemmelserne i artikel 32, med henblik på at den importerende part kan deltage i den eksporterende parts tilsynsaktiviteter i forbindelse med disse faciliteter.
Artikel 23
Grænseflade mellem indehaveren af produktionsgodkendelsen og indehaveren af konstruktionscertifikatet
1.   De kompetente myndigheders tekniske repræsentanter skal opstille procedurer for de tilfælde, hvor indehaveren af produktionsgodkendelsen for et civilt luftfartsprodukt reguleres af en parts kompetente myndighed, og indehaveren af konstruktionscertifikatet for det samme civile luftfartsprodukt reguleres af den anden parts kompetente myndighed, med henblik på at fastlægge hver parts ansvarsområde med hensyn til kontrol af grænsefladen mellem indehaveren af produktionsgodkendelsen og indehaveren af konstruktionscertifikatet.
2.   Med henblik på eksport af civile luftfartsprodukter inden for rammerne af dette bilag i det tilfælde, at indehaveren af konstruktionscertifikatet og produktionsgodkendelsen ikke er samme retlige enhed, skal parternes kompetente myndigheder sikre, at indehaveren af konstruktionscertifikatet opretter passende ordninger med indehaveren af produktionsgodkendelsen for at sikre tilfredsstillende koordinering mellem konstruktion og produktion og en passende støtte af det civile luftfartsprodukts vedvarende luftdygtighed.
AFSNIT F
EKSPORTCERTIFIKATER
Artikel 24
Formularer
Den eksporterende parts formularer er:
a)
hvis den eksporterende part er Det Forenede Kongerige, CAA-formular 52 for nye luftfartøjer, eksportluftdygtighedsbevis for brugte luftfartøjer og CAA-formular 1 for andre nye produkter og
b)
hvis den eksporterende part er Unionen, EASA-formular 52 for nye luftfartøjer, eksportluftdygtighedsbevis for brugte luftfartøjer og EASA-formular 1 for andre nye produkter.
Artikel 25
Udstedelse af et eksportcertifikat
1.   Ved udstedelse af et eksportcertifikat sikrer den eksporterende parts kompetente myndighed eller indehaver af en produktionsgodkendelse, at sådanne civile luftfartsprodukter:
a)
er i overensstemmelse med den konstruktion, der automatisk anerkendes eller valideres, eller som den importerende part har certificeret i henhold til dette bilag, og som er angivet i de tekniske gennemførelsesprocedurer
b)
er i en driftssikker tilstand
c)
opfylder alle yderligere krav, som den importerende part har meddelt og
d)
for så vidt angår civile luftfartøjer, luftfartøjsmotorer og luftfartøjspropeller opfylder de gældende obligatoriske oplysninger om vedvarende luftdygtighed, herunder den importerende parts luftdygtighedsdirektiver, som den pågældende part har meddelt.
2.   Når der udstedes et eksportluftdygtighedsbevis for et brugt luftfartøj, som er registreret i den eksporterende part, sikrer den eksporterende parts kompetente myndighed ud over de krav, der er omhandlet i stk. 1, litra a) til d), at et sådant luftfartøj er blevet korrekt vedligeholdt i dets samlede driftslevetid under anvendelse af de procedurer og metoder, den eksporterende part har godkendt, hvilket påvises med logbøger og dokumentation for vedligeholdelse.
Artikel 26
Anerkendelse af et eksportcertifikat for et nyt civilt luftfartsprodukt
Den importerende parts kompetente myndighed accepterer et eksportcertifikat udstedt af den eksporterende parts kompetente myndighed eller indehaver af en produktionsgodkendelse for et civilt luftfartsprodukt i overensstemmelse med de vilkår og betingelser, der er fastsat i dette bilag og nærmere angivet i de tekniske gennemførelsesprocedurer.
Artikel 27
Anerkendelse af et eksportluftdygtighedsbevis for et brugt luftfartøj
1.   Den importerende parts kompetente myndighed anerkender kun et eksportluftdygtighedsbevis udstedt af den eksporterende parts kompetente myndighed for et brugt luftfartøj i henhold til de betingelser, der er fastsat i dette bilag, og de tekniske gennemførelsesprocedurer, hvis der findes en indehaver af enten et typecertifikat eller et begrænset typecertifikat for det brugte luftfartøjs vedkommende til støtte for den pågældende luftfartøjstypes vedvarende luftdygtighed.
2.   I forbindelse med et eksportluftdygtighedsbevis for et brugt luftfartøj, som er fremstillet under den eksporterende parts produktionstilsyn, og som skal anerkendes i henhold til stk. 1, bistår den eksporterende parts kompetente myndighed efter anmodning den importerende parts kompetente myndighed med at fremskaffe data og oplysninger vedrørende:
a)
luftfartøjets konfiguration, da det blev afleveret fra producenten, og
b)
efterfølgende ændringer og reparationer af dette luftfartøj, som den har godkendt.
3.   Den importerende part kan anmode om inspektions- og vedligeholdelsesdokumentation som angivet i de tekniske gennemførelsesprocedurer.
4.   Hvis den eksporterende parts kompetente myndighed i forbindelse med sin certificering af luftdygtighedsstatus for et brugt luftfartøj, som påtænkes eksporteret, ikke er i stand til at opfylde alle krav i artikel 25, stk. 2, samt nærværende artikels stk. 1 og 2, skal den:
a)
underrette den importerende parts kompetente myndighed
b)
koordinere med den importerende parts kompetente myndighed som angivet i de tekniske gennemførelsesprocedurer, hvorvidt den anerkender eller afviser undtagelserne fra de gældende krav, og
c)
føre en fortegnelse over eventuelle anerkendte undtagelser i forbindelse med eksporten.
AFSNIT G
KOMPETENTE MYNDIGHEDERS KVALIFIKATIONER
Artikel 28
Kvalifikationskrav med henblik på anerkendelse af konstateringer af overensstemmelse og certifikater
1.   Hver part skal opretholde et struktureret og effektivt certificerings- og tilsynssystem med henblik på gennemførelsen af dette bilag, herunder:
a)
en juridisk og reguleringsmæssig ramme, der navnlig sikrer reguleringsbeføjelser over enheder, som er underlagt partens regelsystem for civilluftfartens sikkerhed
b)
en organisationsstruktur, herunder en klar beskrivelse af ansvarsområder
c)
tilstrækkelige ressourcer, herunder kvalificeret personale med den nødvendige viden, erfaring og uddannelse
d)
hensigtsmæssige procedurer, der dokumenteres i politikker og procedurer
e)
dokumentation og fortegnelser og
f)
et etableret inspektionsprogram, som sikrer ensartet gennemførelse af den juridiske og reguleringsmæssige ramme blandt tilsynssystemets forskellige komponenter.
Artikel 29
De kompetente myndigheders vedvarende kvalifikation
1.   For at opretholde den gensidige tillid til hver parts regelsystemer vedrørende gennemførelsen af dette bilag, således at parterne sikrer, at sikkerhedsniveauet er tilstrækkeligt ækvivalent, skal hver parts tekniske repræsentant regelmæssigt vurdere den anden parts kompetente myndigheders overholdelse af de kvalifikationskrav, der er omhandlet i artikel 28. De nærmere enkeltheder i forbindelse med sådanne løbende gensidige vurderinger skal angives i de tekniske gennemførelsesprocedurer.
2.   En parts kompetente myndighed skal samarbejde med den anden parts kompetente myndighed, når der er behov for sådanne vurderinger, og sikre, at regulerede enheder, der er underlagt førstnævnte parts tilsyn, giver parternes tekniske repræsentanter adgang.
3.   Finder en af parternes tekniske repræsentanter, at den anden parts kompetente myndigheds tekniske kompetence ikke længere er tilstrækkelig, eller at anerkendelsen af konstateringer af overensstemmelse, der er foretaget, eller certifikater, som er udstedt af den kompetente myndighed, bør suspenderes, idet den anden parts systemer til gennemførelse af dette bilag ikke længere sikrer et tilstrækkeligt ækvivalent sikkerhedsniveau til at muliggøre en sådan anerkendelse, holder parternes tekniske repræsentanter konsultationer for at udpege afhjælpende tiltag.
4.   Hvis den gensidige tillid ikke genskabes med en gensidigt tilfredsstillende løsning, kan hver parts tekniske repræsentant henvise sagen, jf. stk. 3, til Tilsynsudvalget for Certificering.
5.   Hvis sagen ikke bliver løst af Tilsynsudvalget for Certificering, kan parterne henvise sagen, jf. stk. 3, til Specialudvalget om Luftfartssikkerhed.
AFSNIT H
MEDDELELSER, KONSULTATIONER OG STØTTE
Artikel 30
Meddelelser
Med forbehold af de undtagelser, der besluttes af parternes tekniske repræsentanter fra sag til sag, skal al kommunikation mellem parternes kompetente myndigheder, herunder dokumentation som angivet i de tekniske gennemførelsesprocedurer, foregå på engelsk.
Artikel 31
Tekniske konsultationer
1.   Parternes tekniske repræsentanter behandler spørgsmål vedrørende gennemførelsen af dette bilag gennem konsultationer.
2.   Hvis parterne ved konsultationerne, der afholdes i henhold til stk. 1, ikke kan nå frem til en gensidigt acceptabel løsning, kan parternes tekniske repræsentanter henvise et spørgsmål som omhandlet i stk. 1 til Tilsynsudvalget for Certificering.
3.   Hvis spørgsmålet ikke bliver løst af Tilsynsudvalget for Certificering, kan parterne henvise spørgsmålet som omhandlet i stk. 1 til Specialudvalget om Luftfartssikkerhed.
Artikel 32
Støtte til certificering og tilsynsaktiviteter for vedvarende luftdygtighed
Efter anmodning og fælles samtykke, og i det omfang ressourcerne tillader det, kan en parts kompetente myndighed stille teknisk støtte, data og oplysninger til rådighed for den anden parts kompetente myndighed med henblik på certificering og tilsynsaktiviteter for vedvarende luftdygtighed i relation til certificering af konstruktion, produktion og miljøbeskyttelse. Den bistand, som skal ydes, og den procedure, som følges i den forbindelse, skal angives i de tekniske gennemførelsesprocedurer.
BILAG 31
GODSTRANSPORT AD VEJ
DEL A
KRAV TIL VEJGODSTRANSPORTOPERATØRER I OVERENSSTEMMELSE MED DENNE AFTALES ARTIKEL 463
AFDELING 1
ADGANG TIL OG UDØVELSE AF VEJGODSTRANSPORTERHVERVET
Artikel 1
Anvendelsesområde
Denne afdeling indeholder bestemmelser om adgang til og udøvelse af vejgodstransporterhvervet og gælder for alle vejgodstransportoperatører i en part, der varetager vejgodstransport inden for anvendelsesområdet af denne aftales artikel 462.
Artikel 2
Definitioner
I denne afdeling forstås ved:
a)
"vejgodstransporttilladelse": en administrativ afgørelse, hvorved der meddeles en fysisk eller juridisk person, der opfylder betingelserne i denne afdeling, tilladelse til at udøve vejgodstransporterhvervet
b)
"kompetent myndighed": en national, regional eller lokal myndighed i en part, der med henblik på at udstede vejgodstransporttilladelser kontrollerer, at en fysisk eller juridisk person opfylder kravene i denne afdeling, og som har kompetence til at meddele, suspendere og tilbagekalde vejgodstransporttilladelser og
c)
"sædvanligt opholdssted": det sted, hvor en person normalt bor i mindst 185 dage i hvert kalenderår på grund af personlige tilknytningsforhold, som viser tætte forbindelser mellem den pågældende person og det sted, hvor han/hun bor.
Artikel 3
Krav med henblik på udøvelse af vejgodstransporterhvervet
Fysiske eller juridiske personer, der udøver vejgodstransporterhvervet, skal:
a)
have et faktisk etableret og varigt forretningssted i en af parterne, jf. denne afdelings artikel 5
b)
opfylde vandelskravet, jf. denne afdelings artikel 6
c)
have et tilstrækkeligt økonomisk grundlag, jf. denne afdelings artikel 7, og
d)
have de nødvendige faglig kvalifikationer, jf. denne afdelings artikel 8.
Artikel 4
Transportleder
1.   Vejgodstransportoperatører udpeger mindst én fysisk person, transportlederen, der løbende i praksis styrer vejgodstransportaktiviteterne og opfylder kravene i artikel 3, litra b) og d), og som:
a)
har en reel tilknytning til vejgodstransportoperatøren, f.eks. som ansat, direktør, ejer eller aktionær eller administrator, eller er personen selv, og
b)
er bosiddende i parten på det område, hvor vejgodstransportoperatøren er etableret.
2.   Hvis en fysisk eller juridisk person ikke opfylder kravet om faglige kvalifikationer, kan den kompetente myndighed give den fysiske eller juridiske person tilladelse til at udøve vejgodstransporterhvervet uden at udpege en transportleder i overensstemmelse med stk. 1, såfremt:
a)
den fysiske eller juridiske person udpeger en fysisk person, der er bosat i den part, hvor vejgodstransportoperatøren er etableret, og opfylder kravene i artikel 3, litra b) og d), og som ved en aftale er bemyndiget til at udføre opgaver som transportleder for virksomheden
b)
aftalen mellem den fysiske eller juridiske person og den i litra a) nævnte person nærmere anfører, hvilke opgaver den pågældende faktisk og vedvarende skal varetage, og angiver, hvad den pågældende person som transportleder er ansvarlig for. De opgaver, der skal anføres, omfatter navnlig opgaver vedrørende forvaltning af vedligeholdelse af køretøjerne, kontrol med kontrakter og transportdokumenter, grundlæggende regnskabsføring, fordeling af ladninger eller tjenesteydelser på førere og køretøjer samt kontrol med sikkerhedsprocedurerne
c)
den i litra a) udpegede person som transportleder kan lede transportarbejdet for op til fire forskellige vejgodstransportoperatører med en kombineret samlet flåde på højst 50 køretøjer, og
d)
den under litra a) omtalte person udelukkende udfører de definerede opgaver på vegne af den fysiske eller juridiske person, og den pågældende person udøver sit ansvar uafhængigt af fysiske eller juridiske personer, som personen udfører vejgodstransport for.
3.   En part kan beslutte, at en transportleder udpeget i overensstemmelse med stk. 1 ikke kan få en yderligere tilladelse i overensstemmelse med stk. 2 eller kun kan få en tilladelse vedrørende et begrænset antal fysiske eller juridiske personer eller en flåde af køretøjer, der er mindre end den, der er fastsat i stk. 2, litra c).
4.   Den fysiske eller juridiske person underretter den kompetente myndighed om den eller de udpegede transportledere.
Artikel 5
Opfyldelse af etableringskravet
For at opfylde kravet om et faktisk etableret og varigt forretningssted i parten for etablering skal fysiske eller juridiske personer:
a)
råde over lokaler, hvor de kan få adgang til de originale udgaver af deres kernedokumenter i enten elektronisk eller anden format, navnlig deres transportkontrakter, dokumenter vedrørende de køretøjer, som den fysiske eller juridiske person råder over, regnskaber, dokumenter vedrørende personaleforvaltning, ansættelseskontrakter, socialsikringsdokumenter, dokumenter med oplysninger om afsendelse og udstationering af førere, dokumenter med oplysninger om kørsel, køre- og hviletider samt andre dokumenter, som den kompetente myndighed skal have adgang til for at kunne kontrollere, om kravene i denne afdeling er opfyldt
b)
være opført i handelsselskabsregistret i denne part eller i et tilsvarende register hvis påkrævet i henhold til national ret
c)
være skattepligtig af indtægter og hvis påkrævet i henhold til national lovgivning have fået tildelt et momsregistreringsnummer
d)
når der er givet tilladelse, råde over et eller flere køretøjer, som er indregistreret eller godkendt til kørsel eller godkendt til anvendelse i overensstemmelse med lovgivningen i denne part, uanset om disse køretøjer er 100 % ejet eller f.eks. besiddes i henhold til en afbetalingsaftale eller en leje- eller leasingkontrakt
e)
effektivt og vedvarende udføre deres administrative og kommercielle aktiviteter med det hensigtsmæssige udstyr og de hensigtsmæssige faciliteter i lokaler som nævnt i litra a) beliggende i denne part og effektivt og vedvarende forvalte deres vejgodstransportaktiviteter ved hjælp af de køretøjer, der er omhandlet i litra f), med det hensigtsmæssige tekniske udstyr, der befinder sig i denne part, og
f)
løbende og regelmæssigt råde over et antal køretøjer, som opfylder betingelserne i litra d), og førere, der normalt er baseret i en driftscentral i den pågældende part, som står i forhold til omfanget af de vejgodstransportaktiviteter, der udføres af virksomheden.
Artikel 6
Opfyldelse af vandelskravet
1.   Med forbehold af stk. 2 fastsætter parterne de betingelser, som en fysisk eller juridisk person og en transportleder hver især skal opfylde for at opfylde vandelskravet.
Når det skal afgøres, om en fysisk eller juridisk person opfylder kravet, inddrager parterne den adfærd, der er udvist af den juridiske eller fysiske person samt dens transportledere, administrerende direktører og andre relevante personer efter partens skøn. Enhver henvisning i denne artikel til straffe, sanktioner eller overtrædelser i forbindelse med en juridisk eller fysisk person omfatter straffe, sanktioner eller overtrædelser, som gør sig gældende for selve den fysiske eller juridiske person, dens transportledere, administrerende direktører eller andre relevante personer efter partens nærmere bestemmelse.
De i dette stykke nævnte betingelser skal mindst omfatte følgende:
a)
at der ikke er nogen tungtvejende grunde til at nære tvivl om transportlederens eller vejgodstransportoperatørens vandel, f.eks. med hensyn til straffe eller sanktioner for alvorlige overtrædelser af nationale regler inden for:
i)
handelsret
ii)
konkurslovgivning
iii)
løn- og arbejdsvilkår inden for erhvervet
iv)
færdselslovgivning
v)
erhvervsansvar
vi)
menneskehandel eller narkotikahandel
vii)
skatteret og
b)
at transportlederen eller vejgodstransportoperatøren ikke i en eller begge parter er idømt en straf for en alvorlig strafbar handling eller er pålagt en sanktion for en alvorlig overtrædelse af reglerne i denne aftales anden del, sektion tre, afsnit I, eller af nationale regler, navnlig vedrørende:
i)
køre- og hviletidsbestemmelser for førere, arbejdstid og installation og anvendelse af kontrolapparater
ii)
størst tilladt vægt og dimensioner for erhvervskøretøjer i international trafik
iii)
grundlæggende kvalifikationskrav og efteruddannelseskrav for førere
iv)
syn ved vejsiden af erhvervskøretøjer, herunder obligatorisk teknisk kontrol med motorkøretøjer
v)
adgang til markedet for international godskørsel
vi)
sikkerhed i forbindelse med vejtransport af farligt gods
vii)
installation og anvendelse af hastighedsbegrænsere på visse kategorier af køretøjer
viii)
kørekort
ix)
adgang til vejgodstransporterhvervet
x)
dyretransport
xi)
udstationering af arbejdstagere inden for vejgodstransport
xii)
lovvalgsregler for kontraktlige forpligtelser og
xiii)
ture, hvor pålæsnings- og aflæsningsstedet er beliggende i den anden part.
2.   Ved anvendelse af denne artikels stk. 1, tredje afsnit, litra b), hvis en transportleder eller en vejgodstransportoperatør er idømt en straf eller er pålagt en sanktion for en af de alvorligste overtrædelser som fastsat i tillæg 31-A-1-1 i en eller begge parter, gennemfører og afslutter den kompetente myndighed i parten for etablering en korrekt og rettidigt udført administrativ procedure, der, hvis det er relevant, omfatter et kontrolbesøg i den pågældende fysiske eller juridiske persons lokaler.
Den kompetente myndighed vurderer under den administrative procedure, hvorvidt særlige omstændigheder indebærer, at en konstatering af manglende opfyldelse af vandelskravet vil udgøre en uforholdsmæssig reaktion i det enkelte tilfælde. I forbindelse med denne vurdering tager den kompetente myndighed hensyn til antallet af alvorlige overtrædelser af reglerne, jf. denne artikels stk. 1, tredje afsnit, samt antallet af de alvorligste overtrædelser som fastsat i tillæg 31-A-1-1, for hvilke transportlederen eller vejgodstransportoperatøren er blevet idømt straf eller pålagt sanktioner. Sådanne afgørelser skal være behørigt begrundet.
Hvis den kompetente myndighed anser en konstatering af manglende opfyldelse af vandelskravet for uforholdsmæssig, træffer den afgørelse om, at den berørte fysiske eller juridiske person fortsat opfylder vandelskravet. Hvis den kompetente myndighed ikke anser en konstatering af manglende opfyldelse af vandelskravet for uforholdsmæssig, indebærer straffen eller sanktionen, at vandelskravet ikke er opfyldt.
3.   Specialudvalget vedrørende vejtransport opstiller en liste over, hvilke kategorier, hvilke typer og hvilken grovhed af alvorlige overtrædelser der ud over overtrædelserne i tillæg 31-A-1-1 kan indebære en konstatering af, at vandelskravet ikke længere er opfyldt.
4.   Kravet om at opfylde vandelskravet er fortsat ikke opfyldt, så længe der ikke er sket rehabilitering eller truffet anden foranstaltning med tilsvarende virkning i henhold til parternes nationale bestemmelser herom.
Artikel 7
Opfyldelse af kravet til økonomisk grundlag
1.   For at opfylde kravet om økonomisk grundlag skal en fysisk eller juridisk person på permanent basis kunne opfylde sine økonomiske forpligtelser i løbet af regnskabsåret. Den fysiske eller juridiske person skal på grundlag af sit årsregnskab, som skal være attesteret af en revisor eller anden autoriseret person, godtgøre, at den årligt råder over kapital og reserver:
a)
af en værdi på mindst 9 000 EUR/8 000 GBP, når den benytter et enkelt motorkøretøj, 5 000 EUR/4 500 GBP for hvert derudover benyttet motorkøretøj eller vogntog med en tilladt totalmasse på over 3,5 ton og 900 EUR/800 GBP for hvert derudover benyttet motorkøretøj eller vogntog med en tilladt totalmasse på over 2,5 ton, men under 3,5 ton
b)
fysiske eller juridiske personer, der udøver vejgodstransporterhvervet udelukkende med motorkøretøjer eller vogntog med en tilladt totalmasse på over 2,5 ton, men under 3,5 ton, skal på grundlag af deres årsregnskab, som skal være attesteret af en revisor eller anden autoriseret person, godtgøre, at de årligt råder over kapital og reserver af en værdi på mindst 1 800 EUR/1 600 GBP, når de benytter et enkelt køretøj, og 900 EUR/800 GBP for hvert derudover benyttet køretøj.
2.   Uanset stk. 1 kan den kompetente myndighed anerkende eller kræve, at en virksomhed dokumenterer sit økonomiske grundlag ved en erklæring efter den kompetente myndigheds nærmere bestemmelse, som f.eks. en bankgaranti eller forsikring, såsom en erhvervsmæssig ansvarsforsikring, fra en eller flere banker eller andre pengeinstitutter, inkl. forsikringsselskaber, eller et andet bindende dokument om, at de solidarisk hæfter for virksomheden for de beløb, der er fastsat i stk. 1, litra a).
3.   Uanset stk. 1 accepterer den kompetente myndighed, at en virksomhed i mangel af attesterede årsregnskaber for året for en virksomheds registrering dokumenterer sit økonomiske grundlag ved hjælp af en erklæring, f.eks. en bankgaranti, et dokument udstedt af et pengeinstitut om adgang til kredit i virksomhedens navn eller et andet bindende dokument efter den kompetente myndigheds nærmere bestemmelse, der beviser, at virksomheden råder over de beløb, der er fastsat i stk. 1, litra a).
4.   Det årsregnskab, jf. stk. 1, eller den garanti, jf. stk. 2, der skal kontrolleres, er årsregnskabet eller garantien for den økonomiske enhed, der er etableret på den parts område, hvor der søges tilladelse, og ikke for eventuelle andre enheder, der er etableret i den anden part.
Artikel 8
Opfyldelse af kravet om faglige kvalifikationer
1.   For at opfylde kravet om faglige kvalifikationer skal den eller de berørte person(er) have kundskaber svarende til det niveau, der er fastsat i tillæg 31-A-1-2, del I, i de der anførte emner. Disse kundskaber dokumenteres ved en obligatorisk skriftlig prøve, der, hvis en part træffer afgørelse herom, kan suppleres med en mundtlig prøve. Prøverne tilrettelægges i overensstemmelse med tillæg 31-A-1-2, del II. Parterne kan med henblik herpå pålægge ansøgerne at gennemgå et kursus forud for prøven.
2.   De pågældende personer aflægger prøve i den part, hvor de har deres sædvanlige opholdssted.
3.   De i denne artikels stk. 1 nævnte skriftlige og mundtlige prøver kan kun afholdes og attesteres af myndigheder og andre organer, som er behørigt godkendt hertil af en part på grundlag af kriterier, som den selv har opstillet. Parterne kontrollerer regelmæssigt, om de myndigheder og andre organer, som de har godkendt, afholder prøverne under forhold, der er i overensstemmelse med tillæg 31-A-1-2.
4.   Parterne kan fritage indehavere af visse kvalifikationer fra højere eller tekniske uddannelsesinstitutioner, der er udstedt i parten, og som giver viden om alle de emner, der er opført på listen i tillæg 31-A-1-2, fra prøve i de emner, der er omfattet af kvalifikationerne, når medlemsstaten specifikt har anerkendt kvalifikationerne med henblik herpå. Fritagelsen gælder kun for de afdelinger i tillæg 31-A-1-2, del I, hvor kvalifikationerne dækker alle de emner, der er opført under hver afdelings overskrift.
Parterne kan fritage indehavere af beviser for faglige kvalifikationer inden for transporterhvervet på nationalt plan i den pågældende part for nærmere bestemte dele af prøven.
Artikel 9
Fritagelse for prøve
Med henblik på udstedelse af en tilladelse til en vejgodstransportoperatør, der udelukkende udfører godskørsel med motorkøretøjer eller vogntog, hvis tilladte totalmasse ikke overstiger 3,5 ton, kan en part beslutte, at personer, der fremlægger dokumentation for, at de vedvarende i en periode på ti år før den 20. august 2020 har ledet en fysisk eller juridisk person af samme type, fritages fra de prøver, der er omhandlet i artikel 8, stk. 1.
Artikel 10
Procedure for suspension og tilbagekaldelse af tilladelser
1.   Hvis en kompetent myndighed konstaterer, at en fysisk eller juridisk person er i risiko for ikke længere at opfylde kravene i medfør af artikel 3, underretter den kompetente myndighed den fysiske eller juridisk person herom. Hvis den kompetente myndighed konstaterer, at et eller flere af kravene ikke længere er opfyldt, kan den kompetente myndighed give den fysiske eller juridiske person en af følgende frister til at bringe forholdene i orden:
a)
højst seks måneder til at ansætte en afløser for transportlederen, hvis denne ikke længere opfylder vandelskravet eller kravet til faglige kvalifikationer, idet fristen kan forlænges med tre måneder, hvis transportlederen afgår ved døden eller bliver fysisk uskikket til at varetage sit hverv
b)
højst seks måneder, hvis den fysiske eller juridiske person skal bringe forholdene i orden med hensyn til at påvise, at den fysiske eller juridiske person råder over et faktisk etableret og varigt forretningssted, eller
c)
højst seks måneder, hvis kravet vedrørende det økonomiske grundlag ikke er opfyldt, med henblik på at godtgøre, at dette krav på ny er varigt opfyldt.
2.   Den kompetente myndighed kan pålægge fysiske eller juridiske personer, som har fået deres tilladelse suspenderet eller tilbagekaldt, at deres transportledere skal bestå en prøve som omhandlet i artikel 8, stk. 1, inden der træffes rehabiliteringsforanstaltninger.
3.   Hvis den kompetente myndighed konstaterer, at en fysisk eller juridisk person ikke længere opfylder et eller flere af kravene i artikel 3, suspenderer eller tilbagekalder den virksomhedens tilladelse til at udøve vejgodstransporterhvervet senest ved udløbet af den i nærværende artikels stk. 1 omhandlede frist.
Artikel 11
Erklæring om uegnethed som transportleder
1.   Hvis en transportleder ikke længere opfylder vandelskravene i medfør af bestemmelserne i artikel 6, erklærer den kompetente myndighed den pågældende transportleder uegnet til at lede en vejtransportoperatørs transportarbejde.
Den kompetente myndighed rehabiliterer ikke transportlederen tidligere end et år fra datoen for konstatering af manglende opfyldelse af vandelskravet, og ikke før transportlederen har dokumenteret at have fulgt relevant uddannelse i en periode på mindst tre måneder eller en prøve i de emner, der er opført i tillæg 31-A-1-2, del I.
2.   Hvis en transportleder ikke længere opfylder vandelskravene i medfør af bestemmelserne i artikel 6, kan en ansøgning om rehabilitering indgives tidligst et år fra den dato, hvor vandelskravene ikke længere var opfyldt.
Artikel 12
Behandling og registrering af ansøgninger
1.   De kompetente myndigheder i hver part registrerer i de nationale elektroniske registre, jf. artikel 13, stk. 1, oplysninger om virksomheder, som de har udstedt tilladelse til.
2.   Ved vurdering af, om en virksomhed opfylder vandelskravet, indhenter de kompetente myndigheder bekræftelse af, om den eller de udpegede transportledere på ansøgningstidspunktet i en af parterne er erklæret uegnet/uegnede til at lede transportaktiviteterne for en virksomhed i henhold til artikel 11.
3.   De kompetente myndigheder fører regelmæssigt tilsyn med, at de virksomheder, som de har givet tilladelse til at udøve vejgodstransporterhvervet, til stadighed opfylder kravene i henhold til artikel 3. Med henblik herpå foretager de kompetente myndigheder kontrol af virksomheder, der er klassificeret i en højere risikoklasse, herunder, hvor det er relevant, kontrolbesøg i den pågældende virksomheds lokaler.
Artikel 13
Nationale elektroniske registre
1.   De kompetente myndigheder fører et nationalt elektronisk register over vejtransportvirksomheder, der har fået tilladelse til at udøve vejgodstransporterhvervet.
2.   Specialudvalget vedrørende vejtransport fastsætter, hvilke data der skal indgå i de nationale registre over vejtransportvirksomheder, og betingelserne for adgang til disse data.
Artikel 14
Administrativt samarbejde mellem de kompetente myndigheder
1.   De kompetente myndigheder i hver part udpeger et nationalt kontaktpunkt med ansvar for udveksling af oplysninger med de kompetente myndigheder i den anden part vedrørende anvendelse af denne afdeling.
2.   De kompetente myndigheder i hver part samarbejder tæt, yder hinanden hurtig gensidig bistand og giver hinanden alle andre relevante oplysninger med henblik på at lette gennemførelsen og håndhævelsen af denne afdeling.
3.   De kompetente myndigheder i hver part udfører enkeltstående kontroller for at bekræfte, om en virksomhed opfylder betingelserne for adgang til erhvervet som vejgodstransportoperatør, når en kompetent myndighed i den anden part i behørigt begrundede sager anmoder herom. Myndigheden underretter den kompetente myndighed i den anden part om resultatet af sådanne kontroller og iværksatte foranstaltninger, hvis det konstateres, at virksomheden ikke længere opfylder de krav, der er fastsat i denne afdeling.
4.   De kompetente myndigheder i hver part udveksler oplysninger om domme eller sanktioner for eventuelle grove overtrædelser, jf. artikel 6, stk. 2.
5.   Specialudvalget vedrørende vejtransport fastsætter detaljerede regler om vilkårene for udveksling af oplysninger i henhold til stk. 3 og 4.
Tillæg 31-A-1-1
ALVORLIGSTE OVERTRÆDELSER, JF. ARTIKEL 6, STK. 2, I DEL A, AFDELING 1, I BILAG 31
1.
Overskridelse af køretidsbegrænsninger som følger:
a)
overskridelse af den maksimalt tilladte køretid for henholdsvis 6 eller 14 døgn med 25 % eller mere
b)
overskridelse i den daglige arbejdstid af den maksimalt tilladte køretid med 50 % eller derover.
2.
Der forefindes ingen takograf og/eller fartbegrænser, eller der forefindes i køretøjet og/eller anvendes en falsk anordning, der kan ændre kontrolapparatets og/eller fartbegrænserens registreringer, eller der er tale om forfalskning af diagramark eller data fra takografen og/eller førerkortet.
3.
Kørsel uden en gyldig synsattest og/eller med alvorlige defekter ved bl.a. køretøjets bremsesystem, styreapparat, hjul/dæk, affjedring eller chassis, der ville medføre en umiddelbar risiko for færdselssikkerheden og afstedkomme en afgørelse om immobilisering af køretøjet.
4.
Transport af farligt gods, som det er forbudt at transportere, eller som transporteres i en forbudt eller ikke godkendt emballage, eller som ikke er identificeret som farligt gods på køretøjet og dermed er til så stor fare for menneskeliv eller miljøet, at det fører til en beslutning om at tilbageholde køretøjet.
5.
Varekørsel uden gyldigt kørekort eller kørsel for en virksomhed, der ikke har en gyldig operatørtilladelse, jf. denne aftales artikel 463.
6.
Anvendelse af et førerkort, som er forfalsket, eller som føreren ikke er indehaver af, eller som er erhvervet på grundlag af falske erklæringer og/eller forfalskede dokumenter.
7.
Kørsel med gods, hvor den maksimalt tilladte totalmasse overskrides med 20 % eller derover for køretøjer, hvis tilladte totalvægt overstiger 12 ton, og hvor den maksimalt tilladte totalmasse overskrides med 25 % eller derover for køretøjer, hvis tilladte totalvægt ikke overstiger 12 ton.
Tillæg 31-A-1-2
DEL I
EMNELISTE, JF. ARTIKEL 8 I BILAG 31, DEL A, AFDELING 1
De kundskaber, som parterne skal tage i betragtning ved konstatering af tilstedeværelsen af den faglige dygtighed, skal mindst omfatte de emner, der er angivet i denne fortegnelse. Vedrørende disse emner skal ansøgere om tilladelse som vejgodstransportoperatør have den nødvendige viden og de krævede praktiske færdigheder til at lede en transportvirksomhed.
Der kræves, som angivet herunder, som minimum et videnniveau svarende til den viden, der erhverves ved gennemførelse af den obligatoriske uddannelse, suppleret med enten en erhvervsuddannelse og et supplerende teknisk kursus eller en ungdomsuddannelse eller en anden teknisk uddannelse.
A.   Civilret
Ansøgeren skal bl.a.:
a)
kende de vigtigste transportkontrakter, der anvendes inden for vejtransport, og de deraf følgende rettigheder og forpligtelser
b)
være kvalificeret til at forhandle en transportkontrakt, så den bliver retsgyldig, bl.a. med hensyn til transportbetingelserne
c)
kunne bedømme en klage fra ansøgerens ordregiver over skader, der enten skyldes tab eller beskadigelse af varerne under transporten eller forsinket levering, samt kunne vurdere, hvilke følger denne klage får for ansøgerens kontraktlige ansvar, og
d)
kende de regler og forpligtelser, der følger af CMR-konventionen om fragtaftaler ved international vejgodstransport udfærdiget den 19. maj 1956 i Genève.
B.   Handelsret
Ansøgeren skal bl.a.:
a)
kende betingelserne og formkravene for at kunne drive handelsvirksomhed samt kende erhvervsdrivendes generelle forpligtelser (registrering, føring af forretningsbøger osv.) samt følgerne af en konkurs og
b)
have et rimeligt kendskab til de forskellige former for handelsselskaber samt reglerne for deres oprettelse og drift.
C.   Arbejdsmarkeds- og sociallovgivning
Ansøgeren skal bl.a. være bekendt med følgende:
a)
de for vejtransportsektoren relevante arbejdsmarkedsinstitutioners rolle og funktion (fagforeninger, samarbejdsudvalg, personalerepræsentanter, arbejdsinspektører osv.)
b)
kende arbejdsgivernes forpligtelser med hensyn til social sikring
c)
de regler, der gælder for arbejdskontrakter, der indgås med forskellige arbejdstagerkategorier i vejtransportvirksomheder (kontraktformer, parternes forpligtelser, arbejdsvilkår og arbejdstid, ferie med løn, aflønning, opsigelse af kontrakt osv.)
d)
de regler, der gælder for køretid, hviletid og arbejdstid samt praktiske foranstaltninger til overholdelse af bestemmelserne, og
e)
regler, der gælder for undervisning i grundlæggende kvalifikationer og efteruddannelse for førere, jf. dette bilags del B, afdeling 1.
D.   Skattelovgivning
Ansøgeren skal bl.a. kende bestemmelserne om:
a)
moms på transporttjenesteydelser
b)
vægtafgifter
c)
afgifter på visse køretøjer, der anvendes til vejgodstransport, samt de brugsafgifter, der opkræves ved benyttelse af visse infrastrukturanlæg, og
d)
indkomstskat.
E.   Virksomhedsledelse og økonomisk forvaltning
Ansøgeren skal bl.a.:
a)
kende retsforskrifterne og de praktiske regler for anvendelse af check, veksler, egenveksler, kreditkort og andre betalingsmidler eller -måder
b)
kende de forskellige låneformer (banklån, remburs, kautionering, belåning af fast ejendom, leasing, leje, factoring osv.) samt de byrder og forpligtelser, de indebærer
c)
vide, hvad en balance er, hvordan den ser ud, og hvordan den fortolkes
d)
kunne læse og fortolke en resultatopgørelse
e)
kunne foretage en analyse af virksomhedens finansielle og rentabilitetsmæssige situation, bl.a. på grundlag af finansielle nøgletal
f)
kunne lægge et budget
g)
kende de forskellige bestanddele af virksomhedens kostpris (faste omkostninger, variable omkostninger, driftsmidler, afskrivninger osv.) og kunne foretage beregninger pr. køretøj, pr. tilbagelagt kilometer, pr. tur eller pr. ton
h)
kunne udarbejde en skematisk fremstilling af hele personalets organisation inden for virksomheden, tilrettelægge arbejdsplaner osv.
i)
kende principperne for marketing, reklame og PR-virksomhed, herunder transportydelser, salgsfremstød og udarbejdelse af kundekartoteker osv.
j)
kende de forskellige forsikringsformer, der er karakteristiske for vejtransport (ansvarsforsikring, personskadeforsikring/livsforsikring, tingsskadeforsikring og rejsegodsforsikring) samt de garantier og forpligtelser, de indebærer
k)
kende de forskellige former for anvendelse af elektronisk datatransmission på vejtransportområdet
l)
kunne anvende reglerne om fakturering af vejgodstransportydelser samt kende betydningen og virkningerne af Incoterms og
m)
kende de forskellige former for støtteerhverv inden for transport, deres betydning, deres opgaver og eventuelt deres retlige stilling.
F.   Adgang til markedet
Ansøgeren skal bl.a. være bekendt med følgende:
a)
de faglige regler for vejtransport, for leje af erhvervskøretøjer, for underentrepriser, herunder især reglerne for den officielle organisering af erhvervet, adgangen til det, tilladelser til vejtransport og reglerne vedrørende kontrol og sanktioner
b)
bestemmelserne om oprettelse af en vejtransportvirksomhed
c)
de forskellige dokumenter, der kræves til udførelse af vejtransporttjenesteydelser, og være i stand til at indføre kontrolmetoder til sikring af, at der såvel i virksomhedens lokaler som i køretøjerne befinder sig de reglementerede dokumenter, der vedrører hver udført transport, bl.a. dokumenter vedrørende køretøjer, føreren, godset eller passagerernes bagage
d)
reglerne om organiseringen af markedet for vejtransportydelser, om speditionsfirmaer og logistik og
e)
grænseformaliteter, betydningen og rækkevidden af T-dokumenter og TIR-carneter samt de forpligtelser og det ansvar, der følger af at anvende dem.
G.   Tekniske standarder og tekniske aspekter af driften
Ansøgeren skal bl.a.:
a)
kende reglerne for køretøjers vægt og dimensioner i parterne samt procedurerne for de særlige transporter, der ikke falder ind under disse regler
b)
alt efter virksomhedens behov kunne vælge passende køretøjer samt de dertil hørende bestanddele (chassis, motor, transmissionssystem, bremsesystem osv.)
c)
kende formaliteterne i forbindelse med godkendelse, indregistrering og syn af disse køretøjer
d)
kunne vurdere, hvilke foranstaltninger der skal træffes til støjbekæmpelse samt til bekæmpelse af luftforurening som følge af emissioner fra motorkøretøjer
e)
kunne udarbejde periodiske vedligeholdelsesplaner for køretøjerne og deres udstyr
f)
kende de forskellige former for håndterings- og læssegrej (bagsmække, containere, paller osv.) og kunne indføre metoder og instrukser vedrørende lastning og losning af gods (lastfordeling, stabling, fastgørelse, afstivning osv.)
g)
kende de forskellige teknikker for kombineret transport som huckepack og roll-on/roll-off
h)
kunne iværksætte procedurer til overholdelse af bestemmelserne om transport af farligt gods og affald
i)
kunne iværksætte procedurer til overholdelse af reglerne om transport af letfordærvelige levnedsmidler, især reglerne i medfør af traktaten om international transport af letfordærvelige levnedsmidler og om det særlige materiel, som skal bruges til sådanne transporter (ATP), og
j)
kunne iværksætte procedurer til overholdelse af bestemmelserne om transport af levende dyr.
H.   Trafiksikkerhed
Ansøgeren skal bl.a.:
a)
kende de kvalifikationer, der kræves af det kørende personale (kørekort, sundhedsattester, duelighedsbeviser osv.)
b)
kunne træffe foranstaltninger til sikring af, at førerne overholder gældende færdselsregler, forbud og trafikbegrænsninger i parterne (hastighedsbegrænsninger, forkørselsrettigheder, regler for standsning og parkering, lygteføring, vejskiltning osv.)
c)
kunne udarbejde instrukser til førerne om kontrol af sikkerhedsbestemmelserne dels vedrørende transportmateriellets, udstyrets og ladningens tilstand, dels vedrørende forebyggende adfærd
d)
kunne indføre regler for, hvordan man skal forholde sig i ulykkestilfælde, og træffe de nødvendige foranstaltninger for at undgå gentagne ulykker eller grove overtrædelser af færdselsreglerne, og
e)
kunne iværksætte procedurer for sikkerhedsmæssigt forsvarlig fastgørelse af godset og kende teknikkerne hertil.
DEL II
TILRETTELÆGGELSE AF PRØVEN
1.
Parterne afholder en obligatorisk skriftlig prøve, som de kan supplere med en mundtlig prøve, for at konstatere, om den, der søger tilladelse som vejtransportoperatør, er i besiddelse af det kundskabsniveau, der forlanges i del I, inden for de deri nævnte emner, og navnlig om de kan anvende de relevante midler og teknikker og påtage sig de omhandlede ledende og koordinerende opgaver.
a)
Den obligatoriske skriftlige prøve skal bestå af følgende to delprøver:
i)
skriftlige spørgsmål i form af enten multiple choice-spørgsmål (fire mulige svar) eller spørgsmål, der skal besvares direkte, eller en kombination heraf, og
ii)
skriftlige opgaver/case studies.
Hver af de to delprøver skal have en varighed af mindst to timer.
b)
Hvis der afholdes en mundtlig prøve, kan parterne stille som betingelse for at deltage i denne prøve, at ansøgeren har bestået den skriftlige prøve.
2.
Hvis parterne også afholder en mundtlig prøve, skal de for hver af de tre prøver fastsætte en vægtning af pointene, der ikke må være under 25 % og ikke over 40 % af det samlede antal point, der kan tildeles.
Hvis parterne kun afholder en skriftlig prøve, skal de for hver prøve fastsætte en vægtning af pointene, der ikke må være under 40 % og ikke over 60 % af det samlede antal point, der kan tildeles.
3.
Ved prøverne skal ansøgerne opnå et samlet gennemsnit på mindst 60 % af det samlede antal point, der kan tildeles, uden at andelen af de point, der opnås ved hver enkelt prøve, må være under 50 % af antallet af mulige point. En part kan for en enkelt prøves vedkommende nedsætte kravet fra 50 til 40 %.
Tillæg 31-A-1-3
DEL A
MODEL FOR TILLADELSE FOR UNIONEN
DET EUROPÆISKE FÆLLESSKAB
a)
(Pantone lyseblå 290 eller så tæt som muligt på denne farve, cellulosepapir, mindst 100 g/m
2
, format DIN A4)
(Tilladelsens side 1)
(Teksten affattes på det/de/et af de officielle sprog i den medlemsstat, der udsteder tilladelsen)
Nationalitetsbetegnelse for den medlemsstat
(
1
)
, der udsteder tilladelsen
Den kompetente myndighed eller det kompetente organ
TILLADELSE nr. …
eller
BEKRÆFTET KOPI nr. …
til international vejgodstransport for fremmed regning
Denne tilladelse giver ret til
(
2
)
 …
…
…
til på alle transportforbindelser for så vidt angår den strækning, der tilbagelægges på Fællesskabets område, at udføre international vejgodstransport for fremmed regning som defineret i Europa-Parlamentets og Rådets forordning (EF) nr. 1072/2009 af 21. oktober 2009 (
EUT L 300 af 14.11.2009, s. 72
) om fælles regler for adgang til markedet for international godskørsel og i de almindelige bestemmelser i denne tilladelse.
Særlige bemærkninger: …
…
Denne tilladelse gælder fra den …
til …
Udstedt i …
den …
…
(
3
)
______________
(1)
Medlemsstaternes nationalitetsbetegnelser: (B) Belgien, (BG) Bulgarien, (CZ) Den Tjekkiske Republik, (DK) Danmark, (D) Tyskland, (EST) Estland, (IRL) Irland, (GR) Grækenland, (E) Spanien, (F) Frankrig, (HR) Kroatien, (I) Italien, (CY) Cypern, (LV) Letland, (LT) Litauen, (L) Luxembourg, (H) Ungarn, (MT) Malta, (NL) Nederlandene, (A) Østrig, (PL) Polen, (P) Portugal, (RO) Rumænien, (SLO) Slovenien, (SK) Slovakiet, (FIN) Finland, (S) Sverige.
(2)
Transportoperatørens navn eller firmanavn og fuldstændige adresse.
(3)
Underskrift og stempel for den kompetente myndighed eller det kompetente organ.
b)
(Tilladelsens side 2)
(Teksten affattes på det/de/et af de officielle sprog i den medlemsstat, der udsteder tilladelsen)
ALMINDELIGE BESTEMMELSER
Denne tilladelse er udstedt i henhold til forordning (EF) nr. 1072/2009.
Den giver ret til på alle transportforbindelser for så vidt angår den strækning, der tilbagelægges på Fællesskabets område, og eventuelt på de betingelser, der stilles i tilladelsen, at udføre international godskørsel for fremmed regning
—
fra en medlemsstat til en anden medlemsstat, med eller uden transit gennem en eller flere medlemsstater eller et eller flere tredjelande
—
fra en medlemsstat til et tredjeland og omvendt, med eller uden transit gennem en eller flere medlemsstater eller et eller flere tredjelande
—
fra et tredjeland til et andet tredjeland med transit gennem en eller flere medlemsstater
samt til kørsel uden last i forbindelse med denne transport.
I forbindelse med transport fra en medlemsstat til et tredjeland og omvendt gælder denne tilladelse for den strækning, der tilbagelægges i Fællesskabet. Den gælder først i den medlemsstat, hvor læsning eller aflæsning finder sted, når der er indgået den nødvendige aftale mellem Fællesskabet og det pågældende tredjeland i overensstemmelse med forordning (EF) nr. 1072/2009.
Tilladelsen er personlig og kan ikke overdrages.
Den kan tilbagekaldes af den kompetente myndighed i den medlemsstat, der har udstedt den, hvis indehaveren f.eks.:
—
har undladt at opfylde alle de betingelser, der er knyttet til benyttelsen af tilladelsen
—
har afgivet urigtige oplysninger vedrørende de data, der var nødvendige for udstedelsen eller forlængelsen af tilladelsen.
Originaleksemplaret af tilladelsen skal opbevares af transportvirksomheden.
En bekræftet kopi af tilladelsen skal medføres i køretøjet
(
1
)
. Hvis det drejer sig om et sammenkoblet vogntog, skal tilladelsen følge motorkøretøjet. Den gælder for det sammenkoblede vogntog, også selv om påhængs- eller sættevognen ikke er indregistreret eller godkendt til kørsel i tilladelsesindehaverens navn eller er indregistreret eller godkendt til kørsel i en anden stat.
Tilladelsen skal på forlangende forevises kontrolpersonalet.
Indehaveren skal på hver medlemsstats område overholde de dér gældende love og administrative bestemmelser, navnlig transportbestemmelser og færdselsregler.
__________________
(1)
Ved "køretøj" forstås et motorkøretøj, som er indregistreret i en medlemsstat, eller et sammenkoblet vogntog, hvoraf i det mindste motorkøretøjet er indregistreret i en medlemsstat, og som udelukkende er beregnet til godstransport.
DEL B
Model for tilladelse for Det Forenede Kongerige
UK-tilladelse for Fællesskabet
a)
(Pantone-lyseblåt cellulosepapir, mindst 100 g/m
2
, format DIN A4)
(Tilladelsens side 1)
(Tekst på engelsk eller walisisk)
UK
NAVN PÅ DEN KOMPETENTE UK-MYNDIGHED
(
1
)
TILLADELSE nr.:
eller
BEKRÆFTET KOPI nr.:
til international godskørsel for fremmed regning
Denne tilladelse giver ret til
(
2
)
 …
…
…
på alle transportforbindelser for så vidt angår den strækning, der tilbagelægges, at udføre international vejgodstransport for fremmed regning på en medlemsstats område som defineret i forordning (EF) nr. 1072/2009
(
3
)
.
Særlige bemærkninger: …
…
Denne tilladelse gælder fra den …
til den …
Udstedt i …
den …
___________________________
(
1
)
Kompetent myndighed for den relevante region, som certifikatet er udstedt for.
(
2
)
Transportoperatørens navn eller firmanavn og fuldstændige adresse.
(
3
)
Forordning (EF) nr. 1072/2009 som bibeholdt i UK-retten ved afsnit 3 i European Union (Withdrawal) Act 2018 og som ændret ved bestemmelserne i afsnit 8 deri.
b)
(Tilladelsens side 2)
(Tekst på engelsk eller walisisk)
ALMINDELIGE BESTEMMELSER
Denne tilladelse er udstedt i henhold til forordning (EF) nr. 1072/2009
(
1
)
.
Den giver indehaveren ret til at udføre international vejgodstransport for fremmed regning på alle transportforbindelser for så vidt angår den strækning, der tilbagelægges på en medlemsstats område, i henhold til enhver international aftale mellem Det Forenede Kongerige og Den Europæiske Union eller en medlemsstat.
I forbindelse med transport fra Det forenede Kongerige til et tredjeland og omvendt gælder denne tilladelse for den strækning, der tilbagelægges på en medlemsstats område.
Tilladelsen er personlig og kan ikke overdrages.
Den kan tilbagekaldes af en trafikdirektør eller Department for Infrastructure (Nordirland), f.eks. hvis indehaveren:
—
har undladt at opfylde alle de betingelser, der er knyttet til benyttelsen af tilladelsen
—
har afgivet urigtige oplysninger vedrørende de data, der var nødvendige for udstedelsen eller forlængelsen af tilladelsen.
Originaleksemplaret af tilladelsen skal opbevares af transportvirksomheden.
En bekræftet kopi af tilladelsen skal medføres i køretøjet
(
2
)
. Hvis det drejer sig om et sammenkoblet vogntog, skal tilladelsen følge motorkøretøjet. Den gælder for det sammenkoblede vogntog, også selv om påhængs- eller sættevognen ikke er indregistreret eller godkendt til kørsel i tilladelsesindehaverens navn eller er indregistreret eller godkendt til kørsel i en anden stat.
Tilladelsen skal på forlangende forevises kontrolpersonalet.
Indehaveren skal på Det Forenede Kongeriges eller hver medlemsstats område overholde de dér gældende love og administrative bestemmelser, navnlig transportbestemmelser og færdselsregler.
_______________________
(1)
Forordning (EF) nr. 1072/2009 som bibeholdt i UK-retten ved afsnit 3 i European Union (Withdrawal) Act 2018 og som ændret ved bestemmelserne i afsnit 8 deri.
(2)
Ved "køretøj" forstås et motorkøretøj, som er indregistreret i Det Forenede Kongerige eller en medlemsstat, eller et sammenkoblet vogntog, hvoraf i det mindste motorkøretøjet er indregistreret i Det Forenede Kongerige eller en medlemsstat, og som udelukkende er beregnet til godstransport.
Tillæg 31-A-1-4
SIKKERHEDSELEMENTER FOR TILLADELSEN
Tilladelsen skal have mindst to af følgende sikkerhedselementer:
—
et hologram
—
særlige fibre i papiret, som bliver synlige i UV-lys
—
mindst én linje mikroprint (kan kun ses med et forstørrelsesglas og gengives ikke af fotokopieringsmaskiner)
—
taktile bogstaver, symboler eller mønstre
—
dobbelt nummerering: serienummer for tilladelsen og for den bekræftede kopi heraf samt i hvert enkelt tilfælde udstedelsesnummer
—
et sikkerhedsbundtryk med et fint guillochemønster og regnbuetryk.
AFDELING 2
UDSTATIONERING AF FØRERE
Artikel 1
Genstand
I denne afdeling fastsættes kravene til vejtransportoperatører, der er etableret i en af parterne, og som i forbindelse med godstransport udstationerer førere på den anden parts område i overensstemmelse med denne afdelings artikel 3.
Intet i denne afdeling er til hinder for, at parterne kan anvende foranstaltninger til at regulere fysiske personers indrejse i eller midlertidige ophold på deres område, herunder foranstaltninger, som er nødvendige for at beskytte deres grænsers integritet og sikre en ordnet grænsepassage for fysiske personer, forudsat at disse foranstaltninger ikke anvendes på en sådan måde, at de ophæver eller forringer fordelene for den anden part i henhold til denne afdeling. Den omstændighed alene, at der stilles visumkrav for fysiske personer fra bestemte lande og ikke for andre landes fysiske personer, anses ikke for at ophæve eller forringe fordelene i henhold til denne afdeling.
Intet i denne afdeling berører anvendelsen på Unionens område af EU-reglerne om udstationering af førere inden for vejtransport over for EU-vejgodstransportoperatører.
Artikel 2
Definitioner
I denne afdeling forstås ved en "udstationeret fører" enhver fører, der i en bestemt periode udfører arbejde på en anden parts område end den, hvor føreren sædvanligvis udfører sit arbejde.
Artikel 3
Principper
1.   Bestemmelserne i denne afdeling gælder i det omfang, at vejgodstransportoperatører udstationerer førere på den anden parts område under deres ansvar og ledelse, under en kontrakt indgået mellem den udstationerende vejgodstransportoperatør og den part, som transporttjenesterne skal udføres for, og de pågældende førere udfører opgaver på denne parts område, forudsat at der er et ansættelsesforhold mellem den udstationerende vejgodstransportoperatør og føreren i udstationeringsperioden.
2.   Med henblik på stk. 1 anses en udstationering for at begynde, når føreren rejser ind i den anden parts område for at pålæsse og/eller aflæsse varer, og for at slutte, når føreren forlader den samme parts område.
Med henblik på stk. 1 anses en udstationering i tilfælde af udstationering i Den Europæiske Union for at begynde, når føreren rejser ind i en medlemsstats område for at pålæsse og/eller aflæsse varer i denne medlemsstat, og for at slutte, når føreren forlader den samme medlemsstats område.
3.   Uanset stk. 1 og 2 betragtes en fører ikke som udstationeret ved udførelse af transportopgaver baseret på en transportaftale, jf. denne aftales artikel 462, stk. 1, litra a).
4.   En fører betragtes ikke som udstationeret på Det Forenede Kongeriges område, hvis føreren er i transit på Det Forenede Kongeriges område uden på- og aflæsning af gods. For så vidt angår Unionen betragtes en fører ikke som udstationeret i en medlemsstat, når føreren er i transit på denne medlemsstats område uden på- og aflæsning af gods.
Artikel 4
Arbejds- og ansættelsesvilkår
1.   Uafhængigt af hvilken lovgivning der gælder for ansættelsesforholdet, sikrer parterne, at vejgodstransportoperatørerne med udgangspunkt i ligebehandling garanterer førere, der er udstationeret på deres område, de arbejds- og ansættelsesvilkår på de følgende områder, der i denne part eller for Unionens vedkommende den medlemsstat, hvor arbejdet udføres, er fastsat:
—
ved lov eller administrative bestemmelser og/eller
—
ved kollektive aftaler eller voldgiftskendelser, der finder generel eller anden anvendelse i overensstemmelse med stk. 4:
a)
maksimal arbejdstid og minimal hviletid
b)
mindste antal betalte feriedage per år
c)
aflønning, herunder overtidsbetaling; dette gælder ikke for erhvervstilknyttede tillægspensionsordninger
d)
sikkerhed, sundhed og hygiejne på arbejdspladsen
e)
beskyttelsesforanstaltninger med hensyn til arbejds- og ansættelsesvilkår for gravide kvinder eller kvinder, der lige har født, samt for børn og unge og
f)
ligebehandling af mænd og kvinder samt andre bestemmelser vedrørende ikkeforskelsbehandling.
2.   Med henblik på denne afdeling fastlægges begrebet aflønning i henhold til national ret og/eller praksis i den pågældende part og for Unionens vedkommende i henhold til national ret og/eller praksis i medlemsstaterne, på hvis område føreren er udstationeret, og betyder alle de bestanddele af aflønning, der er obligatoriske efter national lov eller administrative bestemmelser eller ved kollektive aftaler eller voldgiftskendelser, som finder generel anvendelse i den pågældende part eller medlemsstat eller på anden måde gælder i overensstemmelse stk. 4.
3.   Ydelser, der specifikt vedrører udstationeringen, betragtes som en del af aflønningen, hvis de ikke udbetales som godtgørelse af udgifter, der reelt er afholdt i forbindelse med udstationeringen, såsom udgifter til rejse, kost og logi. Vejgodstransportoperatøren godtgør den udstationerede fører sådanne udgifter i overensstemmelse med retlige bestemmelser og/eller praksis, der finder anvendelse på ansættelsesforholdet.
Hvis de arbejds- og ansættelsesvilkår, der gælder for ansættelsesforholdet, ikke angiver, hvilke bestanddele af ydelsen, som specifikt vedrører udstationeringen, der betales som godtgørelse af udgifter, som reelt er afholdt i forbindelse med udstationeringen, eller som er en del af aflønningen, anses hele ydelsen for at være betalt som godtgørelse for udgifter.
4.   I denne afdeling forstås ved "kollektive aftaler eller voldgiftskendelser, der finder generel anvendelse", kollektive aftaler og voldgiftskendelser, der skal overholdes af alle virksomheder inden for den pågældende sektor eller erhvervsgren i det pågældende geografiske område.
I mangel af eller i tillæg til et system, der bestemmer, at kollektive aftaler eller voldgiftskendelser finder generel anvendelse, jf. første afsnit, kan hver part eller for Unionens vedkommende hver medlemsstat efter eget skøn basere sig på:
—
kollektive aftaler eller voldgiftskendelser, der er alment gældende for alle tilsvarende virksomheder i det berørte geografiske område og i den pågældende sektor eller erhvervsgren, og/eller
—
kollektive aftaler, der indgås af de mest repræsentative arbejdsmarkedsparter på nationalt plan, og som gælder på hele det nationale område.
Efter stk. 1 foreligger der ligebehandling, når nationale virksomheder, som befinder sig i en tilsvarende situation:
i)
på arbejdsstedet eller i den pågældende sektor er underkastet samme forpligtelser på de i stk. 1, første afsnit, nævnte områder som udstationeringsvirksomheder og
ii)
skal opfylde disse forpligtelser med de samme virkninger.
Artikel 5
Bedre adgang til oplysninger
1.   Hver part eller for Unionens vedkommende hver medlemsstat offentliggør oplysninger om arbejds- og ansættelsesvilkårene i overensstemmelse med national ret og/eller praksis uden unødig forsinkelse og på en gennemsigtig måde på et centralt officielt nationalt websted, herunder bestanddelene af aflønning som omhandlet i artikel 4, stk. 2, og alle de arbejds- og ansættelsesvilkår, der er anført i artikel 4, stk. 1.
Hver part eller for Unionens vedkommende hver medlemsstat sikrer, at de oplysninger, der gives på det centrale officielle nationale websted, er korrekte og ajourførte.
2.   Hver part eller for Unionens vedkommende hver medlemsstat træffer de fornødne foranstaltninger for at sikre, at de oplysninger, der er nævnt i stk. 1, gøres almindeligt tilgængelige uden betaling på en klar, gennemsigtig, fuldstændig og lettilgængelig måde, på afstand og ad elektronisk vej, i formater og i overensstemmelse med standarder for webtilgængelighed, der sikrer adgang for personer med handicap, og for at sikre, at kompetente nationale organer kan udføre deres opgaver på en effektiv måde.
3.   Hvor de arbejds- og ansættelsesvilkår, der er omhandlet i artikel 4, i overensstemmelse med national lovgivning, traditioner og praksis, herunder respekt for arbejdsmarkedets parters autonomi, er fastsat i kollektive aftaler, jf. artikel 4, stk. 1, påser hver part eller for Unionens vedkommende hver medlemsstat, at disse vilkår stilles til rådighed for tjenesteydere fra den anden part og udstationerede arbejdstagere på en lettilgængelig og gennemsigtig måde, og medlemsstaterne skal i denne forbindelse søge at inddrage arbejdsmarkedets parter. De relevante oplysninger bør navnlig dække de forskellige mindstelønssatser og disses bestanddele, den metode, der anvendes til at beregne vederlag, og i givet fald kriterier for klassificering i de forskellige lønkategorier.
4.   Hvis oplysningerne på det centrale officielle nationale websted i modstrid med stk. 1 ikke angiver, hvilke arbejds- og ansættelsesvilkår der finder anvendelse, tages dette forhold i betragtning i overensstemmelse med national ret og/eller praksis i forbindelse med fastsættelse af sanktioner i tilfælde af overtrædelse af denne afdeling, i det omfang det er nødvendigt, for at sikre, at de pågældende sanktioner står i et rimeligt forhold til overtrædelsen.
5.   Hver part eller for Unionens vedkommende hver medlemsstat angiver de organer og myndigheder, som førere og transportvirksomheder kan henvende sig til for at få generelle oplysninger om den nationale ret og praksis, der finder anvendelse på dem vedrørende deres rettigheder og forpligtelser på deres område.
Artikel 6
Administrative krav, kontrol og håndhævelse
1.   Hver part eller for Unionens vedkommende hver medlemsstat kan kun indføre følgende administrative krav og kontrolforanstaltninger i forbindelse med udstationering af førere:
a)
en forpligtelse for transportvirksomheder, der er etableret i den anden part, til senest ved udstationeringens begyndelse at indsende en udstationeringserklæring til de nationale kompetente myndigheder i den part eller for Unionens vedkommende den medlemsstat, hvor føreren er udstationeret, ved hjælp af fra den 2. februar 2022 en flersproget standardformular i den offentlige brugerflade, der er forbundet til informationssystemet for det indre marked 
(
1
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 ("IMI") for administrativt samarbejde; denne udstationeringserklæring skal indeholde følgende oplysninger:
i)
transportvirksomhedens identitet, i det mindste i form af nummeret på den gyldige tilladelse, hvis dette nummer foreligger
ii)
kontaktoplysninger på transportlederen eller andre kontaktpersoner i etableringsparten eller for Unionens vedkommende i etableringsmedlemsstaten, som kan træde i kontakt med de kompetente myndigheder i værtsparten eller for Unionens vedkommende den medlemsstat, hvor tjenesterne ydes, og som kan fremsende og modtage dokumenter eller meddelelser
iii)
førerens identitet og bopælsadresse og nummeret på dennes kørekort
iv)
begyndelsesdatoen for førerens ansættelseskontrakt og den ret, der finder anvendelse på den
v)
udstationeringens planlagte begyndelses- og afslutningsdato og
vi)
nummerpladerne på motorkøretøjerne
b)
en forpligtelse for transportvirksomheden til at sikre, at føreren på papir eller i elektronisk form råder over, og en forpligtelse for føreren til, når der anmodes herom i forbindelse med kontrol på vejene, at have og tilgængeliggøre:
i)
en kopi af udstationeringserklæringen indsendt via IMI-systemet fra den 2. februar 2022
ii)
bevis på, at transporterne finder sted i værtsparten, såsom et elektronisk fragtbrev (e-CMR), og
iii)
data fra takografen og navnlig nationalitetsmærket for den part eller for Unionens vedkommende den medlemsstat, hvor føreren opholdte sig, da vedkommende udførte vejtransporter, i overensstemmelse med kravene om registrering og opbevaring af optegnelser i del B, afdeling 2 og 4
c)
en forpligtelse for transportvirksomheden til fra den 2. februar 2022 via den offentlige brugerflade, der er forbundet til IMI-systemet, efter udstationeringsperioden på direkte anmodning af de kompetente myndigheder i den anden part eller for Unionens vedkommende den medlemsstat, hvor udstationeringen fandt sted, at sende kopier af de i dette stykkes litra b), nr. ii) og iii), omhandlede dokumenter samt dokumentation vedrørende aflønningen af føreren for så vidt angår udstationeringsperioden, ansættelseskontrakten eller et tilsvarende dokument, arbejdssedler vedrørende førerens arbejde og bevis for betaling.
Transportvirksomheden sender fra den 2. februar 2022 dokumentationen via den offentlige brugerflade, der er forbundet til IMI-systemet, senest otte uger efter datoen for anmodningen. Hvis transportvirksomheden ikke indsender den krævede dokumentation inden for denne periode, kan de kompetente myndigheder i den part eller for Unionens vedkommende den medlemsstat, hvor udstationeringen fandt sted, fra den 2. februar 2022 via IMI-systemet anmode de kompetente myndigheder i etableringsparten eller for Unionens vedkommende etableringsmedlemsstaten om bistand. Når en sådan anmodning om gensidig bistand fremsættes, har de kompetente myndigheder i den part eller for Unionens vedkommende den medlemsstat, hvor transportvirksomheden er etableret, adgang til udstationeringserklæringen og andre relevante oplysninger, som transportvirksomheden har indsendt, fra den 2. februar 2022 via den offentlige brugerflade, der er forbundet til IMI-systemet.
De kompetente myndigheder i etableringsparten eller for Unionens vedkommende i etableringsmedlemsstaten sikrer, at de fremsender den dokumentation, der er anmodet om, til de kompetente myndigheder i den part eller for Unionens vedkommende til de kompetente myndigheder i den medlemsstat, hvor udstationeringen fandt sted, fra den 2. februar 2022 via IMI-systemet inden for 25 arbejdsdage efter datoen for anmodningen om gensidig bistand.
Hver part sikrer, at de oplysninger, der udveksles af de kompetente nationale myndigheder, eller som fremsendes til dem, kun anvendes i forbindelse med den eller de sager, der ligger til grund for anmodningen.
Gensidigt administrativt samarbejde og gensidig bistand ydes uden betaling.
En anmodning om oplysninger er ikke til hinder for, at de kompetente myndigheder kan træffe foranstaltninger for at undersøge og forebygge påståede overtrædelser af denne afdeling.
3.   Med henblik på at fastslå, om en fører i henhold til artikel 1 ikke skal anses for at være udstationeret, kan parterne kun som kontrolforanstaltning indføre en forpligtelse for føreren til, hvis der anmodes herom i forbindelse med vejkontrollen, på papir eller i elektronisk form at opbevare og tilgængeliggøre beviset for de relevante transporter såsom et elektronisk fragtbrev (e-CMR) og data fra takografen som omhandlet i nærværende artikels stk. 2, litra b), nr. iii).
4.   Med henblik på kontrol sørger transportvirksomheden for, at de i stk. 2, litra a), omhandlede udstationeringserklæringer er ajour fra den 2. februar 2022 på den offentlige brugerflade, der er forbundet til IMI.
5.   Oplysningerne fra udstationeringserklæringerne gemmes fra den 2. februar 2022 i IMI-databasen med henblik på kontrol i en periode på 24 måneder.
6.   Den part eller for Unionens vedkommende den medlemsstat, hvor føreren er udstationeret, og den part eller for Unionens vedkommende den medlemsstat, hvorfra føreren er udstationeret, er ansvarlig for at overvåge, kontrollere og håndhæve de forpligtelser, der er fastsat i denne afdeling, og træffer hensigtsmæssige foranstaltninger, hvis denne afdeling ikke overholdes.
7.   Hver part eller for Unionens vedkommende medlemsstaterne sikrer, at inspektioner og kontrol af overholdelse i henhold til denne artikel ikke er diskriminerende og/eller uforholdsmæssige, under hensyntagen til de relevante bestemmelser i denne afdeling.
8.   Med henblik på håndhævelse af forpligtelserne i medfør af denne afdeling sikrer hver part eller for Unionens vedkommende medlemsstaterne, at der findes effektive mekanismer, som udstationerede arbejdstagere kan anvende til at indgive direkte klager over deres arbejdsgivere, og at de har ret til at indlede retslige eller administrative procedurer, også i den part, hvor førerne er eller var udstationeret, hvis førerne mener, at de har lidt tab eller skade som følge af en manglende overholdelse af gældende regler, også efter at det forhold, under hvilket den manglende overholdelse angiveligt har fundet sted, er ophørt.
9.   Stk. 8 finder anvendelse med forbehold af den kompetence, der er tillagt domstolene i hver part eller for Unionens vedkommende i medlemsstaterne ved særligt de relevante EU-retlige instrumenter og/eller internationale konventioner.
10.   Hver part eller for Unionens vedkommende medlemsstaterne fastsætter bestemmelser om sanktioner for overtrædelse af de nationale bestemmelser, der er vedtaget i medfør af denne afdeling, og træffer alle nødvendige foranstaltninger til at sikre, at de gennemføres og overholdes. Sanktionerne skal være effektive, stå i et rimeligt forhold til overtrædelsen og have afskrækkende virkning.
Hver part meddeler den anden part disse bestemmelser senest den 30. juni 2021. De meddeler straks eventuelle senere ændringer af disse.
Artikel 7
Anvendelse af IMI-systemet
1.   Fra den 2. februar 2022 udveksles og behandles oplysninger, herunder personoplysninger, omhandlet i artikel 6 i IMI-systemet, forudsat at følgende betingelser er opfyldt:
a)
parterne giver garanti for, at data, der behandles i IMI-systemet, kun bruges til det formål, hvortil de oprindeligt blev udvekslet
b)
enhver overførsel af personoplysninger til Det Forenede Kongerige i henhold til denne artikel må kun finde sted i overensstemmelse med artikel 23, stk. 1, litra c), i Europa-Parlamentets og Rådets forordning (EU) nr. 1024/2012 
(
2
)
, og
c)
enhver overførsel af personoplysninger til Unionen i henhold til denne artikel må kun finde sted i overensstemmelse med Det Forenede Kongeriges regler om beskyttelse af personoplysninger ved internationale overførsler.
2.   Hver parts kompetente myndigheder tildeler og tilbagekalder hensigtsmæssige adgangsrettigheder til IMI-brugere.
3.   IMI-brugere må kun få adgang til oplysninger, der behandles i IMI-systemet, ud fra need to know-princippet og kun med henblik på gennemførelse og håndhævelse af denne afdeling.
4.   Hver part eller for Unionens vedkommende hver medlemsstat kan give den kompetente myndighed tilladelse til på andre måder end gennem IMI-systemet at give nationale arbejdsmarkedsparter relevante oplysninger, der er tilgængelige i IMI-systemet, i det omfang det er nødvendigt for at kontrollere, om udstationeringsreglerne overholdes, og i overensstemmelse med national ret og praksis, forudsat at:
a)
oplysningerne vedrører en udstationering på partens eller for Unionens vedkommende den pågældende medlemsstats område og
b)
oplysningerne udelukkende anvendes til håndhævelse af udstationeringsreglerne.
5.   Specialudvalget vedrørende vejtransport fastsætter de tekniske og proceduremæssige specifikationer for Det Forenede Kongeriges anvendelse af IMI-systemet.
6.   Hver part deltager i IMI-systemets driftsomkostninger. Specialudvalget vedrørende vejtransport fastsætter de omkostninger, der skal bæres af hver part.
DEL B
KRAV TIL FØRERE, DER ER INVOLVERET I GODSTRANSPORT I HENHOLD TIL DENNE AFTALES ARTIKEL 465
AFDELING 1
BEVIS FOR FAGLIGE KVALIFIKATIONER
Artikel 1
Anvendelsesområde
Denne afdeling finder anvendelse på kørsel, der udføres af personer, som er ansat eller benyttes af en parts transportvirksomhed, der udfører vejgodstransport, jf. denne aftales artikel 462, og bruger køretøjer, til hvilke der kræves et kørekort i kategori C1, C1+E, C eller C+E eller et kørekort, der er anerkendt som ækvivalent af specialudvalget vedrørende vejtransport.
Artikel 2
Fritagelser
Der kræves ikke bevis for faglige kvalifikationer (kvalifikationsbevis) for førere af køretøjer:
a)
hvis højeste tilladte hastighed ikke overstiger 45 km/h
b)
der benyttes af de væbnede styrker, civilforsvaret, brandvæsenet, ordensmagten og tjenester for akut ambulancekørsel eller er under disse tjenesters kontrol, såfremt transporten sker som led i disse tjenesters funktioner
c)
der prøvekøres på veje med henblik på teknisk udvikling, reparation eller vedligeholdelse, eller førere af nye eller ombyggede køretøjer, som endnu ikke er taget i brug
d)
der anvendes i nødsituationer eller benyttes til redningsopgaver
e)
der benyttes til transport af materiel, udstyr eller maskiner, som skal anvendes under udøvelsen af førerens erhverv, forudsat at kørslen af køretøjerne ikke er førerens hovedaktivitet, eller
f)
som landbrugs-, gartneri-, skovbrugs-, opdræts- og fiskerivirksomheder anvender eller lejer uden fører til transport af varer som led i deres egen erhvervsmæssige virksomhed, undtagen hvis kørslen er en del af førerens hovedaktivitet eller overstiger en vis afstand, der er fastsat i national lovgivning, fra basen for den virksomhed, som ejer, lejer eller leaser køretøjet.
Artikel 3
Kvalifikationer og uddannelse
1.   Kørsel som defineret i artikel 1 er underlagt krav om obligatoriske grundlæggende kvalifikationer og obligatorisk efteruddannelse. Med henblik herpå fastsætter parterne:
a)
en ordning for grundlæggende kvalifikationer svarende til en af følgende to muligheder:
i)
en ordning, der omfatter både deltagelse i undervisning og en prøve.
I overensstemmelse med tillæg 31-B-1-1, afdeling 2, punkt 2.1, indebærer denne form for grundlæggende kvalifikationer obligatorisk deltagelse i undervisning af en vis varighed. Forløbet afsluttes med en prøve. Hvis prøven bestås, afsluttes uddannelsen med udstedelse af det kvalifikationsbevis, der er omhandlet i artikel 6, stk. 1, litra a)
ii)
en ordning, der kun omfatter prøver.
I overensstemmelse med tillæg 31-B-1-1, afdeling 2, punkt 2.2, indebærer denne form for grundlæggende kvalifikationer ikke obligatorisk deltagelse i undervisning, men udelukkende teoretiske og praktiske prøver. Hvis prøverne bestås, afsluttes uddannelsen med udstedelse af det kvalifikationsbevis, der er omhandlet i artikel 6, stk. 1, litra b).
En part kan imidlertid godkende en fører til kørsel på sit område, inden der er udstedt et kvalifikationsbevis, i en periode på højst tre år, hvis føreren deltager i en national erhvervsuddannelse på mindst seks måneder. I forbindelse med den pågældende erhvervsuddannelse kan de prøver, der er nævnt i nr. i) og ii), afholdes i etaper
b)
en efteruddannelsesordning.
I overensstemmelse med tillæg 31-B-1-1, afdeling 4, indebærer efteruddannelsen obligatorisk deltagelse i undervisningen. Uddannelsen afsluttes med udstedelse af det i artikel 8, stk. 1, omhandlede kvalifikationsbevis.
2.   En part kan ligeledes fastlægge en ordning med et intensivt grundlæggende kvalifikationskursus for at give en fører mulighed for at udøve sit erhverv i de tilfælde, der er omhandlet i artikel 5, stk. 2, litra a), nr. ii), og litra b).
I overensstemmelse med tillæg 31-B-1-1, afdeling 3, indebærer det intensive grundlæggende kvalifikationskursus obligatorisk deltagelse i undervisningen. Forløbet afsluttes med en prøve. Hvis prøven bestås, afsluttes uddannelsen med udstedelse af det kvalifikationsbevis, der er omhandlet i artikel 6, stk. 2.
3.   En part kan fritage en fører, som har opnået certifikatet vedrørende faglig dygtighed, jf. del A, afdeling 1, artikel 8, for de prøver, der er nævnt i nærværende artikels stk. 1, litra a), nr. i) og ii), og stk. 2, i de emner, der dækkes af den prøve, som er fastlagt inden for rammerne af dette bilag, og i så tilfælde for deltagelse i den del af undervisningen, der vedrører disse emner.
Artikel 4
Erhvervede rettigheder
Førere, der er indehavere af et kørekort i kategori C1, C1+E, C eller C+E eller et kørekort, der er anerkendt som ækvivalent af Specialudvalget vedrørende vejtransport, og som er udstedt senest den 10. september 2009, er fritaget for pligten til at følge et grundlæggende kvalifikationskursus.
Artikel 5
Grundlæggende kvalifikationer
1.   Det er ikke nødvendigt at være indehaver af det pågældende kørekort for at få adgang til et grundlæggende kvalifikationskursus.
2.   Førere af køretøjer beregnet til godstransport kan
a)
fra det fyldte 18. år:
i)
føre køretøjer af kørekortkategori C og C + E, forudsat at de er indehavere af det i artikel 6, stk. 1, nævnte kvalifikationsbevis, og
ii)
føre køretøjer af kørekortkategori C1 og C1 + E, forudsat at de er indehavere af det i artikel 6, stk. 2, nævnte kvalifikationsbevis
b)
fra det fyldte 21. år føre køretøjer af kørekortkategori C og C + E, forudsat at de er indehavere af det i artikel 6, stk. 2, nævnte kvalifikationsbevis.
3.   Med forbehold af aldersgrænserne i stk. 2 er chauffører, der udfører godstransport, og som har opnået et i artikel 6 nævnt kvalifikationsbevis for en af de i stk. 2 i denne artikel fastsatte kategorier af køretøjer, fritaget for at opnå et sådant kvalifikationsbevis for de øvrige kategorier af køretøjer, der er fastsat i nævnte stykke.
4.   Førere, der udfører godstransport, som udvider eller ændrer deres aktiviteter for at udføre personbefordring eller omvendt, og som er indehavere af et i artikel 6 nævnt kvalifikationsbevis, skal ikke gentage de dele, der er fælles for de grundlæggende kvalifikationskurser, men kun de dele, der er specifikke for de nye kvalifikationer.
Artikel 6
Kvalifikationsbevis for grundlæggende kvalifikationer
1.   Kvalifikationsbevis for grundlæggende kvalifikationer
a)
kvalifikationsbevis udstedt på grundlag af deltagelse i undervisning og en prøve.
I overensstemmelse med artikel 3, stk. 1, litra a), nr. i), kræver parterne, at en person, der ønsker at blive fører, følger undervisningen i et uddannelsescenter, som er godkendt af de kompetente myndigheder i overensstemmelse med tillæg 31-B-1-1, afdeling 5, i det følgende benævnt "godkendt uddannelsescenter". Den pågældende uddannelse skal omfatte samtlige emner nævnt i tillæg 31-B-1-1, afdeling 1.
Uddannelsen afsluttes med, at føreren består den prøve, der er omhandlet i tillæg 31-B-1-1, afdeling 2, punkt 2.1. Parternes kompetente myndigheder eller en enhed, der er udpeget af dem, tilrettelægger prøven, som har til formål at efterprøve, at førerens kundskaber om ovennævnte emner er på det niveau, der kræves i tillæg 31-B-1-1, afdeling 1. Disse myndigheder eller enheder fører tilsyn med prøven og udsteder, hvis den bestås, et kvalifikationsbevis for grundlæggende kvalifikationer til føreren
b)
kvalifikationsbevis udstedt på grundlag af prøver.
I overensstemmelse med artikel 3, stk. 1, litra a), nr. ii), kræver parterne, at en person, der ønsker at blive fører, består de teoretiske og praktiske prøver, som er nævnt i tillæg 31-B-1-1, afdeling 2, punkt 2.2. Parternes kompetente myndigheder eller en enhed, der er udpeget af dem, tilrettelægger prøverne, som har til formål at efterprøve, at førerens kundskaber om alle ovennævnte emner er på det niveau, der kræves i tillæg 31-B-1-1, afdeling 1. Disse myndigheder eller enheder fører tilsyn med prøverne og udsteder, hvis de bestås, et kvalifikationsbevis for grundlæggende kvalifikationer til føreren.
2.   Kvalifikationsbevis for gennemført intensiv undervisning i grundlæggende kvalifikationer
I overensstemmelse med artikel 3, stk. 2, kræver parterne, at en person, der ønsker at blive fører, deltager i undervisningen i et godkendt uddannelsescenter. Den pågældende uddannelse skal omfatte samtlige emner nævnt i tillæg 31-B-1-1, afdeling 1.
Uddannelsen afsluttes med den prøve, der er omhandlet i tillæg 31-B-1-1, afdeling 3. Parternes kompetente myndigheder eller en enhed, der er udpeget af dem, tilrettelægger prøven, som har til formål at efterprøve, at førerens kundskaber om ovennævnte emner er på det niveau, der kræves i tillæg 31-B-1-1, afdeling 1. Disse myndigheder eller enheder fører tilsyn med prøven og udsteder, hvis den bestås, et kvalifikationsbevis for gennemført intensiv undervisning i grundlæggende kvalifikationer til føreren.
Artikel 7
Efteruddannelse
Efteruddannelse tager sigte på at give indehaverne af et kvalifikationsbevis mulighed for at ajourføre kundskaber, som er væsentlige for deres arbejde, idet der lægges særlig vægt på færdselssikkerhed, sundhed og sikkerhed på arbejdspladsen og begrænsning af den miljømæssige indvirkning af kørsel.
Denne uddannelse tilrettelægges af et godkendt uddannelsescenter i overensstemmelse med tillæg 31-B-1-1, afdeling 5. Uddannelsen skal bestå af klasseundervisning, praktisk uddannelse og hvis muligt uddannelse ved hjælp af informations- og kommunikationsteknologiske (IKT) værktøjer eller avancerede simulatorer. Hvis en fører skifter virksomhed, skal der tages hensyn til allerede gennemgået efteruddannelse.
Efteruddannelsen har til formål at uddybe og repetere nogle af emnerne nævnt i tillæg 31-B-1-1, afdeling 1. Den skal omfatte en række forskellige emner og skal altid omfatte mindst ét emne om trafiksikkerhed. I uddannelsens emner skal der tages højde for udviklingen inden for den relevante lovgivning og teknologi og så vidt muligt for førerens særlige uddannelsesmæssige behov.
Artikel 8
Kvalifikationsbevis for gennemført efteruddannelse
1.   Når en fører har afsluttet den i artikel 7 omtalte efteruddannelse, udsteder parternes kompetente myndigheder eller det godkendte uddannelsescenter et kvalifikationsbevis for gennemført efteruddannelse til vedkommende.
2.   Følgende personer skal første gang følge en efteruddannelse:
a)
personer, der er indehavere af et kvalifikationsbevis, jf. artikel 6: senest fem år efter udstedelsen af dette kvalifikationsbevis og
b)
førere jf. artikel 4: senest fem år efter den 10. september 2009.
En part kan afkorte eller forlænge de i litra a) eller b) nævnte perioder med op til to år.
3.   En fører, der har gennemført en første efteruddannelse, jf. denne artikels stk. 2, skal følge en efteruddannelse hvert femte år inden udløbet af efteruddannelseskvalifikationsbevisets gyldighedsperiode.
4.   Indehavere af et kvalifikationsbevis, jf. artikel 6 eller nærværende artikels stk. 1, samt førere jf. artikel 4, som er ophørt med at udøve deres erhverv, og som ikke opfylder kravene i nærværende artikels stk. 1, 2 og 3, skal følge en efteruddannelse, inden de genoptager deres erhverv.
5.   Førere, der udfører godstransport ad vej, og som har fulgt en efteruddannelse for en af de kørekortkategorier, der er omhandlet i artikel 5, stk. 2, er fritaget for efteruddannelse for en af de øvrige køretøjskategorier, der er omhandlet i nævnte stykke.
Artikel 9
Håndhævelse
En parts kompetente myndigheder anbringer enten direkte på førerens kørekort ved siden af de tilsvarende køretøjskategorier et mærke, der attesterer, at vedkommende er i besiddelse af et særligt kvalifikationsbevis, og angiver udløbsdatoen eller indfører et chaufføruddannelsesbevis, der er udfærdiget i overensstemmelse med modellen i tillæg 31-B-1-2. En anden model kan accepteres, hvis den er anerkendt som ækvivalent af Specialudvalget vedrørende vejtransport. Chaufføruddannelsesbeviset eller ethvert ækvivalent dokument, jf. ovenstående, der er udstedt af en parts kompetente myndigheder, anerkendes af den anden part med henblik på denne afdeling.
Førere skal på kontrolpersonalets forlangende fremvise et kørekort eller et særligt chaufføruddannelsesbevis eller et ækvivalent dokument forsynet med et mærke, der attesterer, at vedkommende er i besiddelse af et kvalifikationsbevis.
Tillæg 31-B-1-1
MINIMUMSKRAV TIL KVALIFIKATIONER OG UDDANNELSE
For at sikre, at reglerne for vejgodstransport omfattet af anden del, sektion tre, afsnit I, i denne aftale harmoniseres i videst muligt omfang, fastsættes minimumskravene til føreres kvalifikationer og uddannelse samt til uddannelsescentre i dette tillægs afdeling 1-5. Andet indhold til sådanne kvalifikationer og sådan uddannelse kan accepteres, hvis det er anerkendt som ækvivalent af Specialudvalget vedrørende vejtransport.
AFDELING 1
EMNELISTE
De kundskaber, som skal tages i betragtning ved parternes konstatering af førerens grundlæggende kvalifikationer og efteruddannelse, skal som minimum omfatte de emner, der er opført på denne liste. Personer, der ønsker at blive førere, skal opnå et sådant niveau af kundskaber og praktiske færdigheder, som er nødvendigt, for at de på sikker vis kan føre et køretøj af den relevante kørekortskategori. Minimumsniveauet for kundskaberne skal mindst svare til det niveau, der opnås ved obligatorisk skolegang suppleret med erhvervsuddannelse.
1.   Videreuddannelse i rationel kørsel med hovedvægt på sikkerhed
1.1
Mål: at kende de karakteristiske egenskaber ved kraftoverføring for at kunne optimere brugen heraf:
motorers drejningsmoment, effektkurver og brændstofforbrugskurver, optimalt køreområde på omdrejningstælleren samt diagrammer for gearenes overlapning.
1.2
Mål: at kende sikkerhedsanordningernes karakteristiske egenskaber og funktioner med henblik på at beherske køretøjet, mindske slid og forebygge fejl:
grænser for brug af bremser og retarder, kombineret brug af bremser og retarder, bedste valg af hastighed og gear, brug af køretøjets inerti, brug af forskellige metoder til at nedsætte hastigheden og til bremsning ved kørsel ned ad bakke samt reaktion ved funktionssvigt, brug af elektroniske og mekaniske anordninger såsom elektronisk stabilitetsprogram (ESP), avanceret nødbremsesystem (AEBS), antiblokeringssystem (ABS), trækkraftkontrolsystemer (TCS), overvågningssystemer i køretøjet (IVMS) og andre, som er godkendt til brug, førerstøtte eller automatiske anordninger.
1.3
Mål: at kunne optimere brændstofforbruget:
optimering af brændstofforbruget ved anvendelse af, hvad der er lært i punkt 1.1 og 1.2, betydningen af at kunne forudse trafikken, passende afstand til andre køretøjer og brug af køretøjets fremdrift, stabil hastighed, smidig kørsel og passende dæktryk samt kendskab til intelligente transportsystemer, der muliggør effektiv kørsel og bedre ruteplanlægning.
1.4
Mål: evne til at forudse, vurdere og tilpasse sig risici i trafikken:
at være klar over og tilpasse sig forskellige vej-, trafik- og vejrforhold, forudse kommende begivenheder at forstå, hvordan man skal forberede og planlægge en tur under unormale vejrforhold at have kendskab til brugen af sikkerhedsudstyr og forstå, når en tur må udsættes eller aflyses på grund af ekstreme vejrforhold at tilpasse sig trafikrisici, herunder farlig adfærd i trafikken eller distraheret kørsel (gennem anvendelse af elektronisk udstyr, at spise, drikke, osv.) at anerkende og tilpasse sig farlige situationer og være i stand til at håndtere stress, der er afledt heraf, navnlig med hensyn til køretøjernes størrelse og vægt samt sårbare trafikanter såsom fodgængere, cyklister og tohjulede motoriserede køretøjer
at identificere mulige farlige situationer og korrekt fortolke, hvordan disse potentielt farlige situationer kan blive til situationer, hvor sammenstød ikke længere kan undgås, og vælge og foretage handlinger, der øger sikkerhedsmargenen i en sådan grad, at et sammenstød stadig kan undgås, hvis en potentielt farlig situation opstår.
1.5
Mål: at kunne stå for lastning af et køretøj under overholdelse af sikkerhedsforskrifterne og en korrekt brug af køretøjet:
kræfter på køretøjet under kørsel, brug af forskellige gear alt efter køretøjets belæsningstilstand og vejens profil, brug af automatiske transmissionssystemer, beregning af køretøjets eller vogntogets nyttelast, beregning af lastrummets størrelse, placering af godset, følgerne af for stort akseltryk, køretøjets stabilitet og tyngdepunkt, emballagetyper og paller
hovedkategorier af gods, der kræver surring, sikrings- og surringsteknikker, brug af surringsremme, kontrol af surringsanordningerne, brug af udstyr til godshåndtering samt brug af presenning.
2.   Anvendelse af reglerne
2.1
Mål: at kende vejtransportens sociale kontekst og de regler, der ligger til grund for den:
specifikke arbejdstidsregler for transport, principper for regler for køre- og hviletider og brug af takograf samt anvendelse og konsekvenser heraf, sanktioner for mangelfuld, ukorrekt eller svigagtig brug af takografen, samt kendskab til vejtransportens sociale kontekst: føreres rettigheder og pligter med hensyn til grundlæggende kvalifikationer og efteruddannelse.
2.2
Mål: at kende reglerne på godstransportområdet:
transporttilladelser, dokumenter, der skal medbringes, kørselsforbud på bestemte veje, vejafgifter, forpligtelser i henhold til standardkontrakter for godstransport, udfærdigelse af transportdokumenter, internationale transporttilladelser, forpligtelser i henhold til konventionen om fragtaftaler ved international godsbefordring ad landevej (CMR) udfærdiget den 19. maj 1956 i Genève, udfærdigelse af internationalt fragtbrev, krydsning af landegrænser, speditører samt særlige ledsagedokumenter til gods.
3.   Sundhed, færdselssikkerhed og miljøsikkerhed, service og logistik
3.1
Mål: at øge føreres bevidsthed om risici i trafikken og risici for arbejdsulykker:
arbejdsulykkestyper på transportområdet, statistikker for færdselsulykker, indblanding af store køretøjer samt menneskelige, materielle og økonomiske følger.
3.2
Mål: at kunne forebygge kriminalitet og menneskesmugling:
generel information, følger for føreren, forebyggende foranstaltninger, checkliste samt lovgivning om transportvirksomhedens ansvar.
3.3
Mål: at kunne forebygge fysiske risici:
ergonomiske principper farlige bevægelser og stillinger, fysisk kondition, øvelser i håndtering af gods samt personlige værnemidler.
3.4
Mål: at være bevidst om betydningen af fysisk og psykisk egnethed:
principper om sunde og afbalancerede spisevaner, virkninger af alkohol, medicin og andre stoffer, der kan ændre adfærden, symptomer på træthed og stress og disses årsager og virkninger samt den grundlæggende betydning af skift mellem arbejde og hvile.
3.5
Mål: at kunne vurdere nødsituationer:
adfærd i nødsituationer: vurdere situationen, undgå forværring af en ulykke, tilkalde hjælp, hjælpe tilskadekomne og yde førstehjælp, reaktion ved brand, evakuering af personer i tunge erhvervskøretøjer og buspassagerer, sørge for alle passagerers sikkerhed, reaktion i tilfælde af aggression samt grundprincipperne for udfyldelse af fælles skadeanmeldelse.
3.6
Mål: at kunne tilpasse sin optræden på en måde, der bidrager til at højne en servicevirksomheds image:
førerens optræden og virksomhedens image: betydning for virksomheden af kvaliteten af den ydelse, som føreren yder, førerens forskellige roller, forskellige personer, som føreren kommer i kontakt med, vedligeholdelse af køretøjet, tilrettelæggelse af arbejdet samt kommercielle og finansielle følger af tvister.
3.7
Mål: at kende vejgodstransportens økonomiske kontekst og markedsorganisationen:
vejtransport i forhold til andre transportmåder (konkurrence, speditører), forskellige vejtransportaktiviteter (transport for tredjemands regning, egen virksomhed, transportrelaterede aktiviteter), hovedtyper af transportvirksomheder og transportrelaterede aktiviteter og deres organisation, specialisering inden for transport (tank, kontrolleret temperatur, farligt gods, dyretransport mv.) samt sektorens udvikling (diversificering af ydelser, kombination af bane og vej, underentreprise mv.).
AFDELING 2
OBLIGATORISKE GRUNDLÆGGENDE KVALIFIKATIONER I HENHOLD TIL DEL B, AFDELING 1, ARTIKEL 3, STK. 1, LITRA A)
En part kan medtage anden specifik uddannelse vedrørende vejgodstransport, som kræves i henhold til partens lovgivning, som led i den uddannelse, der er omhandlet i denne afdeling og afdeling 3 i dette tillæg.
2.1.   En ordning med både deltagelse i undervisning og en prøve
Undervisningen i grundlæggende kvalifikationer skal omfatte samtlige emner på listen i afdeling 1 i dette tillæg. Undervisningen i grundlæggende kvalifikationer skal vare 280 timer.
Hver person, der ønsker at blive fører, skal have mindst 20 individuelle køretimer i et køretøj i den pågældende kategori, som mindst opfylder kravene til prøvekøretøjer.
I ovennævnte individuelle køreundervisning ledsages den person, der ønsker at blive fører, af en lærer ved et godkendt uddannelsescenter. Hver person, der ønsker at blive fører, kan få højst 8 af de 20 individuelle køretimer på et særligt område eller i en avanceret simulator, hvor førerens evne til rationel kørsel kan bedømmes med hovedvægt på sikkerhed, herunder navnlig vedkommendes beherskelse af køretøjet på veje i forskelligartet tilstand samt under forskellige vejrforhold og på forskellige tidspunkter af døgnet og evnen til at optimere brændstofforbruget.
En part eller for Unionens vedkommende en medlemsstat kan tillade, at dele af uddannelsen udbydes af det godkendte uddannelsescenter ved hjælp af IKT som e-læring, men det skal i denne forbindelse sikres, at uddannelsens kvalitet og effektivitet opretholdes, idet der udvælges de emner, der er mest velegnede til anvendelse af IKT. I et sådant tilfælde stilles der krav om pålidelig brugeridentifikation og passende kontrolforanstaltninger.
For de førere, der er nævnt i del B, afdeling 1, artikel 5, stk. 4, skal varigheden af det grundlæggende kvalifikationskursus være 70 timer, heraf 5 individuelle køretimer.
Ved uddannelsens afslutning underkaster parternes kompetente myndigheder eller den enhed, som de har udpeget, føreren en skriftlig eller mundtlig prøve. Prøven skal omfatte mindst ét spørgsmål for hvert mål på listen over emner i afdeling 1 i dette tillæg.
2.2   Ordning, der omfatter en prøve
Parternes kompetente myndigheder eller den enhed, som de har udpeget, tilrettelægger teoretiske og praktiske prøver, jf. nedenfor, for at efterprøve, om førerne har de nødvendige kundskaber, der kræves i afdeling 1 i dette tillæg med hensyn til samtlige mål og emner.
a)
Den teoretiske prøve består af mindst to delprøver:
i)
spørgsmål, enten multiple choice-spørgsmål eller spørgsmål, der skal besvares direkte, eller en kombination af begge dele og
ii)
case studies.
Den teoretiske prøve skal mindst strække sig over fire timer.
b)
Den praktiske prøve består af to delprøver:
i)
en køreprøve, hvis formål er at bedømme evnen til rationel kørsel med hovedvægt på sikkerhed. Denne prøve foretages om muligt på veje uden for bymæssig bebyggelse, gennemkørselsveje og motorveje (eller lignende) samt på alle former for kørselsveje i byer, som skal repræsentere de forskellige typer vanskeligheder, som en fører kan forventes at komme ud for. Prøven skal helst afvikles under forskellige grader af trafiktæthed. Under kørslen skal tiden udnyttes bedst muligt til at bedømme føreren i alle de typer kørselsområder, som vedkommende kan forventes at komme ud for. Prøven skal mindst vare 90 minutter
ii)
en praktisk prøve, som mindst skal vedrøre punkt 1.5, 3.2, 3.3 og 3.5 i afdeling 1 i dette tillæg.
Prøven skal mindst vare 30 minutter.
De køretøjer, der anvendes ved de praktiske prøver, skal mindst opfylde kravene til prøvekøretøjer.
Den praktiske prøve kan suppleres med en tredje delprøve, som afholdes på et særligt område eller i en avanceret simulator for at bedømme førerens evne til rationel kørsel med hovedvægt på sikkerhed, herunder navnlig vedkommendes beherskelse af køretøjet på veje i forskelligartet tilstand samt under forskellige vejrforhold og på forskellige tidspunkter af døgnet.
Varigheden af denne ikkeobligatoriske delprøve er ikke fastsat. Hvis føreren består denne delprøve, kan dens varighed trækkes fra de 90 minutter, som er afsat til delprøven i nr. i), dog således at der ikke fratrækkes mere end 30 minutter.
For de førere, der er nævnt i del B, afdeling 1, artikel 5, stk. 4, handler den teoretiske prøve udelukkende om de emner i afdeling 1 i dette tillæg, der vedrører de køretøjer, som undervisningen i nye grundlæggende kvalifikationer tager sigte på. Disse førere skal dog aflægge hele den praktiske prøve.
AFDELING 3
INTENSIVT GRUNDLÆGGENDE KVALIFIKATIONSKURSUS, JF. BILAG 31, DEL B, AFDELING 1, ARTIKEL 3, STK. 2
Det intensive grundlæggende kvalifikationskursus skal omfatte samtlige emner på listen i afdeling 1 i dette tillæg. Det skal vare 140 timer.
Hver person, der ønsker at blive fører, skal have mindst ti individuelle køretimer i et køretøj i den pågældende kategori, som mindst opfylder kravene til prøvekøretøjer.
I ovennævnte individuelle køreundervisning ledsages den person, der ønsker at blive fører, af en lærer ved et godkendt uddannelsescenter. Hver person, der ønsker at blive fører, kan få højst fire af de ti individuelle køretimer på et særligt område eller i en avanceret simulator, hvor førerens evne til rationel kørsel kan bedømmes med hovedvægt på sikkerhed, herunder navnlig vedkommendes beherskelse af køretøjet på veje i forskelligartet tilstand og den måde, som vejforholdene ændrer sig på under forskellige vejrforhold og på forskellige tidspunkter af døgnet, samt evnen til at optimere brændstofforbruget.
Bestemmelserne i punkt 2.1, fjerde afsnit, i afdeling 2 i dette tillæg finder også anvendelse på det intensive grundlæggende kvalifikationskursus.
For de førere, der er nævnt i del B, afdeling 1, artikel 5, stk. 4, er varigheden af den intensive undervisning i grundlæggende kvalifikationer på 35 timer, heraf 2½ individuelle køretimer.
Ved uddannelsens afslutning underkaster parternes kompetente myndigheder eller den enhed, som de har udpeget, føreren en skriftlig eller mundtlig prøve. Prøven skal omfatte mindst ét spørgsmål for hvert mål på listen over emner i afdeling 1 i dette tillæg.
En part kan medtage anden specifik uddannelse vedrørende vejgodstransport, som kræves i henhold til partens lovgivning, som led i uddannelsen omhandlet i denne afdeling.
AFDELING 4
OBLIGATORISK EFTERUDDANNELSE, JF. BILAG 31, DEL B, AFDELING 1, ARTIKEL 3, STK. 1, LITRA B)
Der tilrettelægges obligatoriske efteruddannelseskurser på et godkendt uddannelsescenter. De har en varighed på 35 timer hvert femte år og afholdes over perioder på mindst syv timer, som kan fordeles på to på hinanden følgende dage. Hvis der anvendes e-læring, skal det godkendte uddannelsescenter sikre, at kvaliteten af uddannelsen opretholdes, herunder ved at vælge de emner, hvor der mest effektivt kan anvendes IKT-værktøjer. Parterne stiller navnlig krav om pålidelig brugeridentifikation og passende kontrolforanstaltninger. Undervisningen med e-læring må højst vare 12 timer. Mindst ét af kurserne skal omfatte et trafiksikkerhedsrelateret emne. I uddannelsens emner skal der tages højde for specifikke uddannelsesmæssige behov i forhold til de transportaktiviteter, som føreren udfører, og udviklingen inden for den relevante lovgivning og teknologi, og der tages i videst muligt omfang hensyn til førerens særlige uddannelsesmæssige behov. De 35 timer skal dække en række forskellige emner, herunder gentagelse af undervisningsindholdet, hvis det viser sig, at føreren har behov for særlig pædagogisk bistand.
En part og for Unionens vedkommende en medlemsstat kan medtage anden specifik uddannelse vedrørende vejgodstransport, som kræves i henhold til partens lovgivning, som led i uddannelsen omhandlet i denne afdeling.
AFDELING 5
GODKENDELSE AF GRUNDLÆGGENDE KVALIFIKATIONSKURSER OG AF EFTERUDDANNELSE
5.1.
De uddannelsescentre, som deltager i grundlæggende kvalifikationskurser og efteruddannelse, godkendes af parternes kompetente myndigheder. Godkendelse kan kun meddeles efter skriftlig ansøgning. Ansøgningen skal vedlægges dokumenter med følgende oplysninger:
5.1.1.
et passende kvalifikations- og uddannelsesprogram med angivelse af, hvilke fag der undervises i, en undervisningsplan, og hvilke undervisningsmetoder der vil blive anvendt
5.1.2.
undervisernes kvalifikationer og kompetenceområder
5.1.3.
oplysninger om undervisningslokaler, undervisningsmaterialer, udstyr til praktikdelen og køretøjspark
5.1.4.
betingelser for deltagelse i undervisningen (antal deltagere).
5.2.
Den kompetente myndighed meddeler skriftligt sin godkendelse på følgende vilkår:
5.2.1.
uddannelsen skal gennemføres i overensstemmelse med de dokumenter, der er vedlagt ansøgningen
5.2.2.
den kompetente myndighed skal kunne udsende dertil bemyndigede personer til at overvære undervisningen og føre tilsyn med de godkendte centre med særligt henblik på deres arbejdsmetoder og afvikling af undervisning og prøver
5.2.3.
godkendelsen skal kunne inddrages varigt eller midlertidigt, hvis betingelserne ikke opfyldes.
Det godkendte uddannelsescenter skal garantere, at underviserne har indgående kendskab til de aktuelle regler og uddannelseskrav. Underviserne skal som led i en specifik udvælgelsesprocedure dokumentere, at de er i besiddelse af både fagkundskaber og pædagogisk viden. Med hensyn til den praktiske del af uddannelsen skal underviserne dokumentere, at de har erfaring som erhvervschauffører eller tilsvarende kørselserfaring, f.eks. som kørelærer til tunge erhvervskøretøjer.
Undervisningsprogrammet skal være i overensstemmelse med godkendelsen og omfatte emnerne anført i afdeling 1.
Tillæg 31-B-1-2
MODEL FOR CHAUFFØRUDDANNELSESBEVIS SOM OMHANDLET I DEL B, AFDELING 1, ARTIKEL 9, I DETTE BILAG
AFDELING 2
KØRETID, PAUSER OG HVILETID
Artikel 1
Anvendelsesområde
1.   I denne afdeling fastsættes bestemmelser om køretid, pauser og hviletid for førere omhandlet i denne aftales artikel 465, stk. 1, litra b), der udfører vejgodstransport, jf. denne aftales artikel 462.
2.   Hvis en fører tilbagelægger en strækning som omhandlet i denne aftales artikel 462, finder reglerne i denne afdeling anvendelse på enhver vejtransport, der foretages af den pågældende fører på parternes områder og mellem medlemsstater.
3.   Denne afdeling finder anvendelse:
a)
på køretøjer, hvis største tilladte totalvægt, inklusive påhængsvogn eller sættevogn, overstiger 3,5 ton, eller
b)
fra den 1. juli 2026 på køretøjer, hvis største tilladte totalvægt, inklusive påhængsvogn eller sættevogn, overstiger 2,5 ton.
4.   Denne afdeling finder ikke anvendelse på transport med:
a)
køretøjer eller kombinationer af køretøjer med en største tilladt totalvægt på ikke over 7,5 ton, der benyttes til:
i)
transport af materiel, udstyr eller maskiner, som føreren benytter til udøvelsen af sit erhverv, eller
ii)
levering af varer, der er fremstillet ved håndværksmæssig fremgangsmåde,
inden for en radius af 100 km fra virksomhedens hjemsted og på den betingelse, at kørslen af køretøjet ikke er førerens hovedaktivitet, og at transporten ikke udføres mod vederlag
b)
køretøjer, hvis højeste tilladte hastighed ikke overstiger 40 km/h
c)
køretøjer, der ejes eller lejes uden fører af forsvaret, civilforsvaret, brandvæsenet og ordensmagten, såfremt transporten sker som led i disse tjenesters funktioner og er under deres kontrol
d)
køretøjer, der anvendes i katastrofetilfælde eller under redningsoperationer
e)
specialkøretøjer, der anvendes til lægelige opgaver
f)
specialkøretøjer til vejhjælp inden for en radius på 100 km fra deres hjemsted
g)
køretøjer, der prøvekøres på veje med henblik på teknisk udvikling, reparation eller vedligeholdelse, og nye eller ombyggede køretøjer, som endnu ikke er taget i brug
h)
køretøjer med en største tilladt totalvægt, inklusive påhængsvogn eller sættevogn, på over 2,5 ton, men ikke over 3,5 ton, som bruges til godstransport, hvor transporten ikke udføres mod vederlag, men for virksomhedens eller førerens egen regning, og hvor kørsel ikke udgør hovedaktiviteten for føreren af køretøjet
i)
erhvervskøretøjer, som har veteranbilstatus i henhold til lovgivningen i den medlemsstat, hvor der køres i dem, og som anvendes til ikkeerhvervsmæssig godstransport.
Artikel 2
Definitioner
I denne afdeling forstås ved:
a)
"vejtransport": al kørsel, som helt eller delvist foregår på veje, der er åbne for offentlig adgang med et køretøj i tom eller lastet stand
b)
"pause": enhver periode, i hvilken en fører hverken må udføre kørsel eller andet arbejde, og som udelukkende benyttes til rekreation
c)
"andet arbejde": enhver aktivitet, der er defineret som arbejdstid i del B, afdeling 3, artikel 2, stk. 1, litra a), undtagen "kørsel", herunder arbejde udført for den samme eller en anden arbejdsgiver inden for eller uden for transportsektoren
d)
"hvil": enhver sammenhængende periode, i hvilken en fører frit kan disponere over sin tid
e)
"daglig hviletid": den daglige periode, i hvilken en fører frit kan disponere over sin tid; dette begreb dækker "regulær daglig hviletid" og "reduceret daglig hviletid":
i)
"regulær daglig hviletid": ethvert hvil på mindst 11 timer, som kan tages i to perioder, hvoraf den første periode skal være på mindst tre sammenhængende timer og den anden på mindst ni sammenhængende timer, og
ii)
"reduceret daglig hviletid": ethvert hvil på mindst ni timer, men mindre end 11 timer
f)
"ugentlig hviletid": en ugentlig periode, i hvilken en fører frit kan disponere over sin tid; dette begreb dækker "regulær ugentlig hviletid" og "reduceret ugentlig hviletid":
i)
"regulær ugentlig hviletid": ethvert hvil på mindst 45 timer og
ii)
"reduceret ugentlig hviletid": ethvert hvil, som er mindre end 45 timer, men som med forbehold af betingelserne i artikel 6, stk. 6 og 7, kan reduceres til mindst 24 timer i træk
g)
"uge": tidsrummet mellem mandag klokken 00.00 og søndag klokken 24.00
h)
"køretid": varigheden af de køreaktiviteter, der optegnes:
i)
automatisk eller halvautomatisk ved hjælp af takografen som defineret i dette bilags del B, afdeling 4, artikel 2, litra e), f), g) og h), eller
ii)
manuelt som krævet i artikel 9, stk. 2, og artikel 11 i dette bilags del B, afdeling 4
i)
"daglig køretid": summen af køretiderne mellem slutningen af en daglig hviletid og begyndelsen på den næste daglige hviletid eller mellem en daglig og en ugentlig hviletid
j)
"ugentlig køretid": summen af køretiderne i løbet af en uge
k)
"størst tilladt totalvægt": den højeste tilladte vægt af det køreklare køretøj, inklusive nyttelast
l)
"flermandsbetjening": den situation, hvor der i hver kørselsperiode mellem to på hinanden følgende daglige hviletider eller mellem en daglig hviletid og en ugentlig hviletid er mindst to førere om bord på køretøjet for at udføre kørsel. Ved flermandsbetjening er tilstedeværelsen af en eller flere andre førere valgfri den første time, men obligatorisk resten af tiden
m)
"kørselsperiode": den samlede køretid fra det tidspunkt, hvor en fører begynder at køre efter en hviletid eller pause, indtil føreren indleder en hviletid eller pause. Kørselsperioden kan være sammenhængende eller opdelt.
Artikel 3
Krav til hjælpere
Minimumsalderen for hjælpere er 18 år. En part og for Unionens vedkommende en medlemsstat kan nedsætte minimumsalderen for hjælpere til 16 år, hvis det sker af hensyn til den faglige uddannelse, og hvis de grænser, der er fastsat i Det Forenede Kongeriges og for Unionens vedkommende medlemsstatens nationale arbejdsretlige regler, overholdes.
Artikel 4
Køretid
1.   Den daglige køretid må ikke overstige ni timer.
Dog må den daglige køretid højst to gange i løbet af en uge sættes op til højst ti timer.
2.   Den ugentlige køretid må ikke overstige 56 timer og må ikke resultere i, at den maksimale ugentlige arbejdstid på 60 timer overskrides.
3.   Summen af køretiderne i to på hinanden følgende uger må ikke overstige 90 timer.
4.   Den daglige og den ugentlige køretid omfatter al køretid på parternes område.
5.   En fører registrerer den tid, der er omhandlet i denne afdelings artikel 2, litra c), samt den tid, som vedkommende bruger på kørsel i erhvervsmæssigt øjemed, hvis føreren ikke er forpligtet til at registrere køretiden, som "andet arbejde" og registrerer alle "rådighedsperioder" som defineret i artikel 2, stk. 2, i del B, afdeling 3, i overensstemmelse med artikel 6, stk. 5, litra b), nr. iii), i del B, afdeling 4. Registreringen sker enten manuelt på et diagramark eller en udskrift eller ved anvendelse af faciliteter til manuel registrering i kontrolapparatet.
Artikel 5
Pauser
Efter en kørselsperiode på fire og en halv time skal en fører holde en sammenhængende pause på mindst 45 minutter, medmindre føreren påbegynder en hviletid.
Denne pause kan erstattes af en pause af mindst 15 minutters varighed fulgt af en pause af mindst 30 minutters varighed fordelt over kørselsperioden på en sådan måde, at første stykke overholdes.
En fører, der deltager i flermandsbetjening, kan tage en pause på 45 minutter i et køretøj, som køres af en anden fører, forudsat at den fører, der tager pausen, ikke assisterer den fører, der fører køretøjet.
Artikel 6
Hviletid
1.   En fører skal have daglige og ugentlige hviletider.
2.   Inden for hver periode på 24 timer efter afslutningen af den foregående daglige eller ugentlige hviletid skal en fører have holdt en ny daglig hviletid.
Hvis den daglige hviletid, som falder inden for 24-timersperioden, er mindst ni timer, men mindre end 11 timer, skal den betragtes som reduceret daglig hviletid.
3.   En daglig hviletid kan forlænges til at udgøre en regulær ugentlig hviletid eller en reduceret ugentlig hviletid.
4.   En fører må højst holde tre reducerede daglige hviletider mellem to ugentlige hviletider.
5.   Uanset stk. 2 skal en fører, der deltager i flermandsbetjening, have holdt en ny daglig hviletid på mindst ni timer inden for 30 timer efter afslutningen af den daglige eller ugentlige hviletid.
6.   I to på hinanden følgende uger skal en fører afholde mindst:
a)
to regulære ugentlige hviletider eller
b)
en regulær ugentlig hviletid og en reduceret ugentlig hviletid på mindst 24 timer.
En ugentlig hviletid skal begynde senest ved afslutningen af seks på hinanden følgende 24 timers perioder efter afslutningen af den foregående ugentlige hviletid.
7.   Uanset stk. 6 kan en fører, der udfører international godstransport, uden for området for den part, hvor transportvirksomheden er etableret, eller for førere fra transportvirksomheder etableret i Unionen uden for området for den medlemsstat, hvor transportvirksomheden er etableret, afholde to på hinanden følgende reducerede ugentlige hviletider, forudsat at føreren i fire på hinanden følgende uger afholder mindst fire ugentlige hviletider, hvoraf mindst to skal være regulære ugentlige hviletider.
I dette stykke anses en fører for at udføre international transport, hvis føreren begynder to på hinanden følgende reducerede ugentlige hviletider uden for området for den part, hvor transportvirksomheden er etableret, og førernes bopæl, eller for Unionens vedkommende uden for området i den medlemsstat, hvor transportvirksomheden er etableret, og førerens bopælsland.
Enhver reduktion i den ugentlige hviletid kompenseres med en tilsvarende hviletid, som skal afholdes samlet inden tre uger efter udløbet af den pågældende uge.
Hvis der er afholdt to på hinanden følgende reducerede ugentlige hviletider i overensstemmelse med tredje afsnit, skal der umiddelbart forud for den næste ugentlige hviletid afholdes en hviletid som kompensation for disse to reducerede ugentlige hviletider.
8.   Hvil, der tages som kompensation for reduceret ugentlig hviletid, tages i forlængelse af en anden hviletid på mindst ni timer.
9.   De regulære ugentlige hviletider og ugentlige hviletider på mere end 45 timer, der afholdes som kompensation for tidligere reducerede ugentlige hviletider, må ikke afholdes i et køretøj. De skal afholdes i egnet og kønsvenlig indkvartering med passende sovefaciliteter og sanitære forhold.
Alle omkostninger til indkvartering uden for køretøjet dækkes af arbejdsgiveren.
10.   Transportvirksomheder tilrettelægger førernes arbejde, således at førerne kan vende tilbage til arbejdsgiverens virksomhed, hvor førerne sædvanligvis er baseret, og hvor deres regulære ugentlige hviletid begynder, i Det Forenede Kongerige og for Unionens vedkommende etableringsmedlemsstaten eller tilbage til førernes bopæl inden for hver fire på hinanden følgende uger med henblik på at afholde mindst én regulær ugentlig hviletid eller en ugentlig hviletid på mere end 45 timer, der tages som kompensation for reduceret ugentlig hviletid.
Hvis en fører har afholdt to på hinanden følgende reducerede ugentlige hviletider i overensstemmelse med stk. 7, tilrettelægger transportvirksomheden imidlertid førerens arbejde således, at føreren kan vende tilbage inden begyndelsen af den regulære ugentlige hviletid på mere end 45 timer, der afholdes som kompensation.
Virksomheden dokumenterer, hvordan den opfylder denne forpligtelse, og opbevarer dokumentationen i sine lokaler med henblik på at kunne forelægge den efter anmodning fra kontrolmyndigheder.
11.   En ugentlig hviletid, der falder inden for to uger, kan medregnes i en hvilken som helst af ugerne, men ikke i begge.
12.   Undtagelsesvis må en regulær daglig hviletid eller en reduceret ugentlig hviletid, som afholdes, når en fører ledsager et køretøj om bord på færge eller tog, højst afbrydes to gange af andre aktiviteter i sammenlagt højst én time. I den nævnte regulære daglige hviletid eller reducerede ugentlige hviletid skal føreren have adgang til en sovekabine, en køje eller liggeplads, der er til dennes rådighed.
For så vidt angår regulære ugentlige hviletider gælder denne undtagelse kun for færge- og togrejser, hvor:
a)
rejsen efter planen varer 8 timer eller længere, og
b)
føreren har adgang til en sovekabine på færgen eller i toget.
13.   Enhver tid, føreren bruger på at rejse til eller fra et køretøj, der er omfattet af denne afdeling, og som ikke befinder sig ved førerens bopæl eller ved arbejdsgiverens virksomhed, hvor føreren normalt er baseret, beregnes ikke som pause eller hvil, medmindre føreren befinder sig på en færge eller et tog med adgang til en sovekabine, køje eller liggeplads.
14.   Enhver tid, som en fører bruger som fører af et køretøj, der ikke er omfattet af denne afdeling, til at rejse til eller fra et køretøj, der er omfattet af denne afdeling, og som ikke befinder sig ved førerens bopæl eller ved arbejdsgiverens virksomhed, hvor føreren normalt er baseret, beregnes som "andet arbejde".
Artikel 7
Transportvirksomheders ansvar
1.   En parts transportvirksomhed må ikke give førere, som er ansat af eller stillet til rådighed for den, nogen betaling, heller ikke i form af præmier eller løntillæg, i forhold til den tilbagelagte strækning, leveringshastigheden og/eller den transporterede godsmængde, hvis betalingen er af en sådan art, at den udgør en fare for færdselssikkerheden og/eller tilskynder til overtrædelse af denne afdeling.
2.   En parts transportvirksomhed tilrettelægger transporter og instruerer personalet på en sådan måde, at de er i stand til at overholde bestemmelserne i denne afdeling.
3.   En parts transportvirksomhed er ansvarlig for overtrædelser begået af virksomhedens førere, selv om overtrædelsen er begået på den anden parts område.
Uden at dette indskrænker parternes ret til at drage transportvirksomheder til ansvar i fuldt omfang, kan de gøre dette ansvar betinget af en virksomheds overtrædelse af stk. 1 og 2. Parterne kan tage hensyn til alle eventuelle beviser for, at transportvirksomheden ikke med rimelighed kan holdes ansvarlig for den begåede overtrædelse.
4.   Transportvirksomheder, fragtførere, speditører, hovedkontrahenter, underkontrahenter og førerformidlingsbureauer sikrer, at kontraktmæssige transporttidsplaner er i overensstemmelse med denne afdeling.
5.   En vejgodstransportvirksomhed, der benytter køretøjer, som er udstyret med et kontrolapparat, der opfylder kravene i del B, afdeling 4, artikel 2, litra f), g) eller h), og som er omfattet af denne afdelings anvendelsesområde,
i)
sikrer, at alle data overføres fra køretøjsenheden og førerkortet med den regelmæssighed, der er fastsat af parten; transportvirksomheden overfører også relevante data med større hyppighed for at sikre, at alle data vedrørende aktiviteter, der udføres af eller for transportvirksomheden, overføres, og
ii)
sikrer, at alle data, der overføres fra køretøjsenheden og førerkortet, opbevares i mindst 12 måneder efter registreringstidspunktet, idet sådanne data på anmodning af en dertil bemyndiget person skal være tilgængelige i transportvirksomhedens lokaler, enten direkte eller via en fjerntilslutning.
Udtrykket "dataoverførsel" er i dette stykke brugt med den definition, der er fastsat i del C, afdeling 2, artikel 2, stk. 2, litra h).
Maksimumsperioden, hvor de relevante data skal overføres, jf. nr. i), er 90 dage for data fra køretøjsenheden og 28 dage for data fra førerkortet.
Artikel 8
Undtagelser
1.   Hvis det er foreneligt med hensynet til færdselssikkerheden, kan en fører for at nå frem til en egnet holdeplads fravige artikel 4, 5 og 6 i det omfang, hvor det er nødvendigt af hensyn til sikkerheden for personer eller for køretøjet eller dets last. Føreren skal på kontrolapparatets diagramark eller på en udskrift fra kontrolapparatet eller på arbejdstidsplanen manuelt angive årsagen til fravigelsen senest ved ankomsten til den egnede holdeplads.
2.   Forudsat at færdselssikkerheden ikke dermed bringes i fare, kan en fører under ekstraordinære omstændigheder også fravige artikel 4, stk. 1 og 2, og artikel 6, stk. 2, ved at overskride den daglige og ugentlige køretid med op til en time for at nå frem til arbejdsgiverens virksomhed eller førerens bopæl med henblik på at afholde den ugentlige hvileperiode.
Føreren kan på samme betingelser overskride den daglige og ugentlige køretid med op til to timer for at nå frem til arbejdsgiverens virksomhed eller førerens bopæl med henblik på at afholde en regulær ugentlig hviletid, forudsat at der er taget en uafbrudt pause på 30 minutter umiddelbart før den yderligere kørsel.
Føreren skal på kontrolapparatets diagramark eller på en udskrift fra kontrolapparatet eller på arbejdstidsplanen manuelt angive årsagen til fravigelsen senest ved ankomsten til destinationen eller den egnede holdeplads.
Enhver forlængelse kompenseres med en tilsvarende hviletid, som afholdes samlet i forlængelse af enhver hviletid inden tre uger efter udløbet af den pågældende uge.
3.   Forudsat at færdselssikkerheden ikke dermed bringes i fare, kan hver part og for Unionens vedkommende en medlemsstat på sit eget område eller på den anden parts område, såfremt denne anden part er indforstået hermed, tillade, at transport, der udføres ved hjælp af følgende køretøjer, undtages fra bestemmelserne i artikel 3-6 og gøre sådanne undtagelser afhængige af individuelle betingelser:
a)
køretøjer, som offentlige myndigheder ejer eller lejer uden fører for at udføre vejtransporttjenester, som ikke konkurrerer med tjenester, der udføres af private transportvirksomheder
b)
køretøjer, som landbrugs-, gartneri-, skovbrugs-, opdræts- og fiskerivirksomheder anvender eller lejer uden fører til som led i deres egen erhvervsmæssige virksomhed at udføre godstransport inden for en radius af 100 km fra virksomhedens hjemsted
c)
landbrugs- og skovbrugstrækkere, der benyttes til landbrugs- og skovbrugsaktiviteter, inden for en radius af 100 km fra hjemstedet for den virksomhed, som ejer, lejer eller leaser køretøjet
d)
køretøjer eller en kombination af køretøjer med en største tilladt totalvægt på ikke over 7,5 ton, som benyttes af befordringspligtige virksomheder til at omdele forsendelser som led i befordringspligten. Disse køretøjer må kun benyttes inden for en radius af 100 km fra virksomhedens hjemsted og på den betingelse, at kørslen af køretøjerne ikke er førerens hovedaktivitet
e)
køretøjer, der udelukkende anvendes på øer med et areal på højst 2 300 km
2
, som ikke er forbundet med resten af landet med en bro, et vadested eller en tunnel med adgang for motorkøretøjer
f)
køretøjer, som anvendes til godstransport inden for en radius af 100 km fra virksomhedens hjemsted og fremdrives ved hjælp af naturgas eller flydende gas eller elektricitet, og hvis største tilladte totalvægt, inklusive en påhængsvogn eller sættevogn, ikke overstiger 7,5 ton
g)
køretøjer, der benyttes i forbindelse med kloakering, beskyttelse mod oversvømmelse, vedligeholdelse af vand-, gas- og elforsyning, vedligeholdelse og kontrol af veje, husstandsindsamling af husholdningsaffald og bortskaffelse heraf, telegraf- og telefontjenester, radio- og fjernsynstransmission samt pejling af radio- eller TV-sendere eller -modtagere
h)
specialkøretøjer, der benyttes til transport af cirkus- og tivoliudstyr
i)
specialindrettede mobile projektkøretøjer, hvis hovedformål er anvendelse som undervisningslokale, når de holder stille
j)
køretøjer, der anvendes til indsamling af mælk fra gårde og/eller til transport tilbage til gårde af mælkebeholdere eller mælkeprodukter til foderbrug
k)
specialkøretøjer, der transporterer penge og/eller værdigenstande
l)
køretøjer, der anvendes til transport af dyreaffald eller dyrekroppe, som ikke er bestemt til konsum
m)
køretøjer, der udelukkende anvendes på veje inden for trafikknudepunkter som f.eks. havne, intermodale havne og jernbaneterminaler
n)
køretøjer, der anvendes til transport af levende dyr fra gårde til lokale markeder og omvendt eller fra markeder til lokale slagterier inden for en radius på op til 100 km
o)
køretøjer eller kombinationer af køretøjer, der transporterer entreprenørmaskiner for en entreprenørvirksomhed inden for en radius af 100 km fra virksomhedens hjemsted, forudsat at kørslen af køretøjerne ikke er førerens hovedaktivitet, og
p)
køretøjer til levering af færdigblandet beton.
4.   Forudsat at førernes arbejdsvilkår og færdselssikkerheden ikke dermed bringes i fare, og at de grænser, der er fastsat i del B, afdeling 3, artikel 3, overholdes, kan en part og for Unionens vedkommende en medlemsstat tillade, at transporter, der udføres under ekstraordinære omstændigheder, midlertidigt undtages fra bestemmelserne i denne afdelings artikel 4, 5 og 6 i overensstemmelse med den procedure, der finder anvendelse i parten.
De midlertidige undtagelser begrundes behørigt og meddeles straks den anden part. Specialudvalget vedrørende vejtransport fastsætter de nærmere bestemmelser for denne meddelelse. Hver part offentliggør omgående disse oplysninger på et offentligt websted og sikrer, at der i dens håndhævelsesaktiviteter tages hensyn til en undtagelse, som er indrømmet af den anden part.
AFDELING 3
MOBILE ARBEJDSTAGERES ARBEJDSTID
Artikel 1
Anvendelsesområde
1.   Denne afdeling finder anvendelse på mobile arbejdstagere, som er ansat af parternes transportvirksomheder, der udfører vejgodstransport som omhandlet i denne aftales artikel 462.
Dette afdeling finder også anvendelse på selvstændige chauffører.
2.   For så vidt som denne afdeling indeholder mere specifikke bestemmelser vedrørende mobile arbejdstagere, der udfører mobile vejtransportaktiviteter, har den forrang for de relevante bestemmelser i denne aftales artikel 387.
3.   Denne afdeling supplerer bestemmelserne i del B, afdeling 2, som har forrang for bestemmelserne i denne afdeling.
4.   En part kan undlade at anvende denne afdeling på mobile arbejdstagere og selvstændige chauffører, der højst foretager to returrejser i overensstemmelse med denne aftales artikel 462 inden for en kalendermåned.
5.   Hvis en part undlader at anvende bestemmelserne i denne afdeling i henhold til stk. 4, underretter den den anden part herom.
Artikel 2
Definitioner
I denne afdeling forstås ved:
1)
"arbejdstid":
a)
for mobile arbejdstagere: den periode mellem arbejdets påbegyndelse og afslutning, hvor den pågældende er på sin arbejdsplads, til rådighed for arbejdsgiveren og udøver sine funktioner eller sine aktiviteter, dvs.
—
den tid, der medgår til alle vejtransportaktiviteter, især følgende:
i)
kørsel
ii)
på- og aflæsning
iii)
hjælp i forbindelse med passagerers ind- og udstigning af køretøjet
iv)
rengøring og teknisk vedligeholdelse og
v)
ethvert andet arbejde, som har til formål at sikre køretøjets og lastens sikkerhed eller at opfylde lov- eller forskriftsmæssige forpligtelser, der specifikt knytter sig til den pågældende transport, herunder opsyn med på- og aflæsning, administrative formaliteter med politi, toldvæsen, indrejsemyndigheder osv.
—
de perioder, hvor føreren ikke frit kan disponere over sin tid og skal forblive på sin arbejdsplads, klar til at påtage sig arbejde, og hvor vedkommende udfører specifikke arbejdsopgaver, navnlig ventetid i forbindelse med på- og aflæsning, når den forventede varighed heraf ikke er kendt i forvejen, dvs. enten inden udkørsel eller umiddelbart inden det tidspunkt, hvor den pågældende periode faktisk begynder, eller i henhold til de almindelige betingelser, som er forhandlet mellem arbejdsmarkedets parter, og/eller i henhold til parternes lovgivning
b)
for selvstændige chauffører anvendes samme definition på den periode mellem arbejdets påbegyndelse til dets afslutning, hvori den selvstændige chauffør er på sin arbejdsplads, til rådighed for kunden og udøver sine funktioner eller sine aktiviteter bortset fra generelt administrativt arbejde, der ikke specifikt knytter sig til den pågældende transport.
Pauser, jf. artikel 4, hviletid, jf. artikel 5, samt rådighedstid, jf. nærværende artikels stk. 2, medregnes ikke til arbejdstiden, medmindre der i parternes lovgivning eller i aftaler mellem arbejdsmarkedets parter er fastsat regler om kompensation for eller begrænsning af rådighedstid
2)
"rådighedstid":
—
andre perioder end pauser og hviletid, hvor en mobil arbejdstager ikke skal forblive på sin arbejdsplads, men skal være til rådighed for at kunne imødekomme eventuelle opfordringer til at påtage sig eller genoptage kørsel eller at udføre andet arbejde. Som rådighedstid anses navnlig perioder, hvor den mobile arbejdstager ledsager et køretøj, der transporteres med færge eller tog, samt ventetid ved grænserne og ventetid, der skyldes kørselsforbud.
—
En mobil arbejdstager skal have forudgående kendskab til disse perioder og den forventede varighed heraf, dvs. enten inden udkørsel eller umiddelbart inden det tidspunkt, hvor den pågældende periode faktisk begynder, eller i henhold til de almindelige betingelser, som er forhandlet mellem arbejdsmarkedets parter, og/eller i henhold til parternes lovgivning
—
for så vidt angår mobile arbejdstagere, der kører i hold, omfatter rådighedstiden den tid, der under køretøjets kørsel tilbringes ved siden af føreren eller i køje
3)
"arbejdsplads":
—
det sted, hvor det primære forretningssted for den transportvirksomhed, som en person udfører mobile vejtransportaktiviteter for, er beliggende, herunder virksomhedens sekundære forretningssteder, uanset om de har samme adresse som hovedsædet eller det primære forretningssted
—
det køretøj, som en person, der udfører mobile vejtransportaktiviteter, bruger, når den pågældende udfører sit arbejde, og
—
ethvert andet sted, hvor de aktiviteter, der er forbundet med gennemførelsen af en transport, foregår
4)
"mobil arbejdstager": med henblik på denne afdeling enhver arbejdstager, som er en del af det kørende personale, herunder praktikanter og lærlinge, og som beskæftiges af en virksomhed, der udfører personbefordring ad vej eller vejgodstransport på den anden parts område
5)
"selvstændig chauffør": enhver person, hvis erhvervsmæssige hovedaktivitet er at udføre vejgodstransport for fremmed regning, som har tilladelse til at arbejde for egen regning og ikke er bundet til en arbejdsgiver ved en ansættelseskontrakt eller noget andet arbejdsmæssigt hierarkisk afhængighedsforhold, som frit kan tilrettelægge den pågældende erhvervsaktivitet, og hvis indkomst afhænger direkte af overskuddet, og som alene eller i samarbejde med andre selvstændige chauffører frit kan have erhvervsmæssige forbindelser med flere kunder.
For så vidt angår denne afdeling har chauffører, der ikke opfylder disse kriterier, samme rettigheder og forpligtelser som dem, der i henhold til denne afdeling gælder for mobile arbejdstagere
6)
"person, der udfører mobile vejtransportaktiviteter": enhver mobil arbejdstager eller selvstændig chauffør, der udfører sådanne aktiviteter;
7)
"uge": perioden mellem mandag kl. 00.00 og søndag kl. 24.00;
8)
"natperiode": ethvert tidsrum på mindst fire timer mellem kl. 00.00 og kl. 07.00 i henhold til national lovgivning og
9)
"natarbejde": alt arbejde, som udføres i natperioden.
Artikel 3
Maksimal ugentlig arbejdstid
1.   Hver part træffer de nødvendige foranstaltninger for at sikre, at den gennemsnitlige ugentlige arbejdstid ikke overstiger 48 timer. Den maksimale ugentlige arbejdstid kan udvides til 60 timer, under forudsætning af at den gennemsnitlige ugentlige arbejdstid ikke udgør mere end 48 timer i en firemåneders periode.
2.   Hver part træffer de nødvendige foranstaltninger for at sikre, at arbejdstiden, når der udføres arbejde for mere end én arbejdsgiver, svarer til summen af de præsterede arbejdstimer. Arbejdsgiveren anmoder skriftligt den mobile arbejdstager om at aflægge regnskab for arbejde udført for en anden arbejdsgiver. Den mobile arbejdstager giver disse oplysninger skriftligt.
Artikel 4
Pauser
Parterne træffer de nødvendige foranstaltninger for at sikre, at personer, der udfører mobile vejtransportaktiviteter, jf. dog dette bilags del B, afdeling 2, under ingen omstændigheder arbejder mere end seks timer i træk uden pause. Arbejdstiden skal afbrydes af en pause på mindst 30 minutter, hvis den samlede arbejdstid er på seks til ni timer, og med en pause på mindst 45 minutter, hvis den samlede arbejdstid er på mere end ni timer.
Pauser kan opdeles i perioder på mindst 15 minutter hver.
Artikel 5
Hvil
Med hensyn til hviletid er lærlinge og praktikanter, som beskæftiges af en virksomhed, der udfører personbefordring ad vej eller vejgodstransport på den anden parts område, i denne afdeling omfattet af de samme bestemmelser som andre mobile arbejdstagere i henhold til dette bilags del B, afdeling 2.
Artikel 6
Natarbejde
Parterne træffer de nødvendige foranstaltninger for at sikre
a)
at den daglige arbejdstid ikke overstiger ti timer for hvert tidsrum på 24 timer, hvis der udføres natarbejde, og
b)
at natarbejde kompenseres i overensstemmelse med national lovgivning, kollektive overenskomster, aftaler mellem arbejdsmarkedets parter og/eller national praksis, og på betingelse af, at en sådan kompensation ikke bringer færdselssikkerheden i fare.
Artikel 7
Undtagelser
1.   Undtagelser fra artikel 3 og 6 kan af objektive eller tekniske grunde eller af hensyn til arbejdets tilrettelæggelse vedtages ved kollektive overenskomster, aftaler mellem arbejdsmarkedets parter eller, hvis dette ikke er muligt, ved love og administrative bestemmelser, forudsat at de berørte arbejdsmarkedsrepræsentanter høres, og at der udfoldes bestræbelser på at fremme alle relevante former for arbejdsmarkedsdialog.
2.   Muligheden for at vedtage undtagelser fra artikel 3 må ikke medføre, at der fastsættes en referenceperiode på over seks måneder for beregning af den gennemsnitlige maksimale arbejdsuge på 48 timer.
3.   De undtagelser, som en part anvender i henhold til stk. 1, meddeles specialudvalget vedrørende vejtransport.
Artikel 8
Information og registrering
Parterne sørger for
a)
at mobile arbejdstagere underrettes om de relevante nationale forskrifter, transportvirksomhedens interne regler og aftalerne mellem arbejdsmarkedets parter, herunder især de kollektive overenskomster og eventuelle aftaler på virksomhedsniveau, som er indgået på grundlag af denne afdeling, og
b)
at arbejdstiden for personer, der udfører mobile vejtransportaktiviteter, registreres. De registrerede oplysninger skal opbevares i mindst to år efter udløbet af den pågældende periode. Arbejdsgiverne er ansvarlige for registreringen af de mobile arbejdstageres arbejdstid. Arbejdsgiveren skal udlevere en kopi af registreringen af de præsterede timer til de mobile arbejdstagere, hvis de anmoder om det.
Artikel 9
Gunstigere bestemmelser
Denne afdeling berører ikke parternes mulighed for at anvende eller indføre love eller administrative bestemmelser, der er gunstigere med hensyn til beskyttelse af sikkerhed og sundhed for personer, der udfører mobile vejtransportaktiviteter, eller deres mulighed for at fremme eller tillade anvendelse af kollektive overenskomster eller andre aftaler mellem arbejdsmarkedets parter, der er gunstigere med hensyn til beskyttelse af de mobile arbejdstageres sikkerhed og sundhed. Disse bestemmelser finder anvendelse uden forskelsbehandling.
AFDELING 4
FØRERES BRUG AF TAKOGRAFER
Artikel 1
Genstand og principper
I denne afdeling fastsættes krav til førere, der er omfattet af anvendelsesområdet for del B, afdeling 2, med hensyn til brug af takografer, jf. denne aftales artikel 465, stk. 1, litra b).
Artikel 2
Definitioner
1.   Definitionerne i del B, afdeling 2, artikel 2, finder anvendelse på denne afdeling.
2.   Foruden definitionerne i stk. 1 forstås i denne afdeling ved:
a)
"takograf" eller "kontrolapparat": udstyr, der er bestemt til installation i køretøjer for hel- eller halvautomatisk at vise, registrere, udskrive, lagre og udlæse nærmere oplysninger om sådanne køretøjers kørsel, herunder hastighed, og nærmere oplysninger vedrørende deres føreres bestemte aktivitetsperioder
b)
"diagramark": et til varig optegnelse af oplysninger beregnet ark, som lægges i en analog takograf, og på hvilket den analoge takografs skriveanordning fortløbende optegner de oplysninger, der skal registreres
c)
"takografkort": et chipkort til anvendelse i takografen, som giver takografen mulighed for at fastlægge kortindehaverens rolle og for at overføre og lagre data
d)
"førerkort": et takografkort, som en parts kompetente myndigheder udsteder til en bestemt fører, og som identificerer føreren og giver mulighed for at lagre aktivitetsdata for føreren
e)
"analog takograf": en takograf, hvori der anvendes et diagramark i overensstemmelse med bilag I til Europa-Parlamentets og Rådets forordning (EU) nr. 165/2014 
(
3
)
 som tilpasset ved tillæg 31-B-4-1
f)
"digital takograf": en takograf, hvori der anvendes et takografkort i overensstemmelse med et af følgende sæt specifikationer som tilpasset ved tillæg 31-B-4-2:
—
bilag I B til forordning (EØF) nr. 3821/85, som finder anvendelse indtil den 30. september 2011
—
bilag I B til forordning (EØF) nr. 3821/85, som finder anvendelse fra den 1. oktober 2011, eller
—
bilag I B til forordning (EØF) nr. 3821/85, som finder anvendelse fra den 1. oktober 2012
g)
"intelligent takograf 1": en takograf, der opfylder kravene i bilag I C til Kommissionens gennemførelsesforordning (EU) 2016/799 
(
4
)
, som finder anvendelse fra den 15. juni 2019, som tilpasset ved tillæg 31-B-4-3
h)
"intelligent takograf 2": en takograf, der opfylder følgende krav:
—
automatisk registrering af grænsepassage
—
registrering af på- og aflæsning
—
registrering af, om køretøjet anvendes til godstransport eller personbefordring, og
—
de specifikationer, der skal fastsættes i de gennemførelsesretsakter, som er omhandlet i artikel 11, stk. 1, i Europa-Parlamentets og Rådets forordning (EU) nr. 165/2014 
(
5
)
 som tilpasset ved afgørelse fra Specialudvalget vedrørende vejtransport
i)
"hændelse": unormal funktion, som afsløres af den digitale takograf og kan skyldes forsøg på misbrug
j)
"ugyldigt kort": et kort, som enten findes defekt, som ikke har bestået den indledende ægthedskontrol, hvis gyldighedsperiode endnu ikke er begyndt, eller hvis udløbsdato er overskredet.
Artikel 3
Anvendelse af førerkort
1.   Et førerkort er personligt.
2.   En fører må ikke besidde mere end ét gyldigt førerkort og må kun bruge sit eget personlige førerkort. En fører må ikke benytte et førerkort, som er beskadiget eller udløbet.
Artikel 4
Udstedelse af førerkort
1.   Førerkort udstedes efter anmodning rettet til den kompetente myndighed i den part, hvor føreren har sin sædvanlige bopæl.
2.   I denne artikel forstås ved "sædvanlig bopæl" det sted, hvor en person sædvanligvis bor, det vil sige mindst 185 dage per kalenderår, på grund af et privat og erhvervsmæssigt tilhørsforhold eller, hvis der er tale om en person uden erhvervsmæssigt tilhørsforhold, på grund af et privat tilhørsforhold med snævre bånd mellem personen og det sted, hvor vedkommende bor.
En person, som har erhvervsmæssigt tilhørsforhold på et sted, der er forskelligt fra det sted, hvor vedkommende har privat tilhørsforhold, og som derfor er nødsaget til skiftevis at tage ophold på forskellige steder i de to parter, anses dog for at have sædvanlig bopæl på stedet for det private tilhørsforhold på betingelse af, at den pågældende regelmæssigt vender tilbage hertil. Denne betingelse kræves ikke opfyldt, når den pågældende opholder sig i en part med henblik på at udføre en arbejdsopgave af bestemt varighed.
3.   Førerne forelægger bevis for deres sædvanlige bopæl ved ethvert egnet middel, navnlig identitetskort eller ethvert andet gyldigt dokument.
Artikel 5
Fornyelse af førerkort
Når en fører ønsker at forny sit førerkort, indsender vedkommende en anmodning herom til de kompetente myndigheder i den part, hvor vedkommende har sin sædvanlige bopæl, senest 15 arbejdsdage inden kortet udløber.
Artikel 6
Anvendelse af førerkort og diagramark
1.   Førere anvender diagramark eller førerkort hver dag, hvor de kører, fra det øjeblik, hvor de overtager et køretøj. Diagramarket eller førerkortet udtages først ved afslutningen af den daglige arbejdsperiode, medmindre det er tilladt at udtage det på andre tidspunkter, eller det er nødvendigt for at indlæse landets nationalitetsmærke efter at have krydset en grænse. Intet diagramark eller førerkort må anvendes ud over det tidsrum, som det gælder for.
2.   Førerne beskytter på passende måde diagramark og førerkort og må ikke anvende tilsmudsede eller beskadigede diagramark eller førerkort. Føreren sørger under hensyn til tjenestens varighed for, at udskrift af data fra takografen på en kontrolmedarbejders anmodning kan foretages korrekt i tilfælde af kontrol.
3.   Når en fører har forladt køretøjet og derfor er ude af stand til at betjene den i køretøjet monterede takograf, skal de i stk. 5, litra b), nr. ii), iii) og iv), nævnte tidsrum:
a)
hvis køretøjet har en analog takograf monteret, noteres på diagramarket ved hjælp af håndskrevne angivelser, automatiske optegnelser eller på anden vis, således at de er let læselige, og uden at diagramarket tilsmudses, eller
b)
hvis køretøjet har en digital takograf, en intelligent takograf 1 eller en intelligent takograf 2 monteret, indlæses på førerkortet ved hjælp af takografens manuelle indlæsningsmulighed.
Parterne må ikke pålægge førere et krav om at forelægge formularer, der bekræfter deres aktiviteter, når de har forladt køretøjet.
4.   Når der er mere end én fører i et køretøj, der har en digital takograf, en intelligent takograf 1 eller en intelligent takograf 2 monteret, sørger hver fører for, at dennes førerkort anbringes det rigtige sted i takografen.
Når der er mere end én fører i et køretøj, der har en analog takograf monteret, foretager førerne de nødvendige udskiftninger af diagramarkene, således at de relevante oplysninger optegnes på diagramarket for den fører, der til enhver tid fører køretøjet.
5.   Førere skal:
a)
sørge for, at den tid, der registreres på diagramarket, stemmer overens med den officielle tid i det land, hvor køretøjet er registreret
b)
betjene takografens indstillingsanordning på en sådan måde, at følgende tider optegnes særskilt og klart:
i)
under
tegnet: køretid
ii)
under
tegnet: "andet arbejde": anden aktivitet end kørsel som defineret i del B, afdeling 3, artikel 2, litra a), herunder alt arbejde udført for den samme eller en anden arbejdsgiver inden for eller uden for transportsektoren
iii)
under
tegnet: "rådighedstid": som defineret i del B, afdeling 3, artikel 2, litra b)
iv)
under
tegnet: pauser, hvil, årlig ferie eller sygeorlov og
v)
under tegnet for "færge/tog": som supplement til
tegnet: hviletiden om bord på færge eller tog som krævet i del B, afdeling 2, artikel 6, stk. 12.
6.   Hver fører i et køretøj, der har en analog takograf monteret, skal anføre følgende oplysninger på sit diagramark:
a)
ved begyndelsen af diagramarkets benyttelse: førerens efternavn og fornavn
b)
ved begyndelsen og slutningen af diagramarkets benyttelse: tidspunkt og sted
c)
registreringsnummer på det køretøj, som er anvist føreren, til den første tur, der er noteret på diagramarket, og derefter i rækkefølge, såfremt der skiftes køretøj under benyttelsen af diagramarket
d)
kilometertællerens stand
i)
inden den første tur, der er noteret på diagramarket
ii)
ved slutningen af den sidste tur, der er noteret på diagramarket
iii)
hvis der skiftes køretøj i løbet af arbejdsdagen (det foregående køretøjs tæller og det nye køretøjs tæller)
e)
tidspunktet for ethvert skift af køretøj og
f)
nationalitetsmærket for de lande, hvori den daglige arbejdsperiode begyndte og sluttede. Føreren skal også anføre nationalitetsmærket for det land, som føreren kører ind i efter at have krydset en medlemsstats grænse og Det Forenede Kongeriges grænse, ved begyndelsen af førerens første stop i denne medlemsstat eller Det Forenede Kongerige. Dette første stop foretages på den nærmest mulige holdeplads ved eller efter grænsen. Hvis grænsen krydses på en færge eller i et tog, anfører føreren nationalitetsmærket for landet ved ankomsthavnen eller ankomststationen.
7.   Føreren indlæser i den digitale takograf nationalitetsmærket for de lande, hvori den daglige arbejdsperiode begyndte og sluttede.
Fra den 2. februar 2022 indlæser føreren også nationalitetsmærket for det land, som føreren kører ind i efter at have krydset en medlemsstats og Det Forenede Kongeriges grænse, ved begyndelsen af førerens første stop i den pågældende medlemsstat eller Det Forenede Kongerige. Dette første stop skal foretages på den nærmest mulige holdeplads ved eller efter grænsen. Hvis grænsen krydses på en færge eller i et tog, indlæser føreren nationalitetsmærket for landet ved ankomsthavnen eller ankomststationen.
En medlemsstat eller Det Forenede Kongerige kan pålægge førerne af køretøjer, der udfører indlandstransport på landets område, ud over landets nationalitetsmærke at tilføje mere detaljerede geografiske betegnelser, hvis parten på forhånd har underrettet den anden part om disse detaljerede geografiske betegnelser.
Førerne pålægges ikke at indlæse de i første afsnit, første punktum, omhandlede oplysninger, hvis takografen automatisk registrerer disse positionsdata.
Artikel 7
Korrekt anvendelse af takografer
1.   Transportvirksomheder og førere sørger for, at førerkort og digitale takografer fungerer og anvendes korrekt. Transportvirksomheder og førere, der anvender analoge takografer, sørger for, at de fungerer korrekt, og at diagramarkene anvendes korrekt.
2.   Det er forbudt at forfalske, skjule, fjerne eller ødelægge data, der er registreret på diagramarket eller lagret i takografen eller førerkortet, samt udskrifter fra takografen. Det er også forbudt at manipulere med takografen, diagramarket eller førerkortet, således at data og/eller udskrevne oplysninger forfalskes, fjernes eller ødelægges. Der må ikke i køretøjet findes indretninger, som kan anvendes til dette formål.
Artikel 8
Stjålne, bortkomne eller beskadigede førerkort
1.   Parternes udstedende myndigheder fører register over udstedte, stjålne, bortkomne eller beskadigede førerkort i en periode svarende til mindst deres gyldighed.
2.   Hvis et førerkort beskadiges eller bliver uanvendeligt, sender føreren kortet tilbage til den kompetente myndighed i det land, hvor vedkommende har sin sædvanlige bopæl. Tyveri af førerkort skal behørigt anmeldes til de kompetente myndigheder i den medlemsstat, hvor tyveriet fandt sted.
3.   Enhver bortkomst af et førerkort skal anmeldes behørigt til de kompetente myndigheder i den udstedende part samt til de kompetente myndigheder i den part, hvor føreren har sin sædvanlige bopæl, medmindre det er den samme myndighed.
4.   Hvis førerkortet beskadiges, bliver uanvendeligt, bortkommer eller stjæles, skal føreren inden for en frist på syv dage anmode de kompetente myndigheder i den part, hvor vedkommende har sin sædvanlige bopæl, om et nyt kort.
5.   Under de i stk. 4 nævnte omstændigheder kan føreren køre uden førerkort i højst 15 dage eller længere, hvis det er nødvendigt for at føre køretøjet tilbage til det sted, hvor det har base, såfremt føreren kan godtgøre, at det er umuligt for ham at forevise eller anvende kortet i denne periode.
Artikel 9
Beskadigede førerkort og diagramark
1.   Beskadiges et diagramark, som indeholder optegnelser, eller et førerkort, opbevarer førere det beskadigede diagramark eller førerkort sammen med de reservediagramark, som erstatter det.
2.   Hvis et førerkort beskadiges, bliver uanvendeligt, bortkommer eller stjæles, skal føreren:
a)
ved kørslens begyndelse udskrive oplysningerne om det køretøj, vedkommende fører, og på udskriften anføre:
i)
oplysninger, der gør det muligt at identificere ham (navn, nummer på førerkort eller kørekort), samt egen underskrift og
ii)
perioderne omhandlet i artikel 6, stk. 5, litra b), nr. ii), iii) og iv)
b)
ved kørslens afslutning udskrive oplysningerne om de perioder, som takografen har registreret, anføre eventuelle perioder med andet arbejde, rådighedstid og hvil efter den udskrift lavet ved kørslens begyndelse, når disse ikke er registreret af takografen, og anføre oplysninger på dette dokument, som gør det muligt at identificere føreren (navn, nummer på førerkort eller kørekort), samt førerens underskrift.
Artikel 10
Registreringer, som førere skal medbringe
1.   En fører af et køretøj, som har en analog takograf monteret, skal på en dertil bemyndiget kontrolmedarbejders anmodning kunne forevise:
i)
diagramarkene for den pågældende dag og de forudgående 28 dage
ii)
førerkortet, hvis han er indehaver af et sådant, og
iii)
alle manuelle registreringer og udskrifter, der er foretaget den pågældende dag og de forudgående 28 dage.
2.   En fører af et køretøj, som har en digital takograf, en intelligent takograf 1 eller en intelligent takograf 2 monteret, skal på en dertil bemyndiget kontrolmedarbejders anmodning kunne forevise:
i)
sit førerkort
ii)
alle manuelle registreringer og udskrifter, der er foretaget den pågældende dag og de forudgående 28 dage, og
iii)
diagramarkene for den samme periode som den, der er nævnt i nr. ii), hvis føreren i denne periode har ført et køretøj, som har en analog takograf monteret.
Fra den 31. december 2024 erstattes perioden på 28 dage nævnt i stk. 1, nr. i) og iii), og stk. 2, nr. ii), med 56 dage.
3.   En dertil bemyndiget kontrolmedarbejder kan kontrollere overholdelsen af del B, afdeling 2, ved at analysere diagramarkene og de viste, udskrevne eller overførte data, som er registreret af takografen eller førerkortet, eller, hvis dette ikke er muligt, ethvert andet dokument, der begrunder manglende overholdelse af en bestemmelse i nævnte afdeling.
Artikel 11
Procedurer for førere i tilfælde af funktionsfejl i udstyr
Udviser en takograf en driftsforstyrrelse eller en mangelfuld funktion, skal føreren nedfælde data, der gør det muligt at identificere den pågældende (navn, nummer på førerkort eller kørekort), herunder underskrift, samt oplysninger om de forskellige tidsperioder, såfremt takografen ikke længere registrerer eller udskriver disse korrekt,
a)
på diagramarket eller diagramarkene eller
b)
på et midlertidigt ark, der vedlægges diagramarket eller opbevares sammen med førerkortet.
Artikel 12
Håndhævelsesforanstaltninger
1.   Hver part træffer alle nødvendige foranstaltninger for at sikre, at bestemmelserne i del B, afdeling 2, 3 og 4, overholdes, navnlig ved årligt at sikre et hensigtsmæssigt niveau af vejkontrol og kontrol hos virksomheder, som dækker et stort og repræsentativt udsnit af mobile arbejdstagere, førere, virksomheder og køretøjer i alle transportkategorier, der er omfattet af disse afdelingers anvendelsesområde.
De kompetente myndigheder i hver part tilrettelægger kontroller, hvor:
i)
mindst 3 % af arbejdsdagene for førere af køretøjer, der er omfattet af anvendelsesområdet for del B, afdeling 2, kontrolleres i hvert kalenderår, og
ii)
mindst 30 % af det samlede antal kontrollerede arbejdsdage kontrolleres på vejen, og mindst 50 % kontrolleres hos virksomheder.
Vejkontrollen omfatter følgende elementer:
i)
daglige og ugentlige køretider, afbrydelser samt daglige og ugentlige hviletider
ii)
diagramarkene for de foregående dage, der skal være til stede i køretøjet, og/eller og/eller de data, der for samme periode er lagret i det førerkort og/eller datalageret i takografen og/eller på udskrifterne, når dette er påkrævet, og
iii)
takografens korrekte funktion.
Der foretages kontrol af indenlandske og udenlandske køretøjer, virksomheder og førere uden forskelsbehandling, og uanset turens oprindelse eller bestemmelsessted eller takografens type.
Ud over de elementer, der er omfattet af vejkontrol, omfatter elementerne af kontrollen hos virksomhederne følgende:
i)
ugentlige hviletider og køretiderne mellem disse hviletider
ii)
tilladt køretid for 14 døgn
iii)
kompensation for reducerede ugentlige hviletider, jf. del B, afdeling 2, artikel 6, stk. 6, og 7, og
iv)
anvendelse af diagramark og/eller køretøjsenhed og førerkort samt udskrifter og/eller tilrettelæggelse af føreres arbejdstid.
2.   Hvis vejkontrol af føreren af et køretøj, der er indregistreret i en anden parts område, giver grund til at formode, at der er begået overtrædelser, som ikke kan konstateres ved kontrollen, fordi de nødvendige data mangler, bistår parternes kompetente myndigheder hinanden med at klarlægge situationen. Hvis en parts kompetente myndigheder med henblik herpå foretager kontrol hos virksomheden, meddeles resultaterne af denne kontrol den anden parts kompetente myndigheder.
3.   Parternes kompetente myndigheder samarbejder indbyrdes om tilrettelæggelsen af samordnet vejkontrol.
4.   Hver part indfører et system for risikoklassificering af virksomheder, der er baseret på antallet og grovheden af overtrædelser, jf. tillæg 31-A-1-1, og overtrædelser opført på den liste, der er udarbejdet af Specialudvalget vedrørende vejtransport i henhold til del A, afdeling 1, artikel 6, stk. 3, som en enkelt virksomhed har begået.
5.   Virksomheder i en høj risikoklasse kontrolleres grundigere og hyppigere.
6.   Hver part og for Unionens vedkommende hver medlemsstat bemyndiger sine kompetente myndigheder til at pålægge en vejgodstransportoperatør og/eller en fører en sanktion for en overtrædelse af de gældende bestemmelser om køretid, pauser og hviletid, som konstateres på dens område, og for hvilken der ikke allerede er pålagt en sanktion, selv hvis den pågældende overtrædelse er begået på den anden parts område eller for Unionens vedkommende på en medlemsstats eller et tredjelands område.
Tillæg 31-B-4-1
TILPASNINGER AF DE TEKNISKE SPECIFIKATIONER FOR ANALOGE TAKOGRAFER
Bilag I til forordning (EU) nr. 165/2014 tilpasses med henblik på denne afdeling som følger:
a)
I afsnit III (Konstruktionsnormer for kontrolapparatet), litra c) (Skriveanordninger), punkt 4.1, ændres henvisningen til "artikel 34, stk. 5, litra b), nr. ii), iii) og iv), i denne forordning" til "del B, afdeling 4, artikel 6, stk. 5, litra b), nr. ii), iii) og iv), i bilag 31 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side".
b)
I afsnit III (Konstruktionsnormer for kontrolapparatet), litra c) (Skriveanordninger), punkt 4.2, ændres henvisningen til "artikel 34 i denne forordning" til "del B, afdeling 4, artikel 6, stk. 5, i bilag 31 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side".
c)
I afsnit IV (Diagramark), litra a) (Almindelige bestemmelser), punkt 1, tredje afsnit, ændres "artikel 34 i nærværende forordning" til "del B, afdeling 4, artikel 6, stk. 6, i bilag 31 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side".
d)
I afsnit V (Installation af kontrolapparatet), punkt 5, første afsnit, ændres "denne forordning" til "del B, afdeling 4, og del C, afdeling 2, i bilag 31 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side".
e)
I afsnit V (Installation af kontrolapparatet), punkt 5, tredje afsnit, ændres "bilag II, afsnit A til Europa-Parlamentets og Rådets direktiv 2007/46/EF" til "den konsoliderede resolution om køretøjers konstruktion (R.E.3)" og "nærværende forordning" til "del C, afdeling 2, i bilag 31 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side".
f)
I afsnit VI (Efterprøvning og kontrol) indsættes i teksten før punkt 1 efter "medlemsstaterne" ordene "og Det Forenede Kongerige".
g)
I afsnit VI (Efterprøvning og kontrol) indsættes i punkt 1 (Certificering af nye eller reparerede instrumenter), andet afsnit, efter "medlemsstaterne" ordene "og Det Forenede Kongerige", og "forordningen, herunder dens bilag" ændres til "del B, afdeling 4, og del C, afdeling 2, i bilag 31 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side".
h)
I afsnit VI (Efterprøvning og kontrol) indsættes i punkt 3 (Periodisk kontrol), litra b), efter "medlemsstaterne" ordene "og Det Forenede Kongerige".
Tillæg 31-B-4-2
TILPASNINGER AF DE TEKNISKE SPECIFIKATIONER FOR DIGITALE TAKOGRAFER
Bilag I B til forordning (EØF) nr. 3821/85 og tillæggene, som blev indført ved Rådets forordning (EF) nr. 2135/98 
(
6
)
, tilpasses med henblik på denne afdeling som følger:
1.
For Det Forenede Kongeriges vedkommende ændres henvisningerne til "medlemsstat" til "part", undtagen henvisningerne i afsnit IV (Konstruktions- og funktionskrav til fartskriverkort), punkt 174, og i afsnit VII (Udstedelse af kort), punkt 268a.
2.
"Forordning (EØF) nr. 3820/85" og "forordning (EF) nr. 561/2006" ændres til "del B, afdeling 2, i bilag 31 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side".
Afsnit I (Definitioner) i bilag I B til forordning (EØF) nr. 3821/85 tilpasses med henblik på denne afdeling som følger:
3.
Litra u) affattes således:
"u)
"effektiv dækperiferi": gennemsnittet af de afstande, hvert enkelt af køretøjets trækkende hjul tilbagelægger ved en fuld omdrejning. Måling af sådanne afstande skal finde sted under normale prøvebetingelser som defineret i krav 414 og angives i formen "l = … mm". Køretøjsfabrikanten kan erstatte måling af sådanne afstande med en teoretisk beregning, som tager hensyn til vægtfordelingen på akslerne for det driftsklare, ubelastede køretøj, dvs. med kølervæske, smøremidler, brændstof, værktøj, reservehjul og fører. Metoderne til en sådan teoretisk beregning skal godkendes af de kompetente myndigheder i en part, og det skal ske, før takografen aktiveres".
4.
I litra bb) ændres henvisningen til "Rådets direktiv 92/6/EØF" til "hver parts gældende lovgivning".
5.
Litra ii) affattes således:
"ii) "sikkerhedsattestering": den proces, hvorved det attesteres af et attesteringsorgan, der arbejder ud fra fælles kriterier, at kontrolapparatet (eller -komponenten) eller det undersøgte takografkort opfylder sikkerhedsforskrifterne defineret i tillæg 10 (fælles sikkerhedsmål)".
6.
I litra mm) ændres henvisningen til "Rådets direktiv 92/23/EØF" til "FN-ECE-regulativ nr. 54".
7.
I litra nn) affattes fodnote 17 således:
"
                                 "Køretøjets identifikationsnummer": en struktureret kombination af skrifttegn, som fabrikanten tildeler hvert køretøj, og som består af to dele: Den første del består af højst seks skrifttegn (bogstaver eller tal) og skal angive køretøjets almindelige kendetegn, navnlig typen og modellen. Den anden del består af otte skrifttegn, hvoraf de første fire kan være bogstaver eller tal, og de sidste fire kun kan være tal, som sammen med den første del gør det muligt entydigt at identificere et bestemt køretøj."
8.
I litra rr) affattes første led som følger:
"–
alene installeres og anvendes i køretøjer af typerne M1 og N1 som defineret i den konsoliderede resolution om køretøjers konstruktion (R.E.3)".
Afsnit II (Kontrolapparatets generelle egenskaber og funktioner) i bilag I B til forordning (EØF) nr. 3821/85 tilpasses med henblik på denne afdeling som følger:
9.
Punkt 004, sidste afsnit, udgår.
Afsnit III (Konstruktions- og funktionskrav til kontrolapparater) i bilag I B til forordning (EØF) nr. 3821/85 tilpasses med henblik på denne afdeling som følger:
10.
I punkt 065 ændres henvisningen til "direktiv 2007/46/EF" til "den konsoliderede resolution om køretøjers konstruktion (R.E.3)".
11.
I punkt 162 ændres henvisningen til "Kommissionens direktiv 95/54/EF om tilpasning til den tekniske udvikling af Rådets direktiv 72/245/EØF" til "FN-ECE-regulativ nr. 10".
Afsnit IV (Konstruktions- og funktionskrav til fartskriverkort) i bilag I B til forordning (EØF) nr. 3821/85 tilpasses med henblik på denne afdeling som følger:
12.
I punkt 174 ændres henvisningen til "UK: Det Forenede Kongerige" til "For Det Forenede Kongerige er nationalitetsmærket UK".
13.
I punkt 185 ændres henvisningen til "Fællesskabets område" til "Unionens og Det Forenede Kongeriges område".
14.
I punkt 188 ændres henvisningen til "Kommissionens direktiv 95/54/EF af 31. oktober 1995" til "FN-ECE-regulativ nr. 10".
15.
Punkt 189, sidste afsnit, udgår.
Afsnit V (Montering af kontrolapparatet) i bilag I B til forordning (EØF) nr. 3821/85 tilpasses med henblik på denne afdeling som følger:
16.
I punkt 250a ændres henvisningen til "forordning (EF) nr. 68/2009" til "tillæg 12 til dette bilag".
Afsnit VI (Kontrol, eftersyn og reparationer) i bilag I B til forordning (EØF) nr. 3821/85 tilpasses med henblik på denne afdeling som følger:
17.
Indledningen affattes således:
"Kapitel V, punkt 3, i dette bilag indeholder bestemmelser for, under hvilke omstændigheder plomber må fjernes som omhandlet i artikel 5, stk. 5, i del C, afdeling 2, i bilag 31 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side."
18.
I punkt 1 (Autorisering af installatører eller værksteder) ændres henvisningen til "artikel 12, stk. 1, i denne forordning" til "artikel 5, stk. 1, og artikel 8 i del C, afdeling 2, i bilag 31 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side".
Afsnit VII (Udstedelse af kort) i bilag I B til forordning (EØF) nr. 3821/85 tilpasses med henblik på denne afdeling som følger:
19.
I punkt 268a indsættes efter "medlemsstaterne", hver gang det forekommer, ordene "og Det Forenede Kongerige".
Afsnit VIII (Typegodkendelse af kontrolapparatur og fartskriverkort) i bilag I B til forordning (EØF) nr. 3821/85 tilpasses med henblik på denne afdeling som følger:
20.
I punkt 271 udgår "i overensstemmelse med artikel 5 i denne forordning".
Tillæg 1 (Dataordliste) til bilag I B til forordning (EØF) nr. 3821/85 tilpasses med henblik på denne afdeling som følger:
21.
I punkt 2.111 ændres henvisningen til "direktiv 92/23/EØF" til "FN-ECE-regulativ nr. 54".
Tillæg 9 (Typegodkendelse – liste over mindstekrav til prøver) til bilag I B til forordning (EØF) nr. 3821/85 tilpasses med henblik på denne afdeling som følger:
22.
I afsnit 2 (Funktionsprøver for køretøjsenhed), punkt 5.1, ændres henvisningen til "direktiv 95/54/EF" til "FN-ECE-regulativ nr. 10".
23.
I afsnit 3 (Funktionsprøver for bevægelsesføler), punkt 5.1, ændres henvisningen til "direktiv 95/54/EF" til "FN-ECE-regulativ nr. 10".
Tillæg 12 (Adapter til køretøjer i klasse M1 og N1) til bilag I B til forordning (EØF) nr. 3821/85 tilpasses med henblik på denne afdeling som følger:
24.
I afsnit 4 (Konstruktions- og funktionskrav til adapteren), punkt 4.5 (Funktionsspecifikationer), ændres i ADA 023 "Kommissionens direktiv 2006/28/EF om tilpasning til den tekniske udvikling af Rådets direktiv 72/245/EØF" til "FN-ECE-regulativ nr. 10".
25.
I afsnit 7.2 (Funktionsattest), punkt 5.1 i tabellen, ændres "direktiv 2006/28/EF" til "FN-ECE-regulativ nr. 10".
Tillæg 31-B-4-3
TILPASNINGER AF DE TEKNISKE SPECIFIKATIONER FOR INTELLIGENTE TAKOGRAFER
Kommissionens gennemførelsesforordning (EU) 2016/799, herunder bilag og tillæg dertil, tilpasses med henblik på denne afdeling som følger:
1.
For Det Forenede Kongeriges vedkommende ændres henvisningerne til "medlemsstat" til "part", undtagen henvisningerne i punkt 229 i afsnit 4.1 og i punkt 424 i afsnit 7.
2.
"Forordning (EØF) nr. 3820/85" og "forordning (EF) nr. 561/2006" ændres til "del B, afdeling 2, i bilag 31 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side".
3.
"Forordning (EU) nr. 165/2014" ændres til "del B, afdeling 4, og del C, afdeling 2, i bilag 31 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side", undtagen hvad angår henvisningerne i punkt 402 i afsnit 5.3 og i punkt 424 i afsnit 7.
4.
"Direktiv (EU) 2015/719" og "Rådets direktiv 96/53/EF" ændres til "del C, afdeling 1, i bilag 31 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side".
Afsnit 1 (Definitioner) i bilag I C til Kommissionens gennemførelsesforordning (EU) 2016/799 tilpasses med henblik på denne afdeling som følger:
5.
Litra u) affattes således:
"u)
"effektiv dækperiferi":
gennemsnittet af de afstande, som hvert enkelt af køretøjets trækkende hjul tilbagelægger ved en fuld omdrejning. Måling af sådanne afstande skal finde sted under normale prøvebetingelser som defineret i krav 414 og angives i formen "l = … mm". Køretøjsfabrikanten kan erstatte måling af sådanne afstande med en teoretisk beregning, som tager hensyn til vægtfordelingen på akslerne for det driftsklare, ubelastede køretøj, dvs. med kølervæske, smøremidler, brændstof, værktøj, reservehjul og fører. Metoderne til en sådan teoretisk beregning skal godkendes af de kompetente myndigheder i en part, og det skal ske, før takografen aktiveres".
6.
I litra hh) ændres henvisningen til "Rådets direktiv 92/ 6/EØF" til "hver parts gældende lovgivning".
7.
I litra uu) ændres henvisningen til "Rådets direktiv 92/23/EØF" til "FN-ECE-regulativ nr. 54".
8.
I litra vv) affattes fodnote 9 således:
"
                                 "Køretøjets identifikationsnummer": en struktureret kombination af skrifttegn, som fabrikanten tildeler hvert køretøj, og som består af to dele: Den første del består af højst seks skrifttegn (bogstaver eller tal) og skal angive køretøjets almindelige kendetegn, navnlig typen og modellen. Den anden del består af otte skrifttegn, hvoraf de første fire kan være bogstaver eller tal, og de sidste fire kun kan være tal, som sammen med den første del gør det muligt entydigt at identificere et bestemt køretøj."
9.
I litra yy) affattes første led som følger:
"–
alene installeres og anvendes i køretøjer af typerne M1 og N1 som defineret i den konsoliderede resolution om køretøjers konstruktion (R.E.3)".
10.
Litra aaa) udgår.
11.
I litra ccc) ændres første afsnit til "15. juni 2019".
Afsnit 2 (Kontrolapparatets generelle egenskaber og funktioner) i bilag I C til Kommissionens gennemførelsesforordning (EU) 2016/799 tilpasses med henblik på denne afdeling som følger:
12.
I afsnit 2.1, punkt 7, udgår sidste afsnit.
Afsnit 3 (Konstruktions- og funktionskrav til kontrolapparat) i bilag I C til Kommissionens gennemførelsesforordning (EU) 2016/799 tilpasses med henblik på denne afdeling som følger:
13.
I punkt 200 i afsnit 3.20 udgår andet punktum i tredje afsnit.
14.
Punkt 201 i afsnit 3.20 affattes således:
"Køretøjsenheden kan eventuelt også udlæse følgende data gennem en seriel dataforbindelse, som er uafhængig af en eventuel CAN-bus (ISO 11898 Road vehicles — Interchange of digital information — Controller Area Network (CAN) for high speed communication), således at disse data kan behandles af andre elektroniske enheder i køretøjet:
—
aktuel UTC-dato og -klokkeslæt
—
køretøjets hastighed
—
samlet distance, som køretøjet har tilbagelagt (kilometerstand)
—
aktuelt valgt aktivitet for fører og medchauffør
—
oplysninger om, hvorvidt der aktuelt er indsat et takografkort i førerens kortplads og i medchaufførens kortplads og (i givet fald) oplysninger om identifikation af de tilsvarende kort (kortnummer og udstedende land).
Andre data kan udlæses ud over disse mindstekrav.
Når køretøjets tænding er tilsluttet, skal disse data udsendes permanent. Når køretøjets tænding er afbrudt, skal i det mindste enhver ændring i førers eller medchaufførs aktivitet og/eller enhver isætning eller udtagning af et fartskriverkort medføre tilsvarende afsendelse af data. Er dataafsendelsen stillet i bero, mens køretøjets tænding er afbrudt, skal de pågældende data blive tilgængelige, når køretøjets tænding tilsluttes igen.
Førerens samtykke skal indhentes, hvis personoplysninger overføres."
Afsnit 4 (Konstruktions- og funktionskrav til takografkort) i bilag I C til Kommissionens gennemførelsesforordning (EU) 2016/799 tilpasses med henblik på denne afdeling som følger:
15.
I punkt 229) i afsnit 4.1 indsættes følgende afsnit:
"For Det Forenede Kongerige er nationalitetsmærket UK."
16.
I punkt 237) ændres "artikel 26, stk. 4, i forordning (EU) nr. 165/2014" til "artikel 9, stk. 2, i del C, afdeling 2, i bilag 31 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side".
17.
I dette bilags kapitel 4, afsnit, 4.4, punkt 241), ændres "Fællesskabets område" til "Unionens og Det Forenede Kongeriges område".
18.
Punkt 246) i afsnit 4.5 udgår.
Afsnit 5 (Montering af kontrolapparatet) i bilag I C til Kommissionens gennemførelsesforordning (EU) 2016/799 tilpasses med henblik på denne afdeling som følger:
19.
Punkt 397), første afsnit, i afsnit 5.2 affattes således:
"397)
Der kan udelukkende i forbindelse med M1- og N1-køretøjer, som er forsynet med en adapter i henhold til tillæg 16 til dette bilag, og hvor det ikke er muligt at anføre alle de nødvendige oplysninger som beskrevet i krav 396, anvendes en anden, supplerende plade. I så fald skal den supplerende plade indeholde mindst de sidste fire led i krav 396."
20.
I afsnit 5.3, punkt 402), ændres "artikel 22, stk. 3, i forordning (EU) nr. 165/2014" til "artikel 5, stk. 3, i del C, afdeling 2, i bilag 31 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side".
Afsnit 6 (Kontrol, eftersyn og reparationer) i bilag I C til Kommissionens gennemførelsesforordning (EU) 2016/799 tilpasses med henblik på denne afdeling som følger:
21.
Indledningen affattes således:
"Bestemmelserne for, under hvilke omstændigheder plomber må fjernes, er fastlagt i dette bilags afsnit 5.3."
Afsnit 7 (Udstedelse af kort) i bilag I C til Kommissionens gennemførelsesforordning (EU) 2016/799 tilpasses med henblik på denne afdeling som følger:
22.
I punkt 424) indsættes efter "Medlemsstaterne" ordene "og Det Forenede Kongerige", og henvisningen til "artikel 31 i forordning (EU) nr. 165/2014" ændres til "artikel 13 i del C, afdeling 2, i bilag 31 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side".
Tillæg 1 (Dataordliste) til bilag I C til Kommissionens gennemførelsesforordning (EU) 2016/799 tilpasses med henblik på denne afdeling som følger:
23.
I punkt 2.163 ændres "direktiv 92/23/EØF" til "FN-ECE-regulativ nr. 54".
Tillæg 11 (Fælles sikkerhedsmekanismer) til bilag I C til Kommissionens gennemførelsesforordning (EU) 2016/799 tilpasses med henblik på denne afdeling som følger:
24.
I punkt 9.1.4 (Apparatniveau: køretøjsenheder) ændres "forordning (EU) nr. 581/2010" i første bemærkning under CSM_78 til "artikel 7, stk. 5, i del B, afdeling 2, i bilag 31 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side".
25.
I punkt 9.1.5 (Apparatniveau: takografkort) ændres "forordning (EU) nr. 581/2010" i bemærkningen under CSM_89 til "artikel 7, stk. 5, i del B, afdeling 2, i bilag 31 til handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side".
Tillæg 12 (Lokalisering baseret på et globalt satellitnavigationssystem (GNSS)) til bilag I C til Kommissionens gennemførelsesforordning (EU) 2016/799 tilpasses med henblik på denne afdeling som følger:
26.
I afsnit 1 (Indledning) udgår andet afsnit.
27.
I afsnit 2 (Specifikation af GNSS-modtageren) ændres henvisningen til "forenelig med de serviceydelser, som leveres af programmerne Galileo og den Europæiske geostationære navigations-overlay-tjeneste (EGNOS) som fastsat i Europa-Parlamentets og Rådets forordning (EU) nr. 1285/2013" til "forenelig med det satellitbaserede forstærkningssystem (SBAS)".
Tillæg 16 (Adapter til køretøjer i klasse M1 og N1) til bilag I C til Kommissionens gennemførelsesforordning (EU) 2016/799 tilpasses med henblik på denne afdeling som følger:
28.
I afsnit 7 (Typegodkendelse af kontrolapparatet, når en adapter benyttes) erstattes i tabellen under punkt 5.1 henvisningen til "direktiv 2006/28/EF" af "FN-ECE-regulativ nr. 10".
DEL C
KRAV TIL KØRETØJER, DER ANVENDES TIL GODSTRANSPORT I HENHOLD TIL DENNE AFTALES ARTIKEL 466
AFDELING 1
VÆGT OG DIMENSIONER
Artikel 1
Genstand og principper
Den tilladte totalvægt og de største tilladte dimensioner for køretøjer, der anvendes til vejgodstransport som omhandlet i denne aftales artikel 462, er fastsat i tillæg 31-C-1-1.
Artikel 2
Definitioner
I denne afdeling forstås ved:
a)
"motorkøretøj": ethvert selvstændigt motordrevet køretøj til kørsel på vej
b)
"påhængsvogn": ethvert påhængskøretøj bestemt til at blive trukket af et motorkøretøj, bortset fra sættevogne, og som er konstrueret og indrettet til godstransport
c)
"sættevogn": ethvert påhængskøretøj, som er konstrueret til at kobles til et motorkøretøj, således at påhængskøretøjet delvist hviler på et trækkende køretøj, og således at en væsentlig del af dets vægt og af dets last hviler på det trækkende køretøj, og som er konstrueret og indrettet til godstransport
d)
"vogntog":
—
enten et påhængsvogntog bestående af et motorkøretøj med tilkoblet påhængsvogn eller
—
et sættevognstog bestående af et trækkende motorkøretøj og en tilkoblet sættevogn
e)
"temperaturkontrolleret køretøj": ethvert køretøj, hvor faste eller aftagelige opbygninger er specielt udstyret til transport af varer ved en kontrolleret temperatur, og hvis sidevægges tykkelse inklusive isolering mindst udgør 45 mm
f)
"største tilladte dimensioner": de største dimensioner for anvendelse af et køretøj
g)
"tilladt totalvægt": den største vægt for anvendelse af et lastet køretøj
h)
"tilladt akseltryk": det største tryk for anvendelse i international trafik af en enkelt aksel eller akselgruppe i lastet stand
i)
"ton": den vægt, som en masse på 1 ton svarer til, dvs. en kraft på 9,8 kilonewton (kN)
j)
"udelelig last": en last, som ved transport ad vej ikke kan deles op i to eller flere laster uden unødige omkostninger eller risiko for beskadigelse, og som på grund af sine dimensioner eller sin masse ikke kan transporteres på et motorkøretøj, en påhængsvogn eller et vogntog under overholdelse af alle forskrifter i denne afdeling
k)
"alternative brændstoffer" brændstoffer eller energikilder, som i hvert fald delvist erstatter fossile oliekilder i energiforsyningen til transport, og som har potentiale til at bidrage til dekarboniseringen af transporten og forbedre miljøpræstationerne i transportsektoren, og som består af:
i)
elektricitet forbrugt i alle typer elektriske køretøjer
ii)
brint
iii)
naturgas, herunder biomethan, i gasform (komprimeret naturgas — CNG) og flydende form (flydende naturgas — LNG)
iv)
flydende gas (LPG)
v)
mekanisk energi fra lagring i køretøjet/kilder i køretøjet, inklusive overskydende varme
l)
"køretøj, der bruger alternative brændstoffer": et motorkøretøj, der helt eller delvist drives af et alternativt brændstof
m)
"nulemissionskøretøj": et tungt køretøj uden forbrændingsmotor eller med en forbrændingsmotor, der udleder under 1 g CO
2
/kWh, og
n)
"intermodal transport": kombineret transport af en eller flere containere eller veksellad med en samlet længde på op til 45 fod, hvorunder en lastvogn, påhængsvogn, sættevogn med eller uden trækkende køretøj, et veksellad eller en container anvender vej til den indledende og/eller afsluttende strækning og til den resterende strækning anvender jernbane, indre vandveje eller søvejen.
Artikel 3
Særlige tilladelser
Brug af køretøjer eller vogntog, der overskrider den tilladte totalvægt eller de største tilladte dimensioner, jf. tillæg 31-C-1-1, må kun finde sted, hvis køretøjerne eller vogntogene transporterer eller er beregnet til at transportere en udelelig last, og i så fald kun med særlig tilladelse, der meddeles af de kompetente myndigheder uden forskelsbehandling, eller efter ikkediskriminerende regler, der aftales med disse myndigheder fra sag til sag.
Artikel 4
Lokale restriktioner
Denne afdeling er ikke til hinder for anvendelse af de bestemmelser, der i hver part gælder for kørsel på vej, og som tillader en begrænsning af køretøjers vægt og/eller dimensioner på visse veje eller vejanlæg.
Der kan blandt andet indføres lokale restriktioner vedrørende størst tilladte vægt og/eller dimensioner for køretøjer, der må anvendes i bestemte områder eller på bestemte veje, hvor infrastrukturen ikke er egnet til lange og tunge køretøjer, f.eks. bycentre, små landsbyer eller naturområder af særlig interesse.
Artikel 5
Aerodynamiske anordninger, som monteres bag på køretøjer eller vogntog
1.   Køretøjer eller vogntog, som er udstyret med aerodynamiske anordninger, må overskride de største tilladte længder, der er fastsat i punkt 1.1 i tillæg 31-C-1-1, med henblik på at tillade, at sådanne anordninger monteres bag på køretøjer eller vogntog. Køretøjer eller vogntog, som er udstyret med sådanne anordninger, skal overholde punkt 1.5 i tillæg 31-C-1-1, og en eventuel overskridelse af de største tilladte længder må ikke medføre en forøgelse af de pågældende køretøjers eller vogntogs lad.
2.   De i stk. 1 omhandlede aerodynamiske anordninger skal opfylde følgende driftsmæssige betingelser:
a)
under forhold, hvor andre trafikanters eller førerens sikkerhed er i fare, skal de foldes, trækkes ind eller fjernes af føreren
b)
aerodynamiske anordninger og udstyr med en længde på mere end 500 mm i brugspositionen skal kunne trækkes ind eller foldes
c)
anvendelse af dem i trafikinfrastrukturer i og mellem byer skal ske under hensyntagen til de specielle karakteristika ved områder, hvor hastighedsgrænsen er under eller lig med 50 km/h, og hvor bløde trafikanter i højere grad kan forventes at befinde sig, og
d)
de må ikke, når de er trukket ind/foldet, overskride den største tilladte længde med mere end 20 cm.
Artikel 6
Aerodynamiske førerhuse
Køretøjer eller vogntog må overskride de største tilladte længder, der er fastsat i punkt 1.1 i tillæg 31-C-1-1, forudsat at deres førerhuse giver forbedret aerodynamisk ydeevne, energieffektivitet og forbedret sikkerhed. Køretøjer eller vogntog udstyret med sådanne førerhuse skal overholde punkt 1.5 i tillæg 31-C-1-1, og en eventuel overskridelse af de største tilladte længder må ikke medføre en forøgelse af de pågældende køretøjers lasteevne.
Artikel 7
Intermodal transport
1.   De største tilladte længder fastsat i punkt 1.1 i tillæg 31-C-1-1 med forbehold af, hvor det er relevant, artikel 6 og den største tilladte afstand fastsat i punkt 1.6 i tillæg 31-C-1-1 kan overskrides med 15 cm for køretøjer eller vogntog, der transporterer tomme eller lastede containere eller veksellad med en længde på 45 fod, forudsat at vejtransporten af den pågældende container eller det pågældende veksellad indgår i intermodal transport udført i overensstemmelse med de betingelser, der er fastsat af hver part.
2.   For intermodal transport kan den maksimalt tilladte totalvægt for sættevognstog med fem eller seks aksler overskrides med to ton i den kombination, der er omhandlet i punkt 2.2.2, litra a), i tillæg 31-C-1-1, og med fire ton i den kombination, der er omhandlet i punkt 2.2.2, litra b), i tillæg 31-C-1-1. Den maksimalt tilladte totalvægt for disse køretøjer må ikke overstige 44 ton.
Artikel 8
Overensstemmelsesbevis
1.   Som bevis for overensstemmelse med denne afdeling skal køretøjer, der er omfattet heraf, forsynes med et af følgende beviser:
a)
en kombination af følgende to skilte:
—
et fabrikationsskilt, der er et skilt eller en etiket, som fabrikanten har fastgjort på et køretøj, og som angiver de vigtigste tekniske data, der er nødvendige for at identificere køretøjet og give de kompetente myndigheder relevante oplysninger om tilladt totalmasse, og
—
et skilt vedrørende dimensionerne, der så vidt muligt er anbragt ved siden af fabrikationsskiltet og indeholder følgende oplysninger:
i)
fabrikantens navn
ii)
køretøjets identifikationsnummer
iii)
motorkøretøjets, påhængsvognens eller sættevognens længde (L)
iv)
motorkøretøjets, påhængsvognens eller sættevognens bredde (W) og
v)
data til opmåling af vogntogets længde:
—
afstanden (a) mellem motorkøretøjets forkant og midten af koblingsanordningen (prodskrog eller sættevognskobling); såfremt koblingsanordningen har flere koblingspunkter, angives mindste og største værdi (a
min
 og a
max
)
—
afstanden (b) mellem midten af påhængsvognens koblingsanordning (trækøjet) eller sættevognens koblingsanordning (kongetappen) og bagkanten af påhængsvognen eller sættevognen; såfremt koblingsanordningen har flere koblingspunkter, angives mindste og største værdi (b
min
 og b
max
).
Vogntogets længde er den målte længde, når motorkøretøjet, påhængsvognen eller sættevognen er anbragt på en ret linje bag hinanden
b)
et enkelt skilt, der indeholder samme oplysninger som de to i litra a) nævnte skilte, eller
c)
et enhedsdokument, der er udstedt af de kompetente myndigheder i den part eller for så vidt angår Unionen den medlemsstat, hvor køretøjet er indregistreret eller taget i brug, og som indeholder samme oplysninger som de to i litra a) nævnte skilte. Det skal opbevares forsvarligt på et sted, der er let tilgængeligt for kontrol.
2.   Såfremt køretøjets data ikke længere svarer til dem, der er anført på overensstemmelsesbeviset, træffer den part eller for så vidt angår Unionen den medlemsstat, hvor køretøjet er indregistreret, de nødvendige foranstaltninger til at sikre, at overensstemmelsesbeviset ændres.
3.   De i stk. 1 omhandlede skilte og dokumenter anerkendes af parterne som det bevis for køretøjernes overensstemmelse, der er foreskrevet i denne afdeling.
Artikel 9
Håndhævelse
1.   Parterne træffer specifikke foranstaltninger til at identificere køretøjer eller vogntog under kørsel, der sandsynligvis har overskredet den maksimalt tilladte vægt, og som derfor skal kontrolleres af parternes kompetente myndigheder med henblik på at sikre overholdelse af kravene i denne afdeling. Disse foranstaltninger kan træffes ved hjælp af automatiske systemer anbragt på vejinfrastrukturerne eller ved hjælp af vejeanordninger på køretøjerne. Sådanne vejeanordninger på køretøjerne skal være nøjagtige og pålidelige, fuldstændig interoperable og kompatible med alle køretøjstyper.
2.   En part må ikke kræve, at der monteres vejeanordninger på køretøjer eller vogntog, der er indregistreret i den anden part.
3.   Automatiske systemer, der anvendes til at fastslå, at denne afdeling er overtrådt, og til at pålægge sanktioner, certificeres. Anvendes automatiske systemer kun til identifikationsformål, kræves ikke certificering.
4.   Parterne sikrer i overensstemmelse med artikel 14 i del A, afdeling 1, at deres kompetente myndigheder udveksler oplysninger om overtrædelser og sanktioner vedrørende nærværende artikel.
Tillæg 31-C-1-1
TILLADT TOTALVÆGT, TILLADT AKSELTRYK OG STØRSTE TILLADTE DIMENSIONER SAMT DERMED BESLÆGTEDE DATA FOR KØRETØJER
1.   Største tilladte dimensioner for køretøjer (i meter, "m")
1.1
Største længde:
—
motorkøretøj
12,00 m
—
påhængsvogn
12,00 m
—
sættevognstog
16,50 m
—
påhængsvognstog
18,75 m.
1.2
Største bredde:
a)
alle køretøjer bortset fra de i litra b) omhandlede
2,55 m
b)
temperaturkontrollerede opbygninger eller temperaturkontrollerede containere eller veksellad, der transporteres af køretøjer
2,60 m.
1.3
Største højde (alle køretøjer) 4,00 m.
1.4
De i punkt 1.1, 1.2, 1.3, 1.6, 1.7, 1.8 og 4.4 anførte værdier omfatter løse overbygninger og standardiserede ladninger såsom containere (veksellad).
1.5
Ethvert motorkøretøj eller vogntog skal under kørsel kunne vende inden for en vendecirkel med en ydre radius på 12,50 m og en indre radius på 5,30 m.
1.6
Største afstand mellem drejetappens akse og sættevognens bagende 12,00 m.
1.7
Største afstand målt parallelt med påhængsvogntogets længdeakse fra ladets forreste punkt bag førerhuset til påhængsvognens bageste punkt minus afstanden mellem motorkøretøjets bagende og påhængsvognens forende 15,65 m.
1.8
Største afstand målt parallelt med påhængsvogntogets længdeakse fra ladets forreste punkt bag ved førerhuset til påhængsvognens bageste punkt 16,40 m.
2.   Tilladt totalvægt for køretøjer (i ton)
2.1
Køretøjer, der er en del af et vogntog
2.1.1
Toakslet påhængskøretøj
18 ton.
2.1.2
Treakslet påhængskøretøj
24 ton.
2.2
Vogntog
Når der er tale om vogntog, som inkluderer køretøjer, der bruger alternative brændstoffer, eller nulemissionskøretøjer, forhøjes den maksimalt tilladte vægt i denne afdeling med den ekstra vægt af den alternative brændstofs- eller nulemissionsteknologi, dog højst henholdsvis 1 og 2 ton.
2.2.1
Påhængsvogntog med fem eller seks aksler
a)
toakslet motorkøretøj med tilkoblet treakslet påhængsvogn
40 ton
b)
treakslet motorkøretøj med tilkoblet to- eller treakslet påhængsvogn
40 ton.
2.2.2
Fem- eller seksakslede sættevognstog
a)
toakslet motorkøretøj med tilkoblet treakslet sættevogn
40 ton
b)
treakslet motorkøretøj med tilkoblet to- eller treakslet sættevogn
40 ton.
2.2.3
Fireakslede påhængsvogntog bestående af et toakslet motorkøretøj med tilkoblet toakslet påhængsvogn 36 ton.
2.2.4
Fireakslede sættevognstog bestående af et toakslet motorkøretøj med tilkoblet toakslet sættevogn, hvis sættevognens indbyrdes akselafstand er:
—
1,3 m eller derover, men ikke over 1,8 m
36 ton
—
over 1,8 m
36 ton
(+ en tolerance på 2 ton, når den tilladte totalvægt for motorkøretøjet (18 ton) og den tilladte totalvægt for sættevognens to aksler (20 ton) overholdes, og drivakslen er forsynet med tvillinghjul og luftaffjedring eller tilsvarende affjedring).
2.3
Motorkøretøjer
Når der er tale om motorkøretøjer, der bruger alternative brændstoffer, eller nulemissionskøretøjer, forhøjes den største tilladte vægt i punkt 2.3.1 og 2.3.2 med den ekstra vægt af den alternative brændstofs- eller nulemissionsteknologi, dog højst henholdsvis 1 og 2 ton.
2.3.1
Toakslede motorkøretøjer 18 ton.
2.3.2
Treakslede motorkøretøjer 25 ton (26 ton, når drivakslen er forsynet med tvillinghjul og luftaffjedring eller tilsvarende affjedring, eller når hver drivaksel er forsynet med tvillinghjul, og den enkelte aksels tilladte tryk ikke overstiger 9,5 ton).
2.3.3
Fireakslede motorkøretøjer med to styreaksler 32 ton, når drivakslen er forsynet med tvillinghjul og luftaffjedring eller tilsvarende affjedring, eller når hver drivaksel er forsynet med tvillinghjul, og den enkelte aksels tilladte tryk ikke overstiger 9,5 ton).
3.   Tilladt akseltryk for køretøjerne (i ton)
3.1
Enkelt aksel
Enkelt aksel, der ikke er drivaksel 10 ton.
3.2
Akselgruppe med to aksler i påhængsvogne og sættevogne
Største samlede akseltryk i en akselgruppe med to aksler må, hvis den indbyrdes akselafstand d) er
—
mindre end 1 m (d < 1,0)
11 ton
—
1,0 m eller derover, men mindre end 1,3 m (1,0 ≤ d < 1,3), ikke overstige
16 ton
—
1,3 m eller derover, men mindre end 1,8 m (1,3 ≤ d < 1,8), ikke overstige
18 ton
—
1,8 m eller derover (1,8 ≤ d), ikke overstige
20 ton.
3.3
Akselgruppe med tre aksler i påhængsvogne og sættevogne
Største samlede akseltryk i en akselgruppe med tre aksler må, hvis den indbyrdes afstand d) mellem akselgruppens aksler er
1,3 m eller derunder (d ≤ 1,3), ikke overstige
21 to
mere end 1,3 m, men ikke over 1,4 m (1,3 <d ≤ 1,4), ikke overstige
24 ton.
3.4
Drivaksel
Drivaksel på de i punkt 2.2 og 2.3 nævnte køretøjer 11,5 ton.
3.5
Akselgruppe med to aksler i motorkøretøjer
Største samlede akseltryk i en akselgruppe med to aksler må, hvis den indbyrdes akselafstand d) er
—
mindre end 1 m (d < 1,0), ikke overstige
11,5 ton
—
1,0 m eller derover, men mindre end 1,3 m (1,0 ≤ d < 1,3), ikke overstige
16 ton
—
1,3 m eller derover, men mindre end 1,8 m (1,3 ≤ d < 1,8), ikke overstige
18 ton (19 ton, når drivakslen er forsynet med tvillinghjul og luftaffjedring eller tilsvarende affjedring, eller når hver drivaksel er forsynet med tvillinghjul, og den enkelte aksels tilladte tryk ikke overstiger 9,5 ton).
4.   Andre data for køretøjer
4.1
Alle køretøjer
Et køretøjs eller et vogntogs drivakseltryk må ikke være mindre end 25 % af køretøjets eller vogntogets totalvægt.
4.2
Påhængsvognstog
Afstanden mellem det trækkende køretøjs bageste aksel og den tilkoblede påhængsvogns forreste aksel må ikke være mindre end 3,00 m.
4.3
Tilladt totalvægt som funktion af akselafstanden
Den tilladte totalvægt i ton for et fireakslet motorkøretøj må ikke overstige fem gange afstanden i meter mellem køretøjets yderste aksler.
4.4
Sættevogne
Den vandret målte afstand mellem drejetappens akse og et vilkårligt punkt på sættevognens forende må ikke være over 2,04 m.
AFDELING 2
KRAV TIL TAKOGRAFER, FØRERKORT OG VÆRKSTEDSKORT
Artikel 1
Genstand og principper
I denne afdeling fastsættes krav til køretøjer, der er omfattet af anvendelsesområdet for del B, afdeling 2, i dette bilag, med hensyn til installation, test og kontrol af takografer, jf. denne aftales artikel 466, stk. 2.
Artikel 2
Definitioner
1.   Definitionerne i dette bilags del B, afdeling 2, artikel 2, og afdeling 4, artikel 2, finder anvendelse på denne afdeling.
2.   Foruden definitionerne i stk. 1 forstås i denne afdeling ved:
a)
"køretøjsenhed": takograf bortset fra bevægelsessensoren og de kabler, hvormed bevægelsessensoren tilsluttes. Køretøjsenheden kan enten være en enkelt enhed eller flere enheder, som er fordelt i køretøjet, forudsat at den opfylder sikkerhedskravene i denne afdeling; køretøjsenheden omfatter bl.a. en processor, et datalager, en tidsmålefunktion, to chipkortinterface-enheder (fører og medfører), en printer, en skærm, stik samt faciliteter til indlæsning af brugerens data
b)
"bevægelsessensor": en del af takografen, som afgiver et signal, som repræsenterer kørehastighed og/eller tilbagelagt afstand
c)
"kontrolkort": et takografkort, som en parts myndigheder udsteder til en national kompetent kontrolmyndighed, som identificerer kontrolorganet og eventuelt kontrolmedarbejderen, og som giver adgang til de data, der er lagret i datalageret eller i førerkortene og eventuelt i værkstedskortene med henblik på læsning, udskrift og/eller dataoverførsel
d)
"værkstedskort": et takografkort, som en parts myndigheder udsteder til udpeget personale hos en fabrikant af takografer, en installatør, en køretøjsfabrikant eller i et værksted, som er autoriseret af samme part, som identificerer kortindehaveren og giver mulighed for afprøvning, kalibrering og aktivering af og/eller dataoverførsel fra takograferne
e)
"aktivering": den fase, hvori takografen bliver helt driftsklar og implementerer alle funktioner, herunder sikkerhedsfunktioner, ved hjælp af et værkstedskort
f)
"kalibrering", for så vidt angår den digitale takograf: opdatering eller bekræftelse af de køretøjsparametre, herunder køretøjsidentifikation og køretøjskarakteristika, som skal ligge i datalagret, ved hjælp af et værkstedskort
g)
"dataoverførsel" fra en digital takograf eller intelligent takograf: kopiering sammen med den digitale signatur af en del af eller et komplet sæt datafiler, som er registreret i køretøjets datalager eller i takografkortets datalager, forudsat at denne proces ikke ændrer eller sletter lagrede data
h)
"fejl": unormal funktion, som afsløres af den digitale takograf og kan skyldes funktionsfejl ved takografen eller svigt af denne
i)
"installation": montering af en takograf i et køretøj
j)
"periodisk kontrol": et sæt eftersyn, som udføres for at kontrollere, at takografen fungerer korrekt, at dens indstillinger svarer til køretøjets parametre, og at der ikke er nogen manipulerende anordninger knyttet til takografen
k)
"reparation": enhver reparation af en bevægelsessensor eller af en køretøjsenhed, som kræver afbrydelse af dens strømforsyning, eller dens afbrydelse fra andre af takografens komponenter eller oplukning af bevægelsessensoren eller køretøjsenheden
l)
"interoperabilitet": systemers og de bagvedliggende forretningsprocedurers evne til at udveksle data og dele information
m)
"grænseflade": en facilitet, der forbinder systemer, og udgør det medium, hvorigennem de kan forbindes og fungere sammen
n)
"tidsmåling": en permanent digital registrering af den koordinerede universale dato og tid (UTC) og
o)
"TACHOnet-meddelelsessystemet": meddelelsessystem, der opfylder tekniske specifikationer, som er fastsat i bilag I-VII til Kommissionens gennemførelsesforordning (EU) 2016/68 
(
7
)
.
Artikel 3
Installation
1.   De i stk. 2 omhandlede takografer installeres
a)
i køretøjer, hvis største tilladte totalvægt, inklusive påhængsvogn eller sættevogn, overstiger 3,5 ton, eller
b)
fra den 1. juli 2026 i køretøjer, hvis største tilladte totalvægt, inklusive påhængsvogn eller sættevogn, overstiger 2,5 ton.
2.   Takograferne er:
a)
for køretøjer, der er taget i brug første gang før den 1. maj 2006, en analog takograf
b)
for køretøjer, der er taget i brug første gang mellem den 1. maj 2006 og den 30. september 2011, den første udgave af en digital takograf
c)
for køretøjer, der er taget i brug første gang mellem den 1. oktober 2011 og den 30. september 2012, den anden udgave af en digital takograf
d)
for køretøjer, der er taget i brug første gang mellem den 1. oktober 2012 og den 14. juni 2019, den tredje udgave af en digital takograf
e)
for køretøjer, der er indregistreret første gang fra den 15. juni 2019 og indtil to år efter ikrafttrædelsen af de detaljerede specifikationer, der er omhandlet i del B, afdeling 4, artikel 2, stk. 2, litra g), en intelligent takograf 1 og
f)
for køretøjer, der er indregistreret første gang mere end to år efter ikrafttrædelsen af de detaljerede specifikationer, der er omhandlet i del B, afdeling 4, artikel 2, stk. 2, litra h), en intelligent takograf 2.
3.   Hver part kan fra anvendelsen af denne afdeling undtage køretøjer, der er omhandlet i dette bilags del B, afdeling 2, artikel 8, stk. 3.
4.   Hver part kan fra anvendelsen af denne afdeling undtage køretøjer, der anvendes til transportopgaver, som er blevet meddelt en undtagelse i overensstemmelse med dette bilags del B, afdeling 2, artikel 8, stk. 4. Hver part underretter straks hinanden om anvendelsen af dette stykke.
5.   Senest tre år efter udgangen af det år, hvor de detaljerede tekniske specifikationer for den intelligente takograf 2 træder i kraft, skal køretøjer omhandlet i stk. 1, litra a), som er udstyret med en analog takograf eller en digital takograf, udstyres med en intelligent takograf 2, når de anvendes i en anden part end den part, der har indregistreret dem.
6.   Senest fire år efter ikrafttrædelsen af de detaljerede tekniske specifikationer for den intelligente takograf 2 skal køretøjer omhandlet i stk. 1, litra a), som er udstyret med en intelligent takograf 1, udstyres med en intelligent takograf 2, når de anvendes i en anden part end den part, der har indregistreret dem.
7.   Fra den 1. juli 2026 skal køretøjer omhandlet i stk. 1, litra b), udstyres med en intelligent takograf 2, når de anvendes i en anden part end den part, der har indregistreret dem.
8.   Intet i denne afdeling påvirker anvendelsen på Unionens område af EU-reglerne om kontrolapparater inden for vejtransport på EU-transportvirksomheder.
Artikel 4
Databeskyttelse
1.   Hver part sørger for, at behandlingen af personoplysninger i forbindelse med denne afdeling udelukkende udføres med henblik på at kontrollere overholdelse af denne afdeling.
2.   Hver part sørger navnlig for, at personoplysninger er beskyttet mod andre anvendelser end dem, der er direkte omhandlet i stk. 1, vedrørende:
a)
anvendelse af et globalt satellitnavigationssystem (GNSS) til registrering af positionsdata som omhandlet i de tekniske specifikationer for intelligent takograf 1 og intelligent takograf 2
b)
elektronisk udveksling af oplysninger om førerkort som omhandlet i artikel 13 og navnlig enhver grænseoverskridende udveksling af data med tredjeparter og
c)
transportvirksomheders opbevaring af optegnelser som omhandlet i artikel 15.
3.   Digitale takografer udformes således, at privatlivets fred sikres. Kun data, som er nødvendige til de i stk. 1 omhandlede formål, må behandles.
4.   Køretøjers ejere, transportvirksomheder og eventuelt andre berørte enheder skal opfylde de relevante bestemmelser om beskyttelse af personoplysninger.
Artikel 5
Installation og reparation
1.   Installation og reparation af takografer må kun foretages af installatører, værksteder eller køretøjsfabrikanter, som er autoriseret hertil af en parts kompetente myndigheder i overensstemmelse med artikel 7.
2.   Autoriserede installatører, værksteder eller køretøjsfabrikanter skal plombere takografen efter at have verificeret, at den fungerer korrekt, og navnlig på en måde, der sikrer, at ingen manipulerende anordninger kan forvanske eller ændre de registrerede data.
3.   De autoriserede installatører, værksteder eller køretøjsfabrikanter forsyner de gennemførte plomberinger med et særligt mærke og indlæser desuden, hvis der er tale om en digital takograf, en intelligent takograf 1 eller en intelligent takograf 2, de elektroniske sikkerhedsdata, som gør det muligt at kontrollere deres rigtighed. Hver part fører og offentliggør et register over de anvendte mærker og elektroniske sikkerhedsdata samt de nødvendige oplysninger vedrørende de anvendte elektroniske sikkerhedsdata.
4.   Med henblik på at certificere, at installationen af takografen er sket i overensstemmelse med denne afdelings forskrifter, skal en installationsplade påsættes på en måde, så den er klart synlig og let tilgængelig.
5.   Takografens komponenter skal være plomberet. Enhver forbindelse til takografen, der er potentielt sårbar over for angreb, herunder forbindelsen mellem bevægelsessensoren og gearkasse, og installationspladen, når det er relevant, skal være plomberet.
En plombering kan kun fjernes eller brydes:
—
af installatører eller værksteder, der er godkendt af de kompetente myndigheder i henhold til artikel 7 til reparation, vedligeholdelse eller rekalibrering af takografen, eller af kontrolmedarbejdere, der er behørigt uddannet og, hvor det er påkrævet, bemyndiget til kontrolformål, eller
—
med henblik på reparation eller ændring af køretøjet, der påvirker plomberingen. I så tilfælde skal der i køretøjet opbevares en skriftlig erklæring, der angiver den dato og det tidspunkt, hvor plomberingen blev brudt, og begrundelsen for, at plomberingen blev fjernet.
Fjernede eller brudte plomberinger erstattes af en autoriseret installatør eller et autoriseret værksted uden unødig forsinkelse, og senest syv dage efter at de blev fjernet eller brudt. Er plomberingerne blevet fjernet eller brudt til kontrolformål, kan de erstattes af en kontrolmedarbejder ved hjælp af plomberingsudstyr og et unikt særligt mærke uden unødig forsinkelse.
Når en kontrolmedarbejder fjerner en plombering, indsættes kontrolkortet i takografen, i det øjeblik plomberingen fjernes, og indtil kontrollen er afsluttet, herunder i tilfælde af anbringelse af en ny plombering. Kontrolmedarbejderen udsteder en skriftlig erklæring, som mindst indeholder følgende oplysninger:
—
køretøjets identifikationsnummer
—
kontrolmedarbejderens navn
—
kontrolmyndighed og land
—
kontrolkortets nummer
—
den fjernede plomberings nummer
—
dato og tidspunkt for fjernelse af plomberingen og
—
den nye plomberings nummer, hvis kontrolmedarbejderen har anbragt en ny plombering.
Inden plomberingerne erstattes, foretager et autoriseret værksted kontrol og kalibrering af takografen, undtagen når en plombering er blevet fjernet eller brudt til kontrolformål og erstattet af en kontrolmedarbejder.
Artikel 6
Kontrol af takografer
1.   Takografer underkastes regelmæssig kontrol af autoriserede værksteder. Regelmæssig kontrol foretages mindst hvert andet år.
2.   Ved den i stk. 1 omhandlede kontrol kontrolleres mindst følgende:
—
at takografen er korrekt monteret og hensigtsmæssig for køretøjet
—
at takografen fungerer korrekt
—
at takografen er forsynet med typegodkendelsesmærke
—
at installationspladen er påsat
—
at alle plomberinger er intakte og effektive
—
at der ikke er nogen manipulerende anordninger eller spor efter brug af sådanne og
—
dækstørrelsen og den faktiske dækperiferi.
3.   Værksteder udarbejder en kontrolrapport i de tilfælde, hvor uregelmæssigheder i takografens funktion måtte afhjælpes, uanset om dette sker ved en periodisk kontrol eller ved en kontrol gennemført på anmodning af den nationale kompetente myndighed. De fører en fortegnelse over alle udarbejdede kontrolrapporter.
4.   Kontrolrapporterne opbevares i mindst to år fra det tidspunkt, hvor rapporten blev udfærdiget. Hver part afgør, hvorvidt kontrolrapporterne skal opbevares eller sendes til den kompetente myndighed i løbet af den periode. I tilfælde, hvor kontrolrapporterne opbevares af værkstedet, stiller værkstedet efter anmodning fra den kompetente myndighed rapporter over udførte kontroller og kalibreringer i denne periode til rådighed.
Artikel 7
Autorisation af installatører, værksteder og køretøjsfabrikanter
1.   Hver part eller for så vidt angår Unionen hver medlemsstat autoriserer, kontrollerer regelmæssigt og certificerer installatører, værksteder og køretøjsfabrikanter, der kan foretage installation, eftersyn, kontrol og reparation af takografer.
2.   Hver part eller for så vidt angår Unionen hver medlemsstat sikrer, at installatører, værksteder og køretøjsfabrikanter er kompetente og pålidelige. De fastsætter og offentliggør til dette formål et sæt klare nationale procedurer og sikrer, at følgende mindstekrav opfyldes:
a)
personalet er behørigt uddannet
b)
det udstyr, som er nødvendigt for at udføre de relevante afprøvninger og opgaver, forefindes og
c)
installatørerne, værkstederne og køretøjsfabrikanterne opfylder vandelskravet.
3.   Der føres tilsyn med autoriserede installatører eller værksteder på følgende måde:
a)
autoriserede installatørers og værksteders procedurer for håndtering af takografen tilses mindst hvert andet år. Tilsynet skal bl.a. målrettes mod de trufne sikkerhedsforholdsregler og håndteringen af værkstedskort. Parterne eller for så vidt angår Unionen medlemsstaterne kan foretage disse tilsyn uden at aflægge besøg på stedet, og
b)
der foretages også uanmeldte tekniske tilsyn hos autoriserede installatører og værksteder for at kontrollere udførte kalibreringer, kontroller og installationer. Disse tilsyn skal årligt omfatte mindst 10 % af de autoriserede installatører og værksteder.
4.   Parterne og deres kompetente myndigheder træffer egnede foranstaltninger for at forhindre interessekonflikter mellem installatører eller værksteder og transportvirksomheder. Navnlig i tilfælde af alvorlig risiko for interessekonflikter træffes der yderligere specifikke foranstaltninger for at sikre, at installatøren eller værkstedet overholder denne afdeling.
5.   Hver parts kompetente myndigheder kan midlertidigt eller definitivt tilbagekalde autorisationen fra installatører, værksteder og køretøjsfabrikanter, som ikke opfylder deres forpligtelser i medfør af denne afdeling.
Artikel 8
Værkstedskort
1.   Værkstedskorts gyldighed må ikke overstige ét år. Når et værkstedskort fornyes, sikrer den kompetente myndighed, at kriterierne i artikel 7, stk. 2, opfyldes af installatøren, værkstedet eller køretøjsfabrikanten.
2.   Den kompetente myndighed fornyer et værkstedskort senest 15 arbejdsdage efter, at den har modtaget en gyldig anmodning om fornyelse og al nødvendig dokumentation. Hvis et værkstedskort er beskadiget, bliver uanvendeligt, bortkommer eller stjæles, udsteder den kompetente myndighed et erstatningskort senest fem arbejdsdage efter at have modtaget en udførligt begrundet anmodning herom. De kompetente myndigheder fører en fortegnelse over bortkomne, stjålne og defekte kort.
3.   Hvis en part eller for så vidt angår Unionen en medlemsstat tilbagekalder autorisationen fra installatører, værksteder eller køretøjsfabrikanter, jf. artikel 7, tilbagekalder den også de værkstedskort, der er udstedt til disse.
4.   Hver part træffer alle nødvendige foranstaltninger for at forhindre forfalskning af de værkstedskort, der udstedes til autoriserede installatører, værksteder og køretøjsfabrikanter.
Artikel 9
Udstedelse af førerkort
1.   Førerkort udstedes på førerens anmodning af den kompetente myndighed i den part, hvor føreren har sin sædvanlige bopæl. Såfremt de kompetente myndigheder i den part, hvor førerkortet er udstedt, nærer tvivl om gyldigheden af en erklæring om sædvanlig bopæl, eller hvis de ønsker visse specifikke kontrolforanstaltninger, kan de kræve yderligere oplysninger eller beviser fra føreren.
I denne artikel forstås ved "sædvanlig bopæl" det sted, hvor en person sædvanligvis bor, det vil sige mindst 185 dage pr. kalenderår, på grund af et privat og erhvervsmæssigt tilhørsforhold eller, hvis der er tale om en person uden erhvervsmæssigt tilhørsforhold, på grund af et privat tilhørsforhold med snævre bånd mellem personen og det sted, hvor vedkommende bor.
En person, som har erhvervsmæssigt tilhørsforhold på et sted, der er forskelligt fra det sted, hvor vedkommende har privat tilhørsforhold, og som derfor er nødsaget til skiftevis at tage ophold på forskellige steder i de to parter, anses dog for at have sædvanlig bopæl på stedet for det private tilhørsforhold på betingelse af, at den pågældende regelmæssigt vender tilbage hertil. Denne betingelse kræves ikke opfyldt, når den pågældende opholder sig i en part med henblik på at udføre en arbejdsopgave af bestemt varighed.
2.   I behørigt begrundede og ekstraordinære tilfælde kan en part eller for så vidt angår Unionen en medlemsstat udstede et midlertidigt førerkort, der ikke kan fornyes, og som er gyldigt i højst 185 dage, til en fører, som ikke har sin sædvanlige bopæl i en part, forudsat at en sådan fører er i et arbejdsmarkedsretligt forhold med en virksomhed, som er etableret i den udstedende part, og fremviser en førerattest, når dette kræves.
3.   De kompetente myndigheder i den udstedende part træffer egnede foranstaltninger for at sikre sig, at ansøgeren ikke i forvejen besidder et gyldigt førerkort, og de forsyner førerkortet med førerens personoplysninger og sørger for, at data er synlige og sikre.
4.   Førerkortet må højst være gyldigt i fem år.
5.   Et gyldigt førerkort må ikke tilbagekaldes eller inddrages, medmindre en parts kompetente myndighed konstaterer, at kortet er blevet forfalsket, at føreren anvender et kort, som vedkommende ikke er indehaver af, eller at kortet er udstedt på grundlag af urigtige oplysninger og/eller forfalskede dokumenter. Hvis en anden part eller for så vidt angår Unionen en anden medlemsstat end den part eller for så vidt angår Unionen den medlemsstat, der har udstedt førerkortet, tilbagekalder eller inddrager det, sender den pågældende part eller medlemsstat hurtigst muligt kortet tilbage til myndighederne i den udstedende part eller for så vidt angår Unionen den medlemsstat, der har udstedt det, og meddeler grunden til tilbagekaldelsen eller inddragelsen. Hvis tilbagesendelsen af kortet ventes at tage længere tid end to uger, informerer den part eller for så vidt angår Unionen den medlemsstat, der tilbagekalder eller inddrager det, den udstedende part eller for så vidt angår Unionen medlemsstaten inden for disse to uger om grunden til tilbagekaldelsen eller inddragelsen.
6.   De kompetente myndigheder i den udstedende part kan kræve, at en fører udskifter førerkortet med et nyt, hvis det er nødvendigt for at overholde de relevante tekniske specifikationer.
7.   Hver part træffer alle nødvendige foranstaltninger for at forhindre forfalskning af førerkort.
8.   Denne artikel er ikke til hinder for, at en part eller for så vidt angår Unionen en medlemsstat kan udstede et førerkort til en fører, der har sin sædvanlige bopæl i en del af denne parts område, hvor dette bilag ikke finder anvendelse, forudsat at de relevante bestemmelser i denne afdeling finder anvendelse i sådanne tilfælde.
Artikel 10
Fornyelse af førerkort
1.   Såfremt, i tilfælde af fornyelser, den part, hvor føreren har sin sædvanlige bopæl, er forskellig fra den part, der udstedte vedkommendes nuværende førerkort, og såfremt førstnævnte parts myndigheder bliver anmodet om at forny førerkortet, underretter disse myndigheder de myndigheder, der udstedte det tidligere kort, om grunden til fornyelsen.
2.   Hvis der indgives anmodning om fornyelse af et kort, der udløber inden for kort tid, udsteder den kompetente myndighed et nyt kort inden udløbsdatoen, såfremt anmodningen herom er blevet indsendt inden for den frist, der er fastsat i del B, afdeling 4, artikel 5.
Artikel 11
Stjålne, bortkomne eller beskadigede førerkort
1.   Udstedende myndigheder fører register over udstedte, stjålne, bortkomne eller beskadigede førerkort i en periode svarende til mindst deres gyldighed.
2.   Hvis et førerkort beskadiges, bliver uanvendeligt, bortkommer eller stjæles, udsteder de kompetente myndigheder i den part, hvor vedkommende har sin sædvanlige bopæl, et erstatningskort senest otte arbejdsdage efter at have modtaget en udførligt begrundet anmodning herom.
Artikel 12
Gensidig anerkendelse af førerkort
1.   Hver part anerkender de førerkort, der udstedes af den anden part.
2.   Når indehaveren af et gyldigt førerkort, der er udstedt af en part, flytter sin sædvanlige bopæl til den anden part og har anmodet om at få sit kort udskiftet med et tilsvarende førerkort, undersøger den part eller for så vidt angår Unionen den medlemsstat, der foretager udskiftningen, om det forelagte kort fortsat er gyldigt.
3.   De parter eller for så vidt angår Unionen de medlemsstater, der foretager udskiftningen, sender det gamle kort tilbage til myndighederne i den part eller for så vidt angår Unionen den medlemsstat, der har udstedt det, og meddeler grunden til denne tilbagesendelse.
4.   Når en part eller for så vidt angår Unionen en medlemsstat erstatter eller udskifter et førerkort, registreres denne erstatning eller udskiftning samt alle efterfølgende erstatninger eller udskiftninger i denne part eller for så vidt angår Unionen i denne medlemsstat.
Artikel 13
Elektronisk udveksling af oplysninger om førerkort
1.   For at sikre, at en ansøger ikke allerede besidder et gyldigt førerkort, fører parterne eller for så vidt angår Unionen medlemsstaterne nationale elektroniske registre med følgende oplysninger om førerkort i en periode, som mindst svarer til disse korts gyldighedsperiode:
—
førerens efternavn og fornavn
—
førerens fødselsdato og eventuelt fødested
—
det gyldige kørekorts nummer og udstedelsesland (hvis dette er relevant)
—
førerkortets status og
—
nummer på førerkort.
2.   Parternes eller for så vidt angår Unionen medlemsstaternes elektroniske registre skal være sammenkoblede og tilgængelige overalt i parternes område ved hjælp af meddelelsessystemet TACHOnet eller et kompatibelt system. Anvendes der et kompatibelt system, skal udveksling af elektroniske data med den anden part være mulig via meddelelsessystemet TACHOnet.
3.   I forbindelse med udstedelse, erstatning og om nødvendigt fornyelse af et førerkort verificerer parterne eller for så vidt angår Unionen medlemsstaterne med elektronisk udveksling af data, at føreren ikke allerede besidder et andet gyldigt førerkort. Dataudvekslingen skal begrænses til de data, som er nødvendige til denne verifikation.
4.   Kontrolmedarbejdere kan få adgang til det elektroniske register for at kontrollere et førerkorts status.
Artikel 14
Takografers indstillinger
1.   Digitale takografer må ikke indstilles på en sådan måde, at de automatisk skifter til en bestemt aktivitetstype, når køretøjets motor eller tænding er slået fra, medmindre føreren fortsat manuelt kan vælge den korrekte aktivitetstype.
2.   Køretøjer må ikke have mere end en takograf monteret, undtagen når der er tale om praktisk afprøvning.
3.   Hver part skal forbyde fremstilling, distribution, annoncering og/eller salg af genstande, der er konstrueret og/eller beregnet til at manipulere takografer.
Artikel 15
Transportvirksomheders ansvar
1.   Transportvirksomheder er ansvarlige for at sikre, at deres førere er behørigt uddannet og har modtaget de nødvendige instrukser for så vidt angår takografers korrekte funktion, det være sig digitale, intelligente eller analoge takografer, foretager regelmæssig kontrol for at sikre, at deres førere anvender takograferne korrekt, og må ikke give deres førere direkte eller indirekte incitamenter, der kan tilskynde til misbrug af takografer.
Transportvirksomheder udleverer til førerne af køretøjer, som er udstyret med analoge takografer, et tilstrækkeligt antal diagramark, idet der tages hensyn til diagramarkenes individuelle karakter, tjenestens varighed og det eventuelle behov for at erstatte eventuelt beskadigede diagramark eller diagramark, der er inddraget af en dertil bemyndiget kontrolmedarbejder. Transportvirksomheder må til førerne kun udlevere diagramark, som svarer til en godkendt model, og som kan anvendes i det apparat, der er installeret i køretøjet.
Transportvirksomheden sørger under hensyn til tjenestens varighed for, at udskrift af data fra takografen på en kontrolmedarbejders anmodning kan foretages korrekt i tilfælde af kontrol.
2.   Transportvirksomheder opbevarer diagramark og udskrifter, når der er lavet udskrifter for at efterkomme artikel 9 i dette bilags del B, afdeling 4, i kronologisk orden og i læselig form i mindst et år efter anvendelsen og skal give de berørte førere en kopi, såfremt de ønsker det. Transportvirksomheder giver også kopier af data, der er overført fra førerkortene, til de berørte førere, som anmoder herom, samt udskrifter af disse kopier. Diagramark, udskrifter og overførte data forevises på anmodning af eller udleveres til en dertil bemyndiget kontrolmedarbejder.
3.   Transportvirksomheder er ansvarlige for overtrædelser af denne afdeling og af dette bilags del B, afdeling 4, begået af deres førere eller af førere, der er til deres rådighed. Hver part kan imidlertid gøre et sådant ansvar betinget af transportvirksomheders overtrædelse af denne artikels stk. 1, første afsnit, og artikel 7, stk. 1 og 2, i dette bilags del B, afdeling 2.
Artikel 16
Procedurer for transportvirksomheder i tilfælde af funktionsfejl i udstyr
1.   Opstår der driftsforstyrrelse, eller fungerer en takograf mangelfuldt, skal transportvirksomheden, så snart omstændighederne tillader det, lade den reparere af en autoriseret installatør eller et autoriseret værksted.
2.   Kan tilbagekomst til transportvirksomhedens hjemsted først ske mere end en uge efter den dag, på hvilken driftsforstyrrelsen indtrådte, eller hvor den mangelfulde funktion blev konstateret, skal reparationen foretages undervejs.
3.   Hver part eller for Unionens vedkommende medlemsstaterne giver de kompetente myndigheder beføjelse til at forbyde anvendelse af et køretøj, hvis en driftsforstyrrelse eller en mangelfuld funktion ikke er afhjulpet i henhold til stk. 1 og 2, såfremt dette er i overensstemmelse med den pågældende parts nationale lovgivning.
Artikel 17
Procedure for udstedelse af takografkort
Europa-Kommissionen udleverer til Det Forenede Kongeriges kompetente myndigheder det kryptografiske materiale til udstedelse af takografkort til førere, værksteder og kontrolmyndigheder i overensstemmelse med den Europæiske rodcertificeringsmyndigheds (ERCA's) certifikatpolitik og Det Forenede Kongeriges certifikatpolitik.
(
1
)
  Oprettet ved Europa-Parlamentets og Rådets forordning (EU) nr. 1024/2012 af 25. oktober 2012 om administrativt samarbejde via informationssystemet for det indre marked og om ophævelse af Kommissionens beslutning 2008/49/EF ("IMI-forordningen") (
EUT L 316 af 14.11.2012, s. 1
).
(
2
)
  Europa-Parlamentets og Rådets forordning (EU) nr. 1024/2012 af 25. oktober 2012 om administrativt samarbejde via informationssystemet for det indre marked og om ophævelse af Kommissionens beslutning 2008/49/EF (IMI-forordningen) (
EUT L 316 af 14.11.2012, s. 1
).
(
3
)
  Europa-Parlamentets og Rådets forordning (EU) nr. 165/2014 af 4. februar 2014 om takografer inden for vejtransport, om ophævelse af Rådets forordning (EØF) nr. 3821/85 om kontrolapparatet inden for vejtransport og om ændring af Europa-Parlamentets og Rådets forordning (EF) nr. 561/2006 om harmonisering af visse sociale bestemmelser inden for vejtransport (
EUT L 60 af 28.2.2014, s. 1
).
(
4
)
  Kommissionens gennemførelsesforordning (EU) 2016/799 af 18. marts 2016 om gennemførelse af Europa-Parlamentets og Rådets forordning (EU) nr. 165/2014 om fastsættelse af forskrifter for konstruktion, afprøvning, installering, brug og reparation af takografer og deres komponenter (
EUT L 139 af 26.5.2016, s. 1
).
(
5
)
  Europa-Parlamentets og Rådets forordning (EU) nr. 165/2014 af 4. februar 2014 om takografer inden for vejtransport, om ophævelse af Rådets forordning (EØF) nr. 3821/85 om kontrolapparatet inden for vejtransport og om ændring af Europa-Parlamentets og Rådets forordning (EF) nr. 561/2006 om harmonisering af visse sociale bestemmelser inden for vejtransport (
EUT L 60 af 28.2.2014, s. 1
).
(
6
)
  Rådets forordning (EF) nr. 2135/98 af 24. september 1998 om ændring af forordning (EØF) nr. 3821/85 om kontrolapparatet inden for vejtransport og direktiv 88/599/EØF vedrørende gennemførelse af forordning (EØF) nr. 3820/85 og (EØF) nr. 3821/85 (
EFT L 274 af 9.10.1998, s. 1
).
(
7
)
  Kommissionens gennemførelsesforordning (EU) 2016/68 af 21. januar 2016 om de fælles procedurer og specifikationer, der er nødvendige for sammenkobling af elektroniske registre over førerkort (
EUT L 15 af 22.1.2016, s. 51
).
BILAG 32
MODEL FOR TILLADELSE TIL INTERNATIONAL RUTEKØRSEL OG INTERNATIONAL SPECIEL RUTEKØRSEL
(Første side – tilladelse)
(Orange papir – DIN A4)
(Affattes på de(t) officielle sprog eller et af de officielle sprog i den part, hvor anmodningen fremsættes)
Tilladelse
i overensstemmelse med anden del, sektion tre, afsnit II, i handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side
STAT, HVOR TILLADELSEN ER UDSTEDT: …
Tilladelsesudstedende myndighed: …
Udstedelsesstatens kendingsmærke: … 
(
1
)
TILLADELSENS nr.: …til rutekørsel ☐ (
2
) til speciel rutekørsel ☐ 
(
2
)
med bus mellem parterne i handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side
til: …
…
Efternavn, navn eller firmanavn på den erhvervsdrivende eller den administrerende erhvervsdrivende i tilfælde af en gruppe af virksomheder af et partnerskab:
Adresse:
…
…
Telefon og fax eller e-mail:
…
…
(Anden side – tilladelse)
Transportvirksomhedens navn, adresse, telefon- og faxnummer eller e-mailadresser eller, i tilfælde af en gruppe af transportvirksomheder eller af et partnerskab, navnene på alle transportvirksomhederne i gruppen eller partnerskabet; desuden angives navnene på eventuelle underleverandører, således at de kan identificeres som sådanne:
1)
…
2)
…
3)
…
4)
…
5)
…
Eventuel vedlagt liste
Tilladelsens gyldighed: fra: … til: …
Udstedelsessted og -dato: …
Den udstedende myndighed eller det udstedende agenturs underskrift og stempel: …
1.
Rute: …
…
a)
Kørslens afgangssted: …
…
b)
Kørslens bestemmelsessted: …
…
Kørslens hovedrute (passageroptagningssteder og -afsætningssteder understreges): …
…
2.
Køreplan: …
(vedlagt denne tilladelse)
3.
Speciel rutekørsel:
a)
passagerkategori: …
…
4.
Andre betingelser eller særlige forhold …
…
…
Den udstedende myndigheds stempel
Vigtigt:
1)
Denne tilladelse gælder for den samlede kørselsstrækning.
2)
Den tilladelse eller den af den udstedende myndighed bekræftede kopi heraf skal medføres i køretøjet under hele kørslen og forevises på forlangende for enhver bemyndiget kontrollør:
3)
Afgangsstedet eller destinationen skal være beliggende på den parts område, hvor transportvirksomheden er etableret og busserne indregistreret.
(Tredje side – tilladelse)
GENERELLE BETRAGTNINGER
1)
Transportvirksomheden skal påbegynde kørslen inden for den periode, der er angivet i den tilladelsesudstedende myndigheds afgørelse om at udstede tilladelsen.
2)
En transportvirksomhed, der udfører international rutekørsel eller international speciel rutekørsel, skal, undtagen i tilfælde af force majeure, træffe alle nødvendige foranstaltninger for at sikre, at befordringen opfylder de betingelser, som er fastsat i tilladelsen.
3)
Transportvirksomheden skal gøre oplysninger om ruten, stoppestederne, køreplanen, billetpriserne og transportbetingelserne offentligt tilgængelige.
4)
Uden at dette berører dokumenter vedrørende køretøj og fører (f.eks. køretøjets registreringsattest og kørekort), skal følgende dokumenter tjene som kontroldokumenter i henhold til artikel 477 i handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side, medføres i køretøjet og forevises på forlangende for enhver bemyndiget kontrollør:
—
tilladelsen til at udføre international rutekørsel eller international speciel rutekørsel eller en bekræftet kopi heraf
—
transportvirksomhedens tilladelse til international personbefordring ad vej i henhold til Det Forenede Kongeriges lovgivning eller EU-lovgivning eller en bekræftet kopi heraf
—
ved udførelse af international speciel rutekørsel kontrakten mellem arrangøren og transportvirksomheden eller en bekræftet kopi heraf samt et dokument, der bekræfter, at passagererne udgør en bestemt kategori, hvorved andre passagerer udelukkes, inden for rammerne af speciel rutekørsel.
—
når transportvirksomheden, der driver rutekørsel eller speciel rutekørsel, anvender ekstra køretøjer til at håndtere midlertidige og ekstraordinære situationer, i tillæg til de relevante dokumenter, der er nævnt ovenfor, en kopi af kontrakten mellem transportvirksomheden, der driver den internationale rutekørsel eller internationale specielle rutekørsel, og den virksomhed, der leverer de ekstra køretøjer, eller et tilsvarende dokument.
(Fjerde side – tilladelse)
GENERELLE BETRAGTNINGER (fortsat)
5)
Transportvirksomheder, der udfører international rutefart, med undtagelse af international speciel rutekørsel, skal udstede billetter, der bekræfter passagerens ret til at blive transporteret og fungerer som kontroldokument, der tjener som bevis på indgåelse af kontrakt om befordring mellem passageren og transportvirksomheden, enten individuelt eller kollektivt. Billetterne, der kan også være elektroniske, skal indeholde oplysninger om:
a)
navnet på transportvirksomheden
b)
afgangssted og destination, og, hvis det er relevant, returrejsen
c)
billettens gyldighed og i givet fald dato og tidspunkt for afgang
d)
kørslens pris.
Billetten skal forevises af passageren på enhver bemyndiget kontrollørs anmodning.
6)
Transportvirksomheder, der udfører regelmæssig eller speciel regelmæssig international personbefordring skal tillade kontrol med henblik på at sikre, at driften udføres forskriftsmæssigt, særlig med hensyn til køre- og hviletider og færdselssikkerhed og emissioner.
(
1
)
  Østrig (A), Belgien (B), Bulgarien (BG), Cypern (CY), Kroatien (HR), Tjekkiet (CZ), Danmark (DK), Estland (EST), Finland (FIN), Frankrig (F), Tyskland (D), Grækenland (GR), Ungarn (H), Irland (IRL), Italien (I), Letland (LV), Litauen (LT), Luxembourg (L), Malta (MT), Nederlandene (NL), Polen (PL), Portugal (P), Rumænien (RO), Slovakiet (SK), Slovenien (SLO), Spanien (E), Sverige (S) og Det Forenede Kongerige (UK); skal udfyldes.
(
2
)
  Sæt kryds eller udfyld.
BILAG 33
MODEL FOR ANSØGNING OM TILLADELSE TIL INTERNATIONAL RUTEKØRSEL OG INTERNATIONAL SPECIEL RUTEKØRSEL
(Hvidt papir – DIN A4)
(Affattes på de(t) officielle sprog eller et af de officielle sprog i den part, hvor anmodningen fremsættes)
SKEMA TIL ANSØGNING OM TILLADELSE ELLER FORNYELSE AF TILLADELSE TIL AT UDFØRE INTERNATIONAL RUTEKØRSEL ELLER INTERNATIONAL SPECIEL RUTEKØRSEL 
(
1
)
Rutekørsel ☐
Speciel rutekørsel ☐
Fornyelse af kørselstilladelse ☐
Ændring af betingelserne for en køretilladelse ☐
udføres med bus mellem parterne i handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side
…
(Tilladelsesudstedende myndighed)
1.
Den ansøgende transportør/transportvirksomheds navn og fornavn eller handelsnavn; i tilfælde af en ansøgning fra en gruppe af transportvirksomheder eller fra et partnerskab navnet på den transportvirksomhed, de andre transportvirksomheder har betroet at indsende ansøgningen:
…
…
2.
Kørsel skal udføres af(
1
)
en transportvirksomhed ☐ en gruppe af transportvirksomheder ☐ et partnerskab ☐ en underleverandør ☐
3.
Navne og adresser på transportvirksomheden eller, i tilfælde af en gruppe af transportvirksomheder eller et partnerskab, navnene på alle transportvirksomhederne i gruppen eller partnerskabet; desuden angives navnene på eventuelle underleverandører 
(
2
)
3.1
… tlf. …
3.2
… tlf. …
3.3
… tlf. …
3.4
… tlf. …
(Anden side – ansøgning om tilladelse eller fornyelse af tilladelse)
4
I tilfælde af en speciel rutekørsel:
4.1
passagerkategori: 
(
3
)
 arbejdstagere ☐ elever/studerende ☐ andet ☐
5
Gyldighedsperiode, om hvilken der ansøges, eller dato for kørslens ophør:
…
6
Kørslens hovedrute (passageroptagningssteder og -afsætningssteder understreges, med fuldstændig adresse): 
(
4
)
…
…
…
7
Driftsperiode:
…
…
…
8
Antal ture (dagligt, ugentligt osv.):
…
9
Takster … Bilag vedlagt
10
Der vedlægges en kørselsoversigt, som gør det muligt at kontrollere, om international lovgivning om kørselstid og hviletid er overholdt.
11
Antal tilladelser eller bekræftede kopier af tilladelser, hvorom der ansøges 
(
5
)
:
…
12
Yderligere oplysninger:
…
(Sted og dato) (Ansøgerens underskrift)
…
Ansøgeren gøres opmærksom på, at da tilladelsen eller den bekræftede kopi heraf skal medføres i køretøjet, skal antallet af til rådighed værende tilladelser eller bekræftede kopier udstedt af den tilladelsesudstedende myndighed svare til antallet af køretøjer, som på en given dato kører samtidig for at udføre den kørsel, hvorom der ansøges.
Vigtigt:
I særdeleshed vedlægges følgende som bilag til ansøgningen:
a)
tidsplanen, herunder tidspunkter for kontrol ved de relevante grænseovergange
b)
en bekræftet kopi af transportvirksomhedens (eller transportvirksomhedernes) tilladelse(r) til international personbefordring ad vej i henhold til national lovgivning eller EU-lovgivningen
c)
et kort i hensigtsmæssig målestok, hvorpå ruten samt passageroptagnings- og -afsætningssteder er indtegnet
d)
en kørselsoversigt, der gør det muligt at kontrollere overholdelsen af EU-lovgivningen om køretid og hviletid
e)
alle relevante oplysninger om busterminaler.
(
1
)
  Sæt kryds eller udfyld.
(
2
)
  Vedlæg i givet fald en liste.
(
3
)
  Sæt kryds eller udfyld.
(
4
)
  Den tilladelsesudstedende myndighed kan anmode om en fuldstændig liste over passageroptagningssteder og -afsætningssteder med fuldstændig adresse, der vedlægges ansøgningsskemaet separat.
(
5
)
  Udfyldes, hvis det er relevant.
BILAG 34
MODEL FOR KØRSELSBLAD FOR LEJLIGHEDSVIS KØRSEL
KØRSELSBLAD nr. … i hæfte nr. …
(farve Pantone 358 (lysegrøn), eller så tæt som muligt på denne farve, format DIN A4, papir, ikke belagt)
LEJLIGHEDSVIS KØRSEL MED CABOTAGE OG LEJLIGHEDSVIS KØRSEL MED TRANSIT
(om nødvendigt kan de enkelte rubrikker udfyldes på særskilte ark)
1
Bussens registreringsnummer
…
Sted, dato, underskrift, transportvirksomheder
2
1.
…
2.
…
3.
…
Transportvirksomhed, underkontrahent eller gruppe af transportvirksomheder
3
1.
…
2.
…
3.
…
Navn på fører(e)
4
Tilrettelæggelse af kørslen (organisation, person)
1. …  2. …
3. … 4. …
5
Type kørsel
☐
Lejlighedsvis kørsel med cabotage
☐
Lejlighedsvis kørsel med transit
6
Kørslens afgangssted: … Land: …
Kørslens bestemmelsessted: … Land: …
7
Strækning
Rute/dagsetape og/eller afgangssted og destination
Antal
passagerer
Tom
(mærkes med X)
Planlagt antal kilometer
Datoer
fra
til
8
Tilslutningspunkter, eventuelt med en anden transportvirksomhed (samme gruppe)
Antal afsatte passagerer
Slutdestination for de afsatte passagerer
Transportvirksomhed, der genoptager passagererne
9
Uforudsete ændringer
…
…
BILAG 35
#
Kode
Almindeligt anvendt navn
ICES-områder
Andele
2021
2022
2023
2024
2025
Fra 2026
EU
UK
EU
UK
EU
UK
EU
UK
EU
UK
EU
UK
1
ALF/3X14-
Beryxarter (3, 4, 5, 6, 7, 8, 9, 10, 12 og 14)
UK- og EU-farvande samt internationale farvande i 3, 4, 5, 6, 7, 8, 9, 10, 12 og 14
96,95
3,05
96,95
3,05
96,95
3,05
96,95
3,05
96,95
3,05
96,95
3,05
2
ANF/07.
Havtaske (7)
7
78,78
21,22
78,24
21,76
77,70
22,30
77,05
22,95
76,62
23,38
76,62
23,38
3
ANF/2AC4-C
Havtaske (Nordsøen)
UK- og EU-farvande i 4; UK-farvande i 2a
13,74
86,26
12,92
87,08
12,11
87,89
11,13
88,87
10,48
89,52
10,48
89,52
4
ANF/56-14
Havtaske (vest for Skotland)
6; UK-farvande og internationale farvande i 5b; internationale farvande i 12 og 14
60,99
39,01
59,62
40,38
58,25
41,75
56,60
43,40
55,50
44,50
55,50
44,50
5
ARU/1/2.
Guldlaks (1 og 2)
UK-farvande og internationale farvande i 1 og 2
56,90
43,10
56,90
43,10
56,90
43,10
56,90
43,10
56,90
43,10
56,90
43,10
6
ARU/3A4-C
Guldlaks (Nordsøen)
UK- og EU-farvande i 4; EU-farvande i 3a
98,40
1,60
98,40
1,60
98,40
1,60
98,40
1,60
98,40
1,60
98,40
1,60
7
ARU/567.
Guldlaks (vestlig)
6 og 7; UK-farvande og internationale farvande i 5
94,41
5,59
94,41
5,59
94,41
5,59
94,41
5,59
94,41
5,59
94,41
5,59
8
BLI/12INT-
Byrkelange (internationale, 12)
Internationale farvande i 12
99,14
0,86
99,14
0,86
99,14
0,86
99,14
0,86
99,14
0,86
99,14
0,86
9
BLI/24-
Byrkelange (Nordsøen)
UK-farvande og internationale farvande i 2; UK- og EU-farvande i 4
73,19
26,81
73,19
26,81
73,19
26,81
73,19
26,81
73,19
26,81
73,19
26,81
10
BLI/5B67-
Byrkelange (vestlig)
6 og 7; UK-farvande og internationale farvande i 5
77,31
22,69
76,73
23,27
76,16
23,84
75,46
24,54
75,00
25,00
75,00
25,00
11
BOR/678-
Havgalt (vestlig)
6, 7 og 8
93,65
6,36
93,65
6,36
93,65
6,36
93,65
6,36
93,65
6,36
93,65
6,36
12
BSF/56712-
Sort sabelfisk (vestlig)
6 og 7; UK-farvande og internationale farvande i 5; internationale farvande i 12
94,31
5,69
94,31
5,69
94,31
5,69
94,31
5,69
94,31
5,69
94,31
5,69
13
COD/07A.
Torsk (Det Irske Hav)
7a
56.05
43,95
55,84
44,16
55,63
44,37
55,37
44,63
55,20
44,80
55,20
44,80
14
COD/07D.
Torsk (den østlige del af Den Engelske Kanal)
7d
90,75
9,25
90,75
9,25
90,75
9,25
90,75
9,25
90,75
9,25
90,75
9,25
15
COD/5BE6A
Torsk (vest for Skotland)
6a; UK-farvande og internationale farvande i 5b øst for 12°00'
30,23
69,77
27,37
72,63
24,51
75,49
21,08
78,92
18,79
81,21
18,79
81,21
16
COD/5W6-14
Torsk (Rockall)
6b; UK-farvande og internationale farvande i 5b vest for 12°00' V og i 12 og 14
33,95
66,05
31,71
68,29
29,47
70,53
26,78
73,22
24,99
75,01
24,99
75,01
17
COD/7XAD34
Torsk (Det Keltiske Hav)
7b, 7c, 7e-k, 8, 9 og 10; EU-farvande i CECAF 34.1.1
90,70
9,30
90,47
9,53
90,23
9,77
89,95
10,05
89,76
10,24
89,76
10,24
18
DGS/15X14
Pighaj (vestlig)
6, 7 og 8; UK-farvande og internationale farvande i 5; internationale farvande i 1, 12 og 14
57,53
42,47
56,61
43,39
55,69
44,31
54,58
45,42
53,84
46,16
53,84
46,16
19
DWS/56789-
Dybvandshajer (vestlige)
6, 7, 8 og 9; UK-farvande og internationale farvande i 5
100,00
0,00
100,00
0,00
100,00
0,00
100,00
0,00
100,00
0,00
100,00
0,00
20
HAD/07A.
Kuller (Det Irske Hav)
7a
47,24
52,76
46,42
53,58
45,61
54,39
44,63
55,37
43,98
56,02
43,98
56,02
21
HAD/5BC6A.
Kuller (vest for Skotland)
6a; UK-farvande og internationale farvande i 5b
19,39
80,61
19,39
80,61
19,39
80,61
19,39
80,61
19,39
80,61
19,39
80,61
22
HAD/6B1214
Kuller (Rockall)
UK- og EU-farvande samt internationale farvande i 6b; internationale farvande 12 og 14
16,76
83,24
16,32
83,68
15,88
84,12
15,35
84,65
15,00
85,00
15,00
85,00
23
HAD/7X7A34
Kuller (Det Keltiske Hav)
7b-k, 8, 9 og 10; EU-farvande i CECAF 34.1.1
84,00
16,00
83,00
17,00
82,00
18,00
80,80
19,20
80,00
20,00
80,00
20,00
24
HER/07A/MM
Sild (Det Irske Hav)
7a nord for 52°30' N
11,01
88,99
8,50
91,50
6,00
94,00
2,99
97,01
0,99
99,01
0,99
99,01
25
HER/5B6ANB
Sild (vest for Skotland)
6b og 6aN; UK-farvande og internationale farvande 5b
35,95
64,05
35,34
64,66
34,74
65,26
34,01
65,99
33,53
66,47
33,53
66,47
26
HER/7EF.
Sild (den vestlige del af Den Engelske Kanal og Bristolkanalen)
7e og 7f
50,00
50,00
50,00
50,00
50,00
50,00
50,00
50,00
50,00
50,00
50,00
50,00
27
HER/7G-K.
Sild (Det Keltiske Hav)
7a syd for 52°30' N, 7g, 7h, 7j og 7k
99,88
0,12
99,88
0,12
99,88
0,12
99,88
0,12
99,88
0,12
99,88
0,12
28
HKE/2AC4-C
Kulmule (Nordsøen)
UK- og EU-farvande 4; UK-farvande i 2a
60,67
39,33
57,11
42,89
53,56
46,44
49,29
50,71
46,45
53,55
46,45
53,55
29
HKE/571214
Kulmule (vestlig)
6 og 7; UK-farvande og internationale farvande i 5b; internationale farvande i 12 og 14
80,33
19,67
80,05
19,95
79,77
20,23
79,43
20,57
79,20
20,80
79,20
20,80
30
JAX/2A-14
Hestemakrel (vestlig)
UK- og EU-farvande i 4a; 6, 7a-c, e-k; 8a-b, d-e; UK-farvande og internationale farvande i 2a og 5b; internationale farvande i 12 og 14
90,61
9,39
90,61
9,39
90,61
9,39
90,61
9,39
90,61
9,39
90,61
9,39
31
JAX/4BC7D
Hestemakrel (den sydlige del af Nordsøen og den østlige del af Den Engelske Kanal)
UK- og EU-farvande i 4b, 4c og 7d
71,46
28,54
68,60
31,40
65,73
34,27
62,29
37,71
60,00
40,00
60,00
40,00
32
L/W/2AC4-C
Rødtunge og skærising (Nordsøen)*
UK- og EU-farvande i 4; UK-farvande i 2a
35,97
64,03
35,48
64,52
34,98
65,02
34,39
65,61
34,00
66,00
34,00
66,00
33
LEZ/07.
Glashvarrearter (7)
7
81,37
18,63
80,65
19,35
79,93
20,07
79,07
20,93
78,50
21,50
78,50
21,50
34
LEZ/2AC4-C
Glashvarrearter (Nordsøen)
UK- og EU-farvande 4; UK-farvande i 2a
3,74
96,26
3,74
96,26
3,74
96,26
3,74
96,26
3,74
96,26
3,74
96,26
35
LEZ/56-14
Glashvarrearter (vest for Skotland)
6; UK-farvande og internationale farvande i 5b; internationale farvande i 12 og 14
60,84
39,16
59,55
40,45
58,25
41,75
56,69
43,31
55,65
44,35
55,65
44,35
36
LIN/03A-C.
Lange (3a)
EU-farvande i 3a
92,65
7,35
92,65
7,35
92,65
7,35
92,65
7,35
92,65
7,35
92,65
7,35
37
LIN/04-C.
Lange (Nordsøen)
UK- og EU-farvande i 4
21,22
78,78
20,92
79,08
20,61
79,39
20,24
79,76
20,00
80,00
20,00
80,00
38
LIN/6X14.
Lange (vestlig)
6, 7, 8, 9 og 10; internationale farvande i 12 og 14
63,67
36,33
63,25
36,75
62,83
37,17
62,33
37,67
62,00
38,00
62,00
38,00
39
NEP/*07U16
Nephrops (Porcupine Bank)
Funktionel enhed 16 i ICES-underområde 7
85,32
14,68
85,32
14,68
85,32
14,68
85,32
14,68
85,32
14,68
85,32
14,68
40
NEP/07.
Nephrops (7)
7
61,68
38,32
60,76
39,24
59,84
40,16
58,74
41,26
58,00
42,00
58,00
42,00
41
NEP/2AC4-C
Nephrops (Nordsøen)
UK- og EU-farvande 4; UK-farvande i 2a
13,38
86,62
13,38
86,62
13,38
86,62
13,38
86,62
13,38
86,62
13,38
86,62
42
NOP/2A3A4.
Sperling (Nordsøen)
3a; UK- og EU-farvande og 4 UK-farvande i 2a
85,00
15,00
82,50
17,50
80,00
20,00
77,00
23,00
75,00
25,00
75,00
25,00
43
PLE/07A.
Rødspætte (Det Irske Hav)
7a
48,89
51,11
48,89
51,11
48,89
51,11
48,89
51,11
48,89
51,11
48,89
51,11
44
PLE/56-14
Rødspætte (vest for Skotland)
6; UK-farvande og internationale farvande i 5b; internationale farvande i 12 og 14
39,23
60,77
39,23
60,77
39,23
60,77
39,23
60,77
39,23
60,77
39,23
60,77
45
PLE/7DE.
Rødspætte (Den Engelske Kanal)*
7d og 7e
70,36
29,64
70,27
29,73
70,18
29,82
70,07
29,93
70,00
30,00
70,00
30,00
46
PLE/7FG.
Rødspætte (7fg)
7f og 7g
74,86
25,14
74,58
25,42
74,30
25,70
73,96
26,04
73,74
26,26
73,74
26,26
47
PLE/7HJK.
Rødspætte (7hjk)
7h, 7j og 7k
84,25
15,75
83,71
16,29
83,17
16,83
82,52
17,48
82,09
17,91
82,09
17,91
48
POK/56-14
Sej (vest for Skotland)
6; UK-farvande og internationale farvande i 5b, 12 og 14
62,32
37,68
58,99
41,01
55,66
44,34
51,66
48,34
49,00
51,00
49,00
51,00
49
POK/7/3411
Sej (Det Keltiske Hav)
7, 8, 9 og 10; EU-farvande i CECAF 34.1.1
84,86
15,14
84,90
15,10
84,93
15,07
84,97
15,03
85,00
15,00
85,00
15,00
50
POL/07.
Lubbe (7)
7
78,03
21,97
77,27
22,73
76,51
23,49
75,61
24,39
75,00
25,00
75,00
25,00
51
POL/56-14
Lubbe (vest for Skotland)
6; UK-farvande og internationale farvande i 5b; internationale farvande i 12 og 14
63,38
36,62
63,38
36,62
63,38
36,62
63,38
36,62
63,38
36,62
63,38
36,62
52
PRA/2AC4-C
Dybvandsreje (Nordsøen)
UK- og EU-farvande 4; UK-farvande i 2a
77,99
22,01
77,99
22,01
77,99
22,01
77,99
22,01
77,99
22,01
77,99
22,01
53
RJE/7FG.
Småøjet rokke (7fg)
7f og 7g
56,36
43,64
53,39
46,61
50,42
49,58
46,86
53,14
44,49
55,51
44,49
55,51
54
RJU/7DE.
Broget rokke (Den Engelske Kanal)
7d og 7e
69,12
30,88
68,09
31,91
67,06
32,94
65,82
34,18
65,00
35,00
65,00
35,00
55
RNG/5B67-
Skolæst (vestlig)
6 og 7; UK-farvande og internationale farvande i 5b
95,16
4,84
95,16
4,84
95,16
4,84
95,16
4,84
95,16
4,84
95,16
4,84
56
RNG/8X14-
Skolæst (8, 9, 10, 12 og 14)
8, 9 og 10; internationale farvande i 12 og 14
99,71
0,29
99,71
0,29
99,71
0,29
99,71
0,29
99,71
0,29
99,71
0,29
57
SAN/2A3A4.
Tobiser (Nordsøen, alle banker)
UK- og EU-farvande i 4; UK-farvande i 2a; EU-farvande i 3a
97,26
2,74
97,14
2,86
97,03
2,97
96,89
3,11
96,80
3,20
96,80
3,20
58
SBR/678-
Spidstandet blankesten (vestlig)
6, 7 og 8
90,00
10,00
90,00
10,00
90,00
10,00
90,00
10,00
90,00
10,00
90,00
10,00
59
SOL/07A.
Tunge (Det Irske Hav)
7a
77,15
22,86
77,03
22,97
76,92
23,08
76,79
23,21
76,70
23,30
76,70
23,30
60
SOL/07D.
Tunge (den østlige del af Den Engelske Kanal)
7d
80,31
19,69
80,23
19,77
80,15
19,85
80,06
19,94
80,00
20,00
80,00
20,00
61
SOL/07E.
Tunge (den vestlige del af Den Engelske Kanal)
7e
38,97
61,03
38,60
61,40
38,24
61,76
37,79
62,21
37,50
62,50
37,50
62,50
62
SOL/24-C.
Tunge (Nordsøen)
UK- og EU-farvande 4; UK-farvande i 2a
88,09
11,91
86,81
13,19
85,54
14,46
84,02
15,98
83,00
17,00
83,00
17,00
63
SOL/56-14
Tunge (vest for Skotland)
6; UK-farvande og internationale farvande i 5b; internationale farvande i 12 og 14
80,00
20,00
80,00
20,00
80,00
20,00
80,00
20,00
80,00
20,00
80,00
20,00
64
SOL/7FG.
Tunge (7fg)
7f og 7g
69,35
30,65
68,93
31,07
68,51
31,49
68,01
31,99
67,67
32,33
67,67
32,33
65
SOL/7HJK.
Tunge (7hjk)
7h, 7j og 7k
83,33
16,67
83,33
16,67
83,33
16,67
83,33
16,67
83,33
16,67
83,33
16,67
66
SPR/2AC4-C
Brisling (Nordsøen)
UK- og EU-farvande 4; UK-farvande i 2a
96,18
3,82
96,18
3,82
96,18
3,82
96,18
3,82
96,18
3,82
96,18
3,82
67
SPR/7DE.
Brisling (Den Engelske Kanal)
7d og 7e
28,60
71,40
25,45
74,55
22,30
77,70
18,52
81,48
16,00
84,00
16,00
84,00
68
SRX/07D.
Rokker (Den Engelske Kanal)
7d
84,51
15,49
84,44
15,56
84,36
15,64
84,27
15,73
84,21
15,79
84,21
15,79
69
SRX/2AC4-C
Rokker (Nordsøen)
UK- og EU-farvande 4; UK-farvande i 2a
32,73
67,27
32,29
67,71
31,86
68,14
31,35
68,65
31,00
69,00
31,00
69,00
70
SRX/67AKXD
Rokker (vestlige)
UK- og EU-farvande i 6a, 6b, 7a-c og 7e-k
71,06
28,94
70,54
29,46
70,02
29,98
69,40
30,60
68,99
31,01
68,99
31,01
71
T/B/2AC4-C
Pighvar og slethvar (Nordsøen)*
UK- og EU-farvande i 4; UK-farvande i 2a
81,82
18,18
81,37
18,63
80,91
19,09
80,36
19,64
80,00
20,00
80,00
20,00
72
USK/04-C.
Brosme (Nordsøen)
UK- og EU-farvande i 4
59,46
40,54
59,46
40,54
59,46
40,54
59,46
40,54
59,46
40,54
59,46
40,54
73
USK/567EI.
Brosme (vestlig)
6 og 7; UK-farvande og internationale farvande i 5
70,73
29,27
70,55
29,45
70,37
29,63
70,15
29,85
70,00
30,00
70,00
30,00
74
WHG/07A.
Hvilling (Det Irske Hav)
7a
42,27
57,73
41,45
58,55
40,63
59,37
39,65
60,35
39,00
61,00
39,00
61,00
75
WHG/56-14
Hvilling (vest for Skotland)
6; UK-farvande og internationale farvande i 5b; internationale farvande i 12 og 14
37,53
62,47
36,67
63,33
35,81
64,19
34,78
65,22
34,09
65,91
34,09
65,91
76
WHG/7X7A-C
Hvilling (Det Keltiske Hav)*
7b, 7c, 7d, 7e, 7f, 7g, 7h, 7j og 7k
88,95
11,05
88,89
11,11
88,84
11,16
88,77
11,23
88,73
11,27
88,73
11,27
BILAG 36
A.   Trilaterale bestande for Det Forenede Kongerige (UK), EU og Norge
#
Kode
Almindeligt anvendt navn
ICES-områder
Andele
2021
2022
2023
2024
2025
Fra 2026
EU
UK
EU
UK
EU
UK
EU
UK
EU
UK
EU
UK
77
COD/2A3AX4
Torsk (Nordsøen)
4; UK-farvande i 2a; den del af 3a, der ikke hører ind under Skagerrak og Kattegat
47,03
52,97
46,02
53,98
45,02
54,99
43,81
56,19
43,00
57,00
43,00
57,00
78
HAD/2AC4.
Kuller (Nordsøen)
4; UK-farvande i 2a
18,45
81,55
17,80
82,20
17,14
82,86
16,35
83,65
15,83
84,17
15,83
84,17
79
HER/2A47DX
Sild (bifangster i Nordsøen)
4 og 7d; UK-farvande i 2a
98,18
1,82
98,18
1,82
98,18
1,82
98,18
1,82
98,18
1,82
98,18
1,82
80
HER/4AB.
Sild (Nordsøen)
UK- og EU-farvande samt norske farvande i 4 nord for 53°30' N
71,33
28,67
70,42
29,58
69,50
30,50
68,41
31,59
67,68
32,32
67,68
32,32
81
HER/4CXB7D
Sild (den sydlige del af Nordsøen og den østlige del af Den Engelske Kanal)
4c og 7d undtagen Blackwater
88,76
11,24
88,48
11,52
88,21
11,79
87,87
12,13
87,65
12,35
87,65
12,35
82
PLE/2A3AX4
Rødspætte (Nordsøen)
4; UK-farvande i 2a; den del af 3a, der ikke hører ind under Skagerrak og Kattegat
71,54
28,46
71,54
28,46
71,54
28,46
71,54
28,46
71,54
28,46
71,54
28,46
83
POK/2C3A4
Sej (Nordsøen)
3a og 4; UK-farvande i 2a
77,71
22,29
76,78
23,22
75,85
24,15
74,74
25,26
74,00
26,00
74,00
26,00
84
WHG/2AC4.
Hvilling (Nordsøen)
4; UK-farvande i 2a
34,78
65,22
32,71
67,29
30,63
69,37
28,13
71,87
26,47
73,53
26,47
73,53
B.   Bestande for kyststater
#
Kode
Almindeligt anvendt navn
ICES-områder
Andele
2021
2022
2023
2024
2025
Fra 2026
EU
UK
EU
UK
EU
UK
EU
UK
EU
UK
EU
UK
85
MAC/2A34.
Makrel (Nordsøen)
3a og 4; UK-farvande i 2a; EU-farvande i 3b og 3c og underafsnit 22-32
93,91
6,09
93,78
6,22
93,65
6,35
93,50
6,50
93,40
6,60
93,40
6,60
86
MAC/2CX14-
Makrel (vestlig)
6, 7, 8a, 8b, 8d og 8e; UK-farvande og internationale farvande i 5b; internationale farvande i 2a, 12 og 14
35,15
64,85
34,06
65,94
32,98
67,02
31,67
68,33
30,80
69,20
30,80
69,20
87
WHB/1X14
Blåhvilling (nordlig)
UK- og EU-farvande samt internationale farvande i 1, 2, 3, 4, 5, 6, 7, 8a, 8b, 8d, 8e, 12 og 14
79,47
20,53
79,35
20,65
79,24
20,76
79,09
20,91
79,00
21,00
79,00
21,00
C.   ICCAT-bestande
#
Kode
Almindeligt anvendt navn
Område
Andele
EU
UK
88
ALB/AN05N
Hvid tun (nordatlantisk)
Atlanterhavet nord for 5° N
98,48
1,52
89
BFT/AE45WM
Almindelig tun (nordøstatlantisk)
Atlanterhavet øst for 45° V og Middelhavet
99,75
0,25
90
BSH/AN05N
Blåhaj (nordatlantisk)
Atlanterhavet nord for 5° N
99,90
0,10
91
SWO/AN05N
Sværdfisk (nordatlantisk)
Atlanterhavet nord for 5° N
99,99
0,01
D.   NAFO-bestande
#
Kode
Almindeligt anvendt navn
Område
Andele
EU
UK
92
COD/N3M.
Torsk (NAFO 3M)
NAFO 3M
83,66
16,34
E.   Særlige tilfælde
#
Kode
Almindeligt anvendt navn
ICES-områder
Andele
EU
UK
93
COD/1/2B.
Torsk (Svalbard)
1 og 2b
75,00
25,00
F.   Bestande, som kun forekommer i én parts farvande
#
Kode
Almindeligt anvendt navn
ICES-områder
Andele
EU
UK
94
GHL/2A C46
Hellefisk (Nordsøen og vest for Skotland)
6; UK- og EU-farvande i 4; UK-farvande i 2a; UK-farvande og internationale farvande i 5b
27,35
72,65
95
HER/06ACL.
Sild (Clyde)
6 Clyde
0,00
100,00
96
HER/1/2-
Sild (ASH)
UK-farvande samt færøske, norske og internationale farvande i 1 og 2
70,00
30,00
97
LIN/05EI.
Lange (5)
UK-farvande og internationale farvande i 5
81,48
18,52
98
LIN/1/2.
Lange (1 og 2)
UK-farvande og internationale farvande i 1 og 2
77,78
22,22
99
NEP/5BC6.
Nephrops (vest for Skotland)
6; UK-farvande og internationale farvande i 5b
2,36
97,64
100
RED/51214D
Rødfisk [dybvandspelagisk] (5, 12 og 14)
UK-farvande og internationale farvande i 5; internationale farvande i 12 og 14
98,00
2,00
101
RED/51214S
Rødfisk [lavvandspelagisk] (5, 12 og 14)
UK-farvande og internationale farvande i 5; internationale farvande i 12 og 14
98,00
2,00
102
SBR/10-
Spidstandet blankesten (Azorerne)
EU-farvande og internationale farvande i 10
99,12
0,88
103
SRX/89-C.
Rokker (8 og 9)
UK- og EU-farvande i 8; EU-farvande i 9
99,78
0,22
104
USK/1214EI
Brosme (1, 2 og 14)
UK-farvande og internationale farvande i 1, 2 og 14
71,43
28,57
BILAG 37
#
Bestandskode
Almindeligt anvendt navn
ICES-områder
105
ANF/8ABDE.
Havtaske (8)
8a, 8b, 8d og 8e
106
BLI/03A-
Byrkelange (3a)
EU-farvande i 3a
107
BSF/8910-
Sort sabelfisk (8,9,10)
8, 9 og 10
108
COD/03AN.
Torsk (Skagerrak)
Skagerrak
109
HAD/03A.
Kuller (3a)
3a
110
HER/03A.
Sild (3a)
3a
111
HER/03A-BC
Sild (bifangst i 3a)
3a
112
HER/6AS7BC
Sild (vest for Irland)
6aS, 7b og 7c
113
HKE/03A.
Kulmule (3a)
3a
114
HKE/8ABDE.
Kulmule (8)
8a, 8b, 8d og 8e
115
JAX/08C.
Hestemakrel (8c)
8c
116
LEZ/8ABDE.
Glashvarrearter (8)
8a, 8b, 8d og 8e
117
MAC/2A4A-N
Makrel (tildeling til Danmark i norske farvande)
Norske farvande i 2a og 4a
118
MAC/8C3411
Makrel (sydlige komponent)
8c, 9 og 10; EU-farvande i CECAF 34.1.1
119
PLE/03AN.
Rødspætte (Skagerrak)
Skagerrak
120
SPR/03A.
Brisling (3a)
3a
121
SRX/03A-C.
Rokker (3a)
EU-farvande i 3a
122
USK/03A.
Brosme (3a)
3a
123
WHB/8C3411
Blåhvilling (sydlige komponent)
8c, 9 og 10; EU-farvande i CECAF 34.1.1
BILAG 38
PROTOKOL OM ADGANG TIL FARVANDE
Det Forenede Kongerige og Unionen,
SOM BEKRÆFTER uafhængige kyststaters suveræne rettigheder og forpligtelser, der udøves af parterne,
SOM UNDERSTREGER, at hver parts ret til at give den anden parts fartøjer adgang til at fiske i dens farvande normalt skal udøves i forbindelse med årlige konsultationer efter fastsættelsen af TAC'er for et givet år i forbindelse med årlige konsultationer,
SOM NOTERER SIG de sociale og økonomiske fordele ved en yderligere periode med stabilitet, hvor fiskere indtil den 30. juni 2026 vil få tilladelse til fortsat at sejle ind i den anden parts farvande som før denne aftales ikrafttræden,
ER BLEVET ENIGE om følgende:
Artikel 1
Der indføres hermed en tilpasningsperiode. Tilpasningsperioden løber fra den 1. januar 2021 til den 30. juni 2026.
Artikel 2
1.   Uanset denne aftales artikel 500, stk. 1, 3, 4, 5, 6 og 7, skal begge parter i tilpasningsperioden give fartøjer fra den anden part fuld adgang til sine farvande med henblik på at fiske:
a)
bestande, der er opført i bilag 35 og bilag 36, tabel A, B og F, i et omfang, der står i rimeligt forhold til parternes respektive andele af TAC'erne
b)
ikkekvoterede bestande, i et omfang, der svarer til den gennemsnitlige mængde, som den pågældende part fiskede i den anden parts farvande i perioden 2012-2016
c)
for fartøjer, der opfylder betingelserne, i den zone i parternes farvande, der ligger mellem seks og tolv sømil fra basislinjerne i ICES-afsnit 4c og 7d-g, i samme omfang, som hver parts fartøjer, der opfylder betingelserne, havde adgang til denne zone den 31. december 2020.
Med henblik på litra c) forstås ved "fartøj, der opfylder betingelserne" et fartøj fra en part, som fiskede i den zone, der er omhandlet i foregående punktum, i mindst fire år mellem 2012 og 2016, eller fartøjets direkte afløser.
2.   Parterne underretter den anden part om enhver ændring i omfanget af og betingelserne for adgang til farvande, der finder anvendelse fra den 1. juli 2026.
3.   Artikel 501 i denne aftale finder tilsvarende anvendelse på enhver ændring i henhold til denne artikels stk. 2 for perioden fra den 1. juli 2026 til den 31. december 2026.
BILAG 39
UDVEKSLING AF DNA, FINGERAFTRYK OG OPLYSNINGER FRA KØRETØJSREGISTRE
KAPITEL 0
ALMINDELIGE BESTEMMELSER
Artikel 1
Formål
Formålet med dette bilag er at fastlægge de databeskyttelsesbestemmelser og administrative og tekniske bestemmelser, der er nødvendige for gennemførelsen af tredje del, afsnit II, i denne aftale.
Artikel 2
Tekniske specifikationer
Staterne overholder de fælles tekniske specifikationer i forbindelse med alle anmodninger og svar vedrørende søgninger og sammenligninger af DNA-profiler, fingeraftryksoplysninger og oplysninger fra køretøjsregistre. Disse tekniske specifikationer er fastsat i kapitel 1-3.
Artikel 3
Kommunikationsnet
Elektronisk udveksling mellem staterne af DNA-oplysninger, fingeraftryksoplysninger og oplysninger fra køretøjsregistre finder sted ved anvendelse af kommunikationsnettet Trans European Services for Telematics between Administrations (TESTA II) og senere udviklinger heraf.
Artikel 4
Sikring af elektronisk udveksling af oplysninger
Staterne træffer de nødvendige foranstaltninger for at sikre, at elektronisk søgning og sammenligning af DNA-oplysninger, fingeraftryksoplysninger og oplysninger fra køretøjsregistre kan finde sted døgnet rundt alle ugens dage. Hvis der opstår en teknisk fejl, underretter staternes nationale kontaktpunkter omgående hinanden og aftaler midlertidige alternative ordninger til udveksling af oplysninger i henhold til gældende retlige bestemmelser. Den elektroniske udveksling af oplysninger skal genoprettes hurtigst muligt.
Artikel 5
Referencenumre vedrørende DNA- og fingeraftryksoplysninger
Referencenumrene i artikel 529 og 533 i denne aftale består af en kombination af følgende:
a)
en kode, der i tilfælde af overensstemmelse gør det muligt for staterne at finde personoplysninger og andre oplysninger i deres databaser for at levere dem til en, flere eller samtlige stater i henhold til artikel 536 i denne aftale
b)
en kode til angivelse af DNA-profilens eller fingeraftryksoplysningernes oprindelsesland, og
c)
med hensyn til DNA-oplysninger en kode til angivelse af DNA-profilens type.
Artikel 6
Principper for udveksling af DNA-oplysninger
1.   Staterne anvender eksisterende standarder for udveksling af DNA-oplysninger, som for eksempel det Europæiske standardsæt (ESS) eller INTERPOL's standardsæt af loci (ISSOL).
2.   I forbindelse med elektronisk søgning og sammenligning af DNA-profiler finder overførselsproceduren sted inden for en decentraliseret struktur.
3.   Der træffes passende foranstaltninger for at garantere oplysningers fortrolighed og integritet under overførsel til andre stater, herunder kryptering af oplysningerne.
4.   Staterne træffer de fornødne foranstaltninger til at sikre integriteten af de DNA-profiler, der er stillet til rådighed for eller fremsendt til de andre stater med henblik på sammenligning, og for at sikre, at disse foranstaltninger overholder internationale standarder som f.eks. ISO 17025.
5.   Staterne anvender landekoder i overensstemmelse med ISO 3166-1 alpha-2-standarden.
Artikel 7
Regler for anmodninger og svar vedrørende DNA-oplysninger
1.   Anmodninger om elektronisk søgning eller sammenligning, jf. artikel 530 eller 531 i denne aftale, må kun indeholde følgende oplysninger:
a)
den anmodende stats landekode
b)
anmodningens dato, tidspunkt og indikationsnummer
c)
DNA-profilerne og disses referencenumre
d)
de fremsendte DNA-profilers typer (uidentificerede DNA-profiler eller reference-DNA-profiler) og
e)
oplysninger, der er nødvendige for styring af databasesystemerne og kvalitetskontrol i forbindelse med de elektroniske søgeprocesser.
2.   Svaret (overensstemmelsesrapporten) på anmodningen i stk. 1 må kun indeholde følgende oplysninger:
a)
angivelse af, hvorvidt der er konstateret overensstemmelse med én eller flere DNA-profiler eller ej
b)
anmodningens dato, tidspunkt og indikationsnummer
c)
svarets dato, tidspunkt og indikationsnummer
d)
den anmodende og den anmodede stats landekode
e)
den anmodende og den anmodede stats referencenummer
f)
de fremsendte DNA-profilers typer (uidentificerede DNA-profiler eller reference-DNA-profiler)
g)
de ønskede og de matchende DNA-profiler og
h)
oplysninger, der er nødvendige for styring af databasesystemerne og kvalitetskontrol i forbindelse med de elektroniske søgeprocesser.
3.   Der gives kun elektronisk meddelelse om overensstemmelse, hvis den elektroniske søgning eller sammenligning har resulteret i overensstemmelse mellem et mindste antal loci. Dette mindste antal er anført i kapitel 1.
4.   Staterne sikrer, at anmodninger overholder de erklæringer, der er fremsat i overensstemmelse med artikel 529, stk. 3, i denne aftale.
Artikel 8
Procedure for overførsel af elektronisk søgning af uidentificerede DNA-profiler i henhold til artikel 530
1.   Hvis der i forbindelse med en søgning med en uidentificeret DNA-profil ikke er fundet overensstemmelse i den nationale database, eller hvis der er fundet overensstemmelse med en uidentificeret DNA-profil, kan denne uidentificerede DNA-profil overføres til alle andre staters databaser, og hvis der i forbindelse med en søgning med denne uidentificerede DNA-profil findes overensstemmelse med reference-DNA-profiler og/eller uidentificerede DNA-profiler i andre staters databaser, meddeles disse tilfælde automatisk, og DNA-referenceoplysningerne overføres til den anmodende stat; hvis der ikke findes overensstemmelse i andre staters databaser, meddeles dette automatisk til den anmodende stat.
2.   Hvis der i forbindelse med en søgning med en uidentificeret DNA-profil findes overensstemmelse i andre staters database, kan de berørte stater indsætte en note herom i deres nationale databaser.
Artikel 9
Procedure for overførsel af elektronisk søgning af reference-DNA-profiler i henhold til artikel 530
Hvis der i forbindelse med en søgning med en reference-DNA-profil ikke er fundet overensstemmelse i den nationale database med en reference-DNA-profil, eller der er fundet overensstemmelse med en uidentificeret DNA-profil, kan denne reference-DNA-profil overføres til alle andre staters databaser, og hvis der i forbindelse med en søgning med denne reference-DNA-profil findes overensstemmelse med reference-DNA-profiler og/eller uidentificerede DNA-profiler i andre staters database, meddeles disse tilfælde automatisk, og DNA-referenceoplysningerne overføres til den anmodende stat; hvis der ikke findes overensstemmelse i andre staters databaser, meddeles dette automatisk til den anmodende stat.
Artikel 10
Procedure for overførsel af elektronisk sammenligning af uidentificerede DNA-profiler i henhold til artikel 531
1.   Hvis der i forbindelse med en sammenligning med uidentificerede DNA-profiler findes overensstemmelse i andre staters databaser med reference-DNA-profiler og/eller uidentificerede DNA-profiler, meddeles disse tilfælde automatisk, og DNA-referenceoplysningerne overføres til den anmodende stat.
2.   Hvis der i forbindelse med en sammenligning med uidentificerede DNA-profiler findes overensstemmelse i andre staters databaser med uidentificerede DNA-profiler eller reference-DNA-profiler, kan de berørte stater indsætte en note herom i deres nationale databaser.
Artikel 11
Principper for udveksling af fingeraftryksoplysninger
1.   Digitalisering af fingeraftryksoplysninger og overførsel heraf til de øvrige stater finder sted ved anvendelse af det ensartede dataformat, der er anført i kapitel 2.
2.   Staterne sikrer, at kvaliteten af de fingeraftryksoplysninger, som de overfører, er tilstrækkelig høj til, at oplysningerne kan behandles i det elektroniske fingeraftryksidentifikationssystem (AFIS).
3.   Overførselsproceduren for udveksling af fingeraftryksoplysninger finder sted inden for en decentraliseret struktur.
4.   Der træffes passende foranstaltninger for at garantere fingeraftryksoplysningers fortrolighed og integritet under fremsendelse til andre stater, herunder kryptering af disse.
5.   Staterne anvender landekoder i overensstemmelse med ISO 3166-1 alpha-2-standarden.
Artikel 12
Søgekapacitet for fingeraftryksoplysninger
1.   Staterne sikrer, at deres søgningsanmodninger ikke overstiger den søgekapacitet, den anmodede stat har anført. Det Forenede Kongerige afgiver en erklæring om den maksimale søgekapacitet pr. dag for fingeraftryksoplysninger vedrørende identificerede personer og for fingeraftryksoplysninger vedrørende ikkeidentificerede personer.
2.   Det maksimale antal personer, der accepteres med henblik på kontrol pr. overførsel, er fastsat i kapitel 2.
Artikel 13
Regler for anmodninger og svar i forbindelse med fingeraftryksoplysninger
1.   Den anmodede stat kontrollerer omgående kvaliteten af de fremsendte fingeraftryksoplysninger ved en fuldautomatisk procedure. Hvis oplysningerne er uegnede til elektronisk sammenligning, underretter den anmodede stat omgående den anmodende stat herom.
2.   Den anmodede stat foretager søgninger i den rækkefølge, hvori anmodninger modtages. Anmodninger behandles inden for 24 timer ved en fuldautomatisk procedure. Den anmodende stat kan anmode om fremskyndet behandling af sine anmodninger, hvis dens nationale lovgivning foreskriver det, og den anmodede stat foretager disse søgninger omgående. Hvis tidsfristerne på grund af force majeure ikke kan overholdes, foretages sammenligningen umiddelbart efter, at hindringerne er fjernet.
Artikel 14
Principper for elektronisk søgning af oplysninger i køretøjsregistre
1.   Til elektronisk søgning af oplysninger i køretøjsregistre anvender staterne en version af softwareprogrammet til det Europæiske informationssystem vedrørende køretøjer og kørekort (Eucaris), der er udformet specielt med henblik på artikel 537 i denne aftale, og ændrede versioner af dette softwareprogram.
2.   Elektronisk søgning af oplysninger i køretøjsregistre finder sted inden for en decentraliseret struktur.
3.   Oplysninger, der udveksles via Eucarissystemet, overføres i krypteret form.
4.   Det angives i kapitel 3, hvilke oplysninger fra køretøjsregistrene der skal udveksles.
5.   Ved gennemførelsen af artikel 537 i denne aftale kan staterne give førsteprioritet til søgninger, der vedrører bekæmpelse af alvorlig kriminalitet.
Artikel 15
Omkostninger
Staterne afholder alle omkostninger i forbindelse med forvaltning, anvendelse og vedligeholdelse af det i artikel 14, stk. 1, nævnte Eucarissoftwareprogram.
Artikel 16
Formål
1.   Den modtagende stat må kun behandle personoplysninger til de formål, hvortil oplysningerne er leveret i henhold til tredje del, afsnit II, i denne aftale. Behandling til andre formål er kun tilladt efter forudgående samtykke fra den stat, der forvalter databasen, og kun under overholdelse af den modtagende stats nationale lovgivning. Samtykke kan gives, hvis behandling til sådanne andre formål er tilladt i henhold til den nationale lovgivning i den stat, der forvalter databasen.
2.   Den stat, der søger eller sammenligner oplysninger, må kun behandle oplysninger, der er leveret i henhold til artikel 530, 531 og 534 i denne aftale, med henblik på
a)
at fastslå, om de sammenlignede DNA-profiler eller fingeraftryksoplysninger stemmer overens
b)
at udarbejde og indgive en politi- eller retsanmodning om retshjælp i overensstemmelse med den nationale lovgivning, hvis disse oplysninger stemmer overens
c)
at foretage registrering som omhandlet i dette kapitels artikel 19.
3.   Den stat, der forvalter databasen, må kun behandle oplysninger, som den har fået leveret i henhold til artikel 530, 531 og 534 i denne aftale, hvis dette er nødvendigt for at foretage en sammenligning, en elektronisk besvarelse af søgningen eller en registrering som omhandlet i dette kapitels artikel 19. Når oplysningerne er sammenlignet, eller søgningen er besvaret elektronisk, skal de leverede oplysninger straks slettes, medmindre der er behov for yderligere behandling til de formål, der er anført i denne artikels stk. 2, litra b) og c).
4.   Oplysninger, der er leveret i henhold til artikel 537 i denne aftale, må kun bruges af den stat, der forvalter databasen, hvis det er nødvendigt for at foretage en elektronisk besvarelse af søgning eller en registrering i henhold til dette kapitels artikel 19. Når søgning er besvaret elektronisk, skal de leverede oplysninger straks slettes, medmindre der er behov for yderligere behandling med henblik på registrering som omhandlet i dette kapitels artikel 19. Den søgende stat må kun anvende de oplysninger, der er fundet ved søgningen, til den procedure, på grundlag af hvilken søgningen er foretaget.
Artikel 17
Oplysningernes rigtighed, aktualitet og lagringstid
1.   Staterne sikrer personoplysningers rigtighed og aktualitet. Hvis det uden videre eller efter meddelelse fra den registrerede viser sig, at der er leveret urigtige oplysninger eller oplysninger, der ikke skulle have været leveret, skal dette straks meddeles den modtagende stat. De(n) har pligt til at rette eller slette oplysningerne. Desuden skal leverede personoplysninger rettes, hvis det viser sig, at de er urigtige. Hvis den modtagende myndighed har grund til at antage, at de leverede oplysninger er urigtige eller bør slettes, underretter den straks den leverende myndighed herom.
2.   Oplysninger, hvis rigtighed den registrerede anfægter, og hvis rigtighed eller urigtighed ikke kan fastslås, skal under overholdelse af staternes nationale lovgivning forsynes med en påtegning efter anmodning fra den registrerede. Hvis der er foretaget en påtegning, kan denne under overholdelse af staternes nationale lovgivning kun fjernes med den registreredes samtykke eller på grundlag af en afgørelse truffet af den kompetente domstol eller det kompetente uafhængige databeskyttelsesorgan.
3.   Leverede personoplysninger slettes, hvis de ikke skulle have været leveret eller modtaget. Retmæssigt leverede og modtagne oplysninger slettes,
a)
hvis de ikke eller ikke længere er nødvendige til det formål, hvortil de er leveret; hvis personoplysninger leveres uden anmodning, skal det modtagende organ straks kontrollere, om de er nødvendige til de formål, hvortil de er leveret
b)
efter udløbet af den maksimumsperiode for opbevaring af oplysningerne, som er fastsat i den leverende stats nationale lovgivning, hvis det leverende organ har oplyst det modtagende organ om denne maksimumsperiode ved leveringen.
4.   I stedet for at blive slettet blokeres oplysningerne under overholdelse af den nationale lovgivning, hvis der er grund til at antage, at sletning vil skade den registreredes interesser. Blokerede oplysninger må kun leveres eller bruges til det formål, af hensyn til hvilket sletning er undladt.
Artikel 18
Tekniske og organisatoriske foranstaltninger med henblik på databeskyttelse og datasikkerhed
1.   Det leverende og det modtagende organ har pligt til effektivt at beskytte personoplysninger mod hændelig eller uautoriseret tilintetgørelse, hændeligt tab, uautoriseret adgang, uautoriseret eller hændelig ændring og uautoriseret videregivelse.
2.   Enkelthederne i den tekniske udformning af den elektroniske søgeprocedure fastsættes i gennemførelsesforanstaltningerne, jf. artikel 539 i denne aftale, der sikrer,
a)
at der træffes foranstaltninger til ved hjælp af den mest avancerede teknik at garantere databeskyttelse og datasikkerhed, især oplysningernes fortrolighed og integritet
b)
at der anvendes anerkendte krypterings- og autoriseringsprocedurer, når de kompetente organer benytter almindeligt tilgængelige net, og
c)
at det i overensstemmelse med dette kapitels artikel 19, stk. 2, 5 og 6, kan kontrolleres, om søgninger er tilladt.
Artikel 19
Logning og registrering: særlige forskrifter vedrørende elektronisk og ikkeelektronisk levering
1.   Hver stat sikrer, at enhver ikkeelektronisk levering og enhver ikkeelektronisk modtagelse af personoplysninger i det organ, der forvalter databasen, og i det søgende organ, logges med henblik på at kontrollere, om leveringen er tilladt. Logningen omfatter følgende oplysninger:
a)
grunden til leveringen
b)
de leverede oplysninger
c)
datoen for leveringen, og
d)
navnet eller referencekoden på det søgende organ og det organ, der forvalter databasen.
2.   For elektronisk søgning af oplysninger i henhold til artikel 530, 534 og 537 i denne aftale og elektronisk sammenligning i henhold til artikel 531 i denne aftale gælder følgende:
a)
elektronisk søgning eller sammenligning må kun foretages af særligt bemyndigede embedsmænd fra de nationale kontaktpunkter; efter anmodning forelægges en liste over embedsmænd, der er bemyndigede til at foretage elektronisk søgning eller sammenligning, for de tilsynsførende myndigheder, der er nævnt i stk. 6, og for de andre stater
b)
hver stat sikrer, at enhver levering og modtagelse af personoplysninger i det organ, der forvalter databasen, og i det søgende organ registreres, herunder meddelelse om, hvorvidt der er fundet et HIT registreringen omfatter følgende oplysninger:
i)
de leverede oplysninger
ii)
datoen og det nøjagtige tidspunkt for leveringen og
iii)
navnet eller referencekoden på det søgende organ og det organ, der forvalter databasen.
3.   Det søgende organ registrerer desuden grunden til søgningen eller leveringen og referencen på den embedsmand, der har foretaget søgningen, og den embedsmand, der har givet ordre til søgningen eller leveringen.
4.   Det registrerende organ meddeler efter anmodning de registrerede oplysninger til den pågældende stats kompetente databeskyttelsesmyndigheder senest fire uger efter modtagelsen af anmodningen; registrerede oplysninger må kun bruges til følgende formål:
a)
kontrol af databeskyttelse
b)
sikring af datasikkerhed.
5.   De registrerede oplysninger skal med passende midler beskyttes mod uretmæssig brug og andre former for misbrug og opbevares i to år. Efter opbevaringsperiodens udløb skal de registrerede oplysninger straks slettes.
6.   Den juridiske kontrol af leveringen eller modtagelsen af personoplysninger ligger hos de respektive staters uafhængige databeskyttelsesmyndigheder eller, hvor det er relevant, judicielle myndigheder. Under overholdelse af den nationale lovgivning kan enhver anmode disse myndigheder om at kontrollere, om behandlingen af oplysninger om den pågældende er retmæssig. Disse myndigheder og de organer, der er ansvarlige for registrering, skal også uden anmodning foretage stikprøvekontrol af leveringernes retmæssighed på grundlag af de sagsakter, der ligger til grund herfor.
7.   Resultaterne af denne kontrol opbevares af de uafhængige databeskyttelsesmyndigheder i 18 måneder. Efter denne periodes udløb skal de straks slettes. Hver databeskyttelsesmyndighed kan anmodes af en anden stats uafhængige databeskyttelsesmyndighed om at udøve sine beføjelser under overholdelse af den nationale lovgivning. Staternes uafhængige databeskyttelsesmyndigheder gennemfører det samarbejde, der er nødvendigt for deres kontrolopgaver, navnlig gennem udveksling af relevante oplysninger.
Artikel 20
Registreredes ret til skadeserstatning
Når den ene stats organ har leveret personoplysninger i henhold til tredje del, afsnit II, i denne aftale, kan den anden stats modtagende organ ikke unddrage sig sit ansvar over for skadelidte i henhold til national lovgivning med den begrundelse, at de leverede oplysninger var urigtige. Hvis det modtagende organ yder erstatning for en skade, der skyldes brug af urigtige videregivne oplysninger, godtgør det leverende organ det modtagende organ hele det udbetalte erstatningsbeløb.
Artikel 21
Oplysninger efter anmodning fra staterne
Den modtagende stat underretter efter anmodning den leverende stat om behandlingen af de leverede oplysninger og resultatet heraf.
Artikel 22
Erklæringer og udpegelser
1.   Det Forenede Kongerige meddeler sine erklæringer i henhold til artikel 529, stk. 3, i denne aftale og artikel 12, stk. 1, i dette kapitel samt sine udpegelser i henhold til artikel 535, stk. 1, og artikel 537, stk. 3, i denne aftale til specialudvalget om retshåndhævelse og retligt samarbejde.
2.   De faktuelle oplysninger, som forelægges af Det Forenede Kongerige i form af disse erklæringer og udpegelser og af medlemsstaterne i overensstemmelse med artikel 539, stk. 3, i denne aftale, findes i håndbogen som omhandlet i artikel 18, stk. 2, i afgørelse 2008/616/RIA.
3.   Stater kan til enhver tid ændre de erklæringer og udpegelser, der er forelagt i henhold til stk. 1, ved hjælp af en meddelelse til specialudvalget om retshåndhævelse og retligt samarbejde. Specialudvalget om retshåndhævelse og retligt samarbejde videresender alle modtagne erklæringer til Generalsekretariatet for Rådet.
4.   Generalsekretariatet for Rådet meddeler eventuelle ændringer i den i stk. 2 omhandlede håndbog til specialudvalget om retshåndhævelse og retligt samarbejde.
Artikel 23
Forberedelse af afgørelser som omhandlet i artikel 540
1.   Rådet træffer afgørelse som omhandlet i artikel 540 i denne aftale på grundlag af en evalueringsrapport, der baseres på et spørgeskema.
2.   Med hensyn til den elektroniske dataudveksling i overensstemmelse med tredje del, afsnit II, i denne aftale baseres evalueringsrapporten ligeledes på et evalueringsbesøg og en forsøgsfase, der gennemføres, når Det Forenede Kongerige har underrettet specialudvalget om retshåndhævelse og retligt samarbejde om, at det har opfyldt de forpligtelser, som det er pålagt i henhold til tredje del, afsnit II, i denne aftale, og afgiver de erklæringer, der er fastsat i dette kapitels artikel 22. Yderligere enkeltheder vedrørende proceduren er fastsat i dette bilags kapitel 4.
Artikel 24
Statistik og rapporter
1.   Den administrative, tekniske og finansielle anvendelse af dataudvekslingen i henhold til tredje del, afsnit II, i denne aftale evalueres regelmæssigt. Evalueringen gennemføres for de kategorier af data, for hvilke dataudvekslingen er påbegyndt for de berørte staters vedkommende. Evalueringen baseres på rapporter fra de respektive stater.
2.   Hver stat indsamler statistikker om resultaterne af den elektroniske dataudveksling. For at sikre, at statistikkerne er sammenlignelige, vil den relevante arbejdsgruppe i Rådet udarbejde statistikmodellen. Disse statistikker sendes hvert år til specialudvalget om retshåndhævelse og retligt samarbejde.
3.   Staterne vil desuden regelmæssigt, men højst én gang hvert år, blive anmodet om at forelægge yderligere oplysninger om den administrative, tekniske og finansielle gennemførelse af elektronisk dataudveksling, som er nødvendig for at analysere og forbedre processen.
4.   I forbindelse med denne artikel finder statistikker og rapportering fra medlemsstaterne i overensstemmelse med afgørelse 2008/615/RIA og 2008/616/RIA anvendelse.
KAPITEL 1
UDVEKSLING AF DNA-OPLYSNINGER
1.   DNA-relaterede retsmedicinske spørgsmål, overensstemmelsesregler og algoritmer
1.1.   Egenskaber ved DNA-profilerne
DNA-profilen kan indeholde 24 talpar, der repræsenterer allelerne af 24 loci, der også benyttes i INTERPOL's DNA-procedurer. Navnene på disse loci er anført i følgende skema:
VWA
TH01
D21S11
FGA
D8S1179
D3S1358
D18S51
Amelogenin
TPOX
CSF1P0
D13S317
D7S820
D5S818
D16S539
D2S1338
D19S433
Penta D
Penta E
FES
F13A1
F13B
SE33
CD4
GABA
De syv grå loci i øverste række er det nuværende ESS og ISSOL.
Medtagelsesregler:
De DNA-profiler, som staterne stiller til rådighed for eller udsender med henblik på søgning og sammenligning, skal indeholde mindst seks fulde udpegede 
(
1
)
 loci og kan indeholde yderligere loci eller blanke felter alt efter, hvad der er tilgængeligt. Reference-DNA-profilerne skal indeholde mindst 6 af de 7 ESS-loci. For at højne overensstemmelsespræcisionen opbevares alle de tilgængelige alleler i den indekserede DNA-profildatabase og benyttes til søgning og sammenligning. Hver stat bør, så hurtigt som det er praktisk gennemførligt, implementere enhver ny ESS for loci, som vedtages af EU.
Blandede profiler er ikke tilladt, hvilket vil sige, at allelværdien for hvert locus kun består af to tal, der kan være ens i tilfælde af homozygositet i et givet locus.
Jokere og mikrovarianter behandles efter følgende regler:
—
Enhver ikkenumerisk værdi bortset fra amelogenin i profilen (f.eks. "o", "f", "r", "na", "nr" eller "un") skal ved eksport automatisk konverteres til en joker (*) og søges på i forhold til alle.
—
Numeriske værdier "0", "1" eller "99" i profilen skal ved eksport automatisk konverteres til en joker (*) og søges på i forhold til alle.
—
Hvis der forekommer tre alleler for en og samme locus, vil den første allel blive accepteret, og de to andre alleler skal ved eksport automatisk konverteres til en joker (*) og søges på i forhold til alle.
—
Når der forekommer jokerværdier for allel 1 eller 2, vil der blive søgt på begge permutationer af den numeriske værdi for den pågældende locus (f.eks. vil 12, * give overensstemmelse med 12,14 eller 9,12).
—
Pentanucleotide (Penta D, Penta E & CD4) mikrovarianter vil give overensstemmelse efter følgende model:
—
x.1 = x, x.1, x.2
—
x.2 = x.1, x.2, x.3
—
x.3 = x.2, x.3, x.4
—
x.4 = x.3, x.4, x + 1,
—
Tetranucleotide (alle andre loci er tetranucleotide) mikrovarianter vil give overensstemmelse efter følgende model:
—
x.1 = x, x.1, x.2
—
x.2 = x.1, x.2, x.3
—
x.3 = x.2, x.3, x + 1.
1.2.   Overensstemmelsesregler
Sammenligningen af to DNA-profiler sker på grundlag af de loci, for hvilke et allelværdipar er til stede i begge DNA-profiler. Mindst 6 fulde udpegede loci (ekskl. amelogenin) skal være sammenfaldende i de to DNA-profiler, før der gives overensstemmelsessvar.
Fuld overensstemmelse (kvalitet 1) defineres som en overensstemmelse, hvor alle allelværdier for de sammenlignede loci, der er almindeligt forekommende i de anmodende og anmodede DNA-profiler, er ens. Næsten-overensstemmelse defineres som en overensstemmelse, hvor kun værdien af en enkelt af alle de sammenlignede alleler er forskellig i de to DNA-profiler (kvalitet 2, 3 og 4). En næsten-overensstemmelse accepteres kun, hvis der er mindst 6 fulde udpegede overensstemmende loci i de to sammenlignede DNA-profiler.
En næsten-overensstemmelse kan skyldes:
—
en menneskelig slåfejl i en af DNA-profilerne i søgningen eller DNA-databasen ved indrejsestedet
—
en allelbestemmelses- eller allelfremkaldelsesfejl under genereringen af DNA-profilen.
1.3.   Indberetningsregler
Fuld overensstemmelse, næsten-overensstemmelse og "ingen overensstemmelse" vil alle blive indberettet.
Overensstemmelsesrapporten vil blive sendt til det anmodende nationale kontaktpunkt og gøres også tilgængelig for det anmodede nationale kontaktpunkt (så det kan danne sig et overblik over, hvilken art og hvor mange opfølgende anmodninger der vil kunne komme om yderligere tilgængelige personoplysninger og andre oplysninger vedrørende den DNA-profil, der svarer til den fundne overensstemmelse, jf. artikel 536 i denne aftale.
2.   Skema over landekoder
I overensstemmelse med tredje del, afsnit II, i denne aftale benyttes ISO 3166-1-alpha-2-koderne til domænenavne og andre konfigurationsparametre, der er krævet i Prümaftalens DNA-udvekslingsprogrammer via et lukket netværk.
ISO 3166-1-alpha-2-koderne for staterne er nedenstående landekoder med to bogstaver.
Staternes navne
Kode
Staternes navne
Kode
Belgien
BE
Litauen
LT
Bulgarien
BG
Luxembourg
LU
Den Tjekkiske Republik
CZ
Ungarn
HU
Danmark
DK
Malta
MT
Tyskland
DE
Nederlandene
NL
Estland
EE
Østrig
AT
Irland
IE
Polen
PL
Grækenland
EL
Portugal
PT
Spanien
ES
Rumænien
RO
Frankrig
FR
Slovakiet
SK
Kroatien
HR
Slovenien
SI
Italien
IT
Finland
FI
Cypern
CY
Sverige
SE
Letland
LV
Det Forenede Kongerige
UK
3.   Funktionsanalyse
3.1.   Systemets tilgængelighed
Anmodninger i henhold til artikel 530 i denne aftale bør nå frem til den søgte database i kronologisk orden efter de enkelte anmodningers afsendelsestidspunkt, og svar bør afsendes, så de når frem til den anmodende stat senest 15 minutter efter, at anmodningen er modtaget.
3.2.   Anden etape
Når en stat modtager en indberetning om en overensstemmelse er dens nationale kontaktpunkt ansvarlig for at sammenligne værdierne i den profil, der blev indsendt som en forespørgsel, med værdierne i den eller de profiler, der blev modtaget som svar, med henblik på at validere og kontrollere profilens beviskraft. De nationale kontaktpunkter kan kontakte hinanden direkte om spørgsmål, der vedrører validering.
Procedurer for juridisk bistand begynder efter validering af en konstateret overensstemmelse mellem to profiler på grundlag af en "fuld overensstemmelse" eller en "næsten-overensstemmelse", der er fremkommet i den automatiske konsultationsfase.
4.   DNA-grænsefladekontroldokument (ICD)
4.1.   Indledning
4.1.1.   Formål
I dette kapitel defineres kravene vedrørende udveksling af DNA-profiloplysninger mellem alle staternes DNA-databasesystemer. Headerfelterne er defineret specielt med henblik på Prümudvekslingen af DNA-oplysninger, og datadelen er baseret på DNA-profildatadelen i det XML-skema, der er defineret til INTERPOL's DNA-udvekslingsgateway.
Oplysningerne udveksles med Simple Mail Transfer Protocol (SMTP) og andre avancerede teknologier og benytter en central relaymailserver, som netudbyderen stiller til rådighed. XML-filen sendes som mail body.
4.1.2.   Anvendelsesområde
Dette ICD definerer kun indholdet af meddelelsen (eller mailen). Alle netværksspecifikke og mailspecifikke elementer er defineret ens, så der opnås et fælles teknisk grundlag for udveksling af DNA-oplysninger.
Dette omfatter:
—
formatet af meddelelsens emnefelt, så det bliver muligt at edb-behandle meddelelserne
—
overvejelser om behovet for kryptering, og i bekræftende fald hvilke metoder der bør vælges
—
meddelelsernes maksimale længde.
4.1.3.   XML-struktur og principper
XML-meddelelsen er opdelt i:
—
headerdelen, der indeholder oplysninger om transmissionen, og
—
datadelen, der indeholder profilspecifikke oplysninger samt selve profilen.
Det samme XML-skema benyttes til anmodning og til svar.
Når det drejer sig om komplette verifikationer af uidentificerede DNA-profiler, jf. artikel 531 i denne aftale, skal det være muligt at sende flere profiler i samme meddelelse. Der skal fastsættes et maksimalt antal profiler, der kan være indeholdt i en enkelt meddelelse. Antallet afhænger af den maksimale størrelse, som en mail må have, og skal fastlægges, når valget af mailserver er foretaget.
XML-eksempel:
<?version="1.0" standalone="yes"?>
<PRUEMDNAx xmlns:msxsl="urn:schemas-microsoft-com:xslt"
xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance">
<header>
(…)
</header>
<datas>
(…)
</datas>
[<datas> datastrukturen gentages, hvis flere profiler sendes i (….) samme SMTP-meddelelse, hvilket kun er tilladt i tilfælde i henhold til artikel 531 i denne aftale
</datas>]
</PRUEMDNA>
4.2.   Definition af XML-strukturen
Definitionerne i det følgende tjener kun dokumentationsformål og til at forbedre læsbarheden. De egentlige bindende oplysninger findes i en XML-skema-fil (PRUEM DNA.xsd).
4.2.1.   Skemaet PRUEMDNAx
Den indeholder følgende felter:
Fields
Type
Description
header
PRUEM_header
Occurs: 1
data
PRUEM_data
Occurs: 1 … 500
4.2.2.   Indholdet af headerstrukturen
4.2.2.1.
PRUEM header
Denne struktur beskriver XML-filens header. Den indeholder følgende felter:
Fields
Type
Description
direction
PRUEM_header_dir
Direction of message flow
ref
String
Reference of the XML file
generator
String
Generator of XML file
schema_version
String
Version number of schema to use
requesting
PRUEM_header_info
Requesting State info
requested
PRUEM_header_info
Requesting State info
4.2.2.2.
PRUEM_header dir
Typer af data i meddelelsen. Værdien kan være:
Value
Description
R
Request
A
Answer
4.2.2.3.
PRUEM header info
Denne struktur beskriver staten samt dato og tidspunkt. Den indeholder følgende felter:
Fields
Type
Description
source_isocode
String
ISO 3166-2 code of the requesting State
destination_isocode
String
ISO 3166-2 code of the requested State
request_id
String
unique Identifier for a request
date
Date
Date of creation of message
time
Time
Time of creation of message
4.2.3.   Indholdet af PRUEM-profilens data
4.2.3.1.
PRUEM_datas
Denne struktur beskriver XML-profilens datadel. Den indeholder følgende felter:
Fields
Type
Description
reqtype
PRUEM request type
Type of request (Article 530 or 531)
date
Date
Date profile stored
type
PRUEM_datas_type
Type of profile
result
PRUEM_datas_result
Result of request
agency
String
Name of corresponding unit responsible for the profile
profile_ident
String
Unique State profile ID
message
String
Error Message, if result = E
profile
IPSG_DNA_profile
If direction = A (Answer) AND result ≠ H (HIT) empty
match_id
String
In case of a HIT PROFILE_ID of the requesting profile
quality
PRUEM_hitquality_type
Quality of HIT
hitcount
Integer
Count of matched Alleles
rescount
Integer
Count of matched profiles. If direction = R (Request), then empty. If quality!=0 (the original requested profile), then empty.
4.2.3.2.
PRUEM_request_type
Typer af data i meddelelsen. Værdien kan være:
Value
Description
3
Requests pursuant to Article 530
4
Requests pursuant to Article 531
4.2.3.3.
PRUEM_hitquality_type
Value
Description
0
Referring original requesting profile:
Case "No-HIT": original requesting profile sent back only;
Case "HIT": original requesting profile and matched profiles sent back.
1
Equal in all available alleles without wildcards
2
Equal in all available alleles with wildcards
3
HIT with Deviation (Microvariant)
4
HIT with mismatch
4.2.3.4.
PRUEM_data_type
Typer af data i meddelelsen. Værdien kan være:
Value
Description
P
Person profile
S
Stain
4.2.3.5.
PRUEM_data_result
Typer af data i meddelelsen. Værdien kan være:
Value
Description
U
Undefined, If direction = R (request)
H
HIT
n
No-HIT
E
Error
4.2.3.6.
IPSG_DNA_profile
Denne struktur beskriver en DNA-profil. Den indeholder følgende felter:
Fields
Type
Description
ess_issol
IPSG_DNA_ISSOL
Group of loci corresponding to the ISSOL (standard group of Loci of INTERPOL)
additional_loci
IPSG_DNA_additional_loci
Other loci
marker
String
Method used to generate of DNA
profile_id
String
Unique identifier for DNA profile
4.2.3.7.
IPSG_DNA_ISSOL
Denne struktur indeholder ISSOL-loci (Standard Group of INTERPOL loci). Den indeholder følgende felter:
Fields
Type
Description
vwa
IPSG_DNA_locus
Locus vwa
th01
IPSG_DNA_locus
Locus th01
d21s11
IPSG_DNA_locus
Locus d21s11
fga
IPSG_DNA_locus
Locus fga
d8s1179
IPSG_DNA_locus
Locus d8s1179
d3s1358
IPSG_DNA_locus
Locus d3s1358
d18s51
IPSG_DNA_locus
Locus d18s51
amelogenin
IPSG_DNA_locus
Locus amelogin
4.2.3.8.
IPSG_DNA_additional_loci
Denne struktur indeholder de øvrige loci. Den indeholder følgende felter:
Fields
Type
Description
tpox
IPSG_DNA_locus
Locus tpox
csf1po
IPSG_DNA_locus
Locus csf1po
d13s317
IPSG_DNA_locus
Locus d13s317
d7s820
IPSG_DNA_locus
Locus d7s820
d5s818
IPSG_DNA_locus
Locus d5s818
d16s539
IPSG_DNA_locus
Locus d16s539
d2s1338
IPSG_DNA_locus
Locus d2s1338
d19s433
IPSG_DNA_locus
Locus d19s433
penta_d
IPSG_DNA_locus
Locus penta_d
penta_e
IPSG_DNA_locus
Locus penta_e
fes
IPSG_DNA_locus
Locus fes
f13a1
IPSG_DNA_locus
Locus f13a1
f13b
IPSG_DNA_locus
Locus f13b
se33
IPSG_DNA_locus
Locus se33
cd4
IPSG_DNA_locus
Locus cd4
gaba
IPSG_DNA_locus
Locus gaba
4.2.3.9.
IPSG_DNA_locus
Denne struktur beskriver en locus. Den indeholder følgende felter:
Fields
Type
Description
low_allele
String
Lowest value of an allele
high_allele
String
Highest value of an allele
5.   Program, sikkerhed og kommunikationsarkitektur
5.1.   Oversigt
Når der implementeres programmer til DNA-udveksling inden for rammerne af tredje del, afsnit II, i denne aftale, skal der benyttes et fælles kommunikationsnetværk, der vil blive logisk lukket til staternes kreds. For at udnytte denne fælles kommunikationsinfrastruktur til afsendelse af anmodninger og modtagelse af svar så effektivt som muligt, anvendes en asynkron mekanisme til transmission af anmodninger om DNA-oplysninger og fingeraftryksoplysninger i en "wrapped" SMTP-e-mail. Af hensyn til sikkerheden vil SMTP-funktionen blive suppleret med S/MIME-mekanismen for at skabe en veritabel sikker ende-til-ende tunnel via netværket.
De operationelle Trans European Services for Telematics between Administrations (TESTA) anvendes som kommunikationsnet for udvekslingen af oplysninger mellem staterne. TESTA fungerer under Europa-Kommissionens ansvar. I betragtning af at de nationale DNA-databaser og det nuværende nationale TESTA-tilkoblingspunkt kan befinde sig på forskellige operationssteder i staterne, kan adgangen til TESTA etableres enten ved at:
1.
benytte det nuværende nationale tilkoblingspunkt eller oprette et nyt nationalt tilkoblingspunkt til TESTA eller
2.
oprette et sikkert lokalt link fra det operationssted, hvor DNA-databasen befinder sig og forvaltes af det kompetente nationale agentur, til det nuværende nationale tilkoblingspunkt til TESTA.
Protokollerne og standarderne i de programmer, der benyttes ved gennemførelsen af tredje del, afsnit II, i denne aftale, er i overensstemmelse med de åbne standarder og opfylder de krav, som staternes nationale sikkerhedspolitiske beslutningstagere har opstillet.
5.2.   Den overordnede arkitektur
I medfør af tredje del, afsnit II, i denne aftale stiller hver stat sine DNA-oplysninger til rådighed for udveksling med andre stater og/eller for andre staters søgning i dem under overholdelse af det standardiserede fælles dataformat. Arkitekturen er baseret på en alle-til-alle-kommunikationsmodel. Der findes hverken en central computerserver eller en centraliseret database, hvor DNA-profiler opbevares.
Figur 1 Skematisk oversigt over udveksling af DNA-oplysninger
Foruden at opfylde de nationale juridiske krav på staternes operationssteder kan hver stat beslutte, hvilken type hardware og software der skal benyttes til konfigurationen på operationsstedet, med henblik på at opfylde kravene i tredje del, afsnit II, i denne aftale.
5.3.   Sikkerhedsstandarder og databeskyttelse
Der er blevet drøftet og indført sikkerhedsforanstaltninger på tre niveauer.
5.3.1.   Dataniveauet
De DNA-profildata, som de enkelte stater leverer, skal forberedes i overensstemmelse med en fælles databeskyttelsesstandard, så de anmodende stater modtager et svar, der først og fremmest angiver, om der er overensstemmelse eller ej, samt i tilfælde af overensstemmelse et identifikationsnummer, der ikke indeholder nogen personoplysninger. Den videre efterforskning efter meddelelsen om en overensstemmelse sker på bilateralt plan efter de respektive staters operationssteders gældende nationale juridiske og organisatoriske regler.
5.3.2.   Kommunikationsniveauet
Meddelelser, der indeholder DNA-profiloplysninger (anmodninger og svar) krypteres ved hjælp af en avanceret mekanisme efter åbne standarder, såsom S/MIME, inden de sendes til de andre staters operationssteder.
5.3.3.   Transmissionsniveauet
Alle krypterede meddelelser, der indeholder DNA-profiloplysninger, sendes til andre staters operationssteder via et virtuelt, privat tunnelsystem, der administreres af en betroet netværksudbyder i international kontekst og via de sikre forbindelser til dette tunnelsystem, der er underlagt statens nationale ansvar. Dette virtuelle private tunnelsystem har ingen kontaktflader med det åbne internet.
5.4.   Protokoller og standarder, der skal benyttes til krypteringsmekanismen: S/MIME og dertil hørende pakker
De facto e-mailstandarden SMTP vil blive suppleret med open standard-programmet S/MIME med henblik på krypteringen af meddelelser, der indeholder DNA-profiloplysninger. S/MIME-protokollen (V3) muliggør signerede kvitteringer, sikkerhedsmærkninger og sikre mailinglister og er baseret på Cryptographic Message Syntax (CMS), en Internet Engineering Task Force-specifikation (IETF) for kryptografisk beskyttede meddelelser. Den kan benyttes til digital underskrift, digitalt fingeraftryk, autentificering eller kryptering af enhver form for digitale data.
Det underliggende certifikat, som S/MIME benytter, skal være i overensstemmelse med X.509-standarden. Med henblik på at sikre, at de samme standarder og procedurer også gælder for andre Prümprogrammer, er behandlingsreglerne for S/MIME-krypteringsoperationer eller behandlingsreglerne i forbindelse med diverse Commercial Product of the Shelves-miljøer (COTS) som følger:
—
Operationernes rækkefølge er: først kryptering og derefter signatur.
—
Krypteringsalgoritmen AES (Advanced Encryption Standard) med en nøglestørrelse på 256 bit og RSA med en nøglestørrelse på 1024 bit skal benyttes ved henholdsvis symmetrisk og asymmetrisk kryptering.
—
Hash-algoritmen SHA-1 skal benyttes.
S/MIME-funktionaliteten er indbygget i de langt de fleste moderne e-mailprogrammer, herunder Outlook, Mozilla Mail og Netscape Communicator 4.x, og den kan kombineres med alle de mest fremtrædende e-mailsoftwarepakker.
Fordi S/MIME er så let at integrere i de nationale IT-infrastrukturer på alle staternes operationssteder, er den valgt som en brugbar mekanisme til at implementere kommunikationssikkerhedsniveauet. For at opnå målsætningen "Proof of Concept" på en mere effektiv måde og reducere omkostningerne er open standard-programmet JavaMail API imidlertid valgt til prototypen for udveksling af DNA-oplysninger. JavaMail API foretager en simpel kryptering og afkryptering af e-mails ved hjælp af S/MIME og/eller OpenPGP. Hensigten er at stille en enkel, brugervenlig API til rådighed for e-mailbrugere, der ønsker at sende og modtage krypteret e-mail i et af de to mest populære e-mailkrypteringsformater. Derfor vil en hvilken som helst avanceret implementering til JavaMail API være tilstrækkelig til at opfylde kravene i tredje del, afsnit II, i denne aftale, f.eks. Bouncy Castle JCE's produkt Java Cryptographic Extension, som vil blive benyttet til at indføre S/MIME i prototypen for udveksling af DNA-oplysninger mellem alle staterne.
5.5.   Programarkitektur
Hver af staterne sender de øvrige stater et sæt standardiserede DNA-profiloplysninger, der er i overensstemmelse med det nuværende fælles ICD. Det kan enten ske ved at give en logisk oversigt over den enkelte nationale database eller ved at oprette en fysisk eksporteret database (indekserede databaser).
De fire hovedkomponenter: E-mailserver/S/MIME, programserver, datastrukturområde til hentning/fødning af data og registrering af indkommende og udgående meddelelser og overensstemmelsesmekanismen udmønter hele programmets logik i praksis på en produktuafhængig måde.
For at gøre det lettere for alle staterne at integrere komponenterne på deres respektive nationale operationssteder er den specificerede fælles mekanisme blevet indført ved hjælp af open source-komponenter, som de enkelte stater kan vælge afhængigt af deres nationale IT-politik og IT-forskrifter. Som følge af de uafhængige faciliteter, der skal indføres for at få adgang til de indekserede databaser, som indeholder de DNA-profiler, der er omfattet af tredje del, afsnit II, i denne aftale, kan hver stat frit vælge sin hardware- og sin softwareplatform, herunder databasesystem og styresystem.
En prototype for udveksling af DNA-oplysninger er blevet udviklet og testet med gode resultater via det eksisterende fælles netværk. Version 1.0 er blevet installeret i det aktive miljø og benyttes til de daglige operationer. Staterne kan anvende det produkt, der er udarbejdet i fællesskab, men også udvikle deres egne produkter. De fælles produktelementer vil blive vedligeholdt, tilpasset og videreudviklet i takt med IT-udviklingen og udviklingen inden for retsmedicin og/eller politiets funktionelle behov.
5.6.   Protokoller og standarder, der skal benyttes i programarkitekturen
5.6.1.   XML
Udvekslingen af DNA-oplysninger vil fuldt ud udnytte XML-schema som attachment til SMTP-e-mailmeddelelser. eXtensible Markup Language (XML) er et W3C-anbefalet multifunktionelt opmærkningssprog til udformning af formålsspecifikke opmærkningssprog, som kan beskrive mange forskellige former for data. En DNA-profilbeskrivelse, der egner sig til udveksling mellem alle staterne, er blevet udarbejdet ved hjælp af XML og XML-schema i ICD-dokumentet.
5.6.2.   ODBC
Open DataBase Connectivity giver en standardsoftware API-metode til søgning i databaseforvaltningssystemer og til at gøre søgningen uafhængig af programmeringssprog og af database- og styresystemer. ODBC har imidlertid visse ulemper. Hvis man administrerer et stort antal klientmaskiner, kan der forekomme mange forskellige drivere og DLL-filer. Denne komplekse struktur kan blive en belastning for systemadministrationskapaciteten.
5.6.3.   JDBC
Java DataBase Connectivity (JDBC) er et API til Java-programmeringssproget, der definerer, hvordan en klient får adgang til en database. I modsætning til ODBC forudsætter JDBC ikke, at der bruges et bestemt sæt lokale DLL'er på arbejdsstationen.
Arbejdsgangen for behandling af anmodninger og svar vedrørende DNA-profiler på de enkelte staters operationssteder beskrives i nedenstående diagram. Såvel anmodnings- som svarstrømme passerer via et neutralt dataområde, der omfatter forskellige datalagre med en fælles datastruktur.
5.7.   Kommunikationsmiljøet
5.7.1.   Det fælles kommunikationsnet: TESTA og dets opfølgningsinfrastruktur
Programmet for udveksling af DNA-oplysninger benytter e-mail, en asynkron mekanisme, til at sende anmodninger og modtage svar staterne imellem. Da alle staterne har mindst ét nationalt tilkoblingspunkt til TESTA-nettet, vil udvekslingen af DNA-oplysninger komme til at foregå via TESTA-nettet. TESTA indeholder en række tillægstjenester via sin e-mailrelayserver. Foruden at være vært for de specifikke TESTA-e-mailbrevkasser gør infrastrukturen det muligt at anvende maildistributionslister og routingpolitikker. Dermed kan TESTA benyttes som clearingorgan for meddelelser, der er stilet til administrationer, som er tilkoblet domænerne for hele EU. Der kan også installeres antivirusmekanismer.
TESTA-e-mailrelaysystemet er baseret på en "high availability hardware"-platform, der befinder sig på det centrale TESTA-programcenter, og som er beskyttet af en firewall. TESTA's Domain Name Systems (DNS) står for tildeling af URL til IP-adresser og skjuler adresseringsoplysninger for brugeren og for programmerne.
5.7.2.   Sikkerhedsspørgsmål
Begrebet virtuelt privat netværk (VPN) er indarbejdet i TESTA. Den Tag Switching Technology, der er benyttet til at opbygge dette VPN, vil blive udviklet til at understøtte en Multi-Protocol Label Switching (MPLS) standard, som er udviklet af IETF.
MPLS er en IETF-standardteknologi, der accelererer nettrafikken ved at undgå, at pakkerne analyseres af de mellemliggende routere (hop). Dette sker på grundlag af de såkaldte "labels", som edge-routerne i udkanten af backbonestrukturen knytter til pakken på grundlag af oplysninger, der er lagret i en speciel labeltabel kaldet forwarding information base (FIB). Labels benyttes ligeledes ved oprettelsen af VPN'er.
MPLS kombinerer fordelene ved lag 3-routing med fordelene ved lag 2-switching. Eftersom IP-adresserne ikke tjekkes under transmissionen gennem nettets backbone, sætter MPLS ikke nogen begrænsninger med hensyn til IP-adresserne.
Hertil kommer, at e-mailmeddelelser, der sendes via TESTA, vil være beskyttet af S/MIME's krypteringsmekanisme. Ingen kan uden at kende nøglen og uden at være i besiddelse af det rigtige certifikat dekryptere meddelelser, der sendes via nettet.
5.7.3.   Protokoller og standarder, der skal benyttes på kommunikationsnettet
5.7.3.1.
SMTP
SMTP er i praksis den gældende standard for e-mailforsendelse på internettet. SMTP er en forholdsvis enkel tekstbaseret protokol, hvor man angiver en eller flere modtagere af en meddelelse og derefter sender den. SMTP benytter TCP port 25 som specificeret af IETF. Til bestemmelse af SMTP-serveren for et givet domænenavn, benyttes "MX (Mail eXchange) DNS (Domain Name Systems)"-registret.
Da denne protokol oprindelig udelukkende var baseret på ASCII-tekst, havde den problemer med at klare binære data. Der blev indført standarder som MIME til indkodning af binære data, som skulle transporteres via SMTP. I dag understøtter de fleste SMTP-servere 8BITMIME and S/MIME, der gør det næsten lige så let at sende binære data som almindelig tekst. Reglerne for behandling af S/MIME-operationer er beskrevet i afsnittet om S/MIME (jf. afdeling 5.4).
SMTP er en "push"-protokol, der ikke gør det muligt selv at hente ("pull") meddelelser fra en fjernserver. For at kunne gøre dette skal mailklienten benytte POP3 eller IMAP. Med henblik på udveksling af DNA-oplysninger er det blevet besluttet at benytte POP3-protokollen.
5.7.3.2.
POP
Lokale e-mailklienter benytter Post Office Protocol version 3 (POP3), som er en standardprogramlagsprotokol til brug på internettet, til at hente e-mail fra en fjernserver via en TCP/IP-forbindelse. Ved at benytte SMTP-protokollens Submit-profil kan e-mailklienter sende meddelelser via internettet eller via en virksomheds netværk. MIME fungerer som standard for vedhæftede filer og ikke-ASCII-tekst i e-mails. Selv om hverken POP3 eller SMTP kræver MIME-formaterede e-mails, kommer de fleste e-mails på internettet i MIME-format, så POP-klienter er også nødt til at kunne forstå og benytte MIME. Hele kommunikationsmiljøet i tredje del, afsnit II, i denne aftale vil derfor indeholde POP-komponenterne.
5.7.4.   Tildeling af netværksadresser
Det operative miljø
En særskilt klasse halv B subnetblok er indtil videre blevet tildelt til TESTA af den Europæiske IP-registreringsmyndighed (RIPE). IP-adresser tildeles til staterne på grundlag af en geografisk opdeling af Europa. Staternes indbyrdes udveksling af oplysninger inden for rammerne af tredje del, afsnit II, i denne aftale sker via et logisk lukket IP-netværk, der dækker hele Europa.
Testmiljø
Med henblik på at skabe et velfungerende miljø for den daglige drift mellem alle de tilkoblede stater er det nødvendigt at indrette et testmiljø via det lukkede netværk for nye stater, der forbereder sig til at komme med i systemet. Der er fastsat et sæt parametre, inkl. IP-adresser, netværksindstillinger, e-maildomæner samt programbrugerkonti, som skal installeres på den pågældende stats operationssted. Der er desuden oprettet et sæt pseudo-DNA-profiler til testformål.
5.7.5.   Konfigurationsparametre
Der er etableret et sikret e-mailsystem på eu-admin.net-domænet. Dette domæne og de dertil hørende adresser vil ikke være tilgængelige fra steder, der ikke ligger på TESTA's EU-dækkende domæne, eftersom navnene kun er kendt på TESTA's centrale DNS-server, der er afskærmet fra internettet.
Mappingen af disse TESTA-site-adresser (host names) til deres IP-adresser foretages af TESTA's DNS-tjeneste. For hvert lokalt domæne vil der blive tilføjet en mailregistrering i TESTA's centrale DNS-server, som videresender alle e-mailmeddelelser, der sendes til TESTA's lokale domæner, til TESTA's centrale mailrelayserver. Herfra sendes de så videre til det specifikke lokale domænes e-mailserver under anvendelse af e-mailadresser på det lokale domæne. Ved at videresende e-mail på denne måde transporteres de eventuelle kritiske oplysninger i e-mailene kun på den EU-dækkende lukkede netværksinfrastruktur og ikke på det usikre internet.
Der skal oprettes underdomæner (fede typer og kursiv) på alle staternes operationssteder med følgende syntaks:
"application-type.State-code.pruem.testa.eu", hvor:
"State-code" antager værdien af en af landekoderne med to bogstaver (dvs. AT, BE osv.);
"application-type" antager en af følgende værdier: DNA, FP og CAR.
Efter ovennævnte syntaks kommer staternes underdomæner til at se ud som angivet i følgende skema:
Syntaks for staters underdomæner
Stat
Underdomæner
Bemærkninger
BE
dna.be.pruem.testa.eu
fp.be.pruem.testa.eu
car.be.pruem.testa.eu
test.dna.be.pruem.testa.eu
test.fp.be.pruem.testa.eu
test.car.be.pruem.testa.eu
BG
dna.bg.pruem.testa.eu
fp.bg.pruem.testa.eu
car.bg.pruem.testa.eu
test.dna.bg.pruem.testa.eu
test.fp.bg.pruem.testa.eu
test.car.bg.pruem.testa.eu
CZ
dna.cz.pruem.testa.eu
fp.cz.pruem.testa.eu
car.cz.pruem.testa.eu
test.dna.cz.pruem.testa.eu
test.fp.cz.pruem.testa.eu
test.car.cz.pruem.testa.eu
DK
dna.dk.pruem.testa.eu
fp.dk.pruem.testa.eu
car.dk.pruem.testa.eu
test.dna.dk.pruem.testa.eu
test.fp.dk.pruem.testa.eu
test.car.dk.pruem.testa.eu
DE
dna.de.pruem.testa.eu
fp.de.pruem.testa.eu
car.de.pruem.testa.eu
test.dna.de.pruem.testa.eu
test.fp.de.pruem.testa.eu
test.car.de.pruem.testa.eu
EE
dna.ee.pruem.testa.eu
fp.ee.pruem.testa.eu
car.ee.pruem.testa.eu
test.dna.ee.pruem.testa.eu
test.fp.ee.pruem.testa.eu
test.car.ee.pruem.testa.eu
IE
dna.ie.pruem.testa.eu
fp.ie.pruem.testa.eu
car.ie.pruem.testa.eu
test.dna.ie.pruem.testa.eu
test.fp.ie.pruem.testa.eu
test.car.ie.pruem.testa.eu
EL
dna.el.pruem.testa.eu
fp.el.pruem.testa.eu
car.el.pruem.testa.eu
test.dna.el.pruem.testa.eu
test.fp.el.pruem.testa.eu
test.car.el.pruem.testa.eu
ES
dna.es.pruem.testa.eu
fp.es.pruem.testa.eu
car.es.pruem.testa.eu
test.dna.es.pruem.testa.eu
test.fp.es.pruem.testa.eu
test.car.es.pruem.testa.eu
FR
dna.fr.pruem.testa.eu
fp.fr.pruem.testa.eu
car.fr.pruem.testa.eu
test.dna.fr.pruem.testa.eu
test.fp.fr.pruem.testa.eu
test.car.fr.pruem.testa.eu
HR
dna.hr.pruem.testa.eu
fp.hr.pruem.testa.eu
car.hr.pruem.testa.eu
test.dna.hr.pruem.testa.eu
test.fp.hr.pruem.testa.eu
test.car.hr.pruem.testa.eu
IT
dna.it.pruem.testa.eu
fp.it.pruem.testa.eu
car.it.pruem.testa.eu
test.dna.it.pruem.testa.eu
test.fp.it.pruem.testa.eu
test.car.it.pruem.testa.eu
CY
dna.cy.pruem.testa.eu
fp.cy.pruem.testa.eu
car.cy.pruem.testa.eu
test.dna.cy.pruem.testa.eu
test.fp.cy.pruem.testa.eu
test.car.cy.pruem.testa.eu
LV
dna.lv.pruem.testa.eu
fp.lv.pruem.testa.eu
car.lv.pruem.testa.eu
test.dna.lv.pruem.testa.eu
test.fp.lv.pruem.testa.eu
test.car.lv.pruem.testa.eu
LT
dna.lt.pruem.testa.eu
fp.lt.pruem.testa.eu
car.lt.pruem.testa.eu
test.dna.lt.pruem.testa.eu
test.fp.lt.pruem.testa.eu
test.car.lt.pruem.testa.eu
LU
dna.lu.pruem.testa.eu
fp.lu.pruem.testa.eu
car.lu.pruem.testa.eu
test.dna.lu.pruem.testa.eu
test.fp.lu.pruem.testa.eu
test.car.lu.pruem.testa.eu
HU
dna.hu.pruem.testa.eu
fp.hu.pruem.testa.eu
car.hu.pruem.testa.eu
test.dna.hu.pruem.testa.eu
test.fp.hu.pruem.testa.eu
test.car.hu.pruem.testa.eu
MT
dna.mt.pruem.testa.eu
fp.mt.pruem.testa.eu
car.mt.pruem.testa.eu
test.dna.mt.pruem.testa.eu
test.fp.mt.pruem.testa.eu
test.car.mt.pruem.testa.eu
NL
dna.nl.pruem.nl.testa.eu
fp.nl.pruem.testa.eu
car.nl.pruem.testa.eu
test.dna.nl.pruem.testa.eu
test.fp.nl.pruem.testa.eu
test.car.nl.pruem.testa.eu
AT
dna.at.pruem.testa.eu
fp.at.pruem.testa.eu
car.at.pruem.testa.eu
test.dna.at.pruem.testa.eu
test.fp.at.pruem.testa.eu
test.car.at.pruem.testa.eu
PL
dna.pl.pruem.testa.eu
fp.pl.pruem.testa.eu
car.pl.pruem.testa.eu
test.dna.pl.pruem.testa.eu
test.fp.pl.pruem.testa.eu
test.car.pl.pruem.testa.eu
PT
dna.pt.pruem.testa.eu
fp.pt.pruem.testa.eu
car.pt.pruem.testa.eu
test.dna.pt.pruem.testa.eu
test.fp.pt.pruem.testa.eu
test.car.pt.pruem.testa.eu
RO
dna.ro.pruem.testa.eu
fp.ro.pruem.testa.eu
car.ro.pruem.testa.eu
test.dna.ro.pruem.testa.eu
test.fp.ro.pruem.testa.eu
test.car.ro.pruem.testa.eu
SI
dna.si.pruem.testa.eu
fp.si.pruem.testa.eu
car.si.pruem.testa.eu
test.dna.si.pruem.testa.eu
test.fp.si.pruem.testa.eu
test.car.si.pruem.testa.eu
SK
dna.sk.pruem.testa.eu
fp.sk.pruem.testa.eu
car.sk.pruem.testa.eu
test.dna.sk.pruem.testa.eu
test.fp.sk.pruem.testa.eu
test.car.sk.pruem.testa.eu
FI
dna.fi.pruem.testa.eu
fp.fi.pruem.testa.eu
car.fi.pruem.testa.eu
test.dna.fi.pruem.testa.eu
test.fp.fi.pruem.testa.eu
test.car.fi.pruem.testa.eu
SE
dna.se.pruem.testa.eu
fp.se.pruem.testa.eu
car.se.pruem.testa.eu
test.dna.se.pruem.testa.eu
test.fp.se.pruem.testa.eu
test.car.se.pruem.testa.eu
UK
dna.uk.pruem.testa.eu
fp.uk.pruem.testa.eu
car.uk.pruem.testa.eu
test.dna.uk.pruem.testa.eu
test.fp.uk.pruem.testa.eu
test.car.uk.pruem.testa.eu
KAPITEL 2
UDVEKSLING AF FINGERAFTRYKSOPLYSNINGER (GRÆNSEFLADEKONTROLDOKUMENT)
Formålet med dette "grænsefladekontroldokument" er at fastsætte, hvilke krav der skal være opfyldt i forbindelse med udveksling af fingeraftryksoplysninger mellem staternes automatiske fingeraftryksidentifikationssystemer (AFIS). Det er baseret på INTERPOL's implementering af ANSI/NIST-ITL 1-2000 (INT-I, Version 4.22b).
Denne version skal dække alle de grundlæggende definitioner for logiske records af type-1, type-2, type-4, type-9, type-13 og type-15, som er nødvendige for behandling af fingeraftryk på grundlag af billeder eller minutiæ.
1.   Oversigt over filens indhold
En fingeraftryksfil består af flere logiske records. I den oprindelige ANSI/NIST-ITL 1-2000 standard var der defineret seksten recordtyper. Der indsættes passende ASCII-adskillelsestegn mellem de enkelte records og felterne og subfelterne inde i de enkelte records.
Til udvekslingen af oplysninger mellem oprindelsesagenturet og modtageragenturet benyttes kun 6 recordtyper:
Type-1
→
Transaction information (Transaktionsoplysninger)
Type-2
→
Alphanumeric persons/case data (Alfanumeriske data om personer eller sager)
Type-4
→
High resolution grayscale dactyloscopic images (Gråtonebilleder med høj opløsning af fingeraftryk)
Type-9
→
Minutiæ Record (Minutiae)
Type-13
→
Variable resolution latent image record (Latent billede med variabel opløsning)
Type-15
→
Variable resolution palmprint image record (Håndfladeaftryksbillede med variabel opløsning)
1.1.   Type-1 — File header
Denne record indeholder routingoplysninger og oplysninger, der beskriver resten af filens struktur. Denne recordtype definerer også de typer af transaktioner, der henhører under følgende brede kategorier:
1.2.   Type-2 — Descriptive text
Denne record indeholder tekstoplysninger af interesse for de afsendende og modtagende agenturer.
1.3.   Type-4 — High resolution gray-scale image
Denne record benyttes til udveksling af gråtonebilleder (otte bit) af fingeraftryk med høj opløsning (500 DPI). Fingeraftryksbillederne komprimeres efter WSQ-algoritmen i et forhold på højst 15:1. Andre komprimeringsalgoritmer eller ukomprimerede billeder må ikke benyttes.
1.4.   Type-9 — Minutiæ record
Type-9-records benyttes til udveksling af linjekarakteristika eller minutiæ-data. Formålet er dels at undgå unødig dobbelt udførelse af AFIS-indkodningen og dels at gøre det muligt at sende AFIS-koderne, der indeholder færre data end de tilsvarende billeder.
1.5.   Type-13 — Variable-Resolution Latent Image Record
Denne record benyttes til udveksling af latente fingeraftryksbilleder og latente håndfladeaftryksbilleder med variabel opløsning ledsaget af alfanumeriske teksturoplysninger. Billederne skannes med en opløsning på 500 DPI og med 256 gråtoner. Hvis det latente billedes kvalitet er tilstrækkelig god, komprimeres det efter WSQ-algoritmen. Om nødvendigt kan billedopløsningen øges til mere end 500 DPI og mere end 256 gråtoner efter fælles aftale. I så tilfælde anbefales det kraftigt at benytte JPEG 2000 (jf. tillæg 39-7).
1.6.   Variable-Resolution Palmprint Image Record
Type-15-billedrecords med mærkede felter benyttes til udveksling af håndfladeaftryksbilleder med variabel opløsning sammen med alfanumeriske teksturoplysninger. Billederne skannes med en opløsning på 500 DPI og med 256 gråtoner. For at begrænse datamængden bør alle håndfladeaftryksbilleder komprimeres efter WSQ-algoritmen. Om nødvendigt kan billedopløsningen øges til mere end 500 DPI og mere end 256 gråtoner efter fælles aftale. I så tilfælde anbefales det kraftigt at benytte JPEG 2000 (jf. tillæg 39-7).
2.   Record-formatet
En transaktionsfil består af en eller flere logiske records. For hver logisk record, som filen indeholder, skal der være en række informationsfelter, der passer til den pågældende recordtype. Hvert af informationsfelterne kan indeholde et eller flere grundlæggende informationselementer, der hver især består af en enkelt værdi. Tilsammen benyttes disse elementer til at angive forskellige aspekter af oplysningerne i feltet. Et informationsfelt kan også bestå af et eller flere informationselementer, der grupperes og gentages flere gange i et felt. En sådan gruppe af informationselementer kaldes et subfelt. Et informationsfelt kan således bestå af et eller flere subfelter med informationselementer.
2.1.   Information separators
I de logiske records med mærkede felter er der indsat mekanismer til adskillelse af oplysningerne, som benytter fire ASCII-informationsseparatorer. De adskilte oplysninger kan være elementer i et felt eller subfelt, felter inden for en logisk record eller subfelter, der forekommer flere gange. De benyttede informationsseparatorer er defineret i standarden ANSI X3.4. Disse tegn benyttes til at adskille og karakterisere information på en logisk måde. Set ud fra en hierarkisk synsvinkel er filseparatortegnet "FS" det mest inklusive og derefter følger gruppeseparatortegnet "GS", recordseparatortegnet "RS" og endelig enhedsseparatortegnet "US". Tabel 1 viser disse ASCII-separatorer og giver en beskrivelse af deres brug i forbindelse med denne standard.
Informationsseparatorer bør funktionelt set betragtes som en angivelse af, hvilken type data der følger efter. "US"-tegnet adskiller individuelle informationselementer inde i et felt eller subfelt. Dette signalerer, at det efterfølgende informationselement vedrører det pågældende felt eller subfelt. En række subfelter i et felt, som er adskilt af "RS"-tegnet, angiver begyndelsen af den næste gruppe af gentagne informationselementer. "GS"-separatortegnet, der benyttes mellem informationsfelter, angiver begyndelsen af et nyt felt, som efterfølges af det angivne feltidentificeringsnummer. På tilsvarende vis markeres begyndelsen af en ny logisk record med angivelse af tegnet "FS".
De fire tegn giver kun mening, når de benyttes som separatorer mellem dataelementer i felter i ASCII-tekstrecords. Tegnene har ingen specifik betydning, når de forekommer i binære billedrecords og binære felter — de indgår blot som en del af de udvekslede oplysninger.
Normalt bør der ikke være nogen tomme felter eller informationselementer, så der bør derfor kun være ét separatortegn mellem to givne dataelementer. Undtagelsen fra denne regel indtræder, når data i felterne eller informationselementer i en transaktion ikke er tilgængelige, ikke findes eller er fakultative, og behandlingen af transaktionen ikke er afhængig af, at de pågældende data er til stede. I sådanne tilfælde skal man angive flere separatortegn i træk snarere end at indsætte fylddata mellem separatortegnene.
Med henblik på definitionen af et felt, der består af tre informationselementer, gælder følgende. Hvis oplysningerne i andet informationselement mangler, anføres to "US"-informationsseparatortegn ved siden af hinanden mellem første og tredje informationselement. Hvis både andet og tredje informationselement mangler, anføres tre separatortegn — to "US"-tegn samt det afsluttende separatortegn for feltet eller subfeltet. Som hovedregel bør det korrekte antal separatortegn indsættes, hvis et eller flere obligatoriske eller fakultative informationselementer ikke er tilgængelige for et felt eller subfelt.
Det er muligt at have kombinationer af to eller flere af de fire separatortegn lige efter hinanden. Hvis dataene ikke foreligger eller ikke er tilgængelige til informationselementer, subfelter eller felter, skal der være et separatortegn mindre end det fornødne antal informationselementer, subfelter eller felter.
Tabel 1
Benyttede separatorer
Code
Type
Description
Hexadecimal Value
Decimal Value
US
Unit Separator
Separates information items
1F
31
RS
Record Separator
Separates subfields
1E
30
GS
Group Separator
Separates fields
1D
29
FS
File Separator
Separates logical records
1C
28
2.2.   Record layout
I logiske records med mærkede felter, skal hvert af de benyttede informationsfelter nummereres i overensstemmelse med denne standard. Formatet for hvert felt skal bestå af den logiske records typenummer efterfulgt af et punktum ".", et feltnummer efterfulgt af et kolon ":" efterfulgt af de oplysninger, der skal stå i feltet. Det mærkede felts nummer er et etcifret tal fra 1 til 9, som anføres mellem punktummet "." og kolonet ":". Det skal fortolkes som et nummer i et usigneret talfelt. Det vil sige, at feltnummeret "2.123:" svarer til og skal fortolkes på samme måde som feltnummeret "2.000000123:".
I eksemplerne i resten af dette dokument benyttes et trecifret tal til angivelse af felterne i hver af de logiske records med mærkede felter, der beskrives heri. Feltnumrene udformes således: "TT.xxx:", hvor "TT" repræsenterer recordtypen med et eller to tegn efterfulgt af et punktum. De næste tre tegn angiver det pågældende feltnummer efterfulgt af et kolon. Efter kolonet følger der beskrivende ASCII-oplysninger eller billeddata.
Logiske type-1- og type-2-records indeholder kun ASCII-tekstdatafelter. Recordens samlede længde (inkl. feltnumre, koloner og separatortegn) skal angives som det første ASCII-felt i hver af disse recordtyper. ASCII-filseparatorkontroltegnet "FS" (der angiver afslutningen af den logiske record eller transaktion) skal følge umiddelbart efter sidste byte i ASCII-oplysningerne og skal medregnes i recordens længde.
Modsat hvad der gælder for mærkede felter, indeholder en type-4-record kun binære data, der er registreret som ordnede binære felter med fast længde. Recordens samlede længde skal angives i det første binære firebytefelt i hver record. For denne binære record skal hverken recordnummeret med dets punktum eller det første feltidentificeringsnummer og dets følgende kolon angives. Hertil kommer, at da alle felterne i denne record enten har fast eller specificeret længde, skal ingen af de fire separatortegn ("US", "RS", "GS" eller "FS") fortolkes som andet end binære data. I den binære record skal tegnet "FS" ikke benyttes som recordseparator eller som transaktionsafslutningstegn.
3.   Logisk record af type 1: filens header
Denne record beskriver filens struktur og type og andre vigtige oplysninger. Det tegnsæt, der anvendes i type 1-felter, må kun indeholde 7-bit-ANSI-koden for udveksling af oplysninger.
3.1.   Felter i logiske records af Type-1
3.1.1.   Field 1.001: Logical Record Length (LEN)
Dette felt angiver det samlede antal bytes i hele den logiske record af type-1. Feltet begynder med "1.001:" efterfulgt af recordens samlede længde, hvori medtages samtlige tegn i hvert eneste felt og informationsseparatorerne.
3.1.2.   Field 1.002: Version Number (VER)
For at sikre, at brugerne er opmærksomme på, hvilken version af ANSI/NIST-standarden der benyttes, angiver dette fire-byte-felt nummeret på den version af standarden, der benyttes af softwaren eller af det system, der har genereret filen. De første to bytes specificerer hovedversionens referencenummer og de næste to nummeret på det sekundære revisionsnummer. Eksempelvis anses den oprindelige 1986-standard for at være den første version, der angives som "0100", mens den nuværende ANSI/NIST-ITL 1-2000-standard angives som "0300".
3.1.3.   Field 1.003: File Content (CNT)
Dette felt angiver hver eneste record i filen efter recordtype og den rækkefølge, som disse records optræder i den logiske fil. Det består af et eller flere subfelter, der hvert især indeholder to informationselementer, der beskriver en enkelt logisk record, der forekommer i den pågældende fil. Subfelterne angives i den rækkefølge, som de pågældende records er registreret og sendt i.
Det første informationselement i det første subfelt er "1", som henviser til denne type-1-record. Det efterfølges af et andet informationselement, der angiver, hvor mange andre records filen indeholder. Dette nummer er også lig med antallet af resterende subfelter under felt 1.003.
Hvert af de øvrige subfelter associeres med en record i filen, og subfeltsekvensen svarer til recordsekvensen. Hvert subfelt indeholder to informationselementer. Det første identificerer recordtypen. Det andet er recordens IDC. "US"-tegnet benyttes til at adskille de to informationselementer.
3.1.4.   Field 1.004: Type of Transaction (TOT)
Dette felt indeholder et mnemoteknisk hjælpemiddel på tre bogstaver, som angiver transaktionstypen. Disse koder kan være forskellige fra dem, der benyttes af andre implementeringer af ANSI/NIST-standarden.
CPS: Criminal Print-to-Print Search. Denne transaktion er en anmodning om en søgning i en aftryksdatabase på en record vedrørende en lovovertrædelse. Personens aftryk medsendes som WSQ-komprimerede billeder i filen.
I tilfælde af No-HIT (ingen overensstemmelse) vil følgende logiske records blive sendt tilbage:
—
1 type-1-record
—
1 type-2-record
I tilfælde af HIT (overensstemmelse) vil følgende logiske records blive sendt tilbage:
—
1 type-1-record
—
1 type-2-record
—
1-14 type-4-record
CPS TOT er sammenfattet i tabel A.6.1 (tillæg 39-6).
PMS: Print-to-Latent Search. Denne transaktion benyttes, når der søges efter overensstemmelse med et sæt aftryk i en database over uidentificerede latente aftryk. Svaret vil indeholde HIT/No-HIT-afgørelsen af destinationens søgning i fingeraftryksidentifikationssystemet. Hvis der forekommer flere uidentificerede latente aftryk, vil der blive tilbagesendt flere SRE-transaktioner med et latent aftryk pr. transaktion. Personens aftryk medsendes som WSQ-komprimerede billeder i filen.
I tilfælde af No-HIT (ingen overensstemmelse) vil følgende logiske records blive sendt tilbage:
—
1 type-1-record
—
1 type-2-record
I tilfælde af HIT (overensstemmelse) vil følgende logiske records blive sendt tilbage:
—
1 type-1-record
—
1 type-2-record
—
1 type-13-record.
PMS TOT er sammenfattet i tabel A.6.1 (tillæg 39-6).
MPS: Latent-to-Print Search. Denne transaktion benyttes, når der skal søges efter overensstemmelse med et latent aftryk i en fingeraftryksdatabase. Minutiæ om det latente aftryk og billedet (WSQ-komprimeret) medsendes i filen.
I tilfælde af No-HIT (ingen overensstemmelse) vil følgende logiske records blive sendt tilbage:
—
1 type-1-record
—
1 type-2-record.
I tilfælde af HIT (overensstemmelse) vil følgende logiske records blive sendt tilbage:
—
1 type-1-record
—
1 type-2-record
—
1 type-4- eller type-15-record.
MPS TOT er sammenfattet i tabel A.6.4 (tillæg 39-6).
MMS: Latent-to-Latent Search. I denne transaktion indeholder filen et latent aftryk, som der skal søges på i en database over uidentificerede latente aftryk for at etablere forbindelser mellem forskellige gerningssteder. Minutiæ om det latente aftryk og billedet (WSQ-komprimeret) skal medsendes i filen.
I tilfælde af No-HIT (ingen overensstemmelse) vil følgende logiske records blive sendt tilbage:
—
1 type-1-record
—
1 type-2-record.
I tilfælde af HIT (overensstemmelse) vil følgende logiske records blive sendt tilbage:
—
1 type-1-record
—
1 type-2-record
—
1 type-13-record.
MMS TOT er sammenfattet i tabel A.6.4 (tillæg 39-6).
SRE: Denne transaktion sendes tilbage af det anmodede agentur som svar på fingeraftryksforespørgsler. Svaret vil indeholde HIT/No-HIT-afgørelsen af destinationens søgning i fingeraftryksidentifikationssystemet. Hvis der forekommer flere kandidater, vil der blive tilbagesendt flere SRE-transaktioner med én kandidat pr. transaktion.
SRE TOT er sammenfattet i tabel A.6.2 (tillæg 39-6).
ERR: Denne transaktion sendes tilbage af det anmodede fingeraftryksidentifikationssystem for at angive en fejl i forbindelse med transaktionen. Den indeholder et meddelelsesfelt (ERM), der angiver, hvilken fejl der er konstateret. Følgende logiske records vil blive sendt tilbage:
—
1 type-1-record
—
1 type-2-record.
ERR TOT er sammenfattet i tabel A.6.3 (tillæg 39-6).
Tabel 2
Tilladte koder i transaktionerne
Transaction Type
Logical Record Type
1
2
4
9
13
15
CPS
M
M
M
—
—
—
SRE
M
M
C
—
(C in case of latent HITs)
C
C
MPS
M
M
—
M (1*)
M
—
MMS
M
M
—
M (1*)
M
—
PMS
M
M
M*
—
—
M*
ERR
M
M
—
—
—
—
Key:
M
=
Mandatory (obligatorisk)
M*
=
Kun én af de to recordtyper kan medtages
O
=
Optional (fakultativ)
C
=
Conditional (afhængigt af, om oplysningerne er tilgængelige)
—
=
Ikke tilladt
1*
=
Afhængigt af legacysystemerne
3.1.5.   Field 1.005: Date of Transaction (DAT)
Dette felt angiver den dato, hvor transaktionen blev indledt, og følger ISO-standardformatet: YYYYMMDD
hvor YYYY er året, MM er måneden, og DD er dagen. Der sættes et nul foran étcifrede tal. For eksempel svarer "
                     19931004
                     " til den 4. oktober 1993.
3.1.6.   Field 1.006: Priority (PRY)
Dette fakultative felt definerer den prioritet, på en skala fra 1 til 9, som tillægges søgningen. "1" er højeste prioritet og "9" laveste prioritet. Transaktioner med prioritet "1" skal behandles omgående.
3.1.7.   Field 1.007: Destination Agency Identifier (DAI)
Dette felt angiver det agentur, som transaktionen er rettet til.
Det består af to informationselementer i følgende format: CC/agency.
Det første informationselement indeholder landekoden (Country Code), som er defineret i ISO 3166, og som består af to alfanumeriske tegn. Det andet element, agenturet (agency), er en fritekstidentificering af agenturet på højst 32 alfanumeriske tegn.
3.1.8.   Field 1.008: Originating Agency Identifier (ORI)
Dette felt angiver det agentur, der har afsendt filen, og det er i samme format som DAI (Felt 1.007).
3.1.9.   Field 1.009: Transaction Control Number (TCN)
Dette er et kontrolnummer til henvisningsbrug. Det genereres af computeren og har følgende format: YYSSSSSSSSA,
hvor YY er transaktionsåret, SSSSSSSS er et ottecifret serienummer, og A er et kontrolbogstav, der genereres efter proceduren i tillæg 39-2.
Når TCN ikke er til rådighed, udfyldes feltet YYSSSSSSSS med nuller, og kontrolbogstavet genereres som angivet ovenfor.
3.1.10.   Field 1.010: Transaction Control Response (TCR)
Når en søgning er sendt af sted, og dette svar kommer tilbage, vil dette fakultative felt indeholde søgningsmeddelelsens transaktionskontrolnummer. Det har derfor samme format som TCN (felt 1.009).
3.1.11.   Field 1.011: Native Scanning Resolution (NSR)
Dette felt angiver den normale scanningsopløsning i det system, som transaktionsafsenderen understøtter. Opløsningen angives som et tocifret tal, efterfulgt af et decimalkomma og derefter endnu to cifre.
For alle transaktioner i henhold til artikel 533 og 534 i denne aftale skal opløsningen være 500 DPI (= pixel/tomme) eller 19,68 pixel/mm.
3.1.12.   Field 1.012: Nominal Transmitting Resolution (NTR)
Dette felt på fem byte angiver den nominelle overførselsopløsning for de billeder, der overføres. Opløsningen angives i pixel/mm i samme format som NSR (Felt 1.011).
3.1.13.   Field 1.013: Domain name (DOM)
Dette obligatoriske felt angiver domænenavnet for implementeringen af den brugerdefinerede logiske type-2-record. Det består af to informationselementer og skrives således: "INT-I{}{US}}4.22{}{GS}}".
3.1.14.   Field 1.014: Greenwich mean time (GMT)
Dette obligatoriske felt tilvejebringer en mekanisme til at udtrykke dato og klokkeslæt udtrykt i universelle Greenwich Mean Time-enheder (GMT-enheder). Når det benyttes, indeholder GMT-feltet den universelle dato, som supplerer den lokale dato i felt 1.005 (DAT). Brugen af GMT-feltet fjerner det problem med lokal tid, der opstår, når en transaktion og svaret herpå sendes mellem to steder, der er adskilt af flere tidszoner. GMT angiver den universelle dato og klokkeslæt døgnet rundt uafhængig af tidszoner. Den angives som "CCYYMMDDHHMMSSZ", en sekvens på 15 tegn, der kæder datoen sammen med GMT og slutter med "Z". Tegnene "CCYY" angiver transaktionsåret, "MM" angiver måneden med to cifre, og "DD" angiver dagen med to cifre, "HH" står for timetallet, "MM" for minuttallet og "SS" for sekundtallet. Den fulde dato må ikke være senere end dags dato.
4.   Type-2-logisk record: beskrivende tekst
Strukturen i det meste af denne record er ikke defineret efter den oprindelige ANSI/NIST-standard. Den indeholder oplysninger af specifik interesse for de agenturer, der afsender eller modtager filen. For at sikre kompatibiliteten mellem fingeraftrykssystemer, der skal kommunikere med hinanden, er det nødvendigt, at recorden kun indeholder de felter, der er angivet nedenfor. Dette dokument angiver, hvilke felter der er obligatoriske, og hvilke der er fakultative, og definerer desuden de enkelte felters struktur.
4.1.   Felter i logiske records af Type-2
4.1.1.   Field 2.001: Logical Record Length (LEN)
Dette felt angiver den samlede længde af denne type-2-record og angiver det samlede antal bytes, inkl. samtlige tegn i hvert enkelt felt og informationsseparatorerne.
4.1.2.   Field 2.002: Image Designation Character (IDC)
Den IDC, der anføres i dette obligatoriske felt, er en ASCII-repræsentation af IDC som defineret i filindholdsfeltet (CNT) for type-1-recorden (felt 1.003).
4.1.3.   Field 2.003: System Information (SYS)
Dette felt er obligatorisk og indeholder fire bytes, der angiver, hvilken version af INT-I denne specifikke type-2-record er forenelig med.
De første to bytes specificerer hovedversionens nummer og de næste to nummeret på det sekundære revisionsnummer. Eksempelvis er denne implementering baseret på INT-I version 4 revision 22 og skal derfor angives som "0422".
4.1.4.   Field 2.007: Case Number (CNO)
Dette nummer tildeles af det lokale fingeraftrykskontor til en række latente aftryk, der er fundet på et gerningssted. Det angives i følgende format: CC/number
hvor CC er INTERPOL's landekode på to alfanumeriske tegn, og "number" afhænger af de relevante lokale retningslinjer og kan være op til 32 alfanumeriske tegn langt.
Dette felt gør det muligt for systemet at identificere latente aftryk med tilknytning til en bestemt lovovertrædelse.
4.1.5.   Field 2.008: Sequence Number (SQN)
Dette felt angiver hver sekvens af latente aftryk i en sag. Det kan være op til fire numeriske tegn langt. En sekvens er et latent aftryk eller en række latente aftryk, der er grupperet med henblik på lagring og/eller søgning. Definitionen indebærer, at selv individuelle latente aftryk også skal have tildelt et sekvensnummer.
Dette felt kan sammen med MID (felt 2.009) medtages med henblik på at identificere et bestemt latent aftryk i en sekvens.
4.1.6.   Field 2.009: Latent Identifier (MID)
Dette felt angiver det enkelte latente aftryk i en sekvens. Værdien er et eller to bogstaver, hvor "A" betegner det første latente aftryk, "B" det andet og så videre op til "ZZ". Dette felt benyttes på samme måde som det latente sekvensnummer, der er omhandlet i beskrivelsen af SQN (felt 2.008).
4.1.7.   Field 2.010: Criminal Reference Number (CRN)
Dette er et unikt referencenummer, som et nationalt agentur tildeler en person, der for første gang tiltales for en lovovertrædelse. I det enkelte land har den enkelte aldrig mere end ét CRN og har det heller ikke til fælles med nogen anden person. Men den samme person kan have strafferetlige referencenumre i flere lande, som skelnes fra hinanden ved hjælp af landekoderne.
Følgende format benyttes for CRN-feltet: CC/number
hvor CC er den landekode på to alfanumeriske tegn, som er defineret i ISO 3166, og "number" afhænger af det udstedende agenturs relevante lokale retningslinjer og kan være op til 32 alfanumeriske tegn langt.
For transaktioner i henhold til artikel 533 og 534 i denne aftale vil dette felt blive benyttet til det anmodende agenturs nationale strafferetlige referencenummer, som er knyttet til billederne i records af type-4 eller type-15.
4.1.8.   Field 2.012: Miscellaneous Identification Number (MN1)
Dette felt indeholder CRN (felt 2.010), som er overført ved en CPS- eller PMS-transaktion uden landekode foran.
4.1.9.   Field 2.013: Miscellaneous Identification Number (MN2)
Dette felt indeholder CNO (felt 2.007), som er overført ved en MPS- eller MMS-transaktion uden landekode foran.
4.1.10.   Field 2.014: Miscellaneous Identification Number (MN3)
Dette felt indeholder SQN (felt 2.008), som er overført ved en MPS- eller MMS-transaktion.
4.1.11.   Field 2.015: Miscellaneous Identification Number (MN4)
Dette felt indeholder MID (felt 2.009), som er overført ved en MPS- eller MMS-transaktion.
4.1.12.   Field 2.063: Additional Information (INF)
I tilfælde af en SRE-transaktion i forbindelse med en PMS-anmodning indeholder dette felt oplysninger om, hvilken finger der gav den eventuelle overensstemmelse. Feltets format er som følger:
NN, hvor NN er den fingerpositionskode, der er defineret i tabel 5, på to tegns længde.
I alle andre tilfælde er feltet fakultativt. Det består af op til 32 alfanumeriske tegn og kan give supplerende information om anmodningen.
4.1.13.   Field 2.064: Respondents List (RLS)
Dette felt indeholder mindst to subfelter. Det første subfelt beskriver, hvilken type søgning der er foretaget, ved hjælp af et mnemoteknisk hjælpemiddel på tre bogstaver, som angiver transaktionstypen i TOT (felt 1.004). Det andet subfelt er kun på ét tegn. Et "I" angiver, at der er fundet en overensstemmelse (HIT), og "N" angiver, at der ikke er fundet nogen overensstemmelse (No-HIT). Det tredje subfelt indeholder sekvensidentifikatoren for kandidatresultatet og det samlede antal kandidater, adskilt af en skråstreg. Hvis der findes flere kandidater, vil der blive sendt flere meddelelser tilbage.
I tilfælde af en mulig overensstemmelse vil det fjerde subfelt indeholde resultatet i form af et tal med op til seks cifre. Er overensstemmelsen bekræftet, angives værdien i subfeltet som "999999".
Eksempel: "CPS{}{RS}}I{}{RS}}001/001{}{RS}}999999{}{GS}}".
Hvis AFIS-fjernserveren ikke sætter tal på resultatet, bør resultatet nul benyttes på det pågældende punkt.
4.1.14.   Field 2.074: Status/Error Message Field (ERM)
Dette felt indeholder fejlmeddelelser i tilknytning til transaktioner, som vil blive sendt tilbage til anmoderen, når der opstår en fejl.
Tabel 3
Fejlmeddelelser
Numeric Code (1-3)
Meaning (5-128)
003
ERROR: UNAUTHORISED ACCESS
101
Mandatory field missing
102
Invalid record type
103
Undefined field
104
Exceed the maximum occurrence
105
Invalid number of subfields
106
Field length too short
107
Field length too long
108
Field is not a number as expected
109
Field number value too small
110
Field number value too big
111
Invalid character
112
Invalid date
115
Invalid item value
116
Invalid type of transaction
117
Invalid record data
201
ERROR: INVALID TCN
501
ERROR: INSUFFICIENT FINGERPRINT QUALITY
502
ERROR: MISSING FINGERPRINTS
503
ERROR: FINGERPRINT SEQUENCE CHECK FAILED
999
ERROR: ANY OTHER ERROR. FOR FURTHER DETAILS CALL DESTINATION AGENCY.
Fejlmeddelelse 100-199:
Disse fejlmeddelelser vedrører valideringen af ANSI/NIST-records og defineres som:
<error_code 1>: IDC <idc_number 1> FIELD <field_id 1> <dynamic text 1> LF
<error_code 2>: IDC <idc_number 2> FIELD <field_id 2> <dynamic text 2>…
hvor
—
error_code er en kode, der entydigt angiver en specifik årsag (jf. tabel 3)
—
field_id er ANSI/NIST-feltnummeret for det felt, som fejlen vedrører (e.g. 1.001, 2.001, …) i formatet <record_type>.<field_id>.<sub_field_id>
—
dynamisk tekst er en mere detaljeret dynamisk beskrivelse af fejlen
—
LF betegner et linjeskift (Line Feed), der adskiller fejlene, hvis der konstateres mere end én fejl
—
for type-1-records er ICD defineret som "-1".
Eksempel:
201: IDC - 1 FIELD 1.009 WRONG CONTROL CHARACTER {}{LF}} 115: IDC 0 FIELD 2.003 INVALID SYSTEM INFORMATION
Dette felt er obligatorisk for fejltransaktioner.
4.1.15.   Field 2.320: Expected Number of Candidates (ENC)
Dette felt indeholder det maksimale antal kandidater, som det anmodende agentur forventer at skulle kontrollere. ENC-værdien må ikke overstige de værdier, der er fastsat i tabel 11.
5.   Type-4-logisk record: gråtonebillede med høj opløsning
Det skal bemærkes, at type-4-records i sagens natur er binære og ikke ASCII-baserede. Derfor har hvert enkelt felt fået anvist en bestemt position i recorden, hvilket indebærer, at alle felterne er obligatoriske.
Standarden gør det muligt at angive såvel billedets størrelse som opløsningen i recorden. Kun logiske records af type-4 kan indeholde fingeraftryksbilleddata, der overføres med en nominel pixeltæthed på 500-520 DPI. Den foretrukne pixeltæthed for nye miljøer er 500 DPI (pixel/tomme) eller 19,68 pixel/mm. 500 DPI er den tæthed, der anbefales af INT-I, men tilsvarende systemer kan kommunikere med hinanden ved en anden tæthed end den foretrukne, beliggende mellem 500 og 520 DPI.
5.1.   Felter i logisk record af type-4
5.1.1.   Field 4.001: Logical Record Length (LEN)
Dette felt på fire bytes angiver længden af denne type-4-record og angiver det samlede antal bytes, inkl. samtlige bytes i hvert enkelt felt i recorden.
5.1.2.   Field 4.002: Image Designation Character (IDC)
Dette er den 1 byte store binære repræsentation af det IDC-nummer, der er angivet i headerfilen.
5.1.3.   Field 4.003: Impression Type (IMP)
Aftrykstypen er et 1 byte stort felt, der optræder som den sjette byte i recorden.
Tabel 4
Fingeraftrykstype
Code
Description
0
Live-scan of plain fingerprint
1
Live-scan of rolled fingerprint
2
Non-live scan impression of plain fingerprint captured from paper
3
Non-live scan impression of rolled fingerprint captured from paper
4
Latent impression captured directly
5
Latent tracing
6
Latent photo
7
Latent lift
8
Swipe
9
Unknown
5.1.4.   Field 4.004: Finger Position (FGP)
Dette felt, der har en fast længde på seks bytes, optræder som bytes nr. 7-12 i en type-4-record. Det angiver mulige fingerpositioner begyndende i den byte, der er længst til venstre (byte nr. 7 i recorden). Den kendte eller mest sandsynlige fingerposition hentes i tabel 5. Der kan registreres yderligere fem fingre ved at indlæse de øvrige fingerpositioner i de resterende fem bytes efter samme model. Hvis der benyttes færre end fem registrerede fingerpositioner, udfyldes de ubenyttede bytes med det binære 255. Til registrering af alle fingerpositionerne benyttes koden 0 for ukendt.
Tabel 5
Fingerpositionskode og maksimal størrelse
Finger position
Finger code
Width
(mm)
Length
(mm)
Unknown
0
40,0
40,0
Right thumb
1
45,0
40,0
Right index finger
2
40,0
40,0
Right middle finger
3
40,0
40,0
Right ring finger
4
40,0
40,0
Right little finger
5
33,0
40,0
Left thumb
6
45,0
40,0
Left index finger
7
40,0
40,0
Left middle finger
8
40,0
40,0
Left ring finger
9
40,0
40,0
Left little finger
10
33,0
40,0
Plain right thumb
11
30,0
55,0
Plain left thumb
12
30,0
55,0
Plain right four fingers
13
70,0
65,0
Plain left four fingers
14
70,0
65,0
For latente aftryk fra gerningssteder benytter man kun koderne 0 til 10.
5.1.5.   Field 4.005: Image Scanning Resolution (ISR)
Dette 1 byte store felt optræder som byte nr. 13 i en type-4-record. Hvis værdien er "0", er billedet taget med den foretrukne scanningsopløsning på 19,68 pixel/mm (500 pixel/tomme). Hvis værdien er "1", er billedet taget med en anden scanningsopløsning som angivet i type-1-recorden.
5.1.6.   Field 4.006: Horizontal Line Length (HLL)
Dette felt optræder som byte nr. 14 og 15 i en type-4-record. Det angiver antal pixel i hver scannet linje. Den første byte er den vigtigste.
5.1.7.   Field 4.007: Vertical Line Length (VLL)
Dette felt angiver i byte nr. 16 og 17 antallet af scannede linjer i billedet. Den første byte er den vigtigste.
5.1.8.   Field 4.008: Gray-scale Compression Algorithm (GCA)
Dette 1 byte store felt angiver, hvilken gråtonekomprimeringsalgoritme der er benyttet ved kodningen af billeddataene. I denne implementering angiver en binær kode 1, at WSQ-komprimeringsalgoritmen (tillæg 39-7) er benyttet.
5.1.9.   Field 4.009: The Image
Dette felt indeholder en byte-strøm, der repræsenterer billedet. Strukturen vil naturligvis afhænge af den benyttede komprimeringsalgoritme.
6.   Type-9-logisk record: Minutiæ Record
Type-9-records indeholder ASCII-tekst, der beskriver minutiæ og dertil knyttede oplysninger, som er indkodet fra et latent aftryk. For en søgetransaktion på et latent aftryk er der ingen begrænsning for, hvor mange af disse type-9-records en fil kan indeholde, og som hver især skal svare til et særskilt view eller latent aftryk.
6.1.   Minutiæ extraction
6.1.1.   Minutia type identification
Denne standard definerer tre identifikationsnumre, der benyttes til at beskrive, hvilken type minutia der er tale om. De er anført i tabel 6. En linjeafslutning (ridge ending) betegnes som type-1. En bifurcation betegnes som type-2. Hvis en minutia ikke klart kan kategoriseres som en af disse typer, betegnes den som "andet", type-0.
Tabel 6
Minutia types
Type
Description
0
Other
1
Ridge ending
2
Bifurcation
6.1.2.   Minutia placement and type
For at modellerne kan være i overensstemmelse med afsnit 5 i ANSI INCITS 378-2004-standarden, skal følgende metode, der er en udbygning af den nuværende INCITS 378-2004-standard, benyttes til at bestemme de enkelte minutiæs position (lokalisering og retning).
Den position eller lokalisering, som en minutia, der repræsenterer en linjeafslutning, har, bliver forgreningspunktet for midterskelettet i fordybningen foran linjeforhøjningens afslutning. Hvis man reducerer de tre udløbere i fordybningen til et skelet af kun én pixels bredde, vil krydspunktet være minutiaens lokalisering. Tilsvarende er en bifurcations lokalisering forgreningspunktet for linjeforhøjningens midterskelet. Hvis forhøjningens tre udløbere hver især blev reduceret til et skelet af kun én pixels bredde, ville de tre udløberes krydspunkt være minutiaens lokalisering.
Når alle linjeafslutningerne er blevet konverteret til bifurcationer, repræsenteres alle fingeraftrykkets minutiæ som bifurcationer. X- og Y-pixelkoordinaterne i krydspunktet for de tre udløbere af hver minutia kan formateres direkte. Fastsættelsen af minutiaernes retning kan udledes af hver af skelettets bifurcationer. De tre udløbere af hvert af skelettets bifurcationer skal undersøges, og endepunktet for hver udløber lokaliseres. Figur 6.1.2 illustrerer de tre metoder, der benyttes til at lokalisere endepunktet for en udløber på grundlag af en scanningsopløsning på 500 DPI.
Endepunktet lokaliseres ud fra den begivenhed, der indtræder først. Pixeltællingen er baseret på en scanningsopløsning på 500 DPI. Men andre scanningsopløsninger vil pixeltællingen give andre resultater.
—
En afstand på 0,064" (den 32. pixel)
—
Endepunktet for skeletudløberen befinder sig i en afstand af mellem 0,02" og 0,064" (fra den 10. til den 32. pixel); kortere udløbere benyttes ikke
—
En anden bifurcation optræder inden for en afstand af 0,064" (før den 32. pixel).
Figur 4
Minutiævinklen bestemmes ved at konstruere tre virtuelle stråler, der udgår fra bifurcationspunktet og når ud til enden af hver udløber. Medianlinjen i den mindste af de tre vinkler, som disse stråler danner, angiver minutiæns retning.
6.1.3.   Koordinatsystem
Det koordinatsystem, der benyttes til at anskueliggøre et fingeraftryks minutiæ, er et kartesisk koordinatsystem. Lokaliseringen af de enkelte minutiæer repræsenteres af deres x- og y-koordinater. Koordinatsystemets origo placeres i det oprindelige billedes øverste venstre hjørne, således at x-værdierne stiger mod højre og y-værdierne stiger i nedadgående retning. Både x- og y-koordinaterne for et minutæ angives i pixelenheder fra origo. Det skal bemærkes, at placeringen af origo og måleenhederne ikke er i overensstemmelse med den konvention, der anvendes i definitionerne af type-9 i ANSI/NIST-ITL 1-2000.
6.1.4.   Minutiæernes retning
Vinklerne udtrykkes i matematisk standardformat, med 0 grader til højre og vinkler, der bliver større mod uret. De registrerede vinkler åbner bagud langs forhøjningen for en forhøjningsafslutning og i retning mod fordybningens midte for en bifurcation. Denne konvention er 180 grader modsat den konventionelle vinkel, der beskrives i definitionerne af type-9 i ANSI/NIST-ITL 1-2000.
6.2.   Felter i type-9-logisk record INCITS-378 format
Alle felter i type-9-recorden registreres som ASCII-tekst. Der må ikke være nogen binære felter i denne record med mærkede felter.
6.2.1.   Field 9.001: Logical record length (LEN)
Dette obligatoriske ASCII-felt skal angive længden af den logiske record og præcisere det samlede antal bytes, herunder hvert tegn i hvert felt i recorden.
6.2.2.   Field 9.002: Image designation character (IDC)
Dette obligatoriske to-byte felt anvendes til identificering og placering af minutiædata. IDC i dette felt skal matche IDC i feltet for filindhold i type-1-recorden.
6.2.3.   Field 9.003: Impression type (IMP)
Dette obligatoriske en-byte felt beskriver, hvor informationen om fingeraftryksbilledet blev indsamlet. ASCII-værdien af den korrekte kode som valgt fra tabel 4 indlæses i dette felt for at angive aftrykstypen.
6.2.4.   Field 9.004: Minutiæ format (FMT)
Dette felt indeholder et "U" for at angive, at minutiæ er formateret efter M1-378 standard. Selv om informationer kan kodes i overensstemmelse med M1-378-standarden, skal alle data i felter i type-9-recorden fortsat være ASCII-tekstfelter.
6.2.5.   Field 9.126: CBEFF information
Dette felt indeholder tre informationselementer. Det første informationselement skal indeholde værdien "27" (0x1B). Det er for at identificere ejeren af CBEFF-formatet, der af International Biometric Industry Association (IBIA) er udpeget til INCITS Technical Committee M1. <US>-tegnet skal adskille dette element fra CBEFF-formattypen, der har en værdi på "513" (0x0201) for at angive, at denne record kun indeholder data om placering og angulærretning uden nogen udvidet datablokinformation. <US>-tegnet skal adskille dette element fra CBEFF Product Identifier (PID), der identificerer "ejeren" af kodningsudstyret. Det er sælger, der fastsætter denne værdi. Det kan fås på IBIA's websted (www.ibia.org), hvis det er indlæst.
6.2.6.   Field 9.127: Capture equipment identification
Dette felt indeholder to informationselementer, der er adskilt af <US>-tegnet. Det første skal indeholde "APPF", hvis det udstyr, der oprindeligt blev anvendt til at tage billedet, var certificeret i overensstemmelse med tillæg F (IAFIS Image Quality Specification af 29. januar 1999) i CJIS-RS-0010, Federal Bureau of Investigation's Electronic Fingerprint Transmission Specification. Hvis udstyret ikke var i overensstemmelse hermed, indeholder det værdien "NONE". Andet informationselement skal indeholde optagelsesudstyrets ID, som er sælgers produktnummer på optagelsesudstyret. Værdien "0" angiver, at optagelsesudstyrets ID ikke er registreret.
6.2.7.   Field 9.128: Horizontal line length (HLL)
Dette obligatoriske ASCII-felt angiver antallet af pixel i en enkelt horisontal linje af det overførte billede. Den maksimale horisontale størrelse er begrænset til 65534 pixel.
6.2.8.   Field 9.129: Vertical line length (VLL)
Dette obligatoriske ASCII-felt angiver antallet af horisontale linjer i det overførte billede. Den maksimale vertikale størrelse er begrænset til 65534 pixel.
6.2.9.   Field 9.130: Scale units (SLC)
Dette obligatoriske ASCII-felt angiver de enheder, der anvendes til at beskrive pixeltætheden. Et "1" i dette felt angiver pixel pr. tomme og et "2" angiver pixel pr. centimeter. Et "0" i dette felt angiver, at der ikke er angivet nogen skala. I dette tilfælde angiver kvotienten af HPS/VPS pixelaspektratioen.
6.2.10.   Field 9.131: Horizontal pixel scale (HPS)
Dette obligatoriske ASCII-felt angiver den horisontale pixeltæthed i hele tal, når SLC indeholder et "1" eller et "2". Ellers angiver det den horisontale komponent af pixelaspektratioen.
6.2.11.   Field 9.132: Vertical pixel scale (VPS)
Dette obligatoriske ASCII-felt angiver den vertikale pixeltæthed i hele tal, når SLC indeholder et "1" eller et "2". Ellers angiver det den vertikale komponent af pixelaspektratioen.
6.2.12.   Field 9.133: Finger view
Dette obligatoriske felt angiver viewnummeret på den finger, der er knyttet til denne records data. Nummeret begynder med "0" og stiger med én ad gangen til "15".
6.2.13.   Field 9.134: Finger Position (FGP)
Dette felt angiver koden for den fingerposition, der leverede oplysningen til denne type-9-record. En kode mellem 1 og 10 fra tabel 5 eller den relevante håndfladekode fra tabel 10 skal anvendes til at angive finger- eller håndfladepositionen.
6.2.14.   Field 9.135: Finger quality
Dette felt angiver kvaliteten af de samlede minutiædata for fingeren og angives mellem 0 og 100. Tallet giver et samlet overblik over kvaliteten af fingerrecorden og repræsenterer kvaliteten af det oprindelige billede, af minutiaene og andre yderligere operationer, der kan berøre minutiærecorden.
6.2.15.   Field 9.136: Number of minutiæ
Dette obligatoriske felt indeholder en opregning af antallet af minutiæ, der er registreret i denne logiske record.
6.2.16.   Field 9.137: Finger minutiæ data
Dette obligatoriske felt har seks informationselementer adskilt af <US>-tegnet. Det består af flere subfelter, som hver indeholder detaljer af de enkelte minutiae. Det samlede antal minutiaesubfelter skal svare til antallet i felt 136. Det første informationselement er indeksnummeret for minutiæ, der indledes med "1" og øges med "1" for hver yderligere minutia i fingeraftrykket. Andet og tredje informationselement er x-koordinaten og y-koordinaterne i minutiæ angivet i pixelenheder. Fjerde informationselement er minutiae-vinklen angivet i enheder på to grader. Denne værdi skal være ikkenegativ mellem 0 og 179. Femte informationselement er minutiætypen. "0" angiver minutiæ af typen "OTHER", "1" en linjeafslutning (ridge ending) og "2" en linjebifurcation. Sjette informationselement angiver kvaliteten af hver minutiae. Denne værdi går fra 1 som minimum til 100 som maksimum. "0" angiver, at der ikke er nogen kvalitetsværdi. Hvert subfelt adskilles fra det næste ved at anvende <RS>-separatortegnet.
6.2.17.   Field 9.138: Ridge count information
Dette felt består af en række subfelter, der hver især indeholder tre informationselementer. Det første element i første subfelt angiver metoden til ekstraktion af linjeantallet. "0" angiver, at det ikke vides, hvilken metode der er brugt til ekstraktion af linjeantallet eller deres rækkefølge i recorden. "1" angiver, at der for hver central minutia blev ekstraheret data om linjeantal til nærmeste minutia i fire kvadranter, og linjeantal for hver centrale minutia opgives samlet. "2" angiver, at der for hver centrale minutia blev ekstraheret data om linjeantal til nærmeste minutia i otte oktanter, og linjeantal for hver centrale minutia opgives samlet. De resterende to informationselementer i første subfelt skal begge indeholde "0". Informationselementer adskilles med <US>-separatortegnet. Efterfølgende subfelter vil indeholde indeksnummeret for den centrale minutiæ som første informationselement, indeksnummeret for nærliggende minutiæ som andet informationselement og antallet af linjer, der krydses, som tredje informationselement. Subfelter adskilles af <RS>-separatortegnet.
6.2.18.   Field 9.139: Core information
Dette felt består af et subfelt for hver kerne i det oprindelige billede. Hvert subfelt består af tre informationselementer. De første to elementer indeholder x- og y-koordinatpositionerne i pixelenheder. Det tredje element indeholder kernens vinkel registreret i enheder på 2 grader. Værdien skal være en ikkenegativ værdi mellem 0 og 179. Flere kerner adskilles af <RS>-separatortegnet.
6.2.19.   Field 9.140: Delta information (deltainformation)
Dette felt består af et subfelt for hvert delta i det oprindelige billede. Hvert subfelt består af tre informationselementer. De første to elementer indeholder x- og y-koordinatpositionerne i pixelenheder. Det tredje element indeholder deltaets vinkel registreret i enheder på 2 grader. Værdien skal være en ikkenegativ værdi mellem 0 og 179. Flere kerner adskilles af <RS>-separatortegnet.
7.   Type-13-record: latent billede med variabel løsning
Type-13-logiske records med mærkede felter indeholder billeddata fra latente billeder. Disse billeder er beregnet på at blive overført til agenturer, der automatisk eller ved menneskelig indgriben og behandling vil ekstrahere de ønskede informationer om tegnene fra billederne.
Information vedrørende scanningsopløsning, billedstørrelse og andre parametre, der kræves til at behandle billedet, registreres som mærkede felter i recorden.
Tabel 7:
Type-13-record: latent billede med variabel opløsning
Ident
Cond. code
Field Number
Field Name
Char type
Field size per occurrence
Occur count
Max byte count
min.
max.
min
max
LEN
M
13.001
LOGICAL RECORD LENGTH
n
4
8
1
1
15
IDC
M
13.002
IMAGE DESIGNATION CHARACTER
n
2
5
1
1
12
IMP
M
13.003
IMPRESSION TYPE
A
2
2
1
1
9
SRC
M
13.004
SOURCE AGENCY/ORI
AN
6
35
1
1
42
LCD
M
13.005
LATENT CAPTURE DATE
n
9
9
1
1
16
HLL
M
13.006
HORIZONTAL LINE LENGTH
n
4
5
1
1
12
VLL
M
13.007
VERTICAL LINE LENGTH
n
4
5
1
1
12
SLC
M
13.008
SCALE UNITS
n
2
2
1
1
9
HPS
M
13.009
HORIZONTAL PIXEL SCALE
n
2
5
1
1
12
VPS
M
13.010
VERTICAL PIXEL SCALE
n
2
5
1
1
12
CGA
M
13,011
COMPRESSION ALGORITHM
A
5
7
1
1
14
BPX
M
13.012
BITS PER PIXEL
n
2
3
1
1
10
FGP
M
13.013
FINGER POSITION
n
2
3
1
6
25
RSV
13.014
RESERVED FOR FUTURE DEFINITION
—
—
—
—
—
—
13.019
COM
O
13.020
COMMENT
A
2
128
0
1
135
RSV
13.021
RESERVED FOR FUTURE DEFINITION
—
—
—
—
—
—
13.199
UDF
O
13.200
USER-DEFINED FIELDS
—
—
—
—
—
—
13.998
DAT
M
13.999
IMAGE DATA
B
2
—
1
1
—
Key for character type: N = Numeric; A = Alphabetic; AN = Alphanumeric; B = Binary
7.1.   Felter i type-13-logisk record
Følgende afsnit beskriver de data, der er indeholdt i hvert af felterne i type-13-logiske records.
I type-13-logiske records skal indlæsninger foretages i nummererede felter. Det er nødvendigt, at de to første felter i recorden står i samme rækkefølge, og feltet med billeddata skal være angivet i recordens sidste fysiske felt. For hvert felt i type-13-recorden indeholder tabel 7 feltet "condition code" som "mandatory" (obligatorisk) "M" eller "optional" (fakultativ) "O", feltnummer, feltnavn, tegntype, feltstørrelse og grænser for forekomst. Baseret på et trecifret feltnummer er det maksimale antal bytes angivet i sidste kolonne. Da der anvendes flere cifre til feltnummeret, vil det maksimale antal bytes også stige. De to felter i "field size per occurence" omfatter alle separatortegn, der anvendes i feltet. "Maximum byte count" omfatter feltnummer, oplysninger og alle separatortegn, herunder tegnet "GS".
7.1.1.   Field 13.001: Logical record length (LEN)
Dette obligatoriske ASCII-felt skal indeholde det samlede antal bytes i den logiske type-13-record. Felt 13.001 skal angive recordens længde og omfatte samtlige tegn i hvert felt samt informationsseparatorerne.
7.1.2.   Field 13.002: Image designation character (IDC)
Dette obligatoriske ASCII-felt anvendes til at identificere de latente billeddata, der er indeholdt i recorden. Dette IDC skal matche det IDC, der blev fundet i filindholdsfeltet (CNT) i type-1-recorden.
7.1.3.   Field 13.003: Impression type (IMP)
Dette obligatoriske en- eller to-byte ASCII-felt angiver, hvordan de latente billeddata blev indsamlet. I dette felt indlæses den relevante latente kode fra tabel 4 (finger) eller tabel 9 (håndflade).
7.1.4.   Field 13.004: Source agency/ORI (SRC)
Dette obligatoriske ASCII-felt indeholder identifikationen af den administration eller organisation, der først indlæste ansigtsbilledet i recorden. Normalt vil feltet angive "the Originating Agency Identifier" (ORI) for det agentur, der tog billedet. Det består af to informationselementer i følgende format: CC/agency.
Det første element angiver INTERPOL's landekode på to alfanumeriske tegn. Det andet element, agenturet (agency), er en fritekstidentificering af agenturet på højst 32 alfanumeriske tegn.
7.1.5.   Field 13.005: Latent capture date (LCD)
Dette obligatoriske ASCII-felt angiver den dato, hvor det latente billede i recorden blev taget. Datoen er angivet med otte chifre i formatet CCYYMMDD. CCYY angiver det år, hvor billedet blev taget, MM angiver måneden, og DD angiver datoen. For eksempel angiver 20000229 den 29. februar 2000. Den fuldstændige dato skal være i et ægte datoformat.
7.1.6.   Field 13.006: Horizontal line length (HLL)
Dette obligatoriske ASCII-felt angiver antallet af pixel i en enkelt horisontal linje af det overførte billede.
7.1.7.   Field 13.007: Vertical line length (VLL)
Dette obligatoriske ASCII-felt angiver antallet af horisontale linjer i det overførte billede.
7.1.8.   Field 13.008: Scale units (SLC)
Dette obligatoriske ASCII-felt angiver de enheder, der anvendes til at beskrive pixeltætheden. Et "1" i dette felt angiver pixel pr. tomme og et "2" angiver pixel pr. centimeter. Et "0" i dette felt angiver, at der ikke er angivet nogen skala. I dette tilfælde angiver kvotienten af HPS/VPS pixelaspektratioen.
7.1.9.   Field 13.009: Horizontal pixel scale (HPS)
Dette obligatoriske ASCII-felt angiver den horisontale pixeltæthed i hele tal, når SLC indeholder et "1" eller et "2". Ellers angiver det den horisontale komponent af pixelaspektratioen.
7.1.10.   Field 13.010: Vertical pixel scale (VPS)
Dette obligatoriske ASCII-felt angiver den vertikale pixeltæthed i hele tal, når SLC indeholder et "1" eller et "2". Ellers angiver det den vertikale komponent af pixelaspektratioen.
7.1.11.   Field 13.011: Compression algorithm (CGA)
Dette obligatoriske ASCII-felt angiver den algoritme, der anvendes til at komprimere gråtonebilleder. Kompressionskoderne findes i tillæg 39-7.
7.1.12.   Field 13.012: Bits per pixel (BPX)
Dette obligatoriske ASCII-felt angiver antal bit per pixel. I feltet angiver "8" normale gråtoneværdier fra "0" til "255". Hvis der i dette felt indlæses en værdi højere eller lavere end "8", repræsenterer det en gråtoneværdi med henholdsvis større eller mindre præcision.
7.1.13.   Field 13.013: Finger/palm position (PLP)
Dette obligatoriske mærkede felt angiver en eller flere finger- eller håndfladepositioner, der kan matche det latente billede. Decimalkodenummeret, der svarer til den kendte eller mest sandsynlige fingerposition, tages fra tabel 5 eller den mest sandsynlige håndfladeposition fra tabel 10 og indlæses som et ét- eller tocifret ASCII-subfelt. Der kan henvises til supplerende finger- og/eller håndfladepositioner ved at indlæse de alternative positionskoder som subfelter adskilt af "RS"-separatortegnet. Kode "0" for "Unknown Finger" (ukendt finger) anvendes til at henvise til fingerposition 1-10. Kode "20" for "Unknown Palm" (ukendt håndflade) anvendes til at henvise til alle opførte håndfladeaftrykspositioner.
7.1.14.   Field 13.014-019: Reserved for future definition (RSV)
Disse felter er reserveret til indlæsning af kommende revisioner af denne standard. Ingen af disse felter må anvendes på nuværende revisionsniveau. Hvis disse felter forekommer, skal de ignoreres.
7.1.15.   Field 13.020: Comment (COM)
Dette fakultative felt kan anvendes til at indlæse bemærkninger eller anden ASCII-tekstinformation sammen med data vedrørende håndfladeaftryksdata.
7.1.16.   Field 13.021-199: Reserved for future definition (RSV)
Disse felter er reserveret til indlæsning af kommende revisioner af denne standard. Ingen af disse felter må anvendes på nuværende revisionsniveau. Hvis disse felter forekommer, skal de ignoreres.
7.1.17.   Field 13.200-998: User-defined fields (UDF)
Disse felter kan defineres af brugerne og vil blive anvendt til fremtidige krav. Deres størrelse og indhold defineres af brugeren efter aftale med det modtagende agentur. Hvis disse felter forekommer, skal de indeholde ASCII-tekstinformation
7.1.18.   Field 13.999: Image data (DAT)
Dette felt indeholder alle data fra et håndfladeaftryksbillede. Det skal altid have feltnummer 999 og være det sidste fysiske felt i recorden. For eksempel efterfølges "13.999:" af billeddata i binær repræsentation.
Hver pixel af ukomprimerede gråtonedata skal normalt angives med otte bit (256 gråtoneniveauer) indeholdt i en enkelt byte. Hvis indlæsningen i BPX Felt 13.012 er højere eller lavere end 8, vil det antal bytes, der kræves til at indeholde en pixel, være forskelligt. Hvis der anvendes kompression, skal pixeldataene komprimeres i overensstemmelse med den kompressionsteknik, der er angivet i GCA-feltet.
7.2.   Afslutning af type-13-record: latente billeder med variabel opløsning
Af hensyn til sammenhængen skal der umiddelbart efter den sidste databyte i felt 13.999 indsættes en "FS"-separator for at adskille den fra den næste logiske record. Denne separator skal indlæses i længdefeltet i type-13-recorden.
8.   Type-15-record: håndfladeaftryk med variabel opløsning
Type-15-logisk record med mærkede felter indeholder og anvendes til at udveksle håndfladeaftryksbilleddata sammen med fastlagte og brugerdefinerede tekstinformationsfelter, der er relevante for det digitaliserede billede. Information om scanningopløsning, billedstørrelse og andre parametre eller bemærkninger, der kræves til at behandle billedet, registreres som mærkede felter i recorden. Håndfladeaftryksbilleder, der overføres til andre agenturer vil blive behandlet af modtageragenturerne, så de kan ekstrahere de informationstegn, der kræves med henblik på matchning.
Billeddataene fås direkte fra en person, der anvender live scan-udstyr, eller fra en håndfladeaftryksformular eller andre medier, der indeholder personens håndfladeaftryk.
Enhver metode til at optage håndfladeaftryksbilleder skal kunne tage et sæt af billeder for hver hånd. Dette sæt skal omfatte lillefingerbalden som et enkelt scannet billede og hele håndfladen fra håndleddet til fingerspidserne som et eller to scannede billeder. Hvis der anvendes to billeder til at repræsentere hele håndfladen, skal det nederste billede gå fra håndleddet til toppen af interdigitalregionen (tredje fingerled) og omfatte tenar- og hypotenarregionen i håndfladen. Det øverste billede skal gå fra den nederste del af interdigitalregionen til de yderste fingerspidser. Dette giver et passende antal overlapninger mellem de to billeder, som begge findes over håndfladens interdigitalregion. Ved at sammenholde linjestrukturer og detaljer i dette fælles område, kan en undersøger med sikkerhed konstatere, om begge billeder kommer fra samme håndflade.
Da en håndfladeaftrykstransaktion kan anvendes til forskellige formål, kan den indeholde et eller flere unikke billedområder optaget fra håndfladen eller hånden. Et fuldstændigt recordsæt af håndfladeaftryk for en enkelt person vil normalt omfatte lillefingerbalden og det/de fulde håndfladebillede(r) fra hver hånd. Da logiske billedrecords med mærkede felter kun kan indeholde et binært felt, kræves der en enkelt type-15-record for hver lillefingerbalde og en eller to type-15-record(s) for hver fulde håndflade. Derfor kræves der 4-6 type-15-records til at repræsentere personens håndfladeaftryk i en normal håndfladeaftrykstransaktion.
8.1.   Felter i type-15-logisk record
Følgende afsnit beskriver de data, der er indeholdt i hvert af felterne i type-15-logiske records.
I type-15-logiske records skal indlæsninger foretages i nummererede felter. Det er nødvendigt, at de to første felter i recorden står i samme rækkefølge, og feltet med billeddata skal være angivet i recordens sidste fysiske felt. For hvert felt i type-15-recorden indeholder tabel 8 feltet "condition code" som "mandatory" (obligatorisk) "M" eller "optional" (fakultativ) "O", feltnummer, feltnavn, tegntype, feltstørrelse og grænser for forekomst. Baseret på et trecifret feltnummer er det maksimale antal bytes angivet i sidste kolonne. Da der anvendes flere cifre til feltnummeret, vil det maksimale antal bytes også stige. De to felter i "field size per occurence" omfatter alle separatortegn, der anvendes i feltet. "Maximum byte count" omfatter feltnummer, oplysninger og alle separatortegn, herunder tegnet "GS".
8.1.1.   Field 15.001: Logical record length (LEN)
Dette obligatoriske ASCII-felt skal indeholde det samlede antal bytes i den logiske type-15-record. Felt 15.001 skal angive recordens længde og omfatte samtlige tegn i hvert eneste felt samt informationsseparatorerne.
8.1.2.   Field 15.002: Image designation character (IDC)
Dette obligatoriske ASCII-felt anvendes til at identificere det håndfladeaftryksbillede, der er indeholdt i recorden. Dette IDC skal matche det IDC, der blev fundet i filindholdsfeltet (CNT) i type-1-recorden.
8.1.3.   Field 15.003: Impression type (IMP)
Dette obligatoriske en-byte ASCII-felt angiver, hvordan informationen om håndfladeaftryksbilledet blev indsamlet. I dette felt indlæses den relevante kode fra tabel 9.
8.1.4.   Field 15.004: Source agency/ORI (SRC)
Dette obligatoriske ASCII-felt indeholder identifikationen af den administration eller organisation, der først indlæste ansigtsbilledet i recorden. Normalt vil feltet angive "the Originating Agency Identifier" (ORI) for det agentur, der tog billedet. Det består af to informationselementer i følgende format: CC/agency.
Det første element angiver INTERPOL's landekode på to alfanumeriske tegn. Det andet element, agenturet (agency), er en fritekstidentificering af agenturet på højst 32 alfanumeriske tegn.
8.1.5.   Field 15.005: Palmprint capture date (PCD)
Dette obligatoriske ASCII-felt angiver den dato, hvor håndfladeaftrykket blev taget. Datoen er angivet med otte chifre i formatet CCYYMMDD. CCYY angiver det år, hvor billedet blev taget, MM angiver måneden, og DD angiver datoen. For eksempel angiver 20000229 den 29. februar 2000. Den fuldstændige dato skal være i et ægte datoformat.
8.1.6.   Field 15.006: Horizontal line length (HLL)
Dette obligatoriske ASCII-felt angiver antallet af pixel i en enkelt horisontal linje af det overførte billede.
8.1.7.   Field 15.007: Vertical line length (VLL)
Dette obligatoriske ASCII-felt angiver antallet af horisontale linjer i det overførte billede.
8.1.8.   Field 15.008: Scale units (SLC)
Dette obligatoriske ASCII-felt angiver de enheder, der anvendes til at beskrive pixeltætheden. Et "1" i dette felt angiver pixel pr. tomme og et "2" angiver pixel pr. centimeter. Et "0" i dette felt angiver, at der ikke er angivet nogen skala. I dette tilfælde angiver kvotienten af HPS/VPS pixelaspektratioen.
8.1.9.   Field 15.009: Horizontal pixel scale (HPS)
Dette obligatoriske ASCII-felt angiver den horisontale pixeltæthed i hele tal, når SLC indeholder et "1" eller et "2". Ellers angiver det den horisontale komponent af pixelaspektratioen.
8.1.10.   Field 15.010: Vertical pixel scale (VPS)
Dette obligatoriske ASCII-felt angiver den vertikale pixeltæthed i hele tal, når SLC indeholder et "1" eller et "2". Ellers angiver det den vertikale komponent af pixelaspektratioen.
Tabel 8:
Type-15-record: håndfladeaftryk med variabel opløsning
Ident
Cond. code
Field Number
Field Name
Char type
Field size per occurrence
Occur count
Max byte count
min.
max.
min
max
LEN
M
15.001
LOGICAL RECORD LENGTH
n
4
8
1
1
15
IDC
M
15.002
IMAGE DESIGNATION CHARACTER
n
2
5
1
1
12
IMP
M
15.003
IMPRESSION TYPE
n
2
2
1
1
9
SRC
M
15.004
SOURCE AGENCY/ORI
AN
6
35
1
1
42
PCD
M
15.005
PALMPRINT CAPTURE DATE
n
9
9
1
1
16
HLL
M
15.006
HORIZONTAL LINE LENGTH
n
4
5
1
1
12
VLL
M
15.007
VERTICAL LINE LENGTH
n
4
5
1
1
12
SLC
M
15.008
SCALE UNITS
n
2
2
1
1
9
HPS
M
15.009
HORIZONTAL PIXEL SCALE
n
2
5
1
1
12
VPS
M
15.010
VERTICAL PIXEL SCALE
n
2
5
1
1
12
CGA
M
15.011
COMPRESSION ALGORITHM
AN
5
7
1
1
14
BPX
M
15.012
BITS PER PIXEL
n
2
3
1
1
10
PLP
M
15.013
PALMPRINT POSITION
n
2
3
1
1
10
RSV
15.014
RESERVED FOR FUTURE INCLUSION
—
—
—
—
—
—
15.019
COM
O
15.020
COMMENT
AN
2
128
0
1
128
RSV
15.021
RESERVED FOR FUTURE INCLUSION
—
—
—
—
—
—
15.199
UDF
O
15.200
USER-DEFINED FIELDS
—
—
—
—
—
—
15.998
DAT
M
15.999
IMAGE DATA
B
2
—
1
1
—
Tabel 9:
Håndfladeaftrykstype
Description
Code
Live-scan palm
10
Nonlive-scan palm
11
Latent palm impression
12
Latent palm tracing
13
Latent palm photo
14
Latent palm lift
15
8.1.11.   Field 15.011: Compression algorithm (CGA)
Dette obligatoriske ASCII-felt angiver den algoritme, der anvendes til at komprimere gråtonebilleder. Hvis der indlæses "NONE" i dette felt, angiver det, at dataene i denne record ikke er komprimerede. For de billeder, der skal komprimeres, indeholder feltet den foretrukne metode til at komprimere tenprint fingeraftryksbilleder. Gyldige kompressionskoder er angivet i tillæg 39-7.
8.1.12.   Field 15.012: Bits per pixel (BPX)
Dette obligatoriske ASCII-felt angiver antal bit per pixel. I feltet angiver "8" normale gråtoneværdier fra "0" til "255". Hvis der i dette felt indlæses en værdi højere eller lavere end "8", repræsenterer det en gråtoneværdi med henholdsvis større eller mindre præcision.
Tabel 10:
Håndfladekoder, områder og størrelser
Palm Position
Palm code
Image area (mm
2
)
Width (mm)
Height (mm)
Unknown Palm
20
28387
139,7
203,2
Right Full Palm
21
28387
139,7
203,2
Right Writer s Palm
22
5645
44,5
127,0
Left Full Palm
23
28387
139,7
203,2
Left Writer s Palm
24
5645
44,5
127,0
Right Lower Palm
25
19516
139,7
139,7
Right Upper Palm
26
19516
139,7
139,7
Left Lower Palm
27
19516
139,7
139,7
Left Upper Palm
28
19516
139,7
139,7
Right Other
29
28387
139,7
203,2
Left Other
30
28387
139,7
203,2
8.1.13.   Field 15.013: Palmprint position (PLP)
Dette obligatoriske mærkede felt angiver håndfladeaftrykkets position, der matcher håndfladeaftryksbilledet. Decimalkodenummeret, der skal svare til den kendte eller mest sandsynlige håndfladeaftryksposition, tages fra tabel 10 og indlæses som et tocifret ASCII-subfelt. Tabel 10 angiver også de maksimale billedområder og -dimensioner for hver af de mulige håndfladeaftrykspositioner.
8.1.14.   Field 15.014-019: Reserved for future definition (RSV)
Disse felter er reserveret til indlæsning af kommende revisioner af denne standard. Ingen af disse felter må anvendes på nuværende revisionsniveau. Hvis disse felter forekommer, skal de ignoreres.
8.1.15.   Field 15.020: Comment (COM)
Dette fakultative felt kan anvendes til at indlæse bemærkninger eller anden ASCII-tekstinformation sammen med data vedrørende håndfladeaftryksdata.
8.1.16.   Field 15.021-199: Reserved for future definition (RSV)
Disse felter er reserveret til indlæsning af kommende revisioner af denne standard. Ingen af disse felter må anvendes på nuværende revisionsniveau. Hvis disse felter forekommer, skal de ignoreres.
8.1.17.   Field 15.200-998: User-defined fields (UDF)
Disse felter kan defineres af brugerne og vil blive anvendt til fremtidige krav. Deres størrelse og indhold defineres af brugeren efter aftale med det modtagende agentur. Hvis disse felter forekommer, skal de indeholde ASCII-tekstinformation
8.1.18.   Field 15.999: Image data (DAT)
Dette felt indeholder alle data fra et håndfladeaftryksbillede. Det skal altid have feltnummer 999 og være det sidste fysiske felt i recorden. For eksempel efterfølges "15.999:" af billeddata i binær repræsentation. Hver pixel af ukomprimerede gråtonedata skal normalt angives med otte bit (256 gråtoneniveauer) indeholdt i en enkelt byte. Hvis indlæsningen i BPX-felt 15.012 er højere eller lavere end 8, vil det antal bytes, der kræves til at indeholde en pixel, være forskelligt. Hvis der anvendes kompression, skal pixeldataene komprimeres i overensstemmelse med den kompressionsteknik, der er angivet i CGA-feltet.
8.2.   Afslutning af type-15-record: håndfladeaftryk med variabel opløsning
Af hensyn til sammenhængen skal der umiddelbart efter den sidste databyte i felt 15.999 indsættes en "FS"-separator for at adskille den fra den næste logiske record. Denne separator skal indlæses i længdefeltet i type-15-recorden.
8.3.   Supplerende type-15-record: håndfladeaftryk med variabel opløsning
Der kan indlæses yderligere type-15-records i denne fil. For hvert supplerende håndfladeaftryksbillede kræves en komplet type-15 logisk record sammen med en "FS"-separator.
Tabel 11:
Det maksimale antal personer, der accepteres med henblik på kontrol pr. overførsel
Type of AFIS Search
TP/TP
LT/TP
LP/PP
TP/UL
LT/UL
PP/ULP
LP/ULP
Maximum Number of Candidates
1
10
5
5
5
5
5
Søgningstyper:
TP/TP: ten-print against ten-print
LT/TP: fingerprint latent against ten-print
LP/PP: palmprint latent against palmprint
TP/UL: ten-print against unsolved fingerprint latent
LT/UL: fingerprint latent against unsolved fingerprint latent
PP/ULP: palmprint against unsolved palmprint latent
LP/ULP: palmprint latent against unsolved palmprint latent.
9.   Tillæg til kapitel 2 (Udveksling af fingeraftryksoplysninger)
9.1.   Tillæg 39-1: ASCII-separatorkoder
ASCII
Position
 (
2
)
Description
LF
1/10
Separates error codes in field 2.074
FS
1/12
Separates logical records of a file
GS
1/13
Separates fields of a logical record
RS
1/14
Separates the subfields of a record field
US
1/15
Separates individual information items of the field or subfield
9.2.   Tillæg 39-2: Beregning af alfanumeriske kontroltegn
For TCN og TCR (Felt 1.09 og 1.10):
Det tal, der svarer til kontroltegnet, findes ved at anvende følgende formel:
(YY * 10
8
 
+ S
SSSSSSS) Modulo 23
Hvor YY og SSSSSSSS er numeriske værdier for henholdsvis de sidste to cifre for året og serienummeret.
Kontroltegnet findes herefter i opslagstabellen nedenfor.
For CRO (Felt 2.010)
Det tal, der svarer til kontroltegnet, findes ved at anvende følgende formel:
(YY * 10
6
 + NNNNNN) Modulo 23
Hvor YY og NNNNNN er numeriske værdier for henholdsvis de to sidste cifre for året og serienummeret.
Kontroltegnet findes herefter i opslagstabellen nedenfor.
Opslagstabel for kontroltegn
1-A
9-J
17-T
2-B
10-K
18-U
3-C
11-L
19-V
4-D
12-M
20-W
5-E
13-N
21-X
6-F
14-P
22-Y
7-G
15-Q
0-Z
8-H
16-R
9.3.   Tillæg 39-3: Tegnkoder
7-bit ANSI-kode for informationsudveksling
ASCII Character Set
+
0
1
2
3
4
5
6
7
8
9
30
!
’
#
$
%
&
‘
40
(
)
*
+
,
-
.
/
0
1
50
2
3
4
5
6
7
8
9
:
;
60
<
=
>
?
@
A
B
C
D
E
70
F
G
H
I
J
K
L
M
n
O
80
P
Q
R
S
T
U
V
W
X
Y
90
Z
[
\
]
^
_
`
a
b
c
100
d
e
f
g
h
i
j
k
l
m
110
n
o
p
q
r
s
t
u
v
w
120
x
y
z
{}{
|
}}
~
9.4.   Tillæg 39-4: Transaktionsresumé
Type-1-record (obligatorisk)
Identifier
Field Number
Field Name
CPS/PMS
SRE
ERR
LEN
1.001
Logical Record Length
M
M
M
VER
1.002
Version Number
M
M
M
CNT
1.003
File Content
M
M
M
TOT
1.004
Type of Transaction
M
M
M
DAT
1.005
Date
M
M
M
PRY
1.006
Priority
M
M
M
DAI
1.007
Destination Agency
M
M
M
ORI
1.008
Originating Agency
M
M
M
TCN
1.009
Transaction Control Number
M
M
M
TCR
1.010
Transaction Control Reference
C
M
M
NSR
1.011
Native Scanning Resolution
M
M
M
NTR
1.012
Nominal Transmitting Resolution
M
M
M
DOM
1.013
Domain name
M
M
M
GMT
1.014
Greenwich mean time
M
M
M
I kolonnen "Condition":
O = Optional (fakultativ); M = Mandatory (obligatorisk); C = Conditional (betinget), hvis transaktionen er et svar til det anmodende agentur.
Type-2-record (obligatorisk)
Identifier
Field Number
Field Name
CPS/PMS
MPS/MMS
SRE
ERR
LEN
2.001
Logical Record Length
M
M
M
M
IDC
2.002
Image Designation Character
M
M
M
M
SYS
2.003
System Information
M
M
M
M
CNO
2.007
Case Number
—
M
C
—
SQN
2.008
Sequence Number
—
C
C
—
MID
2.009
Latent Identifier
—
C
C
—
CRN
2.010
Criminal Reference Number
M
—
C
—
MN1
2.012
Miscellaneous Identification Number
—
—
C
C
MN2
2.013
Miscellaneous Identification Number
—
—
C
C
MN3
2.014
Miscellaneous Identification Number
—
—
C
C
MN4
2.015
Miscellaneous Identification Number
—
—
C
C
INF
2.063
Additional Information
O
O
O
O
RLS
2.064
Respondents List
—
—
M
—
ERM
2.074
Status/Error Message Field
—
—
—
M
ENC
2.320
Expected Number of Candidates
M
M
—
—
I kolonnen "Condition":
O = Optional (fakultativ); M = Mandatory (obligatorisk); C = Conditional (betinget), afhængigt af, om dataene er tilgængelige.
*
=
Hvis transmissionen af dataene er i overensstemmelse med national lovgivning (der ikke er omfattet af artikel 533 og 534 i denne aftale).
9.5.   Tillæg 39-5: Definitioner i type-1-record
Identifier
Condition
Field number
Field name
Character type
Example data
LEN
M
1.001
Logical Record Length
n
1.001:230{}{GS}}
VER
M
1.002
Version Number
n
1.002:0300{}{GS}}
CNT
M
1.003
File Content
n
1.003:1{}{US}}15{}{RS}}2{}{US}}00{}{RS}}4{}{US}}01{}{RS}}4{}{US}}02{}{RS}}4{}{US}}03{}{RS}}4{}{US}}04{}{RS}}4{}{US}}05{}{RS}}4{}{US}}06{}{RS}}4{}{US}}07{}{RS}}4{}{US}}08{}{RS}}4{}{US}}09{}{RS}}4{}{US}}10{}{RS}}4{}{US}}11{}{RS}}4{}{US}}12{}{RS}}4{}{US}}13{}{RS}}4{}{US}}14{}{GS}}
TOT
M
1.004
Type of Transaction
A
1.004:CPS{}{GS}}
DAT
M
1.005
Date
n
1.005:20050101{}{GS}}
PRY
M
1.006
Priority
n
1.006:4{}{GS}}
DAI
M
1.007
Destination Agency
1
*
1.007:DE/BKA{}{GS}}
ORI
M
1.008
Originating Agency
1
*
1.008:NL/NAFIS{}{GS}}
TCN
M
1.009
Transaction Control Number
AN
1.009:0200000004F{}{GS}}
TCR
C
1.010
Transaction Control Reference
AN
1.010:0200000004F{}{GS}}
NSR
M
1.011
Native Scanning Resolution
AN
1.011:19.68{}{GS}}
NTR
M
1.012
Nominal Transmitting Resolution
AN
1.012:19,68{}{GS}}
DOM
M
1.013
Domain Name
AN
1013: INT-I{}{US}}4,22{}{GS}}
GMT
M
1.014
Greenwich Mean Time
AN
1.014:20050101125959Z
I kolonnen "Condition": O = Optional (fakultativ), M = Mandatory (obligatorisk), C = Conditional (betinget).
I kolonnen "Character Type" (tegntype): A = Alpha, N = Numeric, B = Binary.
1
*
 Tilladte tegn for agenturnavn er: ["0...9", "A...Z", "a...z", "_", ".", "
                  " og "-"].
9.6.   Tillæg 39-6: Definitioner i type-2-record
Tabel A.6.1:
CPS- og PMS-transaktion
Identifier
Condition
Field number
Field name
Character type
Example data
LEN
M
2.001
Logical Record Length
n
2.001:909{}{GS}}
IDC
M
2.002
Image Designation Character
n
2.002:00{}{GS}}
SYS
M
2.003
System Information
n
2.003:0422{}{GS}}
CRN
M
2.010
Criminal Reference Number
AN
2.010:DE/E999999999{}{GS}}
INF
O
2.063
Additional Information
1
*
2.063:Additional Information 123{}{GS}}
ENC
M
2.320
Expected Number of Candidates
n
2.320:1{}{GS}}
Tabel A.6.2:
SRE-transaktion
Identifier
Condition
Field number
Field name
Character type
Example data
LEN
M
2.001
Logical Record Length
n
2.001:909{}{GS}}
IDC
M
2.002
Image Designation Character
n
2.002:00{}{GS}}
SYS
M
2.003
System Information
n
2.003:0422{}{GS}}
CRN
C
2.010
Criminal Reference Number
AN
2.010:NL/2222222222{}{GS}}
MN1
C
2.012
Miscellaneous Identification Number
AN
2.012:E999999999{}{GS}}
MN2
C
2.013
Miscellaneous Identification Number
AN
2.013:E999999999{}{GS}}
MN3
C
2.014
Miscellaneous Identification Number
n
2.014:0001{}{GS}}
MN4
C
2.015
Miscellaneous Identification Number
A
2.015:A{}{GS}}
INF
O
2.063
Additional Information
1
*
2.063:Additional Information 123{}{GS}}
RLS
M
2.064
Respondents List
AN
2.064:CPS{}{RS}}I{}{RS}}001/001{}{RS}}999999{}{GS}}
Tabel A.6.3:
ERR-transaktion
Identifier
Condition
Field number
Field name
Character type
Example data
LEN
M
2.001
Logical Record Length
n
2.001:909{}{GS}}
IDC
M
2.002
Image Designation Character
n
2.002:00{}{GS}}
SYS
M
2.003
System Information
n
2.003:0422{}{GS}}
MN1
M
2.012
Miscellaneous Identification Number
AN
2.012:E999999999{}{GS}}
MN2
C
2.013
Miscellaneous Identification Number
AN
2.013:E999999999{}{GS}}
MN3
C
2.014
Miscellaneous Identification Number
n
2.014:0001{}{GS}}
MN4
C
2.015
Miscellaneous Identification Number
A
2.015:A{}{GS}}
INF
O
2.063
Additional Information
1
*
2.063:Additional Information 123{}{GS}}
ERM
M
2.074
Status/Error Message Field
AN
2074: 201: IDC - 1 FIELD 1.009 WRONG CONTROL CHARACTER {}{LF}} 115: IDC 0 FIELD 2.003 INVALID SYSTEM INFORMATION {}{GS}}
Tabel A.6.4:
MPS- og MMS-transaktion
Identifier
Condition
Field number
Field name
Character type
Example data
LEN
M
2.001
Logical Record Length
n
2.001:909{}{GS}}
IDC
M
2.002
Image Designation Character
n
2.002:00{}{GS}}
SYS
M
2.003
System Information
n
2.003:0422{}{GS}}
CNO
M
2.007
Case Number
AN
2.007:E999999999{}{GS}}
SQN
C
2.008
Sequence Number
n
2.008:0001{}{GS}}
MID
C
2.009
Latent Identifier
A
2.009:A{}{GS}}
INF
O
2.063
Additional Information
1
*
2.063:Additional Information 123{}{GS}}
ENC
M
2.320
Expected Number of Candidates
n
2.320:1{}{GS}}
I kolonnen "Condition": O = Optional (fakultativ), M = Mandatory (obligatorisk), C = Conditional (betinget).
I kolonnen "Character Type" (tegntype): A = Alpha, N = Numeric, B = Binary.
1
*
 Tilladte tegn er: ["0..9", "A..Z", "a..z", "_",".", "
                  ", "-" og ","].
9.7.   Tillæg 39-7: Gråtonekompressionskoder
Kompressionskoder
Compression
Value
Remarks
Wavelet Scalar Quantisation Greyscale Fingerprint Image Compression Specification
IAFIS-IC-0010(V3), dated 19 December 1997
WSQ
Algorithm to be used for the compression of greyscale images in Type-4, Type-7 and Type-13 to Type-15 records. Shall not be used for resolutions > 500dpi.
JPEG 2000
[ISO 15444/ITU T.800]
J2K
To be used for lossy and losslessly compression of greyscale images in Type-13 to Type-15 records. Strongly recommended for resolutions > 500 dpi
9.8.   Tillæg 39-8: Mailspecifikation
For at forbedre det interne workflow skal "mail subject" for en PRUEM-transaktion udfyldes med landekoden (CC) for den stat, der sender mailen og transaktionstypen (TOT-felt 1.004).
Format: CC/type of transaction
Eksempel: "DE/CPS"
Mailens tekstfelt kan være tomt.
KAPITEL 3
UDVEKSLING AF OPLYSNINGER FRA KØRETØJSREGISTRE
1.   Fælles data med henblik på elektronisk søgning af oplysninger fra køretøjsregistre
1.1.   Definitioner
Definitionerne af henholdsvis de obligatoriske og de fakultative dataelementer, jf. kapitel 0, artikel 14, stk. 4, er som følger:
Obligatoriske (Mandatory (M)):
Dataelementet skal meddeles, når oplysningerne er tilgængelige i en stats nationale register. Der er altså en forpligtelse til at udveksle oplysningerne, hvis de er tilgængelige.
Fakultative (Optional (O)):
Dataelementet kan meddeles, når oplysningerne er tilgængelige i en stats nationale register. Der er altså ingen forpligtelse til at udveksle oplysningerne, selv om de er tilgængelige.
For hvert dataelement markeres det med "Y", hvis elementet udtrykkelig er udpeget som betydningsfuldt i henhold til artikel 537 i denne aftale.
1.2.   Søgen efter køretøj/ejer/bruger
1.2.1.   Søgeelementer
Der findes to forskellige måder at søge de oplysninger, der er anført i det følgende afsnit:
—
via stelnummer (VIN), referencedato og -tidspunkt (fakultativt)
—
via registreringsnummer, stelnummer (VIN) (kan udelades), referencedato og -tidspunkt (fakultativt).
Ved søgning ud fra disse kriterier fås oplysninger om et enkelt og i visse tilfælde flere køretøjer. Hvis der kun fås oplysninger om et enkelt køretøj, gives alle oplysningerne som et samlet svar. Hvis der findes mere end et køretøj, kan den anmodede stat selv bestemme, hvilke oplysninger der skal gives: alle oplysningerne eller kun oplysninger til indskrænkning af søgningen (f.eks. af hensyn til privatlivets fred eller af tekniske årsager).
Afsnit 1.2.2.1 omhandler de oplysninger, der er nødvendige for at indskrænke søgningen. Afsnit 1.2.2.2 beskriver samtlige oplysninger.
Hvis der søges via stelnummer samt referencedato og -tidspunkt, kan søgningen omfatte en eller alle de deltagende stater.
Hvis der søges via registreringsnummer samt referencedato og -tidspunkt, skal søgningen omfatte en bestemt stat.
Normalt søges der med gældende dato og tidspunkt, men det er muligt at foretage søgninger med referencedatoer og -tidspunkter i fortiden. Hvis der søges med en referencedato og et referencetidspunkt i fortiden, og der ikke foreligger historiske oplysninger i den pågældende stats register, fordi sådanne oplysninger slet ikke registreres, kan de gældende oplysninger fås med angivelse af, at det drejer sig om gældende oplysninger.
1.2.2.   Data
1.2.2.1.
Oplysninger, der er nødvendige for at indskrænke søgningen
Item
M/O
 (
3
)
Remarks
Prüm Y/N
 (
4
)
Data relating to vehicles
Licence number
M
Y
Chassis number/VIN
M
Y
Country of registration
M
Y
Make
M
(D.1
 (
5
)
) e.g. Ford, Opel, Renault, etc.
Y
Commercial type of the vehicle
M
(D.3) e.g. Focus, Astra, Megane
Y
EU Category Code
M
(J) mopeds, motorbikes, cars, etc.
Y
1.2.2.2.
Komplette datasæt
Item
M/O
 (
6
)
Remarks
Prüm Y/N
Data relating to holders of the vehicle
(C.1
 (
7
)
) The data refer to the holder of the specific registration certificate.
Registration holders' (company) name
M
(C.1.1.)
separate fields will be used for surname, infixes, titles, etc., and the name in printable format will be communicated
Y
First name
M
(C.1.2)
separate fields for first name(s) and initials will be used, and the name in printable format will be communicated
Y
Address
M
(C.1.3)
separate fields will be used for Street, House number and Annex, Zip code, Place of residence, Country of residence, etc., and the Address in printable format will be communicated
Y
Gender
M
Male, female
Y
Date of birth
M
Y
Legal entity
M
individual, association, company, firm, etc.
Y
Place of Birth
O
Y
ID Number
O
An identifier that uniquely identifies the person or the company.
n
Type of ID Number
O
The type of ID Number (e.g. passport number).
n
Start date holdership
O
Start date of the holdership of the car. This date will often be the same as printed under (I) on the registration certificate of the vehicle.
n
End date holdership
O
End data of the holdership of the car.
n
Type of holder
O
If there is no owner of the vehicle (C.2) the reference to the fact that the holder of the registration certificate:
—
is the vehicle owner,
—
is not the vehicle owner,
—
is not identified by the registration certificate as being the vehicle owner.
n
Data relating to owners of the vehicle
(C.2)
Owners' (company) name
M
(C.2.1)
Y
First name
M
(C.2.2)
Y
Address
M
(C.2.3)
Y
Gender
M
male, female
Y
Date of birth
M
Y
Legal entity
M
individual, association, company, firm, etc.
Y
Place of Birth
O
Y
ID Number
O
An identifier that uniquely identifies the person or the company.
n
Type of ID Number
O
The type of ID Number (e.g. passport number).
n
Start date ownership
O
Start date of the ownership of the car.
n
End date ownership
O
End data of the ownership of the car.
n
Data relating to vehicles
Licence number
M
Y
Chassis number/VIN
M
Y
Country of registration
M
Y
Make
M
(D.1) e.g. Ford, Opel, Renault, etc.
Y
Commercial type of the vehicle
M
(D.3) e.g. Focus, Astra, Megane.
Y
Nature of the vehicle/EU Category Code
M
(J) mopeds, motorbikes, cars, etc.
Y
Date of first registration
M
(B) Date of first registration of the vehicle somewhere in the world.
Y
Start date (actual) registration
M
(I) Date of the registration to which the specific certificate of the vehicle refers.
Y
End date registration
M
End data of the registration to which the specific certificate of the vehicle refers. It is possible this date indicates the period of validity as printed on the document if not unlimited (document abbreviation = H).
Y
Status
M
Scrapped, stolen, exported, etc.
Y
Start date status
M
Y
End date status
O
n
kW
O
(P.2)
Y
Capacity
O
(P.1)
Y
Type of licence number
O
Regular, transito, etc.
Y
Vehicle document id 1
O
The first unique document ID as printed on the vehicle document.
Y
Vehicle document id 2
 (
8
)
O
A second document ID as printed on the vehicle document.
Y
Data relating to insurances
Insurance company name
O
Y
Begin date insurance
O
Y
End date insurance
O
Y
Address
O
Y
Insurance number
O
Y
ID number
O
An identifier that uniquely identifies the company.
n
Type of ID number
O
The type of ID number (e.g. number of the Chamber of Commerce)
n
2.   Datasikkerhed
2.1.   Oversigt
Eucarissoftwareprogrammet sørger for sikker kommunikation med de øvrige stater og kommunikerer til staternes back-end legacysystemer via XML. Staterne udveksler meddelelser ved at sende dem direkte til modtageren. Den enkelte stats datacenter er forbundet med TESTA-nettet.
XML-meddelelser, der sendes over nettet, er krypteret. Teknikken til kryptering af disse meddelelser er SSL. De meddelelser, der sendes til back-end, er XML-meddelelser med almindelig tekst, eftersom forbindelsen mellem programmet og back-end etableres i et beskyttet miljø.
Der stilles et klientprogram til rådighed, som kan bruges inden for en stat til søgning i eget register eller andre staters registre. Klienterne identificeres ved hjælp af et bruger-id/en adgangskode eller et brugercertifikat. Forbindelsen til en bruger kan være krypteret, men dette har den enkelte stat ansvaret for.
2.2.   Sikkerhedsfeatures i forbindelse med udveksling af meddelelser
Sikkerhedssystemet er udformet som en kombination af HTTPS og XML-signatur. Dette alternativ benytter en XML-signatur til at underskrive alle meddelelser, der sendes til serveren, og kan autentificere afsenderen ved kontrol af signaturen. Ensidig SSL (kun servercertifikat) bruges til at beskytte meddelelsens fortrolighed og integritet under overførslen og beskytter mod sletnings-/replay- og indsætningsangreb. I stedet for skræddersyet softwareudvikling til implementering af tosidet SSL implementeres en XML-signatur. Brug af XML-signatur svarer bedre til køreplanen for webtjenester end tosidet SSL og er derfor mere strategisk.
XML-signaturen kan implementeres på flere måder, men den valgte tilgang er at anvende XML-signaturen som del af Web Services Security (WSS). WSS specificerer, hvordan XML-signaturen skal anvendes. Da WSS bygger på SOAP-standarden, er det logisk så vidt muligt at overholde denne standard.
2.3.   Sikkerhedsfeatures uden forbindelse med udveksling af meddelelser
2.3.1.   Brugerautentificering
Brugerne af Eucariswebprogrammet autentificerer sig ved hjælp af et brugernavn og en adgangskode. Da der anvendes standard-Windows-autentificering, kan staterne om nødvendigt etablere et højere niveau af brugerautentificering ved at anvende brugercertifikater.
2.3.2.   Brugerroller
Eucarissoftwareprogrammet giver mulighed for forskellige brugerroller. Hver gruppe af tjenester kræver en speciel autorisation. F.eks. kan brugere, der (udelukkende) anvender "Eucaristraktat"-funktionen, ikke anvende "Prüm"-funktionen. Administratortjenester er adskilt fra de almindelige slutbrugerroller.
2.3.3.   Logføring og sporing af udveksling af meddelelser
Eucarissoftwareprogrammet gør det nemt at logføre alle typer meddelelser. En administratorfunktion giver den nationale administrator mulighed for at afgøre, hvilke meddelelser der skal logføres: anmodninger fra slutbrugere, indkommende anmodninger fra andre stater, oplysninger, der er meddelt fra de nationale registre osv.
Programmet kan konfigureres til at anvende enten en intern database til denne logføring eller en ekstern (Oracle) database. Beslutningen om, hvilke meddelelser der skal logføres, afhænger naturligvis af logfaciliteterne andre steder i legacysystemerne og de dermed forbundne brugerprogrammer.
Den enkelte meddelelses teksthoved indeholder oplysninger om den anmodende stat, den anmodende organisation i den pågældende stat og den berørte bruger. Årsagen til anmodningen er også anført.
Ved at sammenholde logføringen i de stater, der henholdsvis anmoder og besvarer anmodningen, er det muligt fuldt ud at spore alle udvekslinger af meddelelser (f.eks. efter anmodning fra en berørt borger).
Logføringen konfigureres ved hjælp af Eucaris web client (menu Administration, Logging configuration). Logføringsfunktionen udføres af det centrale system (Core System). Når logføring er aktiveret, lagres hele meddelelsen (teksthovedet og selve teksten) i en enkelt logpost. Logføringsniveauet kan indstilles i forhold til de definerede tjenester og de meddelelsestyper, der går gennem det centrale system.
Logføringsniveauer
Følgende logføringsniveauer er mulige:
Privat — meddelelsen logføres: Logføringen er IKKE tilgængelig for udtræk fra logføringstjenesten, men er kun tilgængelig på nationalt niveau med henblik på audit og problemløsning.
Intet — meddelelsen logføres slet ikke.
Meddelelsestyper
Udvekslingen af oplysninger mellem staterne omfatter flere forskellige meddelelser; i nedenstående figur 5 findes en skematisk fremstilling af disse.
De mulige meddelelsestyper (i figur 5 vist for Eucariscentralsystemet i stat X) er som følger:
1.
Request to Core System_Request message by Client
2.
Request to Other State_Request message by Core System of this State
3.
Request to Core System of this State_Request message by Core System of other State
4.
Request to Legacy Register_Request message by Core System
5.
Request to Core System_Request message by Legacy Register
6.
Response from Core System_Request message by Client
7.
Request to Other State_Request message by Core System of this State
8.
Response from Core System of this State_Request message by other State
9.
Response from Legacy Register_Request message by Core System
10.
Response from Core System_Request message by Legacy Register.
Følgende udvekslinger af oplysninger vises i figur 5:
—
Anmodning om oplysninger fra stat X til stat Y — blå pile. Denne anmodning og besvarelse omfatter henholdsvis meddelelsestype 1, 2, 7 og 6.
—
Anmodning om oplysninger fra stat Z til stat X — røde pile. Denne anmodning og besvarelse omfatter henholdsvis meddelelsestype 3, 4, 9 og 8.
—
Anmodning om oplysninger fra legacyregistret til eget centralsystem (heri kan også indgå en anmodning fra en specielt udviklet klient længere tilbage end legacyregistret) — grønne pile. Denne type anmodning omfatter meddelelsestype 5 og 10.
Figur 5 Meddelelsestyper, der logføres
2.3.4.   Hardwaresikkerhedsmodul
Der anvendes ikke et hardwaresikkerhedsmodul.
Et hardwaresikkerhedsmodul (HSM) giver god beskyttelse af den nøgle, der bruges til at signere meddelelser og identificere servere. Dette øger det samlede sikkerhedsniveau, men et HSM er dyrt at købe/vedligeholde, og der er ingen krav om at anskaffe et FIPS 140-2 niveau 2 eller niveau 3 HSM. Eftersom der anvendes et lukket net, der effektivt begrænser trusler, har man som udgangspunkt besluttet ikke at anvende et HSM. Hvis et HSM er nødvendigt, f.eks. for at opnå akkreditering, kan det tilføjes til systemarkitekturen.
3.   De tekniske betingelser for dataudvekslingen
3.1.   Generel beskrivelse af Eucarisprogrammet
3.1.1.   Oversigt
Eucarisprogrammet forbinder alle de deltagende stater i et fuldmasket net, hvor hver stat kommunikerer direkte med en anden stat. Der er ikke behov for en central komponent for at etablere kommunikationen. Eucarisprogrammet sørger for sikker kommunikation med de øvrige stater og kommunikerer til staternes back-end legacysystemer via XML. Nedenstående tegning anskueliggør denne konstruktion.
Staterne udveksler meddelelser ved at sende dem direkte til modtageren. Den enkelte stats datacenter er forbundet med det net, der anvendes til udveksling af meddelelser (TESTA). For at få adgang til TESTA-nettet, kobler staterne sig på TESTA via deres nationale adgangsportal. Der skal anvendes en firewall ved opkobling til nettet, og en router forbinder Eucarisprogrammet med firewallen. Afhængigt af hvilken form for beskyttelse af meddelelserne man har valgt, udstedes et certifikat enten af routeren eller af Eucarisprogrammet.
Der stilles et klientprogram til rådighed, som kan bruges inden for en stat til søgning i eget register eller andre staters registre. Klientprogrammet kobles til Eucaris. Klienterne identificeres ved hjælp af et bruger-id/en adgangskode eller et brugercertifikat. Forbindelsen til en bruger i en ekstern organisation (f.eks. politiet) kan være krypteret, men dette har den enkelte stat ansvaret for.
3.1.2.   Systemets anvendelsesområde
Eucarissystemets anvendelsesområde er begrænset til de processer, der indgår i udveksling af oplysninger mellem staternes registreringsmyndigheder og en simpel præsentation af disse oplysninger. Procedurer og elektroniske processer, hvor disse oplysninger skal anvendes, falder uden for systemets anvendelsesområde.
Staterne kan vælge enten at anvende Eucarisklientfunktionen eller at udarbejde deres eget specielt udviklede klientprogram. I nedenstående skema gøres der rede for, hvilke aspekter af Eucarissystemet der er obligatoriske og/eller anbefales, og hvilke der er fakultative og/eller frit kan fastsættes af staterne.
Eucaris aspects
M/O
 (
9
)
Remark
Network concept
M
The concept is an "any-to-any" communication
Physical network
M
TESTA
Core application
M
The core application of Eucaris has to be used to connect to the other States. The following functionality is offered by the core:
—
Encrypting and signing of the messages;
—
Checking of the identity of the sender;
—
Authorisation of States and local users;
—
Routing of messages;
—
Queuing of asynchronous messages if the recipient service is temporally unavailable;
—
Multiple country inquiry functionality;
—
Logging of the exchange of messages;
—
Storage of incoming messages
Client application
O
In addition to the core application the Eucaris II client application can be used by a State. When applicable, the core and client application are modified under auspices of the Eucaris organisation.
Security concept
M
The concept is based on XML-signing by means of client certificates and SSL-encryption by means of service certificates.
Message specifications
M
Every State has to comply with the message specifications as set by the Eucaris organisation and this Chapter. The specifications can only be changed by the Eucaris organisation in consultation with the States.
Operation and Support
M
The acceptance of new States or a new functionality is under auspices of the Eucaris organisation. Monitoring and help desk functions are managed centrally by an appointed State.
3.2.   Funktionelle og ikkefunktionelle krav
3.2.1.   Generiske funktioner
I denne sektion er de vigtigste generiske funktioner beskrevet i generelle vendinger.
Nr.
Beskrivelse
1.
Systemet giver staternes registreringsmyndigheder mulighed for interaktivt at udveksle meddelelser med anmodninger og besvarelser.
2.
Systemet omfatter et klientprogram, der giver slutbrugerne mulighed for at sende anmodninger, og som viser svaroplysningerne med henblik på manuel behandling.
3.
Systemet giver mulighed for "brede" henvendelser, så en stat kan sende en anmodning til alle de øvrige stater. De indkommende besvarelser konsolideres af det centrale program til en enkelt svarmeddelelse til klientprogrammet (denne funktionalitet kaldes en "Multiple Country Inquiry").
4.
Systemet kan håndtere forskellige typer meddelelser. Brugerroller, autorisation, routing, signering og logføring er defineret for hver specifik tjeneste.
5.
Systemet giver staterne mulighed for at udveksle bundter af meddelelser eller meddelelser, der indeholder et stort antal anmodninger eller besvarelser. Disse meddelelser behandles asynkront.
6.
Systemet sætter asynkrone meddelelser i kø, hvis modtagerstaten midlertidigt ikke kan kontaktes, og garanterer levering, så snart modtageren er tilgængelig igen.
7.
Systemet lagrer indkommende asynkrone meddelelser, indtil de kan behandles.
8.
Systemet giver kun adgang til de øvrige staters Eucarisprogrammer, ikke til individuelle organisationer i disse stater, dvs. den enkelte registreringsmyndighed fungerer som eneste gateway mellem egne nationale slutbrugere og de tilsvarende myndigheder i de øvrige stater.
9.
Det er muligt på en Eucarisserver at definere brugere fra forskellige stater og give dem autorisation i henhold til den pågældende stats rettigheder.
10.
Oplysninger om den anmodende stat, organisation og slutbruger er indeholdt i meddelelserne.
11.
Systemet giver mulighed for logføring af udveksling af meddelelser mellem de forskellige stater og mellem det centrale program og de nationale registreringssystemer.
12.
Systemet giver en særlig sekretær, som er en organisation eller en stat, der udtrykkelig er udpeget til denne opgave, mulighed for at indsamle oplysninger om meddelelser, der er afsendt/modtaget af alle de deltagende stater, med henblik på udarbejdelse af statistiske opgørelser.
13.
Hver enkelt stat anfører selv, hvilke logførte oplysninger der er stillet til rådighed for sekretæren, og hvilke oplysninger der er "private".
14.
Systemet tillader den enkelte stats nationale administratorer at uddrage statistikker om brugen.
15.
Systemet muliggør tilføjelse af nye stater ved hjælp af enkle administrative procedurer.
3.2.2.   Anvendelighed
Nr.
Beskrivelse
16.
Systemet tilbyder en grænseflade (interface) for elektronisk behandling af meddelelser udført af back-end-systemer/legacy og giver mulighed for, at brugergrænsefladen integreres i disse systemer (specielt udviklet brugergrænseflade).
17.
Systemet er nemt at lære, selvforklarende og indeholder hjælpetekst.
18.
Systemet indeholder dokumentation, der kan bistå staterne med integrering, operative aktiviteter og fremtidig vedligeholdelse (f.eks. referencevejledninger, dokumentation vedrørende funktionsmåde/teknisk dokumentation, brugervejledning mv.).
19.
Brugergrænsefladen er flersproget og giver slutbrugeren mulighed for at vælge et foretrukket sprog.
20.
Brugergrænsefladen har faciliteter, så en lokal administrator kan oversætte både skærmtekst og kodede oplysninger til det nationale sprog.
3.2.3.   Driftssikkerhed
Nr.
Beskrivelse
21.
Systemet er udformet som et robust og pålideligt operativt system, der er modstandsdygtigt over for operatørfejl og kan genetableres fuldt ud efter strømafbrydelser eller andre uheld. Det skal være muligt at genstarte systemet uden datatab eller med minimale datatab.
22.
Systemet skal give stabile og reproducerbare resultater.
23.
Systemet er udformet til at fungere stabilt. Det er muligt at implementere systemet i en konfiguration, der garanterer 98 % tilgængelighed (ved hjælp af redundans, brug af backup-servere osv.) ved enhver bilateral kommunikation.
24.
Det er muligt at bruge en del af systemet, selv om visse komponenter ikke fungerer (hvis stat C har nedbrud, kan stat A og B stadig kommunikere). Antallet af lokale fejl "single points of failure" i informationskæden bør holdes på et minimum.
25.
Genetableringstiden efter et alvorligt nedbrud bør være mindre end en dag. Det bør være muligt at minimere nedbrudsperioden ved hjælp af fjernsupport, f.eks. via en central servicetjeneste.
3.2.4.   Ydeevne
Nr.
Beskrivelse
26.
Systemet kan anvendes døgnet rundt alle ugens dage (24×7). Det forudsættes dermed også, at staternes legacysystemer er tilgængelige 24×7.
27.
Systemet reagerer hurtigt på anmodninger fra brugere uanset eventuelle baggrundsopgaver. Dette kræves også af parternes legacysystemer, så der sikres en acceptabel svartid. En samlet svartid på højst 10 sekunder for en enkelt anmodning er acceptabel.
28.
Systemet er udformet som et flerbrugersystem og på en sådan måde, at baggrundsopgaver fortsat kan udføres, mens brugeren udfører opgaver "i forgrunden".
29.
Systemet er udformet med henblik på løbende udvidelse, så det kan understøtte en potentiel forøgelse af antallet af meddelelser, når der tilføjes nye funktioner eller nye organisationer eller stater kommer til.
3.2.5.   Sikkerhed
Nr.
Beskrivelse
30.
Systemet er egnet (f.eks. hvad angår sikkerhedsforanstaltninger) til udveksling af meddelelser med følsomme oplysninger af personlig karakter (f.eks. vedrørende ejere/brugere af køretøjer), der klassificeres som "EU Restricted".
31.
Systemet vedligeholdes på en sådan måde, at uautoriseret adgang til data hindres.
32.
Systemet indeholder en tjeneste, der behandler nationale slutbrugeres rettigheder og tilladelser.
33.
Staterne kan kontrollere afsenderens identitet (på statsniveau) ved hjælp af en XML-signatur.
34.
Staterne skal udtrykkelig give andre stater autorisation til at anmode om bestemte oplysninger.
35.
På programniveau omfatter systemet en komplet sikkerheds- og krypteringspolitik, der er i overensstemmelse med det sikkerhedsniveau, der kræves i sådanne tilfælde. Brug af XML-signatur og kryptering ved hjælp af SSL-tunneling sikrer, at oplysningerne ikke kommer ud, og garanterer deres integritet.
36.
Al udveksling af meddelelser kan spores ved hjælp af logføring.
37.
Der er beskyttelse mod sletningsangreb (en tredjepart sletter en meddelelse) og replay- eller indsætningsangreb (en tredjepart gensender eller indsætter en meddelelse).
38.
Systemet benytter certifikater fra en betroet tredjepart (TTP).
39.
Systemet kan håndtere forskellige certifikater for den enkelte stat, afhængig af meddelelsens eller tjenestens art.
40.
Sikkerhedsforanstaltningerne på programniveau er tilstrækkelige til at tillade brug af ikkeakkrediterede net.
41.
Systemet kan anvende ukomplicerede sikkerhedsteknikker såsom en XML-firewall.
3.2.6.   Fleksibilitet
Nr.
Beskrivelse
42.
Systemet kan udbygges med nye meddelelser og nye funktioner. Tilpasningsomkostningerne er meget lave. Dette skyldes den centraliserede udvikling af programkomponenter.
43.
Staterne kan definere nye meddelelsestyper til bilateral brug. Det er ikke nødvendigt, at alle stater understøtter alle meddelelsestyper.
3.2.7.   Support og vedligeholdelse
Nr.
Beskrivelse
44.
Systemet omfatter overvågningsfaciliteter til brug for en central servicetjeneste og/eller centrale operatører for så vidt angår nettet og serverne i de forskellige stater.
45.
Systemet omfatter faciliteter til fjernsupport fra en central servicetjeneste.
46.
Systemet omfatter faciliteter til problemanalyse.
47.
Systemet kan udbygges til nye stater.
48.
Programmet kan nemt installeres af personale med et minimum af færdigheder og erfaring inden for edb. Installationsproceduren skal automatiseres i størst muligt omfang.
49.
Systemet omfatter et miljø til brug for løbende testning og godkendelse.
50.
De årlige omkostninger til vedligeholdelse og support er reduceret mest muligt gennem overholdelse af markedsstandarderne og ved udformning af programmet, så der kræves mindst mulig support fra en central servicetjeneste.
3.2.8.   Krav til udformningen
Nr.
Beskrivelse
51.
Systemet er udformet og forsynet med dokumentation med henblik på en lang driftslevetid.
52.
Systemet er udformet, så det er uafhængigt af netværksudbyderen.
53.
Systemet er foreneligt med staternes nuværende hardware/software, idet det arbejder sammen med de registreringssystemer, der anvender åben standard-webtjenesteteknologi (XML, XSD, SOAP, WSDL, HTTP(s), Web services, WSS, X.509 osv.).
3.2.9.   Standarder, der anvendes
Nr.
Beskrivelse
54.
Systemet er foreneligt med databeskyttelsesreglerne i forordning (EF) nr. 45/2001 (artikel 21, 22 og 23) og direktiv 95/46/EF.
55.
Systemet er foreneligt med IDA-standarderne.
56.
Systemet understøtter UTF-8.
KAPITEL 4
EVALUERINGSPROCEDURE I HENHOLD TIL Artikel 540
Artikel 1
Spørgeskema
1.   Den relevante arbejdsgruppe i Rådet for Den Europæiske Union ("arbejdsgruppe i Rådet") udarbejder et spørgeskema vedrørende hver af de elektroniske dataudvekslinger, der er fastlagt i artikel 527-539 i denne aftale.
2.   Så snart Det Forenede Kongerige mener, at det opfylder forudsætningerne for dataudveksling i den relevante datakategori, besvarer det det relevante spørgeskema.
Artikel 2
Forsøgsfase
1.   Hvis det er påkrævet og med henblik på at evaluere resultaterne af spørgeskemaet, gennemfører Det Forenede Kongerige en forsøgsfase med en eller flere andre medlemsstater, der allerede udveksler data, jf. Rådets afgørelse 2008/615/RIA. Forsøgsfasen finder sted umiddelbart før eller efter evalueringsbesøget.
2.   Vilkårene for og de nærmere bestemmelser om denne forsøgsfase identificeres af den relevante arbejdsgruppe i Rådet og baseres på forudgående aftale med Det Forenede Kongerige. De praktiske detaljer fastlægges af de stater, der deltager i forsøgsfasen.
Artikel 3
Evalueringsbesøg
1.   Med henblik på evaluering af resultaterne af spørgeskemaet gennemføres der et evalueringsbesøg.
2.   Vilkårene for og de nærmere bestemmelser om besøget identificeres af den relevante arbejdsgruppe i Rådet og baseres på forudgående aftale mellem Det Forenede Kongerige og evalueringsgruppen. Det Forenede Kongerige giver evalueringsgruppen mulighed for at kontrollere den elektroniske dataudveksling i den eller de datakategorier, der skal evalueres, navnlig ved at tilrettelægge et program for besøget, som tager hensyn til evalueringsgruppens ønsker.
3.   Inden for en måned efter besøget fremlægger evalueringsgruppen en rapport om evalueringsbesøget, som den sender til Det Forenede Kongerige med henblik på bemærkninger. Gruppen kan i givet fald revidere denne rapport på baggrund af Det Forenede Kongeriges bemærkninger.
4.   Evalueringsgruppen består af højst tre eksperter, som udpeges af de medlemsstater, der deltager i den elektroniske dataudveksling i de datakategorier, der skal evalueres, og som har erfaringer med hensyn til den pågældende datakategori, relevant national sikkerhedsgodkendelse til at behandle disse spørgsmål og er rede til at deltage i mindst ét evalueringsbesøg i en anden stat. Evalueringsgruppen omfatter også en repræsentant for Kommissionen.
5.   Medlemmerne af evalueringsgruppen respekterer den fortrolige karakter af de oplysninger, de kommer i besiddelse af, når de varetager deres opgave.
Artikel 4
Evalueringer foretaget i henhold til Rådets afgørelse 2008/615/RIA og 2008/616/RIA
Ved gennemførelsen af den evalueringsprocedure, der er omhandlet i artikel 540 i denne aftale og i dette kapitel, tager Rådet gennem den relevante arbejdsgruppe i Rådet hensyn til resultaterne af de evalueringsprocedurer, der er gennemført i forbindelse med vedtagelsen af Rådets gennemførelsesafgørelse (EU) 2019/968 
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 og (EU) 2020/1188 
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. Den relevante arbejdsgruppe i Rådet træffer afgørelse om, hvorvidt det er nødvendigt at gennemføre den forsøgsfase, der er omhandlet i denne aftales artikel 540, stk. 1, i dette bilags kapitel 0, artikel 23, stk. 2, og i dette kapitels artikel 2.
Artikel 5
Rapport til Rådet
Rådet forelægges en samlet evalueringsrapport, som opsummerer resultaterne af spørgeskemaerne, evalueringsbesøget og, hvis det er relevant, forsøgsfasen, med henblik på Rådets afgørelse i henhold til artikel 540 i denne aftale.
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            "Fulde udpegede" betyder, at behandlingen af sjældne allelværdier er medtaget.
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  Dette er positionen som defineret i ASCII-standarden.
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  M = obligatoriske, når de findes i et nationalt register, O = fakultative.
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)
  Alle de elementer, der specifikt er tildelt af staterne, er angivet med Y.
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  Harmoniseret dokumentforkortelse, jf. Rådets direktiv 1999/37/EF af 29. april 1999.
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  M = obligatoriske, når de findes i et nationalt register, O = fakultative.
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  Harmoniseret dokumentforkortelse, jf. Rådets direktiv 1999/37/EF af 29. april 1999.
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  I Luxembourg anvendes to særskilte køretøjsregistreringsdokument-ID'er.
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  M = obligatorisk at anvende eller at overholde; O = fakultativ at anvende eller at overholde.
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  Rådets gennemførelsesafgørelse (EU) 2019/968 af 6. juni 2019 om elektronisk udveksling med Det Forenede Kongerige af DNA-oplysninger (
EUT L 156 af 13.6.2019, s. 8
).
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  Rådets gennemførelsesafgørelse (EU) 2020/1188 af 6. august 2020 om Det Forenede Kongeriges elektroniske udveksling af fingeraftryksdata (
EUT L 265 af 12.8.2020, s. 1
).
BILAG 40
PASSAGERLISTEOPLYSNINGER
Passagerlisteoplysninger (indsamlet af luftfartsselskaber):
1.
PNR-nummer
2.
Dato for reservation/udstedelse af billet
3.
Planlagt(e) rejsedato(er)
4.
Navn(e)
5.
Adresse, telefonnummer og elektroniske kontaktoplysninger på passageren, de personer, der har foretaget flyreservationen for passageren, personer, der kan kontaktes for at kontakte en flypassager, og personer, der skal underrettes i tilfælde af en nødsituation
6.
Alle disponible oplysninger om betaling/fakturering (herunder oplysninger, der udelukkende vedrører betalingsmetoder for og fakturering af flybilletten, og som ikke indeholder andre oplysninger, der ikke direkte vedrører flyvningen)
7.
Fuldstændig rejseplan for en konkret passagerliste
8.
Oplysninger om bonusprogrammer (designatorkoden for det luftfartsselskab/den sælger, der forvalter programmet, den rejsendes bonusprogramnummer, medlemsniveau, niveaubeskrivelse og alliancekode)
9.
Rejsebureau/rejseagent
10.
Rejsestatus for passagerer, herunder bekræftelser, indtjekningsstatus, oplysninger om "no-show" og "go-show"
11.
Opsplittede/opdelte PNR-oplysninger
12.
OSI-oplysninger (Other Supplementary Information), SSI-oplysninger (Special Service Information) og SSR-oplysninger (Special Service Request)
13.
Oplysninger i billetrubrikken, herunder billetnummer, dato for udstedelse af billetten og enkeltbilletter, automatisk billetprisangivelse ("automated ticket fare quote")
14.
Pladsoplysninger, herunder pladsnummer
15.
Oplysninger om fælles rutenummer ("code sharing")
16.
Alle bagageoplysninger
17.
Andre passagerers navne på passagerlisten og antal passagerer på passagerlisten, der rejser sammen
18.
Eventuelt indsamlede forhåndsoplysninger om passagerer (API-oplysninger) (typen, nummeret, udstedelseslandet og udløbsdatoen for ethvert identitetsdokument, nationalitet, efternavn, fornavn, køn, fødselsdato, luftfartsselskab, rutenummer, afgangsdato, ankomstdato, afgangslufthavn, ankomstlufthavn, afgangstidspunkt og ankomsttidspunkt)
19.
Alle historiske ændringer til passagerlisten anført i punkt 1-18.
BILAG 41
FORMER FOR KRIMINALITET, DER HENHØRER UNDER EUROPOLS KOMPETENCE
—
Terrorisme
—
Organiseret kriminalitet
—
Narkotikahandel
—
Hvidvaskning af penge
—
Kriminalitet i forbindelse med nukleare og radioaktive materialer
—
Smugling af immigranter
—
Menneskehandel
—
Kriminalitet i forbindelse med motorkøretøjer
—
Manddrab og grov legemsbeskadigelse
—
Ulovlig handel med menneskeorganer og -væv
—
Bortførelse, frihedsberøvelse og gidseltagning
—
Racisme og fremmedhad
—
Røveri og tyveri af særlig grov beskaffenhed
—
Ulovlig handel med kulturgoder, herunder antikviteter og kunstgenstande
—
Underslæb og bedrageri
—
Kriminalitet, der skader Unionens finansielle interesser
—
Insiderhandel og kursmanipulation på finansmarkederne
—
Afkrævning af beskyttelsespenge og pengeafpresning
—
Efterligninger og fremstilling af piratudgaver af produkter
—
Forfalskning af officielle dokumenter og ulovlig handel med disse
—
Falskmøntneri, forfalskning af betalingsmidler
—
IT-kriminalitet
—
Korruption
—
Ulovlig handel med våben, ammunition og sprængstoffer
—
Ulovlig handel med truede dyrearter
—
Ulovlig handel med truede plantearter og træsorter
—
Miljøkriminalitet, herunder forurening fra skibe
—
Ulovlig handel med hormonpræparater og andre vækstfremmende stoffer
—
Seksuelt misbrug og seksuel udnyttelse, herunder materiale, der viser misbrug af børn, og hvervning af børn til seksuelle formål
—
Folkedrab, forbrydelser mod menneskeheden og krigsforbrydelser.
BILAG 42
FORMER FOR ALVORLIG KRIMINALITET, DER HENHØRER UNDER EUROJUSTS KOMPETENCE
—
Terrorisme
—
Organiseret kriminalitet
—
Narkotikahandel
—
Hvidvaskning af penge
—
Kriminalitet i forbindelse med nukleare og radioaktive materialer
—
Smugling af immigranter
—
Menneskehandel
—
Kriminalitet i forbindelse med motorkøretøjer
—
Manddrab og grov legemsbeskadigelse
—
Ulovlig handel med menneskeorganer og -væv
—
Bortførelse, frihedsberøvelse og gidseltagning
—
Racisme og fremmedhad
—
Røveri og tyveri af særlig grov beskaffenhed
—
Ulovlig handel med kulturgoder, herunder antikviteter og kunstgenstande
—
Underslæb og bedrageri
—
Kriminalitet, der skader Unionens finansielle interesser
—
Insiderhandel og kursmanipulation på finansmarkederne
—
Afkrævning af beskyttelsespenge og pengeafpresning
—
Efterligninger og fremstilling af piratudgaver af produkter
—
Forfalskning af officielle dokumenter og ulovlig handel med disse
—
Falskmøntneri, forfalskning af betalingsmidler
—
IT-kriminalitet
—
Korruption
—
Ulovlig handel med våben, ammunition og sprængstoffer
—
Ulovlig handel med truede dyrearter
—
Ulovlig handel med truede plantearter og træsorter
—
Miljøkriminalitet, herunder forurening fra skibe
—
Ulovlig handel med hormonpræparater og andre vækstfremmende stoffer
—
Seksuelt misbrug og seksuel udnyttelse, herunder materiale, der viser misbrug af børn, og hvervning af børn til seksuelle formål
—
Folkedrab, forbrydelser mod menneskeheden og krigsforbrydelser.
BILAG 43
ARRESTORDRE
Denne arrestordre er udstedt af en kompetent judiciel myndighed. Der anmodes om, at nedenstående person anholdes og overgives med henblik på strafforfølgning eller fuldbyrdelse af en frihedsstraf eller en anden frihedsberøvende foranstaltning 
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a)
Oplysninger om den eftersøgtes identitet:
Efternavn:
Fornavn(e):
Evt. Pigenavn:
Evt. Kaldenavn:
Køn:
Nationalitet:
Fødselsdato:
Fødested:
Bopæl og/eller kendt adresse:
Det eller de sprog, den eftersøgte forstår (hvis dette vides):
Særlige kendetegn/beskrivelse af den eftersøgte:
Foto og fingeraftryk af den eftersøgte, hvis sådanne foreligger og kan videregives, eller navn og adresse mv. på den person, der skal kontaktes for at fremskaffe foto og fingeraftryk eller en DNA-profil (hvis disse data kan videregives og ikke er vedlagt)
b)
Afgørelse, der danner grundlag for arrestordren:
1.
Arrestordre eller eksigibel retsafgørelse med samme retskraft:
Art:
2.
Eksigibel dom:
Sagsnr.:
c)
Straffens varighed:
1.
Maksimal varighed af den frihedsstraf eller frihedsberøvende foranstaltning, der kan idømmes for lovovertrædelsen eller lovovertrædelserne:
2.
Varighed af den faktisk idømte frihedsstraf eller frihedsberøvende foranstaltning:
Resterende ikkeudstået del af straffen:
d)
Det angives, om den pågældende selv var til stede under den retssag, der førte til afgørelsen:
1.
☐
Ja, den pågældende var selv til stede under den retssag, der førte til afgørelsen.
2.
☐
Nej, den pågældende var ikke selv til stede under den retssag, der førte til afgørelsen.
3.
Bekræft i benægtende fald en af følgende muligheder, hvis det er relevant:
☐
3.1a.
den pågældende er blevet indkaldt personligt den … (dag/måned/år) og er dermed blevet underrettet om det fastsatte tidspunkt og sted for den retssag, der førte til afgørelsen, og er blevet underrettet om, at der kan afsiges en afgørelse, selv om han/hun ikke er til stede under retssagen
ELLER
☐
3.1b.
den pågældende er ikke blevet indkaldt personligt, men er på anden måde faktisk blevet officielt underrettet om det fastsatte tidspunkt og sted for den retssag, der førte til afgørelsen, på en sådan måde, at det entydigt fremgår, at vedkommende var klar over den berammede retssag og er blevet underrettet om, at der kan afsiges en afgørelse, selv om han/hun ikke er til stede under retssagen
ELLER
☐
3.2.
den pågældende var klar over den berammede retssag og havde givet et mandat til en juridisk rådgiver, der var udnævnt enten af den pågældende person eller af staten til at forsvare ham/hende under retssagen, og var faktisk repræsenteret af denne rådgiver under retssagen
ELLER
☐
3.3.
den pågældende har fået afgørelsen forkyndt den … (dag/måned/år) og er udtrykkeligt blevet underrettet om retten til fornyet prøvelse eller anke, hvor han/hun har ret til at deltage, og som giver mulighed for, at sagens realiteter, inkl. nye beviser, bliver taget op igen, og som kan føre til, at den oprindelige afgørelse bliver ændret, og
☐
den pågældende har udtrykkeligt erklæret, at han/hun ikke anfægter afgørelsen
ELLER
☐
den pågældende har ikke anmodet om fornyet prøvelse eller anke inden for den gældende frist
ELLER
☐
3.4.
den pågældende har ikke personligt fået afgørelsen forkyndt, men
—
den pågældende vil personligt få afgørelsen forkyndt snarest muligt efter overgivelsen, og
—
den pågældende vil efter at have fået afgørelsen forkyndt udtrykkeligt blive underrettet om retten til fornyet prøvelse eller anke, hvor han/hun har ret til at deltage, og som giver mulighed for, at sagens realiteter, inkl. nye beviser, bliver taget op igen, og som kan føre til, at den oprindelige afgørelse bliver ændret, og
—
den pågældende vil blive underrettet om den frist, inden for hvilken han/hun skal anmode om en sådan fornyet prøvelse eller anke, som vil være …… dage.
4.
Anfør venligst for det felt i punkt 3.1b, 3.2 eller 3.3, hvor der er sat kryds, om den relevante betingelse er blevet opfyldt:
…
e)
Lovovertrædelser:
Denne arrestordre vedrører i alt
lovovertrædelser.
Beskrivelse af de omstændigheder, under hvilke lovovertrædelsen eller lovovertrædelserne er begået, herunder tidspunktet (dato og klokkeslæt), stedet og omfanget af den eftersøgtes deltagelse heri.
Lovovertrædelsens eller lovovertrædelsernes karakter og retlige beskrivelse samt den relevante retsforskrift/lov:
I.
Følgende gælder kun, hvis både udstedelsesstaten og fuldbyrdelsesstaten har givet meddelelse i henhold til aftalens artikel 599, stk. 4: Angiv med kryds, om det drejer sig om en eller flere af følgende lovovertrædelser, som i udstedelsesstaten straffes med en frihedsstraf af en maksimal varighed på mindst tre år som defineret i udstedelsesstatens lovgivning:
☐
deltagelse i en kriminel organisation
☐
terrorisme som defineret i bilag 45 til denne aftale
☐
menneskehandel
☐
seksuel udnyttelse af børn og børnepornografi
☐
ulovlig handel med narkotika og psykotrope stoffer
☐
ulovlig handel med våben, ammunition og eksplosive stoffer
☐
korruption, inklusive bestikkelse
☐
svig, herunder svig, der skader Det Forenede Kongeriges, en medlemsstats eller Unionens finansielle interesser
☐
hvidvaskning af udbyttet fra strafbart forhold
☐
falskmøntneri
☐
internetkriminalitet
☐
miljøkriminalitet, herunder ulovlig handel med truede dyrearter og truede plantearter og -sorter
☐
medvirken til ulovlig indrejse eller ulovligt ophold
☐
manddrab, grov legemsbeskadigelse
☐
ulovlig handel med menneskeorganer og -væv
☐
bortførelse, frihedsberøvelse og gidseltagning
☐
racisme og fremmedhad
☐
organiseret eller væbnet tyveri
☐
ulovlig handel med kulturgoder, herunder antikviteter og kunstgenstande
☐
bedrageri
☐
afkrævning af beskyttelsespenge og pengeafpresning
☐
efterligninger og fremstilling af piratudgaver af produkter
☐
forfalskning af officielle dokumenter og ulovlig handel med falske dokumenter
☐
forfalskning af betalingsmidler
☐
ulovlig handel med hormonpræparater og andre vækstfremmende stoffer
☐
ulovlig handel med nukleare og radioaktive materialer
☐
handel med stjålne motorkøretøjer
☐
voldtægt
☐
forsætlig brandstiftelse
☐
strafbare handlinger omfattet af Den Internationale Straffedomstols straffemyndighed
☐
kapring af skibe/fly/rumfartøjer
☐
sabotage.
II.
Detaljeret beskrivelse af den eller de begåede lovovertrædelser, der ikke hører ind under lovovertrædelserne i punkt I:
f)
Andre forhold af relevans for sagen (fakultative oplysninger):
(NB: Dette kunne f.eks. være bemærkninger om ekstraterritorialitet, afbrydelse af forældelsesfrister og andre konsekvenser af lovovertrædelsen)
g)
Denne arrestordre gælder også for beslaglæggelse og udlevering af genstande, som er påkrævet som bevismateriale:
Denne arrestordre gælder også for beslaglæggelse og udlevering af genstande, som den eftersøgte har erhvervet som resultat af lovovertrædelsen:
Beskrivelse af genstandene og disses lokalisering (hvis kendt):
h)
Den eller de lovovertrædelser, som ligger til grund for udstedelsen af denne arrestordre, kan straffes
med eller har ført til livsvarig fængselsstraf eller en anden livsvarig sikkerhedsforanstaltning:
udstedelsesstaten vil på anmodning af fuldbyrdelsesstaten give sikkerhed for, at den vil:
☐
prøve den idømte straf på ny — enten på anmodning eller senest efter 20 årog/eller
☐
opfordre til anvendelse af lempeligere foranstaltninger, som den pågældende er berettiget til i henhold til udstedelsesstatens lovgivning og praksis, med det formål ikke at fuldbyrde en sådan straf eller foranstaltning.
i)
Den judicielle myndighed, der har udstedt arrestordren:
Officiel betegnelse:
Navnet på dennes repræsentant:
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Funktion (titel/stilling):
Sagsnummer:
Adresse:
Tlf. (landekode) (lokalt områdenummer):
Fax (landekode) (lokalt områdenummer):
E-mail:
Navn og adresse mv. på den person, der skal kontaktes med henblik på den praktiske tilrettelæggelse af overgivelsen:
Såfremt der er udpeget en central myndighed til varetagelse af fremsendelsen og den administrative modtagelse af arrestordrer:
Navnet på den centrale myndighed:
Kontaktperson, hvis en sådan findes (titel/stilling og navn):
Adresse:
Tlf. (landekode) (lokalt områdenummer):
Fax (landekode) (lokalt områdenummer):
E-mail:
Den udstedende judicielle myndigheds og/eller dennes repræsentants underskrift:
Efternavn:
Funktion (titel/stilling):
Dato:
Officielt stempel (hvis et sådant findes):
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  Denne arrestordre skal udfærdiges på eller oversættes til et af den fuldbyrdende stats officielle sprog, når denne stat kendes, eller til et andet sprog, som denne stat accepterer.
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  I de forskellige sprogudgaver indsættes en henvisning til "indehaveren" af den judicielle myndighed.
BILAG 44
UDVEKSLING AF STRAFFEREGISTEROPLYSNINGER – TEKNISKE OG PROCEDUREMÆSSIGE SPECIFIKATIONER
KAPITEL 1
ALMINDELIGE BESTEMMELSER
Artikel 1
Formål
Formålet med dette bilag er at fastlægge de administrative og tekniske bestemmelser, der er nødvendige for gennemførelsen af tredje del, afsnit IX, i denne aftale.
Artikel 2
Kommunikationsnet
1.   Elektronisk udveksling af strafferegisteroplysninger mellem en medlemsstat på den ene side og Det Forenede Kongerige på den anden side foregår ved hjælp af en fælles kommunikationsinfrastruktur, der omfatter krypterede meddelelser.
2.   Den fælles kommunikationsinfrastruktur er Trans European Services for Telematics between Administrations (TESTA)-kommunikationsnetværket. Enhver yderligere udvikling heraf eller ethvert alternativt sikret netværk sikrer, at den eksisterende fælles kommunikationsinfrastruktur fortsat opfylder sikkerhedskravene for udveksling af strafferegisteroplysninger.
Artikel 3
Sammenkoblingssoftware
1.   Staterne bruger en standardiseret sammenkoblingssoftware, der gør det muligt for deres centrale myndigheder at oprette forbindelse til den fælles kommunikationsinfrastruktur med henblik på elektronisk udveksling af oplysninger fra strafferegistret med de andre stater i overensstemmelse med bestemmelserne i tredje del, afsnit IX, i denne aftale og dette bilag.
2.   For medlemsstaterne er sammenkoblingssoftwaren ECRIS-referencegennemførelsessoftwaren eller deres nationale ECRIS-gennemførelsessoftware, der om nødvendigt tilpasses med henblik på udveksling af oplysninger med Det Forenede Kongerige som fastsat i denne aftale.
3.   Det Forenede Kongerige er ansvarligt for udviklingen og driften af sin egen sammenkoblingssoftware. Med henblik herpå sikrer Det Forenede Kongerige senest inden denne aftales ikrafttræden, at den nationale sammenkoblingssoftware fungerer i overensstemmelse med de protokoller og tekniske specifikationer, der er fastsat for ECRIS-referencegennemførelsessoftwaren, og med eventuelle yderligere tekniske krav, der er fastsat af eu-LISA.
4.   Det Forenede Kongerige sikrer endvidere, at eventuelle efterfølgende tekniske tilpasninger af dets nationale sammenkoblingssoftware, som kræves i forbindelse med eventuelle ændringer af de tekniske specifikationer, der er fastsat for ECRIS-referencegennemførelsessoftwaren, eller ændringer af eventuelle yderligere tekniske krav, der er fastsat af eu-LISA, gennemføres uden unødig forsinkelse. Med henblik herpå sikrer Unionen, at Det Forenede Kongerige uden unødig forsinkelse underrettes om eventuelle planlagte ændringer af de tekniske specifikationer eller krav og modtager alle de oplysninger, der er nødvendige for, at Det Forenede Kongerige kan opfylde sine forpligtelser i henhold til dette bilag.
Artikel 4
Oplysninger i meddelelser, anmodninger og svar
1.   Alle meddelelser i henhold til artikel 646 i denne aftale indeholder følgende obligatoriske oplysninger:
a)
oplysning om domfældte (fulde navn, fødselsdato, fødested (by og stat), køn, nationalitet og eventuelt tidligere navn(e))
b)
oplysning om dommens form (dato for domfældelsen, retsinstansens benævnelse, dato, hvor afgørelsen blev endelig)
c)
oplysning om den strafbare handling, der har givet anledning til straffedommen (dato for den strafbare handling, der ligger til grund for dommen, den strafbare handlings navn eller retlige beskrivelse samt henvisning til de relevante bestemmelser) og
d)
oplysning om dommens indhold (navnlig sanktionen samt eventuelle supplerende sanktioner, sikkerhedsforanstaltninger og efterfølgende afgørelser, der ændrer fuldbyrdelsen af dommen).
2.   Følgende fakultative oplysninger fremsendes i meddelelserne, hvis oplysningerne er blevet registreret i strafferegistret (litra a)-d)) eller er tilgængelige for den centrale myndighed (litra e)-h)):
a)
domfældtes forældres navne
b)
dommens referencenummer
c)
stedet for den strafbare handling
d)
rettighedsfortabelser som følge af straffedommen
e)
domfældtes personnummer eller typen og nummeret på dennes identifikationsdokument
f)
fingeraftryk, der er taget fra den pågældende person
g)
eventuelt pseudonym og/eller kaldenavn(e)
h)
ansigtsbillede.
Desuden kan eventuelle andre oplysninger om domme som registreret i strafferegistret fremsendes.
3.   Anmodninger om oplysninger som omhandlet i artikel 648 i denne aftale indgives i et standardiseret elektronisk format i overensstemmelse med formularen i kapitel 2 i dette bilag på et af de officielle sprog i den anmodede stat.
4.   Alle svar på anmodninger, der er omhandlet i artikel 649 i denne aftale, indgives i et standardiseret elektronisk format i overensstemmelse med formularen i kapitel 2 i dette bilag og ledsages af en liste over domme i henhold til national ret. Den anmodede stat svarer enten på et af sine officielle sprog eller på et sprog, der accepteres af begge parter. Det Forenede Kongerige på den ene side og Unionen på vegne af en hvilken som helst af dens medlemsstater på den anden side kan meddele specialudvalget vedrørende retshåndhævelse og retligt samarbejde, hvilke(t) sprog man accepterer ud over den pågældende stats officielle sprog.
5.   Specialudvalget vedrørende retshåndhævelse og retligt samarbejde vedtager ændringer af formularerne i kapitel 2 i dette bilag, jf. stk. 3 og 4, hvis det er nødvendigt.
Artikel 5
Format til overførsel af oplysninger
1.   Når der overføres oplysninger i henhold til artikel 646 og 649 i denne aftale om den strafbare handlings navn eller retlige beskrivelse og om gældende retlige bestemmelser, henviser staterne til den tilsvarende kode for hver af de strafbare handlinger, der henvises til i overførslen, som fastsat i tabellen over strafbare handlinger i kapitel 3 i dette bilag. Hvis den strafbare handling ikke svarer til nogen specifik underkategori, anvendes koden "åben kategori" for den relevante eller nærmeste kategori af strafbare handlinger undtagelsesvis; hvis sidstnævnte ikke findes, anvendes koden "andre strafbare handlinger" i forbindelse med den pågældende strafbare handling.
2.   Medlemsstaterne kan også give disponible oplysninger om graden af fuldbyrdelse og medvirken i den strafbare handling og en eventuel hel eller delvis fritagelse for strafansvar, eller om gentagelsestilfælde.
3.   Når der overføres oplysninger i henhold til artikel 646 og 649 i denne aftale om dommens indhold, navnlig sanktionen samt eventuelle supplerende sanktioner, sikkerhedsforanstaltninger og efterfølgende afgørelser, der ændrer fuldbyrdelsen af dommen, henviser staterne til den tilsvarende kode for hver af de straffe og foranstaltninger, der henvises til i overførslen, som fastsat i tabellen over straffe og foranstaltninger i kapitel 3 i dette bilag. Hvis straffen eller foranstaltningen ikke svarer til nogen specifik underkategori, anvendes koden "åben kategori" for den relevante eller nærmeste kategori af straffe og foranstaltninger undtagelsesvis; hvis sidstnævnte ikke findes, anvendes koden "andre straffe og foranstaltninger" i forbindelse med den pågældende straf eller foranstaltning.
4.   Staterne forelægger også, hvis det er relevant, tilgængelige oplysninger om arten af og/eller betingelserne for gennemførelse af den straf eller foranstaltning, der er pålagt i henhold til parametertabellen i kapitel 3 i dette bilag. Parameteren "ikkestrafferetlig afgørelse" anføres kun i de tilfælde, hvor oplysninger om en sådan afgørelse gives frivilligt af den stat, hvor den pågældende person er statsborger, når den besvarer en anmodning om oplysninger om domme.
5.   Staterne stiller følgende oplysninger til rådighed for specialudvalget vedrørende retshåndhævelse og retligt samarbejde, navnlig for at formidle disse oplysninger til andre stater:
a)
en liste over nationale strafbare handlinger inden for hver af de kategorier, der er nævnt i tabellen over strafbare handlinger i kapitel 3 i dette bilag. Listen skal omfatte den strafbare handlings navn og retlige beskrivelse og en henvisning til de relevante retlige bestemmelser. Den kan også omfatte en kort beskrivelse af det bærende element i den strafbare handling
b)
en liste over typer af sanktioner, eventuelle supplerende sanktioner, sikkerhedsforanstaltninger og eventuelle efterfølgende afgørelser, der ændrer fuldbyrdelsen af dommen, som fastlagt i national lovgivning i hver af de kategorier, der er omhandlet i tabellen over straffe og foranstaltninger i kapitel 3 i dette bilag. Den kan også omfatte en kort beskrivelse af den specifikke straf eller foranstaltning.
6.   De i stk. 5 nævnte lister og beskrivelser ajourføres regelmæssigt af staterne. De ajourførte oplysninger sendes til specialudvalget vedrørende retshåndhævelse og retligt samarbejde.
7.   Specialudvalget vedrørende retshåndhævelse og retligt samarbejde vedtager ændringer af tabellerne i kapitel 3 i dette bilag, jf. stk. 1-4, hvis det er nødvendigt.
Artikel 6
Kontinuitet i overførslen
Hvis der midlertidigt ikke er adgang til den elektroniske metode til overførsel af oplysninger, fremsender staterne oplysninger ved hjælp af ethvert middel, som kan efterlade et skriftligt spor, og som gør det muligt for den centrale myndighed i den anmodede stat at fastslå ægtheden heraf i hele den periode, hvor adgangen er afbrudt.
Artikel 7
Statistik og rapporter
1.   Der foretages jævnligt en evaluering af den elektroniske udveksling af oplysninger fra strafferegistre i henhold til tredje del, afsnit IX, i denne aftale. Evalueringen baseres på statistikkerne og rapporterne fra de respektive stater.
2.   Hver stat udarbejder statistikker over den udveksling, der er genereret af sammenkoblingssoftwaren, og fremsender hver måned disse til specialudvalget vedrørende retshåndhævelse og retligt samarbejde og til eu-LISA. Staterne forelægger også specialudvalget vedrørende retshåndhævelse og retligt samarbejde og eu-LISA statistikker om antallet af statsborgere fra andre stater, der er dømt på deres territorium, og om antallet af sådanne domme.
Artikel 8
Tekniske specifikationer
Staterne overholder de fælles tekniske specifikationer for elektronisk udveksling af strafferegisteroplysninger som stillet til rådighed af eu-LISA i forbindelse med gennemførelsen af denne aftale og tilpasser deres systemer efter behov uden unødig forsinkelse.
KAPITEL 2
FORMULARER
Anmodning om oplysninger fra strafferegistret
a)
Oplysninger om den begærende stat:
Stat:
Central(e) myndighed(er):
Kontaktperson:
Tlf. (med landekode og evt. områdenr.):
Fax (med landekode og evt. områdenr.):
E-mailadresse:
Postadresse:
Sagens referencenummer, hvis det kendes:
b)
Oplysninger om identiteten på den person, som anmodningen vedrører(
1
):
Fulde navn (fornavne og alle efternavne):
Tidligere navne:
Eventuelle pseudonymer og/eller kodenavne:
Køn: M ☐ K ☐
Nationalitet:
Fødselsdato (med tal: dd/mm/åååå):
Fødested (by og land):
Faders navn:
Moders navn:
Kendt opholdssted eller adresse:
Personnummer eller type og nummer på vedkommendes identifikationsdokument:
Fingeraftryk:
Ansigtsbillede:
Andre identitetsoplysninger, hvis sådanne foreligger:
c)
Formålet med anmodningen:
Der sættes kryds i det relevante felt
1)
☐
straffesag (angiv venligst, hvilken myndighed der behandler sagen, samt eventuelt sagens referencenummer) …
…
2)
☐
anmodning uden forbindelse til en straffesag (angiv venligst, hvilken myndighed der behandler sagen, samt eventuelt sagens referencenummer ved afkrydsning i det relevante felt):
i) ☐
fra en retsmyndighed …
…
ii) ☐
fra en kompetent administrativ myndighed …
…
iii) ☐
fra personen om oplysninger fra sit eget strafferegister …
…
Formål, til hvilket der anmodes om oplysninger:
Bistandssøgende myndighed:
☐
Den pågældende person har ikke givet sit samtykke til udlevering af oplysningerne (når den pågældende person er blevet bedt om samtykke i overensstemmelse med den begærende stats lovgivning).
Kontaktperson, hvis der er brug for supplerende oplysninger:
Efternavn:
Tlf.:
E-mailadresse:
Andre oplysninger (f.eks. om anmodningen er hastende):
Svar på anmodningen
Oplysninger om den pågældende person
Der sættes kryds i det relevante felt
Undertegnede myndighed bekræfter:
☐
at strafferegistret ikke indeholder oplysninger om domme afsagt over den pågældende person
☐
strafferegistret indeholder oplysninger om domme afsagt over den pågældende person; en domsoversigt vedlægges
☐
at strafferegistret indeholder andre oplysninger om den pågældende person; oplysningerne vedlægges (fakultativt);
☐
at strafferegistret indeholder oplysninger om domme afsagt over den pågældende person, men at domsstaten har tilkendegivet, at oplysninger om disse domme kun må overføres til brug for en straffesag. Anmodning om flere oplysninger kan sendes direkte til … (angiv venligst domsstaten)
☐
at i henhold til national ret i den anmodede stat må anmodninger om oplysninger, der skal anvendes til andre formål end en straffesag, ikke behandles.
Kontaktperson, hvis der er brug for supplerende oplysninger:
Efternavn:
Tlf.:
E-mailadresse:
Andre oplysninger (begrænsninger i anvendelsen af data vedrørende anmodninger uden forbindelse til en straffesag):
Angiv venligst, hvor mange sider der er vedlagt denne svarformular:
Udfærdiget i
den
Underskrift og eventuelt officielt stempel:
Navn og stilling/organisation:
Der vedlægges eventuelt en domsoversigt, og hele sagen sendes til den begærende stat. Det er ikke nødvendigt at oversætte formularen eller domsoversigten til den begærende stats sprog.
_______________
(1)
For at gøre det lettere at identificere personen bør der gives så mange oplysninger som muligt.
KAPITEL 3
STANDARDISERET FORMAT TIL OVERFØRSEL AF OPLYSNINGER
Fælles tabel over kategorier af strafbare handlinger, herunder en tabel over parametre, jf. kapitel 1, artikel 5, stk. 1 og 2
Kode
Kategorier og underkategorier af straffe og foranstaltninger
0100 00
Åben kategori
Forbrydelser omfattet af den internationale straffedomstols straffemyndighed
0101 00
Folkedrab
0102 00
Forbrydelser mod menneskeheden
0103 00
Krigsforbrydelser
0200 00
Åben kategori
Deltagelse i en kriminel organisation
0201 00
Ledelse af en kriminel organisation
0202 00
Bevidst medvirken i en kriminel organisations strafbare aktiviteter
0203 00
Bevidst medvirken i en kriminel organisations ikkestrafbare aktiviteter
0300 00
Åben kategori
Terrorisme
0301 00
Ledelse af en terrorgruppe
0302 00
Bevidst medvirken i en terrorgruppes aktiviteter
0303 00
Finansiering af terrorisme
0304 00
Offentlig opfordring til at begå en terrorhandling
0305 00
Rekruttering til eller oplæring i terrorisme
0400 00
Åben kategori
Menneskehandel
0401 00
Menneskehandel med henblik på udnyttelse af arbejdskraft eller ydelser
0402 00
Menneskehandel med henblik på udnyttelse af andres prostitution eller anden form for seksuel udnyttelse
0403 00
Menneskehandel med henblik på fjernelse af organer eller væv fra mennesker
0404 00
Menneskehandel med henblik på slaveri, slaverilignende forhold eller tvangsarbejde
0405 00
Menneskehandel med henblik på udnyttelse af mindreåriges arbejdskraft eller ydelser
0406 00
Menneskehandel med henblik på udnyttelse af mindreåriges prostitution eller anden form for seksuel udnyttelse af dem
0407 00
Menneskehandel med henblik på fjernelse af organer eller væv fra mindreårige
0408 00
Menneskehandel med henblik på udnyttelse af mindreårige til slaveri, slaverilignende forhold eller tvangsarbejde
0500 00
Åben kategori
Ulovlig handel(
1
) og andre strafbare handlinger i forbindelse med våben, skydevåben, dele og komponenter hertil, ammunition og sprængstoffer
050100
Ulovlig fremstilling af våben, skydevåben, dele og komponenter hertil, ammunition og sprængstoffer
0502 00
Ulovlig handel med våben, skydevåben, dele og komponenter hertil, ammunition og sprængstoffer på nationalt plan(
2
)
0503 00
Ulovlig eksport af våben, skydevåben, dele og komponenter hertil, ammunition og sprængstoffer
050400
Uautoriseret besiddelse eller brug af våben, skydevåben, dele og komponenter hertil, ammunition og sprængstoffer
0600 00
Åben kategori
Miljøkriminalitet
0601 00
Ødelæggelse eller beskadigelse af beskyttede dyre- og plantearter
0602 00
Ulovlig udledning af forurenende stoffer eller ioniserende stråling i luft, jord eller vand
0603 00
Strafbare handlinger vedrørende affald, herunder farligt affald
0604 00
Strafbare handlinger vedrørende ulovlig handel(
1
) med beskyttede dyre- eller plantearter eller dele heraf
0605 00
Uforsætlige miljøforbrydelser
0700 00
Åben kategori
Strafbare handlinger vedrørende narkotika eller prækursorer og andre strafbare handlinger mod folkesundheden
0701 00
Strafbare handlinger vedrørende ulovlig handel(
3
) med narkotika, psykotrope stoffer og prækursorer, som ikke kun er til eget forbrug
070200
Ulovligt forbrug af narkotika, samt køb, besiddelse, fremstilling eller produktion heraf alene til eget forbrug
0703 00
Hjælp eller tilskyndelse til andre til at tage narkotika eller psykotrope stoffer ulovligt
0704 00
Fremstilling eller produktion af narkotika ikke udelukkende til eget forbrug
0800 00
Åben kategori
Forbrydelser mod liv og legeme
0801 00
Uforsætligt manddrab
0802 00
Forsætligt manddrab under særligt skærpende omstændigheder(
4
)
0803 00
Uagtsomt manddrab
0804 00
Forsætligt drab på en nyfødt begået af moderen
0805 00
Ulovlig abort
0806 00
Ulovlig aktiv dødshjælp
0807 00
Medvirken til selvmord
0808 00
Vold med døden til følge
0809 00
Forårsagelse af alvorlig legemsbeskadigelse, vansiring eller varig invaliditet
0810 00
Uforsætlig forårsagelse af alvorlig legemsbeskadigelse, vansiring eller varig invaliditet
0811 00
Forårsagelse af mindre legemsbeskadigelse
0812 00
Uforsætlig forårsagelse af mindre legemsbeskadigelse
0813 00
Fremkaldelse af fare for liv eller alvorlig legemsbeskadigelse
081400
Tortur
0815 00
Undladelse af at yde hjælp eller bistand
0816 00
Strafbare handlinger vedrørende fjernelse af organer eller væv uden tilladelse eller samtykke
0817 00
Strafbare handlinger vedrørende ulovlig handel(
3
) med menneskeorganer og -væv
0818 00
Vold eller trusler i hjemmet
0900 00
Åben kategori
Forbrydelser mod den personlige frihed, værdighed og andre beskyttede interesser, herunder racisme og fremmedhad
0901 00
Kidnapning, kidnapning med krav om løsepenge, frihedsberøvelse
0902 00
En offentlig myndigheds ulovlige anholdelse eller anden frihedsberøvelse
090300
Gidseltagning
0904 00
Ulovlig beslaglæggelse af et fly eller et skib
0905 00
Æreskrænkelse, bagvaskelse, injurier, forhånelse
0906 00
Trusler
0907 00
Tvang, pres, forfølgelse, chikane eller aggressioner af psykologisk eller følelsesmæssig karakter
0908 00
Afpresning
0909 00
Afpresning af særlig alvorlig karakter
0910 00
Ulovlig indtrængen på privat område
0911 00
Anden krænkelse af privatlivets fred end ulovlig indtrængen på privat område
0912 00
Strafbare handlinger mod beskyttelsen af personoplysninger
0913 00
Ulovlig aflytning af data eller kommunikation
0914 00
Diskrimination på grund af køn, race, seksuel orientering, religion eller etnisk oprindelse
0915 00
Offentlig tilskyndelse til racediskrimination
0916 00
Offentlig tilskyndelse til racehad
0917 00
Pengeafpresning
1000 00
Åben kategori
Seksualforbrydelser
1001 00
Voldtægt
1002 00
Voldtægt af særlig farlig karakter(
5
), bortset fra voldtægt af mindreårig
1003 00
Seksuelt overgreb
1004 00
Medvirken til prostitution eller anden seksuel omgang som kunde
1005 00
Blufærdighedskrænkelse
1006 00
Sexchikane
1007 00
Prostitution
1008 00
Seksuel udnyttelse af børn
1009 00
Strafbare handlinger vedrørende børnepornografi eller usædelige billeder af mindreårige
1010 00
Voldtægt af mindreårig
1011 00
Seksuelt overgreb på mindreårig
1100 00
Åben kategori
Forbrydelser i familieforhold
110100
Ulovligt seksuelt forhold mellem nærtstående familiemedlemmer
1102 00
Polygami
1103 00
Manglende betaling af underholdsbidrag eller opfyldelse af underholdspligten
1104 00
Misrøgt eller svigt af en mindreårig eller en handicappet
1105 00
Manglende overholdelse af en kendelse om overdragelse eller fjernelse af en mindreårig
1200 00
Åben kategori
Forbrydelser mod staten, den offentlige orden, retten eller embedsmænd
1201 00
Spionage
1202 00
Højforræderi
120300
Strafbare handlinger vedrørende valg og folkeafstemninger
120400
Attentat mod statsoverhovedets liv eller helbred
1205 00
Fornærmelser rettet mod staten, nationen eller statssymboler
120600
Fornærmelse af eller modstand mod en repræsentant for den offentlige myndighed
1207 00
Afpresning af eller tvang mod en repræsentant for den offentlige myndighed
1208 00
Overfald på eller trusler mod en repræsentant for den offentlige myndighed
1209 00
Forbrydelser mod den offentlige orden og fred
1210 00
Vold under sportsbegivenheder
1211 00
Tyveri af offentlige eller administrative dokumenter
1212 00
Hindring af rettens arbejde eller vildledning af retten, falsk anklage i forbindelse med en straffesag eller anden retssag, falsk forklaring
121300
Ulovlig personifikation af en person eller en myndighed
1214 00
Flugt fra lovlig anholdelse eller forvaring
1300 00
Åben kategori
Forbrydelser mod offentlig ejendom eller offentlige interesser
1301 00
Svindel med offentlige ydelser, socialsikring eller familieydelser
1302 00
Svindel, der påvirker Europæiske ydelser eller tilskud
1303 00
Forbrydelser vedrørende ulovligt hasardspil
1304 00
Vanskeliggørelse af offentlige udbudsprocedurer
1305 00
Aktiv eller passiv korruption begået af en embedsmand eller en person i offentligt embede eller med offentlig myndighed
1306 00
Underslæb, uretmæssig tilegnelse eller anden omledning af ejendom foretaget af en embedsmand
1307 00
Embedsmisbrug begået af en embedsmand
1400 00
Åben kategori
Told- og skattesvig
1401 00
Skattesvig
1402 00
Toldsvig
1500 00
Åben kategori
Økonomiske og handelsrelaterede forbrydelser
1501 00
Konkurs eller svigagtig insolvens
1502 00
Overtrædelse af regnskabsreglerne, underslæb, skjul af aktiver eller ulovlig forøgelse af et selskabs gæld
150300
Overtrædelse af konkurrencereglerne
1504 00
Hvidvaskning af udbytte fra strafbare forhold
150500
Aktiv eller passiv korruption i den private sektor
150600
Afsløring af en hemmelighed eller brud på tavshedspligt
1507 00
"Insiderhandel"
1600 00
Åben kategori
Formueforbrydelser eller beskadigelse af varer
160100
Ulovlig tilegnelse
1602 00
Ulovlig tilegnelse eller omledning af energi
160300
Bedrageri, herunder svig
1604 00
Handel med stjålne varer
1605 00
Ulovlig handel(
6
) med kulturgoder, herunder antikviteter og kunstgenstande
1606 00
Forsætlig beskadigelse eller ødelæggelse af ejendom
1607 00
Uagtsom beskadigelse eller ødelæggelse af ejendom
1608 00
Sabotage
1609 00
Forbrydelser mod industrielle eller intellektuelle ejendomsrettigheder
1610 00
Brandstiftelse
1611 00
Brandstiftelse med personers død eller tilskadekomst til følge
1612 00
Anstiftelse af skovbrand
1700 00
Åben kategori
Tyveri
1701 00
Tyveri
1702 00
Tyveri efter ulovlig indtrængen på privat område
1703 00
Tyveri med brug af vold eller våben eller trusler om brug af vold eller våben mod en person
1704 00
Former for tyveri af særlig grov karakter, der ikke omfatter brug af vold eller våben eller brug af trusler om vold eller våben mod en person
1800 00
Åben kategori
Forbrydelser mod informationssystemer og anden computerrelateret kriminalitet
180100
Ulovlig adgang til informationssystemer
180200
Ulovligt indgreb i informationssystemer
1803 00
Ulovligt indgreb i data
180400
Fremstilling, besiddelse, udbredelse af eller handel med computeranordninger eller data, som gør det muligt at begå computerrelaterede forbrydelser
1900 00
Åben kategori
Forfalskning af betalingsmidler
1901 00
Eftergørelse eller forfalskning af valuta
1902 00
Eftergørelse af andre betalingsmidler end kontanter
190300
Eftergørelse eller forfalskning af offentlige sikkerhedsdokumenter
1904 00
Omsætning/anvendelse af eftergjort eller forfalsket valuta, andre betalingsmidler end kontanter eller offentlige sikkerhedsdokumenter
1905 00
Besiddelse af en anordning til eftergørelse eller forfalskning af valuta eller offentlige sikkerhedsdokumenter
2000 00
Åben kategori
Forfalskning af dokumenter
2001 00
En privatpersons forfalskning af et offentligt eller administrativt dokument
2002 00
En embedsmands eller en offentlig myndigheds forfalskning af et dokument
2003 00
Fremlæggelse eller erhvervelse af et forfalsket offentligt eller administrativt dokument; en embedsmands eller en offentlig myndigheds fremlæggelse eller erhvervelse af et forfalsket dokument
2004 00
Anvendelse af forfalskede offentlige eller administrative dokumenter
2005 00
Besiddelse af en anordning til forfalskning af offentlige eller administrative dokumenter
200600
En privatpersons forfalskning af private dokumenter
2100 00
Åben kategori
Overtrædelse af færdselsloven
2101 00
Uforsvarlig kørsel
2102 00
Spirituskørsel og kørsel under påvirkning af narkotika
2103 00
Kørsel uden kørekort eller med frataget kørekort
2104 00
Manglende standsning i tilfælde af færdselsuheld
210500
Undvigelse af vejkontrol
2106 00
Overtrædelser vedrørende vejtransport
2200 00
Åben kategori
Overtrædelse af arbejdsretten
2201 00
Ulovlig ansættelse
2202 00
Overtrædelser vedrørende aflønning, herunder socialsikringsbidrag
220300
Overtrædelser vedrørende arbejdsforhold og sundhed og sikkerhed på arbejdspladsen
2204 00
Overtrædelser vedrørende adgang til eller udøvelse af en erhvervsaktivitet
2205 00
Overtrædelser af arbejds- og hviletidsbestemmelser
2300 00
Åben kategori
Overtrædelse af udlændingeloven
2301 00
Ulovlig indrejse eller ulovligt ophold
2302 00
Medvirken til ulovlig indrejse eller ulovligt ophold
2400 00
Åben kategori
Tilsidesættelse af militære forpligtelser
2500 00
Åben kategori
Overtrædelser vedrørende hormonpræparater og andre vækstfremmende stoffer
250100
Ulovlig import, eksport eller levering af hormonpræparater og andre vækstfremmende stoffer
2600 00
Åben kategori
Overtrædelser vedrørende nukleart materiale eller andre farlige radioaktive stoffer
2601 00
Ulovlig import, eksport, levering eller erhvervelse af nukleart eller radioaktivt materiale
2700 00
Åben kategori
Andre overtrædelser
2701 00
Andre forsætlige overtrædelser
2702 00
Andre uagtsomme overtrædelser
_______________
(1)
Medmindre andet er anført i denne kategori, forstås ved "handel" import, eksport, erhvervelse, salg, levering, transport eller overførsel.
(2)
Handel omfatter i forbindelse med denne underkategori erhvervelse, salg, levering, transport eller overførsel.
(3)
Handel omfatter i forbindelse med denne underkategori import, eksport, erhvervelse, salg, levering, transport eller overførsel.
(4)
For eksempel særligt grove forhold.
(5)
For eksempel voldtægt af særlig brutal karakter.
(6)
Handel omfatter import, eksport, erhvervelse, salg, levering, transport eller overførsel.
Parametre
Grad af fuldbyrdelse:
Fuldbyrdet gerning
C
Forsøg eller forberedelse
A
Uoplyst
Ø
Grad af medvirken:
Gerningsmand
M
Medvirkende eller anstifter/organisator, medsammensvoren
H
Uoplyst
Ø
Fritagelse for strafansvar:
Sindssyge eller begrænset ansvar
S
Gentagelsestilfælde
R
Fælles tabel over kategorier af straffe og foranstaltninger, herunder en tabel over parametre, jf. kapitel 1, artikel 5, stk. 3 og 4
Kode
Kategorier og underkategorier af straffe og foranstaltninger
1000
Åben kategori
Frihedsberøvelse
1001
Fængsel
1002
Fængsel på livstid
2000
Åben kategori
Begrænsning af den personlige frihed
2001
Forbud mod at frekventere bestemte steder
2002
Forbud mod at forlade landet
2003
Forbud mod at opholde sig bestemte steder
2004
Forbud mod at deltage i en masseforsamling
2005
Forbud mod enhver form for kontakt med bestemte personer
2006
Afsoning under elektronisk overvågning(
1
)
2007
Meldepligt til en bestemt myndighed på bestemte tidspunkter
2008
Pligt til ophold/bopæl på et bestemt sted
2009
Pligt til at være på bopælen på bestemte tidspunkter
2010
Pligt til at overholde foranstaltninger i en prøvetid, som retten har fastsat, herunder pligten til at stå under tilsyn
3000
Åben kategori
Fratagelse af en specifik rettighed eller habilitet
3001
Forbud mod at udøve et erhverv
3002
Tab/suspension af muligheden for at bestride eller blive udnævnt til et offentligt embede
3003
Tab/suspension af retten til at stemme eller stille op til valg
3004
Udelukkelse fra at indgå kontrakter med den offentlige administration
3005
Udelukkelse fra offentlige tilskud
3006
Tilbagekaldelse af kørekort(
2
)
3007
Inddragelse af kørekort
3008
Forbud mod at føre bestemte køretøjer
3009
Tab/suspension af forældremyndigheden
3010
Tab/suspension af retten til at optræde som ekspert i retssager/aflægge vidnesbyrd under ed/være nævning
3011
Tab/suspension af retten til at være værge(
3
)
3012
Tab/suspension af retten til en dekoration eller titel
3013
Forbud mod at udøve erhvervsmæssig, handelsmæssig eller social aktivitet
3014
Forbud mod at arbejde eller udøve anden aktivitet med mindreårige
3015
Forpligtelse til at lukke en virksomhed
3016
Forbud mod at besidde eller bære våben
3017
Inddragelse af en jagt-/fisketilladelse
3018
Forbud mod at udstede check eller anvende betalings- og/eller kreditkort
3019
Forbud mod at holde dyr
3020
Forbud mod at besidde eller anvende visse genstande, bortset fra våben
3021
Forbud mod at deltage i visse spil/sportsgrene
4000
Åben kategori
Indrejseforbud eller udvisning fra et territorium
4001
Indrejseforbud i nationalt territorium
4002
Udvisning fra nationalt territorium
5000
Åben kategori
Personlige forpligtelser
5001
Deltagelse i medicinsk behandling eller andre former for behandling
5002
Deltagelse i et socialpædagogisk program
5003
Forpligtelse til at lade sig underkaste familiens pleje/kontrol
5004
Pædagogiske foranstaltninger
5005
Offentligt tilsyn
5006
Uddannelses-/arbejdsforpligtelse
5007
Forpligtelse til at give retsmyndigheder bestemte oplysninger
5008
Forpligtelse til at offentliggøre dommen
5009
Pligt til at erstatte skader, der er forvoldt ved den strafbare handling
6000
Åben kategori
Sanktioner vedrørende personlig ejendom
6001
Konfiskation
6002
Nedrivning
6003
Genopretning
7000
Åben kategori
Institutionsanbringelse
7001
Anbringelse i en psykiatrisk institution
7002
Anbringelse i en afvænningsinstitution
7003
Anbringelse i en uddannelsesinstitution
8000
Åben kategori
Økonomiske sanktioner
8001
Bødestraf
8002
Dagbøde(
4
)
8003
Bøde til gavn for en bestemt modtager(
5
)
9000
Åben kategori
Arbejdsstraffe
9001
Samfundstjeneste eller samfundsarbejde
9002
Samfundstjeneste eller samfundsarbejde sammen med andre restriktive foranstaltninger
10000
Åben kategori
Militære straffe
10001
Tab af militær rang(
6
)
10002
Udelukkelse fra professionel militærtjeneste
10003
Militærfængsel
11000
Åben kategori
Fritagelse for/udsættelse af dom/straf, advarsel
12000
Åben kategori
Andre straffe og foranstaltninger
Parametre (specificeres, hvor det er relevant)
ø
Straf
m
Foranstaltning
a
Suspenderet straf/foranstaltning
b
Delvis suspenderet straf/foranstaltning
c
Suspenderet straf/foranstaltning med tilsyn/overvågning
d
Delvis suspenderet straf/foranstaltning med tilsyn/overvågning
e
Konvertering af straf/foranstaltning
f
Alternativ straf/foranstaltning, der pålægges som hovedstraf
g
Alternativ straf/foranstaltning, som pålægges indledningsvis i tilfælde af manglende opfyldelse af hovedstraffen
h
Tilbagekaldelse af betinget straf/foranstaltning
i
Efterfølgende etablering af en samlet straf
j
Afbrydelse af håndhævelse/udsættelse af straffen/foranstaltningen(
7
)
k
Bortfald af straffen
l
Bortfald af den betingede straf
n
Straffens ophør
o
Benådning
p
Amnesti
q
Prøveløsladelse (en person sættes på fri fod, inden straffen er afsonet, på bestemte betingelser)
r
Rehabilitering (med eller uden sletning af straffen i strafferegistret)
s
Særlige straffe for mindreårige
t
Ikkestrafferetlig afgørelse(
8
)
_______________
(1)
Fast eller mobil afsoning.
(2)
Der skal indsendes en ny ansøgning for at få et nyt kørekort.
(3)
Værge for en umyndiggjort eller en mindreårig.
(4)
Bøde udtrykt i daglige enheder.
(5)
F.eks. en institution, forening eller fond eller et offer.
(6)
Militær degradering.
(7)
Fører ikke til, at straffuldbyrdelse undgås.
(8)
Denne parameter angives kun, når sådanne oplysninger gives som svar på en anmodning modtaget af den stat, hvor den berørte person er statsborger.
BILAG 45
DEFINITION AF TERRORISME
1.   Anvendelsesområde
Med henblik på tredje del, afsnit IX, artikel 599, stk. 3, litra b), og stk. 4, artikel 602, stk. 2, litra c), og artikel 670, stk. 2, litra a), i denne aftale samt bilag 43 og 46 forstås ved "terrorisme" de strafbare handlinger, der er defineret i dette bilags punkt 3-14.
2.   Definitioner af terrorgruppe og struktureret sammenslutning
2.1
En "terrorgruppe" er en struktureret sammenslutning af en vis varighed bestående af mere end to personer, som handler i forening med henblik på at begå terrorhandlinger.
2.2
En "struktureret sammenslutning" er en sammenslutning, der ikke er vilkårligt dannet med henblik på umiddelbart at begå en lovovertrædelse, og hvis medlemmers roller ikke nødvendigvis er formelt defineret, hvis sammensætning ikke nødvendigvis er fast, og hvis struktur ikke nødvendigvis er nærmere fastlagt.
3.   Terrorhandlinger
3.1
Forsætlige handlinger defineret som strafbare handlinger i henhold til national ret, der i kraft af deres karakter eller den sammenhæng, hvori de begås, kan være til alvorlig skade for et land eller en international organisation, når de begås med et af de i punkt 3.2 nævnte formål:
a)
legemsangreb, der kan have døden til følge
b)
alvorlige overgreb mod en persons fysiske integritet
c)
bortførelse eller gidseltagning
d)
massive ødelæggelser af et regeringsanlæg eller et offentligt anlæg, et transportsystem, en infrastruktur, herunder et edb-system, en fast platform på kontinentalsoklen, et offentligt sted eller en privat ejendom, der sandsynligvis vil bringe menneskeliv i fare eller forårsage betydelige økonomiske tab
e)
kapring af luftfartøjer, skibe eller andre kollektive transportmidler eller godstransportmidler
f)
fremstilling, besiddelse, erhvervelse, transport, levering eller brug af sprængstoffer eller skydevåben, herunder kemiske, biologiske eller radiologiske våben eller kernevåben, samt forskning vedrørende og udvikling af kemiske, biologiske eller radiologiske våben eller kernevåben
g)
spredning af farlige stoffer, brandstiftelse, fremkaldelse af oversvømmelser eller eksplosioner med den følgevirkning, at menneskeliv bringes i fare
h)
forstyrrelse eller afbrydelse af vand- eller elforsyning eller forsyningen med andre grundlæggende naturressourcer, der bringer menneskeliv i fare
i)
alvorlig hindring eller afbrydelse af et informationssystems funktion ved at indtaste computerdata, ved at sende, beskadige, slette, forvanske, ændre eller tilbageholde sådanne data eller ved at gøre sådanne data utilgængelige, bevidst og uden ret, i de tilfælde, hvor:
i)
et betydeligt antal informationssystemer er blevet påvirket gennem anvendelse af et værktøj, der primært er udviklet eller tilpasset til dette formål
ii)
den strafbare handling forårsager alvorlig skade
iii)
den strafbare handling er begået mod et kritisk infrastrukturinformationssystem
j)
sletning, beskadigelse, forvanskning, ændring eller tilbageholdelse af computerdata i et informationssystem eller det at gøre sådanne data utilgængelige, bevidst og uden ret, i de tilfælde, hvor den strafbare handling begås mod et kritisk infrastrukturinformationssystem
k)
fremsættelse af trussel om at ville begå en af de i litra a)-j) anførte handlinger.
3.2
Formålene omhandlet i punkt 3.1 er:
a)
alvorligt at intimidere en befolkning
b)
uretmæssigt at tvinge en regering eller en international organisation til at udføre eller til at undlade at udføre en handling
c)
alvorligt at destabilisere eller ødelægge et lands eller en international organisations grundlæggende politiske, forfatningsmæssige, økonomiske eller samfundsmæssige strukturer.
4.   Strafbare handlinger med forbindelse til en terroristgruppe
Følgende forsætlige handlinger:
a)
ledelse af en terrorgruppe
b)
deltagelse i en terrorgruppes aktiviteter, herunder ved tilvejebringelse af informationer eller materielle midler eller gennem enhver form for finansiering af dens aktiviteter, vel vidende, at denne deltagelse bidrager til terrorgruppens kriminelle aktiviteter.
5.   Offentlig opfordring til at begå en terrorhandling
Distribution eller anden tilvejebringelse på enhver måde, enten online eller offline, af en meddelelse til offentligheden med det forsæt at tilskynde nogen til at begå en af de strafbare handlinger, der er angivet i punkt 3.1, litra a)-j), hvis en sådan adfærd, direkte eller indirekte, f.eks. ved forherligelse af terrorhandlinger, taler for, at der begås terrorhandlinger, og derved medfører en fare for, at en eller flere af disse strafbare handlinger begås, når disse begås forsætligt.
6.   Rekruttering til terrorisme
Hvervning af en anden person til at begå eller medvirke til at begå en af de strafbare handlinger, der er anført i punkt 3.1, litra a)-j), eller i punkt 4, når disse begås forsætligt.
7.   Varetagelse af oplæring i terrorisme
Afgivelse af instruktioner i fremstilling eller brug af sprængstoffer, skydevåben eller andre våben eller skadelige eller farlige stoffer eller i andre konkrete metoder eller teknikker med henblik på at udføre eller medvirke til at udføre en af de strafbare handlinger, der er angivet i punkt 3.1, litra a)-j), vel vidende, at de tillærte færdigheder skal bruges til dette formål, når det gøres forsætligt.
8.   Modtagelse af oplæring i terrorisme
Modtagelse af instruktioner i fremstilling eller brug af sprængstoffer, skydevåben eller andre våben eller skadelige eller farlige stoffer eller i andre konkrete metoder eller teknikker med henblik på at udføre eller medvirke til at udføre en af de strafbare handlinger, der er angivet i punkt 3.1, litra a)-j), når det gøres forsætligt.
9.   Rejser med terrorisme for øje
9.1
Rejser til et andet land end den pågældende stat med det formål at begå eller medvirke til at begå en terrorhandling som omhandlet i punkt 3 med henblik på at deltage i en terrorgruppes aktiviteter vel vidende, at denne deltagelse bidrager til en sådan gruppes kriminelle aktiviteter som omhandlet i punkt 4, eller med henblik på at varetage eller modtage oplæring i terrorisme som omhandlet i punkt 7 og 8, når dette gøres forsætligt.
9.2
Endvidere følgende adfærd, når denne udvises forsætligt:
a)
rejser til den pågældende stat med det formål at begå eller medvirke til at begå en terrorhandling som omhandlet i punkt 3 med henblik på at deltage i en terrorgruppes aktiviteter vel vidende, at denne deltagelse bidrager til en sådan gruppes kriminelle aktiviteter som omhandlet i punkt 4, eller med henblik på at varetage eller modtage oplæring i terrorisme som omhandlet i punkt 7 og 8 eller
b)
forberedende handlinger udført af en person, der rejser ind i den pågældende stat med det formål at begå eller medvirke til at begå en terrorhandling som omhandlet i punkt 3.1.
10.   Tilrettelæggelse eller anden facilitering af rejser med terrorisme for øje
Enhver tilrettelæggelse eller facilitering, som er til hjælp for enhver person, der rejser med terrorisme for øje, jf. punkt 9.1 og punkt 9.2, litra a), vel vidende, at den således ydede bistand har dette formål, når den begås forsætligt.
11.   Finansiering af terror
11.1
Tilvejebringelse eller indsamling af midler på en hvilken som helst måde, direkte eller indirekte, med den hensigt at anvende dem eller vel vidende, at de helt eller delvis skal anvendes til at begå eller bidrage til begå en af de i punkt 3-10 omhandlede strafbare handlinger, når de begås forsætligt.
11.2
Hvis finansiering af terror som omhandlet i punkt 11.1 vedrører en af de strafbare handlinger, der er fastlagt i punkt 3, 4 og 9, er det ikke nødvendigt, at midlerne helt eller delvis faktisk bruges til at begå eller til at bidrage til at begå en af de pågældende strafbare handlinger, og det er heller ikke et krav, at gerningsmanden ved, hvilken eller hvilke specifikke strafbare handlinger midlerne skal bruges til.
12.   Andre lovovertrædelser med forbindelse til terroraktiviteter
Følgende forsætlige handlinger:
a)
tyveri af særlig grov beskaffenhed med det formål at begå en af de strafbare handlinger, der er anført i punkt 3
b)
afpresning med det formål at begå en af de strafbare handlinger, der er anført i punkt 3
c)
udarbejdelse eller anvendelse af falske administrative dokumenter med det formål at begå en af de strafbare handlinger, der er anført i punkt 3.1, litra a)-j), punkt 4, litra b), og punkt 9.
13.   Forbindelse til terrorhandlinger
For at en strafbar handling som omhandlet i punkt 4-12 kan betragtes som terrorisme som omhandlet i punkt 1, er det ikke nødvendigt, at en terrorhandling faktisk begås, og det er ikke nødvendigt for så vidt angår de strafbare handlinger, der er omhandlet i punkt 5-10 og 12, at etablere en forbindelse til en anden specifik strafbar handling, der er fastsat i dette bilag.
14.   Medvirken og tilskyndelse, anstiftelse og forsøg
Følgende handlinger:
a)
medvirken og tilskyndelse til en strafbar handling som omhandlet i punkt 3-8, 11 og 12
b)
anstiftelse til at begå en strafbar handling som anført i punkt 3-12 og
c)
forsøg på at begå en strafbar handling, der er omhandlet i punkt 3, 6 og 7, punkt 9.1, punkt 9.2, litra a), og punkt 11 og 12, med undtagelse af besiddelse som omhandlet i punkt 3.1, litra f), og den strafbare handling, der er omhandlet i punkt 3.1, litra k).
BILAG 46
INDEFRYSNING OG KONFISKATION
Formular til anmodning om indefrysning / midlertidige foranstaltninger
AFSNIT A
Anmodende stat: …
Anmodede stat: …
AFSNIT B: Hasteforanstaltning
Begrundelse for hastesag og/eller dato for ønsket fuldbyrdelse:
Fristerne for fuldbyrdelse af anmodningen om indefrysning er fastsat i aftalens artikel 663. Hvis det imidlertid er nødvendigt med en kortere eller specifik frist, angives datoen sammen med en begrundelse herfor:
AFSNIT C: Relevante personer
Angiv alle kendte oplysninger om identiteten af den eller de (1) fysiske eller (2) juridiske personer, der er berørt af anmodningen om indefrysning, eller af den eller de personer, der ejer de formuegoder, som er omfattet af anmodningen om indefrysning (hvis mere end én person er berørt, angives oplysningerne for hver person):
1.
Fysisk person:
Efternavn:
Fornavn(e):
Eventuelle andre relevante navne:
Eventuelt kaldenavn:
Køn:
Nationalitet:
Personnummer eller socialsikringsnummer:
Identitetsdokumentets (ID-kort, pas) type og nummer, hvis det findes:
Fødselsdato:
Fødested:
Bopæl og/eller kendt adresse: hvis adressen er ukendt, angives den sidste kendte adresse:
Sprog, som personen forstår:
Angiv, om anmodningen om indefrysning er rettet mod den pågældende person, eller om den pågældende person ejer de formuegoder, som er omfattet af anmodningen om indefrysning:
2.
Juridisk person:
Efternavn:
Retsform:
Evt. kortform af navnet, almindeligt anvendt forretningsnavn eller firmanavn:
Officielt hjemsted:
Registreringsnummer:
Den juridiske persons adresse:
Navn på den juridiske persons repræsentant:
Angiv, om anmodningen om indefrysning er rettet direkte mod den pågældende juridiske person, eller om den pågældende juridiske person ejer de formuegoder, som er omfattet af anmodningen om indefrysning:
Hvis indefrysningsforanstaltningen skal udføres på en anden adresse end den ovenstående, angives denne:
3.
Tredjeparter:
i)
Eventuelle tredjeparter, hvis rettigheder over de formuegoder, som er omfattet af anmodningen om indefrysning, direkte berøres negativt af anmodningen (identitet og begrundelse):
ii)
I tilfælde hvor tredjeparter har haft mulighed for at påberåbe sig rettigheder, vedlægges dokumenter, der viser, at dette har været tilfældet.
4.
Angiv eventuelle andre oplysninger, som kan bidrage til fuldbyrdelsen af anmodningen om indefrysning:
AFSNIT D: Berørte formuegoder
Angiv alle kendte oplysninger om de aktiver, der er omfattet af anmodningen om indefrysning. Angiv eventuelle oplysninger om alle formuegoder og individuelle genstande:
1.
Hvis det vedrører et pengebeløb:
i)
Forhold, der giver anledning til at tro, at personen har formuegoder/indtægter i den anmodede stat
ii)
Beskrivelse og stedfæstelse af den pågældende persons formuegoder/indtægtskilde
iii)
Nøjagtig stedfæstelse af den pågældende persons formuegoder/indtægtskilde
iv)
Nærmere oplysninger om den pågældende persons bankkonto (hvis kendt)
2.
Såfremt anmodningen om indefrysning vedrører et eller flere specifikke formuegoder (eller formuegoder af tilsvarende værdi som sådanne formuegoder):
i)
Grund til at antage, at det eller de specifikke formuegoder befinder sig i den anmodede stat:
ii)
Beskrivelse og stedfæstelse af det eller de specifikke formuegoder
iii)
Andre relevante oplysninger
3.
Det samlede beløb, som der er anmodet om indefrysning eller fuldbyrdelse af i den anmodede stat (angiv valuta og beløb med tal og bogstaver):
AFSNIT E: Begrundelse for udstedelse af anmodning eller afgørelse om indefrysning (hvis det er relevant)
En kort fremstilling af de faktiske omstændigheder:
1.
Angiv grundene til, at der er udstedt en anmodning eller afgørelse om indefrysning, herunder en kort fremstilling af de tilgrundliggende omstændigheder for og årsager til indefrysning, en beskrivelse af den eller de strafbare handlinger, der er påtalt, under efterforskning eller genstand for en sag, det stadium, som efterforskningen eller sagen er nået til, begrundelser for eventuelle risikofaktorer og andre relevante oplysninger:
2.
Art og retlig klassificering af den eller de strafbare handlinger, som anmodningen om indefrysning vedrører eller i forhold til hvilke(n) afgørelsen om indefrysning er udstedt, samt den eller de relevante retsforskrifter:
3.
Følgende gælder kun i de tilfælde, hvor både den anmodende og den anmodede stat har givet meddelelse i henhold til aftalens artikel 670, stk. 2: Angiv med kryds, om det drejer sig om en eller flere af følgende lovovertrædelser, som i den anmodende stat straffes med en frihedsstraf af en maksimal varighed på mindst tre år som defineret i den anmodende stats lovgivning. Hvis anmodningen eller afgørelsen om indefrysning vedrører flere strafbare handlinger, angives numrene fra nedenstående liste over strafbare handlinger (svarende til de strafbare handlinger, der er beskrevet i punkt 1 og 2 ovenfor):
☐
deltagelse i en kriminel organisation
☐
terrorisme som defineret i bilag 45
☐
menneskehandel
☐
seksuel udnyttelse af børn og børnepornografi
☐
ulovlig handel med narkotika og psykotrope stoffer
☐
ulovlig handel med våben, ammunition og eksplosive stoffer
☐
korruption, inklusive bestikkelse
☐
svig, herunder svig, der skader Det Forenede Kongeriges, en medlemsstats eller Unionens finansielle interesser
☐
hvidvaskning af udbyttet fra strafbart forhold
☐
falskmøntneri
☐
internetkriminalitet
☐
miljøkriminalitet, herunder ulovlig handel med truede dyrearter og ulovlig handel med truede plantearter og træsorter
☐
medvirken til ulovlig indrejse eller ulovligt ophold
☐
manddrab
☐
grov legemsbeskadigelse
☐
ulovlig handel med menneskeorganer og -væv
☐
bortførelse, frihedsberøvelse og gidseltagning
☐
racisme og fremmedhad
☐
organiseret eller væbnet tyveri
☐
ulovlig handel med kulturgoder, herunder antikviteter og kunstgenstande
☐
bedrageri
☐
afkrævning af beskyttelsespenge og pengeafpresning
☐
efterligninger og fremstilling af piratudgaver af produkter
☐
forfalskning af officielle dokumenter og ulovlig handel med falske dokumenter
☐
forfalskning af betalingsmidler
☐
ulovlig handel med hormonpræparater og andre vækstfremmende stoffer
☐
ulovlig handel med nukleare og radioaktive materialer
☐
handel med stjålne motorkøretøjer
☐
voldtægt
☐
forsætlig brandstiftelse
☐
strafbare handlinger omfattet af Den Internationale Straffedomstols straffemyndighed
☐
kapring af skibe/fly/rumfartøjer
☐
sabotage
4.
Andre relevante oplysninger (f.eks. forbindelse mellem formuegoderne og den strafbare handling):
AFSNIT F: Fortrolighed
☐
Behov for at holde oplysningerne i anmodningen fortrolige efter fuldbyrdelsen:
☐
Behov for bestemte formaliteter på fuldbyrdelsestidspunktet:
AFSNIT G: Anmodninger til mere end én stat
Hvis en anmodning om indefrysning er fremsendt til mere end én stat, anføres følgende oplysninger:
1.
En anmodning om indefrysning er fremsendt til følgende anden eller følgende andre stat(er) (stat og myndighed):
2.
Angiv årsagerne til, at der fremsendes anmodninger om indefrysning til flere stater:
3.
Værdi af aktiver, hvis den kendes, i hver anmodet stat:
4.
Angiv eventuelle specifikke behov:
AFSNIT H: Forbindelse til tidligere anmodninger eller afgørelser om indefrysning
Hvis det er relevant, angives oplysninger, der er relevante for at identificere tidligere eller tilknyttede anmodninger om indefrysning.
1.
Dato for anmodning eller for udstedelse og fremsendelse af afgørelse:
2.
Den myndighed, den er fremsendt til:
3.
Reference oplyst af udstedelses- og fuldbyrdelsesmyndighederne:
AFSNIT I: Konfiskation
Denne anmodning om indefrysning ledsages af en afgørelse om konfiskation udstedt i den anmodende stat (referencenummer for afgørelsen om konfiskation):
☐
Ja, referencenummer:
☐
Nej
Formuegoderne skal forblive indefrosne i den anmodede stat indtil fremsendelsen og fuldbyrdelsen af afgørelsen om konfiskation (forventet dato for indgivelse af afgørelsen om konfiskation, hvis det er muligt):
AFSNIT J: Retsmidler (hvis det er relevant)
Angiv, om et retsmiddel kan søges anvendt i den anmodende stat mod udstedelsen af en anmodning/afgørelse om indefrysning, og angiv i så fald yderligere oplysninger (beskrivelse af retsmidlet, herunder de nødvendige skridt og frister):
AFSNIT K: Udstedende myndighed
Hvis der i den anmodende stat findes en afgørelse om indefrysning, som anmodningen om indefrysning er baseret på, angives følgende oplysninger:
1.
Type udstedelsesmyndighed:
☐
dommer, domstol, offentlig anklager
☐
en anden kompetent myndighed udpeget af den anmodende stat
2.
Kontaktoplysninger:
Officiel betegnelse på den udstedende myndighed:
Navnet på den kompetente myndigheds repræsentant:
Funktion (titel/stilling):
Sagsnummer:
Adresse:
Telefonnummer: (landekode) (lokalt områdenummer):
Fax: (landekode) (lokalt områdenummer):
E-mail:
Sprog, hvorpå der kan kommunikeres med udstedelsesmyndigheden:
Den udstedende myndigheds og/eller dennes repræsentants underskrift, der attesterer, at indholdet i formularen til anmodning om indefrysning/midlertidige foranstaltninger er nøjagtigt og korrekt:
Efternavn:
Funktion (titel/stilling):
Dato:
Officielt stempel (hvis et sådant findes):
AFSNIT L: Godkendelsesmyndighed
Angiv eventuelt, hvilken type myndighed der har godkendt formularen til anmodning om indefrysning/midlertidige foranstaltninger:
☐
dommer, domstol, offentlig anklager
☐
en anden kompetent myndighed udpeget af den anmodende stat
Officiel betegnelse på godkendelsesmyndigheden:
Navnet på den kompetente myndigheds repræsentant:
Funktion (titel/stilling):
Sagsnummer:
Adresse:
Telefonnummer: (landekode) (lokalt områdenummer):
Fax: (landekode) (lokalt områdenummer):
E-mail:
Sprog, hvorpå der kan kommunikeres med den kompetente myndighed:
AFSNIT M: Central myndighed
Angiv, hvilken central myndighed der er ansvarlig for den administrative fremsendelse og modtagelse af anmodninger om indefrysning i den anmodende stat:
Officiel betegnelse på den centrale myndighed:
Navnet på den kompetente myndigheds repræsentant:
Funktion (titel/stilling):
Sagsnummer:
Adresse:
Telefonnummer: (landekode) (lokalt områdenummer):
Fax: (landekode) (lokalt områdenummer):
E-mail:
Sprog, hvorpå der kan kommunikeres med den kompetente myndighed:
AFSNIT N: Yderligere oplysninger
1.
Angiv, om hovedkontaktpunktet i den anmodende stat bør være:
☐
udstedelsesmyndigheden
☐
den kompetente myndighed
☐
den centrale myndighed
2.
Hvis de ikke er angivet ovenfor, kontaktoplysninger på den person eller de personer, der skal kontaktes for yderligere oplysninger om denne anmodning om indefrysning:
Navn/Titel/Organisation:
Adresse:
E-mail/tlf. nr.:
AFSNIT O: Bilag
Formularen til anmodning om indefrysning/midlertidige foranstaltninger skal altid ledsages af originaleksemplaret eller en behørigt påtegnet og identificeret kopi af afgørelsen om indefrysning, hvis denne er udstedt i den anmodende stat.
Formular til anmodning om konfiskation
AFSNIT A
Anmodende stat: …
Anmodede stat: …
AFSNIT B: Afgørelse om konfiskation
Udstedelsesdato: …
Dato, hvor afgørelsen blev endelig: …
Referencenummer: …
Angiv valuta og det samlede beløb i afgørelsen med tal og bogstaver
Det beløb, som der er anmodet om fuldbyrdelse af i den anmodede stat, eller, hvis der er tale om specifikke typer formuegoder, beskrivelse og stedfæstelse af formuegoder
Angiv nærmere oplysninger om de forhold, domstolen lagde til grund for afgørelsen om konfiskation:
☐
formuegoder er udbyttet af en lovovertrædelse eller svarer helt eller delvis til værdien af et sådant udbytte
☐
formuegoder er redskaber anvendt i forbindelse med en sådan lovovertrædelse
☐
formuegoder er omfattet af udvidet konfiskation
☐
formuegoder kan konfiskeres i medfør af eventuelle andre bestemmelser om beføjelser til konfiskation, herunder konfiskation uden endelig domfældelse, i henhold til den anmodende stats ret efter en retslig procedure vedrørende en strafbar handling
AFSNIT C: Berørte personer
Angiv alle kendte oplysninger om identiteten af den eller de (1) fysiske eller (2) juridiske personer, der er berørt af anmodningen om konfiskation (hvis mere end én person er berørt, angives oplysningerne for hver person):
1.
Fysisk person:
Efternavn:
Fornavn(e):
Eventuelle andre relevante navne:
Eventuelt kaldenavn:
Køn:
Nationalitet:
Personnummer eller socialsikringsnummer:
Identitetsdokumentets (ID-kort, pas) type og nummer, hvis det findes:
Fødselsdato:
Fødested:
Bopæl og/eller kendt adresse: hvis adressen er ukendt, angives den sidste kendte adresse:
Sprog, som personen forstår:
Angiv, om anmodningen om konfiskation er rettet mod den pågældende person, eller om den pågældende person ejer de formuegoder, som er omfattet af anmodningen om konfiskation:
2.
Juridisk person:
Navn:
Retsform:
Evt. kortform af navnet, almindeligt anvendt forretningsnavn eller firmanavn:
Officielt hjemsted:
Registreringsnummer:
Den juridiske persons adresse:
Navn på den juridiske persons repræsentant:
Hvis anmodningen om konfiskation skal udføres på en anden adresse end den ovenstående, angives denne:
3.
Tredjeparter:
i)
Eventuelle/kendte tredjeparter, hvis rettigheder over de formuegoder, som er omfattet af anmodningen om konfiskation, direkte berøres negativt af anmodningen (identitet og begrundelse):
ii)
I tilfælde, hvor tredjeparter har haft mulighed for at påberåbe sig rettigheder, vedlægges dokumenter, der viser, at dette har været tilfældet.
4.
Angiv eventuelle andre oplysninger, som kan bidrage til fuldbyrdelsen af anmodningen om konfiskation:
AFSNIT D: Berørte formuegoder
Angiv alle kendte oplysninger om de aktiver, der er omfattet af konfiskationen. Angiv eventuelle oplysninger om alle formuegoder og individuelle genstande:
1.
Hvis det vedrører pengebeløb:
i)
Forhold, der giver anledning til at tro, at personen har formuegoder/indtægter i den anmodede stat:
ii)
Beskrivelse og stedfæstelse af formuegoderne/indtægtskilden:
2.
Såfremt anmodningen vedrører et eller flere specifikke formuegoder:
i)
Grunde til at antage, at det eller de specifikke formuegoder befinder sig i den anmodede stat:
ii)
Beskrivelse og stedfæstelse af det eller de specifikke formuegoder:
3.
Formuegodernes værdi:
i)
Det samlede beløb, der er omfattet af anmodningen (omtrentligt beløb):
ii)
Det samlede beløb, som der er anmodet om fuldbyrdelse af i den anmodede stat (omtrentligt beløb):
iii)
Hvis der er tale om specifikke typer formuegoder, beskrivelse og stedfæstelse af formuegoder:
AFSNIT E: Begrundelse for konfiskation
En kort fremstilling af de faktiske omstændigheder:
1.
Angiv grundene til, at der er udstedt en afgørelse om konfiskation, herunder en kort fremstilling af de tilgrundliggende omstændigheder for og årsager til konfiskation, en beskrivelse af lovovertrædelser, begrundelser for eventuelle risikofaktorer og andre relevante oplysninger (såsom dato, sted og omstændigheder for lovovertrædelsen):
2.
Art og retlig klassificering af den eller de lovovertrædelser, i forhold til hvilke afgørelsen om konfiskation blev truffet, samt den eller de relevante retsforskrifter:
3.
Følgende gælder kun i det tilfælde, hvor både den anmodende og den anmodede stat har givet meddelelse i henhold til aftalens artikel 670, stk. 2: Angiv med kryds, om det drejer sig om en eller flere af følgende lovovertrædelser, som i den anmodende stat straffes med en frihedsstraf af en maksimal varighed på mindst tre år som defineret i den anmodende stats lovgivning. Hvis afgørelsen om konfiskation vedrører flere strafbare handlinger, angives numrene fra nedenstående liste over strafbare handlinger (svarende til de strafbare handlinger, der er beskrevet i punkt 1 og 2 ovenfor):
☐
deltagelse i en kriminel organisation
☐
terrorisme som defineret i bilag 45
☐
menneskehandel
☐
seksuel udnyttelse af børn og børnepornografi
☐
ulovlig handel med narkotika og psykotrope stoffer
☐
ulovlig handel med våben, ammunition og eksplosive stoffer
☐
korruption, inklusive bestikkelse
☐
svig, herunder svig, der skader Det Forenede Kongeriges, en medlemsstats eller Unionens finansielle interesser
☐
hvidvaskning af udbyttet fra strafbart forhold
☐
falskmøntneri
☐
internetkriminalitet
☐
miljøkriminalitet, herunder ulovlig handel med truede dyrearter og ulovlig handel med truede plantearter og træsorter
☐
medvirken til ulovlig indrejse eller ulovligt ophold
☐
manddrab
☐
grov legemsbeskadigelse
☐
ulovlig handel med menneskeorganer og -væv
☐
bortførelse, frihedsberøvelse og gidseltagning
☐
racisme og fremmedhad
☐
organiseret eller væbnet tyveri
☐
ulovlig handel med kulturgoder, herunder antikviteter og kunstgenstande
☐
bedrageri
☐
afkrævning af beskyttelsespenge og pengeafpresning
☐
efterligninger og fremstilling af piratudgaver af produkter
☐
forfalskning af officielle dokumenter og ulovlig handel med falske dokumenter
☐
forfalskning af betalingsmidler
☐
ulovlig handel med hormonpræparater og andre vækstfremmende stoffer
☐
ulovlig handel med nukleare og radioaktive materialer
☐
handel med stjålne motorkøretøjer
☐
voldtægt
☐
forsætlig brandstiftelse
☐
strafbare handlinger omfattet af Den Internationale Straffedomstols straffemyndighed
☐
kapring af skibe/fly/rumfartøjer
☐
sabotage
4.
Andre relevante oplysninger (f.eks. forbindelse mellem formuegoderne og den strafbare handling):
AFSNIT F: Fortrolighed
☐
Behov for at holde en eller flere af oplysningerne i anmodningen fortrolige
Angiv eventuelle relevante oplysninger:
AFSNIT G: Anmodninger til mere end én stat
Hvis en anmodning om konfiskation er fremsendt til mere end én stat, anføres følgende oplysninger:
1.
En anmodning om konfiskation er fremsendt til følgende anden eller følgende andre stat(er) (stat og myndighed):
2.
Grunde til fremsendelse af anmodning om konfiskation til flere stater (vælg behørige grunde):
i)
Såfremt en anmodning vedrører specifikke formuegoder:
☐
Forskellige formuegoder, der er omfattet af anmodningen, antages at befinde sig i forskellige stater
☐
Anmodningen om konfiskation vedrører et specifikt formuegode og kræver handling i mere end én stat
ii)
Såfremt anmodningen om konfiskation vedrører et pengebeløb:
☐
Den anslåede værdi af formuegodet til eventuel konfiskation i den anmodende medlemsstat og i en hvilken som helst anmodet stat vil sandsynligvis ikke kunne dække det fulde beløb fastsat i afgørelsen
☐
Andre specifikke behov:
3.
Værdi af aktiver, hvis den kendes, i hver anmodet stat:
4.
Hvis konfiskation af de(n) specifikke genstand(e) kræver, at der træffes foranstaltninger i mere end en stat, beskrivelse af den foranstaltning, der skal træffes:
AFSNIT H: Omsætning eller overførsel af formuegoder
1.
Såfremt anmodningen om konfiskation vedrører et specifikt formuegode, bedes det bekræftet, om den anmodende stat tillader, at konfiskationen i den anmodede stat sker i form af et krav om at betale et pengebeløb, der svarer til værdien af det pågældende formuegode:
☐
Ja
☐
Nej
2.
Hvis konfiskationen vedrører et pengebeløb, angives det, om andre formuegoder end penge, der stammer fra fuldbyrdelsen af anmodningen om konfiskation, kan overføres til den anmodende stat:
☐
Ja
☐
Nej
AFSNIT I: Fængsling ved misligholdelse eller andre foranstaltninger, der begrænser en persons frihed
Angiv, om den anmodende stat tillader, at den anmodede stat tillader fængsling ved misligholdelse eller andre foranstaltninger, der begrænser en persons frihed, dersom det ikke er muligt at fuldbyrde konfiskationsanmodningen enten helt eller delvist:
☐
Ja
☐
Nej
AFSNIT J: Tilbagegivelse eller godtgørelse til ofre
1.
Angiv, hvis relevant:
☐
En udstedelesesmyndighed eller anden kompetent myndighed i den anmodende stat har truffet afgørelse om, at der til offeret skal godtgøres eller tilbageleveres følgende pengesum:
☐
En udstedelsesmyndighed eller anden kompetent myndighed i den anmodende stat har truffet afgørelse om at tilbagelevere følgende formuegoder, som ikke er penge, til offeret:
2.
Oplysninger om afgørelsen om tilbagelevering af formuegoder eller godtgørelse til offeret:
Udstedende myndighed (officielt navn):
Afgørelsesdato:
Evt. afgørelsens referencenummer:
Beskrivelse af det formuegode, der skal tilbageleveres, eller det beløb, der godtgøres:
Offerets navn: …
Offerets adresse: …
AFSNIT K: Retsmidler
Angiv, om et retsmiddel allerede er søgt anvendt mod en konfiskationsafgørelse, og angiv i så fald yderligere oplysninger (beskrivelse af retsmidlet, herunder de nødvendige skridt og frister):
AFSNIT L: Udstedende myndighed
Angiv oplysninger om den myndighed, som udstedte konfiskationsanmodningen i den anmodende stat:
1.
Type udstedelsesmyndighed:
☐
dommer, domstol, offentlig anklager
☐
en anden kompetent myndighed udpeget af den anmodende stat
2.
Kontaktoplysninger:
Officiel betegnelse på den udstedende myndighed:
Navnet på den kompetente myndigheds repræsentant:
Funktion (titel/stilling):
Sagsnummer:
Adresse:
Telefonnummer: (landekode) (lokalt områdenummer):
Fax: (landekode) (lokalt områdenummer):
E-mail:
Sprog, hvorpå der kan kommunikeres med udstedelsesmyndigheden:
Udstedelsesmyndighedens og/eller dennes repræsentants underskrift, der attesterer, at indholdet i konfiskationsformularen er nøjagtigt og korrekt: …
Efternavn:
Funktion (titel/stilling):
Dato:
Officielt stempel (hvis et sådant findes):
AFSNIT M: Godkendelsesmyndighed
Angive, hvilken type myndighed der har godkendt konfiskationsanmodningen, hvis det er relevant:
☐
dommer, domstol, offentlig anklager
☐
en anden kompetent myndighed udpeget af udstedelsesstaten
Officiel betegnelse på godkendelsesmyndigheden:
Navnet på den kompetente myndigheds repræsentant:
Funktion (titel/stilling):
Sagsnummer:
Adresse:
Telefonnummer: (landekode) (lokalt områdenummer):
Fax: (landekode) (lokalt områdenummer):
E-mail:
Sprog, hvorpå der kan kommunikeres med den kompetente myndighed:
AFSNIT N: Central myndighed
Angiv den central myndighed, der er ansvarlig for den administrative fremsendelse og modtagelse af konfiskationsanmodningsformularen i den anmodende medlemsstat:
Officiel betegnelse på den centrale myndighed:
Navnet på den kompetente myndigheds repræsentant:
Funktion (titel/stilling):
Sagsnummer:
Adresse:
Telefonnummer: (landekode) (lokalt områdenummer):
Fax: (landekode) (lokalt områdenummer):
E-mail:
Sprog, hvorpå der kan kommunikeres med den kompetente myndighed:
AFSNIT O: Yderligere oplysninger
1.
Angiv, om hovedkontaktpunktet i den anmodende stat bør være:
☐
udstedelsesmyndigheden
☐
den kompetente myndighed
☐
den centrale myndighed
2.
Hvis de ikke er angivet ovenfor, kontaktoplysninger på den person eller de personer, der skal kontaktes for yderligere oplysninger om denne konfiskationsanmodning:
Navn/Titel/Organisation:
Adresse:
E-mail/ tlf. nr.:
AFSNIT P: Bilag
Det oprindelige eller et behørigt påtegnet eksemplar af konfiskationsafgørelsen skal fremsendes med konfiskationsformularen.
BILAG 47
GENNEMFØRELSE AF DE FINANSIELLE BETINGELSER
1.
Kommissionen meddeler snarest muligt og senest den 16. april i regnskabsåret Det Forenede Kongerige følgende oplysninger for hvert EU-program og hver aktivitet eller del heraf, som Det Forenede Kongerige deltager i:
a)
beløbene for de forpligtelsesbevillinger på EU-budgettet, der er endeligt vedtaget for det pågældende år for budgetposterne til Det Forenede Kongeriges deltagelse i overensstemmelse med protokollen, der er omhandlet i denne aftales artikel 710, og eventuelle eksterne formålsbestemte indtægtsbevillinger, der ikke er et resultat af finansielle bidrag fra andre donorer til disse budgetposter
b)
beløbet for det deltagelsesgebyr, der er omhandlet i denne aftales artikel 714, stk. 4
c)
fra år N + 1 af gennemførelsen af et program, der er omfattet af den protokol, som er omhandlet i denne aftales artikel 710, gennemførelsen af forpligtelsesbevillinger svarende til regnskabsår N og frigørelsesniveauet
d)
for programmer, hvor artikel 716 i denne aftale finder anvendelse, for den del af programmerne, hvor sådanne oplysninger er nødvendige for at beregne den automatiske korrektion, størrelsen af de forpligtelser, der er indgået til fordel for enheder i Det Forenede Kongerige, opdelt efter det tilsvarende år for budgetbevillingerne og det samlede omfang af forpligtelser.
Kommissionen fremlægger på grundlag af sit budgetforslag et overslag over oplysninger i henhold til litra a) og b) hurtigst muligt og senest den 1. september i regnskabsåret.
2.
Kommissionen udsender senest den 16. april og den 16. juli i hvert regnskabsår en indkaldelse af bidrag til Det Forenede Kongerige svarende til Det Forenede Kongeriges bidrag i henhold til denne aftale for hvert af de programmer og de aktiviteter eller dele heraf, som Det Forenede Kongerige deltager i.
3.
Senest 60 dage efter udsendelsen af indkaldelsen af bidrag betaler Det Forenede Kongerige det beløb, der er anført i indkaldelsen af bidrag. Det Forenede Kongerige kan foretage særskilte betalinger for hvert program og hver aktivitet.
4.
Uanset punkt 2 og 3 udsender Kommissionen for året 2021, hvor protokollen i henhold til denne aftales artikel 710 indgås, en indkaldelse af bidrag senest den 16. april 2021, hvis protokollen undertegnes senest den 31. marts 2021, eller senest den 16. i den måned, der følger efter den måned, hvor protokollen blev undertegnet, hvis den undertegnes efter den 31. marts 2021. Hvis denne indkaldelse af bidrag udsendes efter den 16. juli i det pågældende år, udsendes der kun en enkelt indkaldelse af bidrag for dette år. Senest 60 dage efter udsendelsen af indkaldelsen af bidrag betaler Det Forenede Kongerige det beløb, der er anført i indkaldelsen af bidrag. Det Forenede Kongerige kan foretage særskilte betalinger for hvert program og hver aktivitet.
5.
Indkaldelsen af bidrag for et givet år skal have den værdi, der fastlægges ved at dividere det årlige beløb beregnet i henhold til denne aftales artikel 714, herunder enhver justering i henhold til artikel 714, stk. 8, artikel 716 eller artikel 717 i denne aftale, med antallet af indkaldelser af bidrag for det pågældende år i henhold til dette bilags punkt 2 og 4.
6.
Uanset punkt 5 skal indkaldelsen af bidrag for et givet år N i forbindelse med bidraget til Horisont Europa for den flerårige finansielle ramme 2021-2027 have den værdi, der fastlægges ved at dividere:
a)
det årlige beløb beregnet
i)
ved anvendelse af følgende betalingsplan for betalinger, hvis år N er:
—
2021: 50 % betalt i 2021, 50 % betalt i 2026
—
2022: 50 % betalt i 2022, 50 % betalt i 2027
ii)
for det beløb, der fremkommer ved anvendelsen af denne aftales artikel 714 og 716, herunder eventuelle justeringer i henhold til denne aftales artikel 714, stk. 8, eller artikel 716 for det pågældende år N, med
b)
antallet af indkaldelser af midler for det pågældende år N i henhold til punkt 2 og 4:
Anvendelsen af dette punkt har ingen indflydelse på beregningen af den automatiske korrektion i henhold til artikel 716 og 721. Ved alle beregninger af andre beløb i forbindelse med denne aftales femte del tages der i forbindelse med Det Forenede Kongeriges årlige bidrag hensyn til dette punkt.
7.
Når Det Forenede Kongeriges deltagelse opsiges i henhold til denne aftales artikel 719 eller 720, forfalder alle betalinger i perioden før opsigelsen, som blev udskudt i overensstemmelse med dette bilags punkt 6. Kommissionen foretager, senest en måned efter at opsigelsen får virkning, en indkaldelse af bidrag vedrørende det skyldige beløb. Det Forenede Kongerige betaler dette skyldige beløb inden for 60 dage efter indkaldelsen af bidrag.
8.
Europa-Parlamentets og Rådets forordning (EU, Euratom) 2018/1046 
(
1
)
 vedrørende Den Europæiske Unions almindelige budget ("finansforordningen") gælder for forvaltningen af bevillingerne.
9.
Hvis Det Forenede Kongerige overskrider betalingsfristen, sender Kommissionen en formel rykkerskrivelse.
Enhver forsinkelse i betalingen af bidraget medfører, at Det Forenede Kongerige skal betale morarenter af det udestående beløb fra forfaldsdagen frem til den dag, hvor det udestående beløb betales fuldt ud.
Rentesatsen for fordringer, der ikke er betalt på forfaldsdagen, er den sats, som Den Europæiske Centralbank den første dag i forfaldsmåneden anvender på sine vigtigste refinansieringstransaktioner, og som offentliggøres i C-udgaven af 
Den Europæiske Unions Tidende
, eller 0 procent, idet den højeste sats finder anvendelse, plus tre og et halvt procentpoint.
(
1
)
  Europa-Parlamentets og Rådets forordning (EU, Euratom) 2018/1046 af 18. juli 2018 om de finansielle regler vedrørende Unionens almindelige budget, om ændring af forordning (EU) nr. 1296/2013, (EU) nr. 1301/2013, (EU) nr. 1303/2013, (EU) nr. 1304/2013, (EU) nr. 1309/2013, (EU) nr. 1316/2013, (EU) nr. 223/2014, (EU) nr. 283/2014 og afgørelse nr. 541/2014/EU og om ophævelse af forordning (EU, Euratom) nr. 966/2012 (
EUT L 193 af 30.7.2018, s. 1
).
BILAG 48
FORRETNINGSORDEN FOR TVISTBILÆGGELSE
I.   Definitioner
1.
I denne aftales sjette del, afsnit I, og denne forretningsorden forstås ved:
a)
"administrativt personale": i forbindelse med en voldgiftsmand, personer, der arbejder under en voldgiftsmands ledelse og tilsyn, dog ikke assistenter
b)
"rådgiver": en person, som af en part er udpeget til at rådgive eller bistå den pågældende part i forbindelse med en voldgiftsprocedure
c)
"voldgiftsret": en domstol oprettet i henhold til denne aftales artikel 740
d)
"voldgiftsmand": et medlem af en voldgiftsret
e)
"assistent": en person, som efter mandat fra en voldgiftsmand og under dennes ledelse og tilsyn foretager undersøgelser for eller bistår den pågældende voldgiftsmand
f)
"klagende part": enhver part, som anmoder om, at der nedsættes en voldgiftsret i henhold til denne aftales artikel 739
g)
"sekretariat": et eksternt organ med den relevante ekspertise, som af parterne udpeges til at yde administrativ støtte i forbindelse med procedurerne
h)
"svarende part": den part, som angiveligt har overtrådt de omhandlede bestemmelser, og
i)
"repræsentant for en part": en ansat eller enhver anden person, der er udpeget af et ministerium, en offentlig myndighed eller ethvert andet offentligt organ i en part, og som repræsenterer parten i forbindelse med en tvist, der falder ind under denne aftale eller en eventuel supplerende aftale.
II.   Underretninger
2.
Anmodninger, meddelelser, skriftlige indlæg eller andre dokumenter fra:
a)
voldgiftsretten sendes til begge parter på samme tid
b)
en part, som er rettet til voldgiftsretten, sendes samtidig i kopi til den anden part, og
c)
en part, som er rettet til den anden part, sendes samtidig i kopi til voldgiftsretten, hvis det er relevant.
3.
De underretninger, der er omhandlet i regel 2, sendes pr. e-mail eller, hvis det er relevant, ved hjælp af et andet telekommunikationsmiddel, som giver bevis for fremsendelsen deraf. Medmindre andet bevises, anses en sådan underretning for at være modtaget på dagen for dens fremsendelse.
4.
Alle meddelelser sendes til henholdsvis Europa-Kommissionens Juridiske Tjeneste og den juridiske rådgiver for Det Forenede Kongeriges Ministerium for Udenrigs-, Commonwealth- og Udviklingsanliggender.
5.
Mindre, rent formelle fejl i anmodninger, meddelelser, skriftlige indlæg eller andre dokumenter vedrørende voldgiftsretsproceduren kan berigtiges ved indgivelse af et nyt dokument, hvori ændringerne klart er angivet.
6.
Hvis sidste dag for indgivelse af et dokument ikke er en arbejdsdag i EU's institutioner eller Det Forenede Kongeriges regering, udløber fristen for indgivelse af dokumentet den første efterfølgende arbejdsdag.
III.   Udpegelse af voldgiftsmænd
7.
Hvis der i henhold til denne aftales artikel 740 udpeges en voldgiftsmand ved lodtrækning, orienterer den klagende parts medformand for partnerskabsrådet straks den svarende parts medformand om dato, tid og sted for lodtrækningen. Den svarende part kan – hvis vedkommende vælger det – være til stede under lodtrækningen. Lodtrækningen skal under alle omstændigheder foretages under overværelse af den eller de parter, der er til stede.
8.
Den klagende parts medformand meddeler skriftligt enhver person, der er blevet udvalgt til at fungere som voldgiftsmand, om hans eller hendes udnævnelse. Hver af disse personer bekræfter sin disponibilitet over for begge parter senest fem dage fra den dato, hvor vedkommende blev underrettet om sin udpegning.
9.
Den klagende parts formand for partnerskabsrådet udvælger den pågældende voldgiftsmand eller formand ved lodtrækning senest fem dage efter udløbet af den frist, der er omhandlet i denne aftales 740, stk. 2, hvis nogen af de dellister, der er omhandlet i denne aftales 752, stk. 1:
a)
ikke er oprettet blandt de personer, som formelt er foreslået af en eller begge parter med henblik på oprettelse af den pågældende delliste, eller
b)
ikke længere omfatter mindst fem personer blandt de personer, som fortsat står på denne specifikke delliste.
10.
Parterne kan udpege et sekretariat til at yde bistand med at tilrettelægge og gennemføre de specifikke tvistbilæggelsesprocedurer på grundlag af ad hoc-ordninger eller på grundlag af ordninger, der vedtages af partnerskabsrådet i henhold til denne aftales artikel 759. Med henblik herpå skal partnerskabsrådet senest 180 dage efter denne aftales ikrafttræden overveje, om det er nødvendigt med nogen ændringer af denne forretningsorden.
IV.   Organisatorisk møde
11.
Medmindre parterne aftaler andet, mødes de med voldgiftsretten senest syv dage efter dens nedsættelse for at tage stilling til spørgsmål, som parterne eller voldgiftsretten anser for relevante, herunder:
a)
såfremt der ikke tidligere er taget stilling hertil, voldgiftsmændenes vederlag og godtgørelsen af deres udgifter, som under alle omstændigheder skal være i overensstemmelse med WTO-standarderne
b)
det vederlag, der skal udbetales til assistenter. Det samlede vederlag for den enkelte voldgiftsmands assistent eller assistenter må ikke overstige 50 % af vederlaget betalt til denne voldgiftsmand
c)
tidsplanen for proceduren og
d)
ad hoc-procedurer for beskyttelse af fortrolige oplysninger.
Voldgiftsmændene og parternes repræsentanter kan deltage i dette møde per telefon- eller videokonference.
V.   Skriftlige indlæg
12.
Den klagende part afgiver sit skriftlige indlæg senest 20 dage efter datoen for nedsættelse af voldgiftsretten. Den svarende part afgiver sit skriftlige indlæg senest 20 dage efter datoen for den klagende parts afgivelse af det skriftlige indlæg.
VI.   Voldgiftsrettens arbejde
13.
Formanden for voldgiftsretten leder alle møder. Voldgiftsretten kan bemyndige formanden til at træffe administrative og proceduremæssige afgørelser.
14.
Medmindre der i denne aftales sjette del, afsnit I, eller i denne forretningsorden er fastsat andet, kan voldgiftsretten varetage sine opgaver på enhver vis, herunder per telefon, fax eller onlineforbindelse.
15.
Kun voldgiftsmænd må deltage i voldgiftsrettens drøftelser, men retten kan give sine assistenter tilladelse til at overvære drøftelserne.
16.
Det er alene voldgiftsrettens ansvar at udfærdige afgørelser og rapporter, og denne opgave må ikke overdrages til andre.
17.
Hvis der opstår proceduremæssige spørgsmål, som ikke er omfattet af denne aftales sjette del, afsnit I, og bilagene hertil, kan voldgiftsretten efter at have hørt parterne vedtage en hensigtsmæssig procedure, der er forenelig med disse bestemmelser.
18.
Hvis voldgiftsretten finder, at der er behov for at ændre andre frister i forbindelse med sagsbehandlingen end de frister, der er fastsat i denne aftales sjette del, afsnit I, eller for at foretage andre proceduremæssige eller administrative justeringer, underretter den skriftligt og efter samråd med parterne disse om grundene til ændringen eller justeringen og angiver den frist eller justering, der er behov for.
VII.   Udskiftning af medlemmer
19.
Når en part finder, at en voldgiftsmand ikke opfylder kravene i bilag 49 og derfor bør udskiftes, underretter denne part den anden part herom senest 15 dage fra det tidspunkt, hvor den fik tilstrækkelige beviser for voldgiftmandens påståede manglende opfyldelse af kravene i det pågældende bilag.
20.
Parterne rådfører sig med hinanden inden for 15 dage efter den i regel 19 omhandlede underretning. De underretter voldgiftsmanden om den påståede manglende overholdelse og kan anmode voldgiftsmanden om at tage skridt til at rette op på situationen. De kan også i fællesskab beslutte at fjerne voldgiftsmanden og udvælge en ny voldgiftsmand i overensstemmelse med denne aftales artikel 740.
21.
Hvis parterne ikke er enige om, hvorvidt voldgiftsmanden bør udskiftes, når vedkommende ikke er formand for voldgiftsretten, kan de hver især anmode om, at spørgsmålet henvises til formanden for voldgiftsretten, hvis afgørelse er endelig.
Hvis formanden for voldgiftsretten finder, at voldgiftsmanden ikke opfylder kravene i bilag 49, udvælges en ny voldgiftsmand i henhold til denne aftales artikel 740.
22.
Hvis parterne ikke er enige om, hvorvidt formanden bør udskiftes, kan de hver især anmode om, at sagen henvises til en af de øvrige personer på dellisten over formænd oprettet i henhold til denne aftales artikel 752. Den anmodende parts medformand for partnerskabsrådet eller dennes stedfortræder udvælger den pågældende person ved lodtrækning. Den udvalgte persons afgørelse om, hvorvidt formanden skal udskiftes, er endelig.
Hvis den pågældende person finder, at formanden ikke opfylder kravene i bilag 49, vælges en ny formand i henhold til denne aftales artikel 740.
VIII.   Høringer
23.
Formanden for voldgiftsretten underretter på grundlag af den tidsplan, der er fastsat i medfør af regel 11, og efter samråd med parterne og de øvrige voldgiftsmænd parterne om datoen, tidspunktet og stedet for høringen. Medmindre høringen er lukket for offentligheden, stiller den part, hvor høringen finder sted, disse oplysninger til rådighed for offentligheden.
24.
Medmindre parterne aftaler andet, afholdes høringen i London i de tilfælde, hvor den klagende part er Unionen, og i Bruxelles i de tilfælde, hvor den klagende part er Det Forenede Kongerige. Den svarende part afholder de udgifter, der er forbundet med den logistiske administration af høringen.
25.
Voldgiftsretten kan indkalde til yderligere høringer, hvis parterne er enige herom.
26.
Samtlige voldgiftsmænd skal være til stede under hele høringsforløbet.
27.
Medmindre parterne aftaler andet, kan følgende personer deltage i den mundtlige høring, uanset om denne er offentlig eller ej:
a)
en parts repræsentanter
b)
rådgivere
c)
assistenter og administrativt personale
d)
tolke, oversættere og voldgiftsrettens retsskrivere og
e)
eksperter efter voldgiftsrettens bestemmelse i henhold til denne aftales artikel 751, stk. 2.
28.
Senest fem arbejdsdage inden en høring giver hver part voldgiftsretten og den anden part en liste med navnene på de personer, der på den pågældende parts vegne vil fremføre mundtlige anbringender eller indlæg under høringen, og på andre repræsentanter eller rådgivere, som skal deltage i høringen.
29.
Voldgiftsretten gennemfører høringen på følgende måde, idet det sikres, at den klagende part og den svarende part får tildelt lige meget tid til både anbringende og modanbringende:
Anbringende
a)
den klagende parts anbringende
b)
den svarende parts anbringende.
Modanbringende
a)
den klagende parts replik
b)
den svarende parts duplik.
30.
Voldgiftsretten kan stille spørgsmål til begge parter når som helst under høringen.
31.
Voldgiftsretten sørger for, at der udarbejdes et referat af den mundtlige forhandling, som fremsendes til parterne hurtigst muligt efter den mundtlige forhandling. Parterne kan fremsætte bemærkninger til referatet, og voldgiftsretten kan medtage disse bemærkninger i deres overvejelser.
32.
Senest ti dage efter datoen for høringen kan hver part afgive et supplerende skriftligt indlæg vedrørende spørgsmål, der måtte være opstået under høringen.
IX.   Skriftlige forespørgsler
33.
Voldgiftsretten kan når som helst under en sag rette skriftlige forespørgsler til en eller begge parter. Forespørgsler rettet til den ene part sendes i kopi til den anden part.
34.
Hver part fremsender en kopi af partens besvarelser af voldgiftsrettens forespørgsler til den anden part. Den anden part skal have mulighed for at fremsætte skriftlige bemærkninger til partens besvarelser senest fem dage efter fremsendelsen af en sådan kopi.
X.   Fortrolighed
35.
Hver af parterne og voldgiftsretten behandler de oplysninger, som den anden part har forelagt voldgiftsretten og angivet som fortrolige, som sådanne. Når en part indgiver et skriftligt indlæg, som indeholder fortrolige oplysninger, til voldgiftsretten, indgiver denne også senest 15 dage derefter et indlæg uden de fortrolige oplysninger, der gøres tilgængeligt for offentligheden.
36.
Intet i denne forretningsorden forhindrer en part i at offentliggøre erklæringer vedrørende egne holdninger, hvis den pågældende part, når der henvises til oplysninger forelagt af den anden part, ikke offentliggør oplysninger, som den anden part har udpeget som fortrolige.
37.
Voldgiftsretten holder de relevante dele af møderne for lukkede døre, hvis en parts indlæg og anbringender indeholder fortrolige oplysninger. Parterne holder voldgiftsrettens høringer fortrolige, når de afholdes for lukkede døre.
XI.   Ex parte-kontakter
38.
Voldgiftsretten må ikke mødes eller kommunikere med en part i den anden parts fravær.
39.
Ingen voldgiftsmand må i de andre voldgiftsmænds fravær drøfte nogen aspekter ved sagens genstand, hverken med den ene eller begge parter.
XII.   Amicus curiae-indlæg
40.
Medmindre parterne aftaler andet senest fem dage efter datoen for nedsættelse af voldgiftsretten, kan voldgiftsretten modtage uanmodede skriftlige indlæg fra fysiske og juridiske personer, der er etableret på en parts område, og som er uafhængige af parternes regeringer, forudsat at de:
a)
modtages af voldgiftsretten senest ti dage efter nedsættelsen af voldgiftsretten
b)
er kortfattede og under ingen omstændigheder længere end 15 sider, inkl. eventuelle bilag, med dobbelt linjeafstand
c)
er direkte relevante for et faktuelt eller retligt spørgsmål under behandling ved voldgiftsretten
d)
indeholder en beskrivelse af den person, der indgiver indlægget, herunder for en fysisk person vedkommendes nationalitet og for en juridisk person dens etableringssted, arten af dens aktiviteter, dens retlige status, generelle mål og dens finansieringskilde
e)
beskriver den særlige interesse, som den pågældende person har i voldgiftsrettens arbejde, og
f)
er udarbejdet på engelsk.
41.
Indlæggene tilsendes parterne med henblik på bemærkninger. Parterne kan fremsætte bemærkninger til voldgiftsretten senest ti dage efter fremsendelsen.
42.
Voldgiftsretten opregner i sin rapport alle de indlæg, som den har modtaget, og som er i overensstemmelse med regel 40. Voldgiftsretten har ikke pligt til i sin rapport at behandle de anbringender, der fremføres i sådanne indlæg, men hvis det gøres, skal der også tages hensyn til eventuelle bemærkninger fremsat af parterne i henhold til regel 41.
XIII.   Hastende tilfælde
43.
I hastesager, jf. denne aftales artikel 744, justerer voldgiftsretten efter høring af parterne, hvis det er relevant, de frister, der er omhandlet i denne forretningsorden. Voldgiftsretten meddeler parterne sådanne justeringer.
XIV.   Oversættelse og tolkning
44.
Processproget i sager for voldgiftsretten er engelsk. Voldgiftsrettens rapporter og afgørelser udarbejdes på engelsk.
45.
Hver part afholder egne udgifter i forbindelse med oversættelse af dokumenter, der forelægges voldgiftsretten, og som ikke oprindelig er udarbejdet på engelsk, samt eventuelle udgifter til tolkning under den mundtlige forhandling i forbindelse med anvendelsen af repræsentanter eller rådgivere.
XV.   Andre procedurer
46.
De frister, der er fastsat i denne forretningsorden, tilpasses efter de særlige frister, der er fastsat for voldgiftsrettens vedtagelse af en rapport eller afgørelse under proceduren efter denne aftales artikel 747-750.
BILAG 49
ADFÆRDSKODEKS FOR VOLDGIFTSMÆND
I.   Definitioner
1.
I denne adfærdskodeks forstås ved:
a)
"administrativt personale": i forbindelse med en voldgiftsmand, personer, der arbejder under en voldgiftsmands ledelse og tilsyn, dog ikke assistenter
b)
"voldgiftsmand": et medlem af en voldgiftsret
c)
"assistent": en person, som efter mandat fra en voldgiftsmand foretager undersøgelser for eller bistår voldgiftsmanden og
d)
"kandidat": en person, hvis navn står på den i denne aftales artikel 752 omhandlede liste over voldgiftsmænd, eller som overvejes udvalgt som voldgiftsmand efter denne aftales artikel 740.
II.   Overordnede principper
2.
For at bevare integriteten og upartiskheden i tvistbilæggelsesordningen skal hver kandidat og voldgiftsmand:
a)
gøre sig bekendt med denne adfærdskodeks
b)
være uafhængig og upartisk
c)
undgå direkte eller indirekte interessekonflikter
d)
undgå utilbørlig adfærd og adfærd, der kan give indtryk af utilbørlig eller partisk adfærd
e)
iagttage en høj adfærdsstandard og
f)
ikke påvirkes af egne interesser, udefra kommende pres, politiske overvejelser, offentlige protester, loyalitet over for en part eller frygt for kritik.
3.
En voldgiftsmand må ikke hverken direkte eller indirekte påtage sig nogen forpligtelse eller acceptere nogen fordel, som på nogen måde ville være til hinder for eller give indtryk af at være til hinder for, at vedkommende udfører sine opgaver korrekt.
4.
En voldgiftsmand må ikke udnytte sin funktion som medlem af voldgiftsretten til at fremme personlige eller private interesser. En voldgiftsmand skal undgå handlinger, som kan give det indtryk, at andre befinder sig i en særlig position med hensyn til at påvirke voldgiftsmanden.
5.
En voldgiftsmand må ikke lade tidligere eller eksisterende finansielle, forretningsmæssige, faglige, personlige eller sociale forbindelser eller forpligtelser påvirke sin adfærd eller dømmekraft.
6.
En voldgiftsmand skal undgå at etablere forbindelser eller erhverve finansielle interesser, som kan formodes at påvirke vedkommendes upartiskhed, eller som med rimelighed kan formodes at give indtryk af utilbørlig eller partisk adfærd.
III.   Oplysningsforpligtelser
7.
Forud for bekræftelsen af en kandidats udvælgelse til voldgiftsmand i henhold til denne aftales artikel 740, skal han eller hun oplyse om interesser, forbindelser og andre forhold, som kan formodes at påvirke den pågældendes uafhængighed eller upartiskhed, eller som kan formodes at give indtryk af utilbørlig adfærd eller partiskhed i forbindelse med sagen. En kandidat skal derfor gøre enhver rimelig indsats for at få kendskab til sådanne eventuelle interesser, forbindelser og forhold, herunder finansielle interesser, faglige interesser eller ansættelses- eller familiemæssige interesser.
8.
En voldgiftsmand har i henhold til punkt 7 en vedvarende forpligtelse til at oplyse om sådanne eventuelle interesser, forbindelser eller forhold, der måtte komme frem på et hvilket som helst trin i forbindelse med sagsbehandlingen.
9.
En kandidat eller en voldgiftsmand videregiver oplysninger til partnerskabsrådet med henblik på parternes gennemgang deraf om spørgsmål vedrørende faktiske eller potentielle overtrædelser af denne adfærdskodeks, lige så snart vedkommende får kendskab til de pågældende forhold.
IV.   Voldgiftsmænds opgaver
10.
En voldgiftsmand skal efter bekræftelsen af sin udnævnelse være til rådighed til at udføre sine opgaver og skal udføre dem omhyggeligt og hurtigt under hele sagsbehandlingen og udvise loyalitet og rettidig omhu.
11.
En voldgiftsmand må kun behandle de spørgsmål, der rejses i forbindelse med sagsbehandlingen, og som har betydning for afgørelsen, og må ikke overdrage denne opgave til andre.
12.
En voldgiftsmand skal træffe alle nødvendige foranstaltninger for at sikre, at vedkommendes assistenter og administrative personale er bekendt med og opfylder forpligtelserne i del II, III, IV og VI i denne adfærdskodeks.
V.   Tidligere voldgiftsmænds forpligtelser
13.
Alle tidligere voldgiftsmænd skal undgå handlinger, der kan give det indtryk, at de var partiske under varetagelsen af deres opgaver eller drog fordel af voldgiftsrettens afgørelse.
14.
Alle tidligere voldgiftsmænd skal opfylde forpligtelserne i del VI i denne adfærdskodeks.
VI.   Fortrolighed
15.
En voldgiftsmand må ikke på noget tidspunkt videregive ikkeoffentlige oplysninger om sagsbehandlingen eller om forhold, som vedkommende har fået kendskab til i forbindelse med den sagsbehandling, som vedkommende er blevet udpeget til. En voldgiftsmand må under ingen omstændigheder videregive eller gøre brug af sådanne oplysninger til at opnå personlige fordele eller fordele for andre eller til at skade andres interesser.
16.
En voldgiftsmand må ikke videregive en afgørelse fra voldgiftsretten eller dele heraf forud for dens offentliggørelse i overensstemmelse med denne aftales sjette del, afsnit I.
17.
En voldgiftsmand må ikke på noget tidspunkt videregive oplysninger om en voldgiftsrets drøftelser eller om voldgiftsmænds synspunkter og heller ikke afgive udtalelser om den sagsbehandling, som vedkommende er blevet udpeget til, eller om de omtvistede spørgsmål i forbindelse med sagsbehandlingen.
VII.   Udgifter
18.
Voldgiftsmænd fører regnskab med og udarbejder en endelig opgørelse over den tid, de har anvendt til sagsbehandlingen, og de hertil medgåede udgifter samt den tid og de udgifter, deres assistenter og administrative personale har anvendt og haft.
PROTOKOL OM ADMINISTRATIVT SAMARBEJDE OG BEKÆMPELSE AF SVIG VEDRØRENDE MERVÆRDIAFGIFT OG GENSIDIG BISTAND VED INDDRIVELSE AF FORDRINGER I FORBINDELSE MED SKATTER OG AFGIFTER
AFSNIT I
ALMINDELIGE BESTEMMELSER
Artikel PVAT.1
Formål
Formålet med denne protokol er at fastlægge rammerne for det administrative samarbejde mellem medlemsstaterne og Det Forenede Kongerige med henblik på at give deres myndigheder mulighed for at bistå hinanden med at sikre overholdelse af momslovgivningen og beskytte momsindtægter og inddrive fordringer i forbindelse med skatter og afgifter.
Artikel PVAT.2
Anvendelsesområde
1.
Denne protokol fastlægger regler og procedurer for samarbejdet:
a)
om udveksling af oplysninger med henblik på at foretage en korrekt momsansættelse, kontrollere, at momsen anvendes korrekt, og bekæmpe momssvig og
b)
om inddrivelse af:
i)
fordringer i relation til moms, told og punktafgifter, der opkræves af eller på vegne af en stat eller dens territoriale eller administrative underenheder, dog ikke lokale myndigheder, eller på vegne af Unionen
ii)
administrative sanktioner, bøder, gebyrer og tillægsgebyrer vedrørende de i nr. i) nævnte fordringer, som pålægges af de administrative myndigheder, der har kompetence til at opkræve de pågældende skatter og afgifter eller foretage administrative undersøgelser herom, eller som bekræftes af administrative eller judicielle instanser efter anmodning fra disse administrative myndigheder og
iii)
renter og omkostninger i forbindelse med de i nr. i) og ii) nævnte fordringer.
2.
Denne protokol berører ikke anvendelsen af bestemmelserne om administrativt samarbejde og bekæmpelse af svig på momsområdet og bistand ved inddrivelse af fordringer mellem medlemsstaterne.
3.
Denne protokol berører ikke anvendelsen af bestemmelserne om gensidig bistand i straffesager.
Artikel PVAT.3
Definitioner
I denne protokol forstås ved:
a)
"administrativ undersøgelse": alle former for kontrol, efterprøvning og foranstaltninger, som foretages af staterne i forbindelse med udførelsen af deres opgaver med henblik på at sikre en korrekt anvendelse af momslovgivningen
b)
"bistandssøgende myndighed": et centralt forbindelseskontor eller en forbindelsesafdeling, som fremsætter en anmodning i overensstemmelse med afsnit III
c)
"automatisk udveksling": systematisk meddelelse til en anden stat, uden forudgående anmodning, af oplysninger defineret på forhånd
d)
"ad elektronisk vej": brug af elektronisk udstyr til behandling (herunder digital komprimering) og lagring af data og anvendelse af kabel, radio, optisk teknologi eller andre elektromagnetiske midler
e)
"CCN/CSI-netværk": den fælles platform, der er baseret på Common Communication Network ("CCN") og Common System Interface ("CSI"), og som er udviklet af Unionen for at sikre alle transmissioner af elektronisk vej mellem de kompetente myndigheder på skatteområdet
f)
"centralt forbindelseskontor": det kontor, der er udpeget i henhold til artikel PVAT.4, stk. 2, som særligt ansvarligt for kontakterne med henblik på anvendelsen af afsnit II eller afsnit III
g)
"kompetent myndighed": den myndighed, der er udpeget i henhold til artikel PVAT.4, stk. 1
h)
"kompetent embedsmand": enhver embedsmand, der er udpeget i henhold til artikel PVAT.4, stk. 4, som direkte kan udveksle oplysninger i overensstemmelse med afsnit II
i)
"told": den told, der skal betales for varer, der ankommer til eller forlader hver parts toldområde i overensstemmelse med de regler, der er fastsat i de respektive parters toldlovgivning
j)
"punktafgifter": skatter og afgifter, der defineres som sådanne i henhold til den nationale lovgivning i den stat, hvor den bistandssøgende myndighed er hjemmehørende
k)
"forbindelsesafdeling": ethvert kontor, som ikke er det centrale forbindelseskontor, og som er udpeget i henhold til artikel PVAT.4, stk. 3, til at anmode om eller yde gensidig bistand i overensstemmelse med afsnit II eller afsnit III
l)
"person": enhver person som defineret i denne aftales artikel 512, litra l) 
(
1
)
m)
"bistandssøgt myndighed": det centrale forbindelseskontor, forbindelsesafdelingen eller – for så vidt angår samarbejde i overensstemmelse med afsnit II – den kompetente embedsmand, der modtager en anmodning fra en bistandssøgende myndighed
n)
"bistandssøgende myndighed": et centralt forbindelseskontor, en forbindelsesafdeling eller en kompetent embedsmand, som fremsætter en anmodning om bistand i overensstemmelse med afsnit II, på en kompetent myndigheds vegne
o)
"samtidig kontrol": koordineret kontrol af en afgiftspligtig persons eller to eller flere indbyrdes forbundne afgiftspligtige personers skattemæssige situation tilrettelagt af to eller flere stater i fælles eller komplementær interesse
p)
"specialudvalg": Handelsspecialudvalget vedrørende Administrativt Samarbejde i forbindelse med Moms og Inddrivelse af Skatter og Afgifter
q)
"spontan udveksling": ikkesystematisk meddelelse på et hvilket som helst tidspunkt, uden forudgående anmodning, af oplysninger til en anden stat
r)
"stat": en medlemsstat eller Det Forenede Kongerige, alt efter sammenhængen
s)
"tredjeland": et land, som hverken er en medlemsstat eller Det Forenede Kongerige
t)
"moms": merværdiafgift i henhold til Rådets direktiv 2006/112/EF om det fælles merværdiafgiftssystem for Den Europæiske Union og merværdiafgift i henhold til Value Added Tax Act 1994 for Det Forenede Kongerige.
Artikel PVAT.4
Organisation
1.
Hver stat udpeger en kompetent myndighed med ansvar for anvendelsen af denne protokol.
2.
Hver stat udpeger:
a)
et centralt forbindelseskontor som særligt ansvarligt for anvendelsen af afsnit II i denne protokol og
b)
et centralt forbindelseskontor som særligt ansvarligt for anvendelsen af afsnit III i denne protokol.
3.
Hver enkelt kompetent myndighed kan, direkte eller ved delegation, udpege:
a)
forbindelsesafdelinger til at udveksle oplysninger direkte i henhold til afsnit II i denne protokol
b)
forbindelsesafdelinger til at anmode om eller yde gensidig bistand i henhold til afsnit III i denne protokol som led i deres specifikke territoriale eller operationelle kompetencer.
4.
Hver enkelt kompetent myndighed kan, direkte eller ved delegation, udpege kompetente embedsmænd, der kan udveksle oplysninger direkte på grundlag af afsnit II i denne protokol.
5.
Hvert centralt forbindelseskontor holder listen over forbindelsesafdelinger og kompetente embedsmænd opdateret og gør den tilgængelig for de andre centrale forbindelseskontorer.
6.
Hvis en forbindelsesafdeling eller en kompetent embedsmand sender eller modtager en anmodning om bistand i henhold til denne protokol, oplyses det centrale forbindelseskontor herom.
7.
Hvis et centralt forbindelseskontor, en forbindelsesafdeling eller en kompetent embedsmand modtager en anmodning om gensidig bistand, der kræver foranstaltninger, som falder uden for det tillagte ansvarsområde, sendes anmodningen straks til det kompetente centrale forbindelseskontor eller den kompetente forbindelsesafdeling, og den bistandssøgende myndighed underrettes herom. I dette tilfælde begynder perioden som fastsat i artikel PVAT.8, dagen efter at anmodningen om bistand er fremsendt til det kompetente centrale forbindelseskontor eller den kompetente forbindelsesafdeling.
8.
Hver part giver senest en måned efter denne aftales undertegnelse specialudvalget meddelelse om, hvem der er dens kompetente myndigheder med henblik på denne protokol, og giver straks meddelelse om eventuelle ændringer vedrørende disse kompetente myndigheder. Specialudvalget ajourfører listen over kompetente myndigheder.
Artikel PVAT.5
Serviceniveauaftale
En aftale om serviceniveauet, der sikrer den tekniske kvalitet og kvantitet af ydelserne med henblik på driften af kommunikations- og informationsudvekslingssystemerne, vedtages efter en procedure, som er fastlagt af specialudvalget.
Artikel PVAT.6
Fortrolighed
1.
Alle oplysninger, der indhentes af en stat i henhold til denne protokol, behandles fortroligt og beskyttes på samme måde som oplysninger indhentet i henhold til national ret.
2.
Sådanne oplysninger kan videregives til personer eller myndigheder (herunder domstole og administrative eller tilsynsførende organer), der er berørt af anvendelsen af momsbestemmelser, og med henblik på korrekt momsansættelse samt iværksættelse af håndhævelsesforanstaltninger, herunder inddrivelsesforanstaltninger eller retsbevarende foranstaltninger i forbindelse med fordringer i henhold til artikel PVAT.2, stk. 1, litra b).
3.
De oplysninger, der er omhandlet i stk. 1, kan også anvendes til vurdering af andre afgifter og vurdering og håndhævelse, herunder inddrivelse eller retsbevarende foranstaltninger, i forbindelse med fordringer vedrørende obligatoriske socialsikringsbidrag. Hvis de udvekslede oplysninger afslører eller hjælper med at bevise, at der foreligger overtrædelser af skattelovgivningen, kan de ligeledes anvendes til at pålægge administrative eller strafferetlige sanktioner. Oplysningerne må kun anvendes af de personer eller myndigheder, der er nævnt i stk. 2, og udelukkende til de formål, som er fastsat i de umiddelbart foregående sætninger i nærværende stykke. Disse personer eller myndigheder kan videregive oplysningerne i offentlige retssager eller i retlige afgørelser.
4.
Uanset stk. 1 og 2 skal den stat, der fremsender oplysningerne, på grundlag af en begrundet anmodning tillade, at den stat, der modtager oplysningerne, benytter disse til andre formål end dem, der nævnt i artikel PVAT.2, stk. 1, hvis oplysningerne i henhold til lovgivningen i den stat, der fremsender oplysningerne, kan benyttes til tilsvarende formål. Den bistandssøgte myndighed skal acceptere eller afvise en sådan anmodning inden for en måned.
5.
Rapporter, attester og alle andre dokumenter eller bekræftede genparter eller uddrag af sådanne dokumenter, der er opnået af en stat i henhold til denne protokol om bistand, kan blive påberåbt som bevis i denne stat på samme grundlag som tilsvarende dokumenter fremlagt af en anden myndighed i den pågældende stat.
6.
Oplysninger fra en stat til en anden stat kan af sidstnævnte videregives til endnu en stat under forudsætning af, at der foreligger en forudgående tilladelse fra den kompetente myndighed, hvorfra oplysningerne stammer. Den stat, som oplysningerne hidrører fra, kan modsætte sig dette inden ti arbejdsdage fra modtagelsen af underretningen fra den stat, der ønsker at udveksle oplysningerne.
7.
Staterne kan videresende oplysninger, som er indhentet i henhold til denne protokol, til tredjelande på følgende betingelser:
a)
den kompetente myndighed, som oplysningerne hidrører fra, har givet sit samtykke til den pågældende fremsendelse, og
b)
videregivelsen er tilladt i henhold til bistandsordninger mellem den stat, der videregiver oplysningerne, og det pågældende tredjeland.
8.
Hvis en stat modtager oplysninger fra et tredjeland, kan staterne udveksle disse oplysninger i det omfang, det er tilladt i henhold til bistandsordningerne med det pågældende tredjeland.
9.
Hver stat underretter straks de andre berørte stater om eventuelle tilsidesættelser af fortrolighedskrav og om sanktioner og afhjælpende foranstaltninger, der som følge heraf er pålagt.
10.
Personer, der er behørigt godkendt af Europa-Kommissionens sikkerhedsgodkendelsesmyndighed, må kun have adgang til disse oplysninger, i det omfang det er nødvendigt for drift, vedligeholdelse og udvikling af de elektroniske systemer, som Kommissionen er vært for, og som anvendes af staterne i forbindelse med gennemførelsen af denne protokol.
AFSNIT II
ADMINISTRATIVT SAMARBEJDE OG BEKÆMPELSE AF SVIG
KAPITEL ET
UDVEKSLING AF OPLYSNINGER EFTER ANMODNING
Artikel PVAT.7
Udveksling af oplysninger og administrative undersøgelser
1.
På anmodning af den bistandssøgende myndighed meddeler den bistandssøgte myndighed de i artikel PVAT.2, stk. 1, litra a), omhandlede oplysninger, herunder også oplysninger vedrørende et eller flere konkrete tilfælde.
2.
Med henblik på den i stk. 1 omhandlede meddelelse lader den bistandssøgte myndighed om nødvendigt foretage den nødvendige administrative undersøgelse for at indhente disse oplysninger.
3.
Den i stk. 1 omhandlede anmodning kan indeholde en begrundet anmodning om en specifik administrativ undersøgelse. Den bistandssøgte myndighed gennemfører om nødvendigt den administrative undersøgelse i samråd med den bistandssøgende myndighed. Hvis den bistandssøgte myndighed ikke finder det nødvendigt med en administrativ undersøgelse, underretter den straks den bistandssøgende myndighed om grundene hertil.
4.
Hvis den bistandssøgte myndighed afslår at foretage en administrativ undersøgelse af beløb, der er blevet angivet, eller beløb, der skulle have været angivet af en skattepligtig person etableret i den stat, hvor den bistandssøgte myndighed er hjemmehørende, i forbindelse med levering af varer eller ydelser og indførsel af varer, som foretages af denne skattepligtige person, og som er skattepligtige i den stat, hvor den bistandssøgende myndighed er hjemmehørende, skal den bistandssøgte myndighed som minimum give den bistandssøgende myndighed datoerne for og værdien af alle relevante leverancer og indførsler foretaget af den skattepligtige person i den stat, hvor den bistandssøgende myndighed er hjemmehørende, i de to foregående år, medmindre den bistandssøgte myndighed ikke har og ikke har pligt til opbevare disse oplysninger i henhold til national lovgivning.
5.
For at fremskaffe de ønskede oplysninger eller at foretage den ønskede administrative undersøgelse forholder den bistandssøgte myndighed eller den administrative myndighed, som førstnævnte forelægger sagen for, sig på samme måde, som hvis den handlede på egne vegne eller efter anmodning fra en anden myndighed i sit hjemland.
6.
På anmodning af den bistandssøgende myndighed meddeler den bistandssøgte myndighed denne alle de relevante oplysninger, den råder over eller fremskaffer, samt resultaterne af administrative undersøgelser i form af rapporter, attester og alle andre dokumenter eller bekræftede genparter eller uddrag af sådanne dokumenter.
7.
Originaldokumenter fremsendes dog kun, for så vidt som de gældende bestemmelser i den stat, hvor den bistandssøgte myndighed er hjemmehørende, ikke er til hinder herfor.
Artikel PVAT.8
Frist for meddelelse af oplysninger
1.
Den bistandssøgte myndighed meddeler de i artikel PVAT.7 omhandlede oplysninger hurtigst muligt og senest 90 dage efter datoen for modtagelsen af anmodningen. I tilfælde hvor de pågældende oplysninger allerede er til den bistandssøgte myndigheds rådighed, nedsættes fristen imidlertid til højst 30 dage.
2.
I visse særlige tilfælde kan den bistandssøgte myndighed og den bistandssøgende myndighed aftale andre frister end fristerne i stk. 1.
3.
Hvis den bistandssøgte myndighed ikke er i stand til at besvare anmodningen inden for de i stk. 1 og stk. 2 fastsatte frister, underretter den omgående skriftligt den bistandssøgende myndighed om årsagerne til, at fristen ikke kan overholdes, og om, hvornår den mener, den rimeligvis vil kunne besvare anmodningen.
KAPITEL TO
UDVEKSLING AF OPLYSNINGER UDEN FORUDGÅENDE ANMODNING
Artikel PVAT.9
Former for udveksling af oplysninger
Udvekslingen af oplysninger uden forudgående anmodning skal enten være en spontan udveksling, jf. artikel PVAT.10, eller en automatisk udveksling, jf. artikel PVAT.11.
Artikel PVAT.10
Spontan udveksling af oplysninger
Den kompetente myndighed i en stat fremsender uden forudgående anmodning de i artikel PVAT.2, stk. 1, litra a), omhandlede oplysninger til den kompetente myndighed i den anden stat, som ikke er blevet fremsendt i forbindelse med den i artikel PVAT.11 nævnte automatiske udveksling, og som den er bekendt med, i følgende situationer:
a)
hvor afgiftsfastsættelsen anses for at finde sted i en anden stat, og oplysninger er nødvendige for at sikre effektiviteten af denne stats kontrolsystem
b)
hvor en stat har grunde til at tro, at der er eller kan være begået en overtrædelse af momslovgivningen i den anden stat
c)
hvor der er risiko for tab af skatteindtægter i den anden stat.
Artikel PVAT.11
Automatisk udveksling af oplysninger
1.
De kategorier, der er underlagt automatisk udveksling, fastlægges af specialudvalget i overensstemmelse med artikel PVAT.39.
2.
En stat kan undlade at deltage i den automatiske udveksling af en eller flere kategorier af oplysninger som omhandlet i stk. 1, hvis indsamlingen af oplysninger til en sådan udveksling ville kræve, at momspligtige personer blev pålagt nye forpligtelser, eller ville pålægge denne stat en uforholdsmæssigt stor administrativ byrde.
3.
Hver stat underretter skriftligt specialudvalget om den afgørelse, som er truffet i overensstemmelse med det foregående stykke.
KAPITEL TRE
ANDRE FORMER FOR SAMARBEJDE
Artikel PVAT.12
Administrativ meddelelse
1.
Den bistandssøgte myndighed meddeler efter anmodning fra den bistandssøgende myndighed i overensstemmelse med de retsregler, der gælder for meddelelse af tilsvarende akter og afgørelser i den stat, hvor den bistandssøgte myndighed er hjemmehørende, modtageren alle akter og afgørelser, der er blevet sendt fra de bistandssøgende myndigheder vedrørende anvendelsen af momslovgivningen i den stat, hvor den bistandssøgende myndighed er hjemmehørende.
2.
Anmodningen om meddelelse skal indeholde en angivelse af formålet med den akt eller afgørelse, der skal meddeles, samt en angivelse af navn, adresse og andre oplysninger til identifikation af modtageren.
3.
Den bistandssøgte myndighed underretter omgående den bistandssøgende myndighed om, hvordan anmodningen om meddelelse er blevet fulgt op, og navnlig om den dato, hvor afgørelsen eller akten er blevet meddelt modtageren.
Artikel PVAT.13
Tilstedeværelse i administrative kontorer og deltagelse i administrative undersøgelser
1.
Efter aftale mellem den bistandssøgende og den bistandssøgte myndighed og i overensstemmelse med bestemmelser, som sidstnævnte har fastsat, kan den bistandssøgte myndighed tillade embedsmænd, der er bemyndiget af den bistandssøgende myndighed, at være til stede i den bistandssøgte myndigheds kontorer eller ethvert andet sted, hvor disse myndigheder udfører deres opgaver, med henblik på at udveksle de i artikel PVAT.2, stk. 1, litra a), omhandlede oplysninger. Når de ønskede oplysninger er indeholdt i dokumenter, som den bistandssøgte myndigheds embedsmænd har adgang til, får embedsmændene fra den bistandssøgende myndighed kopier stillet til rådighed efter anmodning.
2.
Efter aftale mellem den bistandssøgende og den bistandssøgte myndighed og i overensstemmelse med bestemmelser, som sidstnævnte har fastsat, kan den bistandssøgte myndighed tillade embedsmænd, der er bemyndiget af den bistandssøgende myndighed, at være til stede under de administrative undersøgelser, der udføres på den bistandssøgte stats område, med henblik på at udveksle de i artikel PVAT.2, stk. 1, litra a), omhandlede oplysninger. Sådanne administrative undersøgelser ledes udelukkende af den bistandssøgte myndigheds embedsmænd. Den bistandssøgende myndigheds embedsmænd gør ikke brug af de kontrolbeføjelser, der er tillagt den bistandssøgte myndigheds embedsmænd. De kan imidlertid få adgang til de samme lokaler og dokumenter, som sidstnævnte har adgang til, ved den bistandssøgte myndigheds embedsmænds mellemkomst og udelukkende til brug i forbindelse med gennemførelsen af den administrative undersøgelse.
3.
Efter aftale mellem de bistandssøgende og den bistandssøgte myndighed og i overensstemmelse med de bestemmelser, som sidstnævnte har fastsat, kan embedsmænd, der er bemyndiget dertil af de bistandssøgende myndigheder, deltage i de administrative undersøgelser, som foretages på den bistandssøgte stats område, med henblik på at indsamle og udveksle de i artikel PVAT.2, stk. 1, litra a), om handlede oplysninger. Sådanne administrative undersøgelser gennemføres i fællesskab af embedsmænd fra den bistandssøgende og den bistandssøgte myndighed og foretages under ledelse af og i henhold til den bistandssøgte stats lovgivning. De bistandssøgende myndigheders embedsmænd har adgang til de samme lokaliteter og dokumenter som den bistandssøgte myndigheds embedsmænd og skal, i den udstrækning det er tilladt i henhold til den bistandssøgte stats lovgivning for dennes embedsmænd, kunne udspørge afgiftspligtige personer.
Hvis det er tilladt i henhold til den bistandssøgte stats lovgivning, udøver embedsmændene fra de bistandssøgende stater samme kontrolbeføjelser som dem, der er tillagt den bistandssøgte stats embedsmænd.
Kontrolbeføjelserne for de bistandssøgende myndigheders embedsmænd udøves alene med det formål at gennemføre den administrative undersøgelse.
Efter aftale mellem de bistandssøgende myndigheder og den bistandssøgte myndighed og i overensstemmelse med de ordninger, som den bistandssøgte myndighed har fastlagt, kan de deltagende myndigheder udarbejde en fælles undersøgelsesrapport.
4.
Embedsmænd fra den bistandssøgende myndighed, som er til stede i en anden stat i medfør af stk. 1, 2 og 3, skal til enhver tid kunne fremvise en skriftlig bemyndigelse med angivelse af deres identitet og deres officielle mandat.
Artikel PVAT.14
Samtidig kontrol
1.
Staterne kan gå med til at gennemføre samtidig kontrol, hver gang de mener, at en sådan kontrol er mere effektiv end kontrol udført af kun en enkelt stat.
2.
En stat udpeger uafhængigt de afgiftspligtige personer, den har til hensigt at indstille til samtidig kontrol. Den kompetente myndighed i den pågældende stat underretter den kompetente myndighed i den anden berørte stat om de sager, den foreslår med henblik på samtidig kontrol. Den begrunder sit valg, så vidt det er muligt, ved at fremlægge de oplysninger, der har ført til dette valg. Den angiver under alle omstændigheder, inden for hvilken periode kontrollen skal finde sted.
3.
Den kompetente myndighed, der modtager forslaget om samtidig kontrol, bekræfter over for den anden stats myndighed, at den accepterer, eller giver et begrundet afslag på at foretage denne kontrol i princippet inden to uger efter modtagelsen af forslaget, men senest inden en måned.
4.
Hver af de berørte kompetente myndigheder udpeger en repræsentant, som har ansvaret for at lede og koordinere kontrollen.
KAPITEL FIRE
ALMINDELIGE BESTEMMELSER
Artikel PVAT.15
Betingelser for udveksling af oplysninger
1.
Den bistandssøgte myndighed giver en bistandssøgende myndighed de i artikel PVAT.2, stk. 1, litra a), omhandlede oplysninger eller en administrativ meddelelse som nævnt i artikel PVAT.12 på betingelse af:
a)
at antallet og arten af den bistandssøgende myndigheds anmodninger om oplysninger eller administrative meddelelse ikke udgør en uforholdsmæssigt tung administrativ byrde for den bistandssøgte myndighed og
b)
at den bistandssøgende myndighed har udtømt de sædvanlige informationskilder, som den efter omstændighederne kunne have brugt til at få de ønskede oplysninger, eller alle de foranstaltninger, som den med rimelighed kan forventes at træffe for at gennemføre den ønskede administrative meddelelse, uden fare for, at det tilstræbte resultat ikke blev nået.
2.
Ved denne protokol indføres der ingen forpligtelse til at foretage undersøgelser eller til at videregive oplysninger om en bestemt sag, hvis lovgivningen eller den administrative praksis i den stat, som skulle levere oplysningerne, ikke tillader staten at foretage sådanne undersøgelser eller at indsamle eller anvende sådanne oplysninger til eget brug.
3.
En bistandssøgt myndighed kan afslå at videregive oplysninger, når den bistandssøgende myndighed af retlige grunde ikke er i stand til at stille tilsvarende oplysninger til rådighed. Den bistandssøgte myndighed informerer specialudvalget om årsagerne til afslaget.
4.
Meddelelse af oplysninger kan afslås, hvis det vil føre til videregivelse af en erhvervsmæssig, industriel eller faglig hemmelighed, en fremstillingsmetode eller oplysninger, hvis videregivelse ville stride mod almene interesser.
5.
Stk. 2, 3 og 4 kan under ingen omstændigheder fortolkes således, at de gør det muligt for en bistandssøgt myndighed at afslå at meddele oplysninger, udelukkende fordi oplysningerne skal indhentes hos en bank, en anden finansiel institution, en forvalter eller en person, der handler som repræsentant eller betroet person, eller fordi oplysningerne vedrører en persons ejerskabsinteresser.
6.
Den bistandssøgte myndighed underretter den bistandssøgende myndighed om grunden til, at anmodningen om bistand ikke kan imødekommes.
Artikel PVAT.16
Tilbagemelding
Når en kompetent myndighed giver oplysninger i henhold til artikel PVAT.7 eller PVAT.10, kan den anmode den kompetente myndighed, der har modtaget oplysningerne, om at sende feedback herom. Hvis en sådan anmodning foretages, skal den kompetente myndighed, der modtager oplysningerne, med forbehold af de regler om fortrolighed med hensyn til skatteforhold og databeskyttelse, der gælder i dens stat, sende denne feedback til den kompetente myndighed, der har leveret oplysninger, så hurtigt som muligt, såfremt det ikke indebærer en uforholdsmæssigt stor administrativ byrde for den.
Artikel PVAT.17
Sprog
Anmodninger om bistand, herunder anmodninger om meddelelse og bilag dertil, fremsættes på et sprog, der aftales mellem den bistandssøgte og den bistandssøgende myndighed.
Artikel PVAT.18
Statistiske oplysninger
1.
Senest den 30. juni hvert år fremsender parterne ad elektronisk vej en liste over statistiske data til specialudvalget vedrørende anvendelsen af dette afsnit.
2.
Indholdet og formatet af de statistiske data, der skal meddeles i henhold til stk. 1, fastlægges af specialudvalget.
Artikel PVAT.19
Standardformularer og kommunikationsmidler
1.
Alle oplysninger, der er meddelt i henhold til artikel PVAT.7, PVAT.10, PVAT.11, PVAT.12 og PVAT.16, og statistikker, der er meddelt i henhold til artikel PVAT.18, fremsendes ved brug af en standardformular som omhandlet i artikel PVAT.39, stk. 2, litra d), undtagen i de tilfælde, der er omhandlet i artikel PVAT.6, stk. 7 og 8, eller i særlige tilfælde, hvor de respektive kompetente myndigheder anser andre sikre midler for mere hensigtsmæssige og aftaler at anvende dem.
2.
Standardformularerne fremsendes for så vidt muligt ad elektronisk vej.
3.
Hvis anmodningen ikke er indgivet fuldstændigt via det elektroniske system, skal den bistandssøgte myndighed straks og under alle omstændigheder senest fem arbejdsdage efter modtagelsen bekræfte modtagelsen af anmodningen elektronisk.
4.
Hvor en myndighed har modtaget en anmodning eller oplysninger, som den ikke er den tiltænkte modtager af, skal den straks og under alle omstændigheder senest fem arbejdsdage efter modtagelsen sende en meddelelse elektronisk til afsenderen.
5.
Indtil specialudvalget har vedtaget de afgørelser, der er omhandlet i artikel PVAT.39, stk. 2, anvender de kompetente myndigheder reglerne i bilaget til denne protokol, herunder standardformularerne.
AFSNIT III
INDDRIVELSESBISTAND
KAPITEL ET
UDVEKSLING AF OPLYSNINGER
Artikel PVAT.20
Anmodning om oplysninger
1.
Efter anmodning fra den bistandssøgende myndighed udleverer den bistandssøgte myndighed de oplysninger, der kan forventes at være relevante for den bistandssøgende myndighed ved inddrivelse af dens fordringer som omhandlet i artikel PVAT.2, stk. 1, litra b). Anmodningen om oplysninger skal, hvor det er muligt, indeholde navnet på og eventuelle andre oplysninger, der er relevante for identifikationen af de berørte personer.
Med henblik på videregivelse af disse oplysninger lader den bistandssøgte myndighed om nødvendigt foretage den nødvendige administrative undersøgelse for at indhente disse oplysninger.
2.
Den bistandssøgte myndighed er ikke forpligtet til at videregive oplysninger:
a)
som den ikke ville være i stand til at fremskaffe med henblik på inddrivelse af lignende fordringer på egne vegne
b)
som ville afsløre en handelsmæssig, industriel eller erhvervsmæssig hemmelighed eller
c)
hvis meddelelse ville kunne krænke sikkerheden eller den offentlige orden i den stat, hvor den bistandssøgte myndighed er hjemmehørende.
3.
Stk. 2 kan under ingen omstændigheder fortolkes således, at det gør det muligt for en bistandssøgt myndighed at afslå at levere oplysninger, udelukkende fordi oplysningerne skal indhentes hos en bank, en anden finansiel institution, en forvalter eller en person, der handler som repræsentant eller betroet person, eller fordi oplysningerne vedrører en juridisk persons ejerskabsinteresser.
4.
Den bistandssøgte myndighed underretter den bistandssøgende myndighed om grunden til, at en anmodning om oplysninger ikke kan imødekommes.
Artikel PVAT.21
Udveksling af oplysninger uden forudgående anmodning
Hvis en tilbagebetaling af skatter eller afgifter vedrører en person, der er etableret eller hjemmehørende i en anden stat, kan den stat, hvorfra tilbagebetalingen skal finde sted, underrette den stat, hvor den pågældende er etableret eller hjemmehørende, om den forestående tilbagebetaling.
Artikel PVAT.22
Tilstedeværelse i administrative kontorer og deltagelse i administrative undersøgelser
1.
Efter aftale mellem den bistandssøgende myndighed og den bistandssøgte myndighed og i overensstemmelse med de bestemmelser, sidstnævnte har fastlagt, kan embedsmænd, som er bemyndiget hertil af den bistandssøgende myndighed, med henblik på at fremme gensidig bistand som omhandlet i dette afsnit:
a)
være til stede i de kontorer, hvor embedsmænd fra den bistandssøgte stat udfører deres opgaver
b)
være til stede under de administrative undersøgelser, der finder sted på den bistandssøgte stats område og
c)
bistå de kompetente embedsmænd i den bistandssøgte stat under en retssag i den pågældende stat.
2.
For så vidt det er tilladt i henhold til gældende lovgivning i den bistandssøgte stat, kan det i den i stk. 1, litra b), omhandlede aftale fastsættes, at embedsmænd fra den bistandssøgende myndighed kan interviewe enkeltpersoner og gennemgå sagsakter.
3.
Embedsmænd med bemyndigelse fra den bistandssøgende myndighed, som gør brug af mulighederne i stk. 1 og 2, skal til enhver tid kunne fremvise en skriftlig bemyndigelse med angivelse af deres identitet og deres officielle mandat.
KAPITEL TO
BISTAND TIL MEDDELELSE AF DOKUMENTER
Artikel PVAT.23
Anmodning om meddelelse af visse dokumenter vedrørende fordringer
1.
Efter anmodning fra den bistandssøgende myndighed meddeler den bistandssøgte myndighed modtageren alle dokumenter, herunder retslige, der er blevet sendt fra den stat, hvor den bistandssøgende myndighed er hjemmehørende, og som vedrører en fordring som omhandlet i artikel PVAT.2, stk. 1, litra b), eller inddrivelse heraf.
Anmodningen om meddelelse ledsages af en standardformular, der mindst indeholder følgende oplysninger:
a)
navn, adresse og andre kontaktoplysninger, der er relevante for identifikationen af modtageren
b)
formålet med meddelelsen og fristen, inden for hvilken meddelelsen gives
c)
en beskrivelse af vedlagte dokument og den pågældende fordrings art og beløb og
d)
navn, adresse og andre kontaktoplysninger vedrørende:
i)
det kontor, der har ansvaret for vedlagte dokument og
ii)
hvis det ikke er det samme, det kontor, hvor der kan indhentes yderligere oplysninger om det meddelte dokument eller om mulighederne for at anfægte betalingspligten.
2.
Den bistandssøgende myndighed anmoder kun om meddelelse i henhold til denne artikel, når den ikke kan give meddelelse efter reglerne for meddelelse af de pågældende dokumenter i sin egen stat, eller når en sådan meddelelse ville give anledning til uforholdsmæssigt store vanskeligheder.
3.
Den bistandssøgte myndighed giver straks den bistandssøgende myndighed underretning om, hvad den har foretaget sig for at efterkomme anmodningen om meddelelse, og især om, på hvilken dato dokumentet er blevet meddelt modtageren.
Artikel PVAT.24
Meddelelsesmidler
1.
Den bistandssøgte myndighed sørger for, at meddelelsen i den bistandssøgte stat foretages i overensstemmelse med gældende nationale love og bestemmelser og administrativ praksis.
2.
Stk. 1 berører ikke andre typer meddelelser foretaget af en kompetent myndighed i den bistandssøgende stat i overensstemmelse med de gældende regler i den pågældende stat.
En kompetent myndighed, der er etableret i den bistandssøgende stat, kan meddele dokumenter direkte pr. anbefalet brev eller elektronisk til en person på en anden stats område.
KAPITEL TRE
INDDRIVELSESFORANSTALTNINGER ELLER RETSBEVARENDE FORANSTALTNINGER
Artikel PVAT.25
Anmodning om inddrivelse
1.
Efter anmodning fra den bistandssøgende myndighed inddriver den bistandssøgte myndighed fordringer, der er omhandlet i en akt, der hjemler ret til eksekution i den stat, hvor den bistandssøgende myndighed er hjemmehørende.
2.
Den bistandssøgende myndighed tilsender den bistandssøgte myndighed alle relevante oplysninger, som vedrører den sag, der har begrundet anmodningen om inddrivelse, så snart den har fået kendskab til disse oplysninger.
Artikel PVAT.26
Betingelser for anmodninger om inddrivelse
1.
Den bistandssøgende myndighed må ikke fremsætte en anmodning om inddrivelse, hvis og så længe fordringen eller den akt, der hjemler ret til eksekution heraf, anfægtes i den stat, hvor den bistandssøgende myndighed er hjemmehørende, medmindre artikel PVAT.29, stk. 4, tredje afsnit, finder anvendelse.
2.
Inden den bistandssøgende myndighed fremsætter en anmodning om inddrivelse, iværksættes de inddrivelsesprocedurer, der kan indledes i den stat, hvor den bistandssøgende myndighed er hjemmehørende, undtagen i følgende tilfælde:
a)
hvis det er tydeligt, at der ikke er nogen aktiver til inddrivelse i den pågældende stat, eller at sådanne procedurer ikke vil føre til betaling af et betydeligt beløb, og den bistandssøgende myndighed ligger inde med specifikke oplysninger om, at den pågældende person har aktiver i den stat, hvor den bistandssøgte myndighed er hjemmehørende
b)
hvis anvendelse af sådanne procedurer i den stat, hvor den bistandssøgende myndighed er hjemmehørende, ville være uforholdsmæssigt vanskelig.
Artikel PVAT.27
Akt, der hjemler ret til eksekution i den stat, hvor den bistandssøgte myndighed er hjemmehørende, og andre dokumenter som bilag hertil
1.
Anmodninger om inddrivelse ledsages af en ensartet akt, der hjemler ret til eksekution i den stat, hvor den bistandssøgte myndighed er hjemmehørende.
Denne ensartede akt, der hjemler ret til eksekution, afspejler det væsentlige indhold i den oprindelige akt, der hjemler ret til eksekution i den stat, hvor den bistandssøgende myndighed er hjemmehørende, og udgør det eneste grundlag for inddrivelsesforanstaltninger og retsbevarende foranstaltninger i den stat, hvor den bistandssøgte myndighed er hjemmehørende. Det behøver ikke at anerkendes, suppleres eller erstattes af en tilsvarende akt i den pågældende stat.
Denne ensartede akt, der hjemler ret til eksekution, skal mindst indeholde følgende oplysninger:
a)
oplysninger, der er relevante for identifikationen af den oprindelige akt, der hjemler ret til eksekution, en beskrivelse af fordringen, herunder dens art, den omfattede periode, datoer af relevans for eksekutionsprocessen samt fordringens beløb og forskellige komponenter såsom hovedstol, påløbne renter osv.
b)
navn og andre oplysninger, der er relevante for identifikationen af den betalingspligtige og
c)
navn, adresse og andre kontaktoplysninger vedrørende:
i)
det kontor, der har ansvaret for vurderingen af fordringen og
ii)
hvis det ikke er det samme, det kontor, hvor der kan indhentes yderligere oplysninger om fordringen eller om mulighederne for at anfægte betalingspligten.
2.
Anmodningen om inddrivelse af en fordring kan ledsages af andre dokumenter vedrørende fordringen, som er udstedt af den stat, hvor den bistandssøgende myndighed er hjemmehørende.
Artikel PVAT.28
Eksekution af anmodningen om inddrivelse
1.
Med henblik på inddrivelse i den stat, hvor den bistandssøgte myndighed er hjemmehørende, behandles enhver fordring, for hvilken der er fremsat anmodning om inddrivelse, på samme måde som hvis det drejede sig om en fordring fra den pågældende stat, medmindre andet er fastsat i denne protokol. Den bistandssøgte myndighed anvender sine beføjelser og procedurer i henhold til de love og administrative bestemmelser, der i den pågældende stat gælder for dens fordringer, medmindre andet er fastsat i denne aftale.
Den stat, hvor den bistandssøgte myndighed er hjemmehørende, er ikke forpligtet til at give fordringer, der søges inddrevet, samme fortrinsstilling som lignende fordringer, der er opstået i den stat, hvor den bistandssøgte myndighed er hjemmehørende, medmindre andet aftales eller er hjemlet i den pågældende stats nationale lovgivning.
Den stat, hvor den bistandssøgte myndighed er hjemmehørende, inddriver fordringen i sin egen valuta.
2.
Den bistandssøgte myndighed underretter efter due diligence-princippet den bistandssøgende myndighed om foranstaltninger, den træffer vedrørende anmodningen om inddrivelse.
3.
Fra den dato, hvorpå anmodningen om inddrivelse blev modtaget, opkræver den bistandssøgte myndighed renter for sen betaling i overensstemmelse med de love og administrative bestemmelser, der gælder for dens egne fordringer.
4.
Den bistandssøgte myndighed kan, hvis de gældende love og administrative bestemmelser tillader det, indrømme den betalingspligtige en betalingsfrist eller tillade betaling i rater, og den kan i den forbindelse opkræve renter. Den orienterer den bistandssøgende myndighed om en sådan beslutning.
5.
Med forbehold af artikel PVAT.35, stk. 1, fremsender den bistandssøgte myndighed til den bistandssøgende myndighed de beløb, der er inddrevet i forbindelse med fordringen og renterne som omhandlet i denne artikels stk. 3 og 4.
Artikel PVAT.29
Anfægtede fordringer og håndhævelsesforanstaltninger
1.
Tvister vedrørende fordringen, den oprindelige akt, der hjemler ret til eksekution i den stat, hvor den bistandssøgende myndighed er hjemmehørende, eller det ensartede akt, der hjemler ret til eksekution i den stat, hvor den bistandssøgte er hjemmehørende, og tvister vedrørende gyldigheden af en meddelelse foretaget af en bistandssøgende myndighed, hører under de kompetente instansers kompetence i den stat, hvor den bistandssøgende myndighed er hjemmehørende. Hvis fordringen, den oprindelige akt, der hjemler ret til eksekution i den stat, hvor den bistandssøgende myndighed er hjemmehørende, eller den ensartede akt, der hjemler ret til eksekution i den stat, hvor den bistandssøgte myndighed er hjemmehørende, anfægtes under inddrivelsesforretningen af en berørt part, underretter den bistandssøgte myndighed den pågældende part om, at sagen skal indbringes for den kompetente instans i den stat, hvor den bistandssøgende myndighed er hjemmehørende, i overensstemmelse med gældende lovgivning i denne stat.
2.
Tvister vedrørende de eksekutionsforanstaltninger, der træffes i den stat, hvor den bistandssøgte myndighed er hjemmehørende, eller vedrørende gyldigheden af en meddelelse foretaget af en myndighed i den bistandssøgte stat indbringes for den kompetente instans i denne stat i overensstemmelse med gældende lovgivning og administrative bestemmelser i den stat.
3.
Hvis en sag er blevet indbragt som omhandlet i stk. 1, underretter den bistandssøgende myndighed den bistandssøgte myndighed herom og oplyser, i hvilket omfang fordringen ikke er anfægtet.
4.
Så snart den bistandssøgte myndighed har modtaget de i stk. 3 nævnte oplysninger enten fra den bistandssøgende myndighed eller fra den berørte part, suspenderer den eksekutionsforretningen, for så vidt angår den anfægtede del af fordringen, indtil der foreligger en afgørelse fra den kompetente instans om spørgsmålet, medmindre den bistandssøgende myndighed anmoder om andet i overensstemmelse med tredje afsnit i dette stykke.
Efter anmodning fra den bistandssøgende myndighed, eller hvis den bistandssøgte myndighed på anden måde anser det for nødvendigt, kan den bistandssøgte myndighed træffe retsbevarende foranstaltninger for at sikre inddrivelse, for så vidt som de gældende love og bestemmelser tillader det, uden at dette dog berører anvendelsen af artikel PVAT.31.
Den bistandssøgende myndighed kan i henhold til de love og administrative bestemmelser og den administrative praksis, der gælder i den pågældende bistandssøgende stat, anmode den bistandssøgte myndighed om at inddrive en anfægtet fordring eller den anfægtede del af en fordring, for så vidt som det er tilladt efter de love og administrative bestemmelser og den administrative praksis, der gælder i den stat, hvor den bistandssøgte myndighed er hjemmehørende. Sådanne anmodninger begrundes. Hvis indsigelsesspørgsmålet senere afgøres til fordel for den betalingspligtige, tilbagebetaler den bistandssøgende myndighed eventuelt inddrevne beløb med tillæg af eventuel erstatning i overensstemmelse med gældende lovgivning i den stat, hvor den bistandssøgte myndighed er hjemmehørende.
Hvis der er indledt en gensidig aftaleprocedure mellem den stat, hvor den bistandssøgende myndighed er hjemmehørende, og den stat, hvor den bistandssøgte myndighed er hjemmehørende, og resultatet af proceduren kan påvirke den fordring, i forbindelse med hvilken der er anmodet om bistand, skal inddrivelsesforanstaltningerne suspenderes eller standses, indtil proceduren er afsluttet, medmindre den vedrører et umiddelbart hastetilfælde på grund af svig eller insolvens. Hvis inddrivelsesforanstaltningerne suspenderes eller standses, finder andet afsnit anvendelse.
Artikel PVAT.30
Ændring eller tilbagetrækning af anmodningen om inddrivelsesbistand
1.
Den bistandssøgende myndighed underretter straks den bistandssøgte myndighed om efterfølgende ændringer af anmodningen om inddrivelse eller tilbagetrækning heraf og oplyser om årsagerne til ændringerne eller tilbagetrækningen.
2.
Hvis ændringen af anmodningen skyldes en afgørelse fra den i artikel PVAT.29, stk. 1, omhandlede kompetente instans, fremsender den bistandssøgende myndighed denne afgørelse sammen med en revideret ensartet akt, der hjemler ret til eksekution i den stat, hvor den bistandssøgte myndighed er hjemmehørende. Den bistandssøgte myndighed træffer derefter yderligere inddrivelsesforanstaltninger på grundlag af den reviderede akt.
Inddrivelsesforanstaltninger eller retsbevarende foranstaltninger, som allerede er truffet på grundlag af den oprindelige ensartede akt, der hjemler ret til eksekution i den stat, hvor den bistandssøgte myndighed er hjemmehørende, kan fortsættes på grundlag af den reviderede akt, medmindre ændringen af anmodningen skyldes, at den oprindelige akt, der hjemler ret til eksekution i den stat, hvor den bistandssøgende myndighed er hjemmehørende, eller den oprindelige ensartede akt, der hjemler ret til eksekution i den stat, hvor den bistandssøgte myndighed er hjemmehørende, er ugyldig.
Artikel PVAT.27 og artikel PVAT.29 finder anvendelse på den reviderede akt.
Artikel PVAT.31
Anmodning om retsbevarende foranstaltninger
1.
Efter anmodning fra den bistandssøgende myndighed træffer den bistandssøgte myndighed retsbevarende foranstaltninger, hvis dette er tilladt efter dens nationale lovgivning og i henhold til sin administrative praksis, for at sikre inddrivelse, hvis en fordring eller den akt, der hjemler ret til eksekution i den stat, hvor den bistandssøgende myndighed er hjemmehørende, anfægtes på det tidspunkt, hvor anmodningen foretages, eller hvis fordringen endnu ikke er omhandlet i en akt, der hjemler ret til eksekution i den stat, hvor den bistandssøgende myndighed er hjemmehørende, for så vidt retsbevarende foranstaltninger er mulige i en lignende situation i henhold til lovgivning og administrativ praksis i den stat, hvor den bistandssøgende myndighed er hjemmehørende.
Det dokument, der udfærdiges med henblik på at hjemle ret til retsbevarende foranstaltninger i den stat, hvor den bistandssøgende myndighed er hjemmehørende, vedrørende en eventuel fordring, for hvilken der er anmodet om gensidig bistand, vedhæftes anmodningen om retsbevarende foranstaltninger i den stat, hvor den bistandssøgte myndighed er hjemmehørende. Dette dokument anerkendes, suppleres eller erstattes ikke af en tilsvarende akt i den stat, hvor den bistandssøgte myndighed er hjemmehørende.
2.
Anmodningen om retsbevarende foranstaltninger kan ledsages af andre dokumenter vedrørende fordringen.
Artikel PVAT.32
Regler for anmodning om retsbevarende foranstaltninger
Med henblik på iværksættelsen af artikel PVAT.31, artikel PVAT.25, stk. 2, artikel PVAT.28, stk. 1 og 2, finder artikel PVAT.29 og PVAT.30 tilsvarende anvendelse på anmodninger i henhold til artikel PVAT.31.
Artikel PVAT.33
Begrænsning af den bistandssøgte myndigheds forpligtelse
1.
Den bistandssøgte myndighed er ikke forpligtet til at yde den i artikel PVAT.25 til PVAT.31 omhandlede bistand, hvis inddrivelse af fordringen på grund af den betalingspligtiges situation ville give anledning til alvorlige økonomiske eller sociale vanskeligheder i den stat, hvor den bistandssøgte myndighed er hjemmehørende, for så vidt som de love og administrative bestemmelser og den administrative praksis, der gælder i denne stat, tillader en sådan fritagelse for nationale fordringer.
2.
Den bistandssøgte myndighed er ikke forpligtet til at yde den i artikel PVAT.25 til PVAT.31 omhandlede bistand, såfremt omkostningerne eller de administrative byrder for den bistandssøgte stat vil stå i et klart vil stå i misforhold til den økonomiske fordel, som bistandssøgende stat opnår.
3.
Den bistandssøgte myndighed er ikke forpligtet til at yde den i artikel PVAT.20 og artikel PVAT.22 til PVAT.31 omhandlede bistand, hvis den oprindelige anmodning om bistand efter artikel PVAT.20, PVAT.22, PVAT.23, PVAT.25 eller PVAT.31 vedrører fordringer, der er over fem år gamle regnet fra tidspunktet for fordringens forfaldsdato i den stat, hvor den bistandssøgende myndighed er hjemmehørende, frem til tidspunktet for fremsættelse af den oprindelige anmodning om bistand.
Hvis der imidlertid gøres indsigelse mod fordringen eller den oprindelige akt, der hjemler ret til eksekution i den stat, hvor den bistandssøgende myndighed er hjemmehørende, anses den femårige frist for at løbe fra det tidspunkt, hvor den stat, hvor den bistandssøgende myndighed er hjemmehørende, fastslår, at der ikke længere kan gøres indsigelse mod fordringen eller den akt, der hjemler ret til eksekution.
Hvis den stat, hvor den bistandssøgende myndighed er hjemmehørende, giver henstand med betalingen eller mulighed for betaling i rater, anses den femårige frist for at løbe fra det tidspunkt, hvor den samlede betalingsperiode udløber.
I disse tilfælde er den bistandssøgte myndighed dog ikke forpligtet til at yde bistand, som vedrører fordringer, der er over ti år gamle, regnet fra tidspunktet for fordringens forfaldsdato i den stat, hvor den bistandssøgende myndighed er hjemmehørende.
4.
En stat er ikke forpligtet til at yde bistand, hvis det samlede beløb af de fordringer, for hvilke der anmodes om bistand, er på under 5 000 GBP.
5.
Den bistandssøgte myndighed underretter den bistandssøgende myndighed om grunden til, at anmodningen om bistand ikke kan imødekommes.
Artikel PVAT.34
Forældelse
1.
Spørgsmål om forældelse afgøres udelukkende ud fra de retsregler, der gælder i den stat, hvor den bistandssøgende myndighed er hjemmehørende.
2.
For så vidt angår suspension, afbrydelse eller forlængelse af forældelsesfrister, har inddrivelsesforanstaltninger, der i overensstemmelse med anmodningen om bistand træffes af eller på vegne af den bistandssøgte myndighed, og som medfører suspension, afbrydelse eller forlængelse af forældelsesfristen i henhold til de retsregler, der gælder i den stat, hvor den bistandssøgte myndighed er hjemmehørende, samme virkning i den stat, hvor den bistandssøgende myndighed er hjemmehørende, hvis der er hjemmel for den tilsvarende virkning i henhold til lovgivningen i sidstnævnte stat.
Hvis suspension, afbrydelse eller forlængelse af forældelsesfristen ikke er mulig i henhold til gældende lovgivning i den stat, hvor den bistandssøgte myndighed er hjemmehørende, anses de inddrivelsesforanstaltninger, der i overensstemmelse med anmodningen om bistand træffes af eller på vegne af den bistandssøgte myndighed, og som, hvis de var blevet gennemført af eller på vegne af den bistandssøgende myndighed i dennes stat, ville have medført suspension, afbrydelse eller forlængelse af forældelsesfristen i henhold til de retsregler, der gælder i denne stat, for at være truffet i sidstnævnte stat, for så vidt angår deres virkning for forældelse.
Første og andet afsnit berører ikke rettighederne for den stat, hvor den bistandssøgende myndighed er hjemmehørende, til at træffe foranstaltninger med henblik på at suspendere, afbryde eller forlænge forældelsesfristen i overensstemmelse med den gældende lovgivning i denne stat.
3.
Den bistandssøgende myndighed og den bistandssøgte myndighed underretter hinanden om foranstaltninger, der afbryder, suspenderer eller forlænger forældelsesfristen for den fordring, for hvilken der er anmodet om inddrivelsesforanstaltninger eller retsbevarende foranstaltninger, eller som kan have denne virkning.
Artikel PVAT.35
Omkostninger
1.
Ud over de beløb, der er nævnt i artikel PVAT.28, stk. 5, søger den bistandssøgte myndighed at inddrive de omkostninger, den har afholdt i forbindelse med inddrivelsen fra den berørte person, og tilbageholde disse i det inddrevne beløb i overensstemmelse med love og bestemmelser i den stat, hvor den bistandssøgte myndighed er hjemmehørende. Staterne giver indbyrdes afkald på godtgørelse af omkostninger i forbindelse med den gensidige bistand, som de yder hinanden i medfør af denne protokol.
2.
Ved inddrivelser, der enten frembyder særlige vanskeligheder, er forbundet med meget store omkostninger eller falder inden for rammerne af bekæmpelsen af organiseret kriminalitet, kan de bistandssøgende og bistandssøgte myndigheder imidlertid træffe aftale om særlige godtgørelsesregler i de pågældende sager.
3.
Uanset stk. 2 forbliver den stat, hvor den bistandssøgende myndighed er hjemmehørende, ansvarlig over for den stat, hvor den bistandssøgte myndighed er hjemmehørende, for godtgørelse af eventuelle omkostninger og tab som følge af foranstaltninger, som erklæres ubegrundede, for så vidt angår fordringens indhold eller gyldigheden af den akt, der hjemler ret til eksekution og/eller retsbevarende foranstaltninger, og som er udstedt af den pågældende bistandssøgende myndighed.
KAPITEL FIRE
GENERELLE REGLER FOR ALLE TYPER ANMODNINGER OM INDDRIVELSESBISTAND
Artikel PVAT.36
Anvendelse af sprog
1.
Alle anmodninger om bistand, standardformularer til brug for meddelelse og ensartede akter, der hjemler ret til eksekution i den stat, hvor den bistandssøgte myndighed er hjemmehørende, sendes på eller ledsages af en oversættelse til det officielle sprog eller et af de officielle sprog i den stat, hvor den bistandssøgte myndighed er hjemmehørende. Det forhold, at visse dele heraf er affattet på et andet sprog end det officielle sprog eller et at de officielle sprog i denne stat, berører ikke deres gyldighed eller lovligheden ved proceduren, for så vidt dette andet sprog er et, der er aftalt mellem de berørte stater.
2.
De dokumenter, for hvilke der anmodes om meddelelse i henhold til artikel PVAT.23, kan sendes til den bistandssøgte myndighed på et af de officielle sprog i den stat, hvor den bistandssøgende myndighed er hjemmehørende.
3.
Når en anmodning ledsages af andre dokumenter end de i stk. 1 og 2 nævnte, kan den bistandssøgte myndighed om nødvendigt anmode den bistandssøgende myndighed om en oversættelse af sådanne dokumenter til det officielle sprog eller et af de officielle sprog i den stat, hvor den bistandssøgte myndighed er hjemmehørende, eller til et andet sprog som aftalt mellem de berørte stater.
Artikel PVAT.37
Statistiske oplysninger om inddrivelsesbistand
1.
Senest den 30. juni hvert år fremsender parterne ad elektronisk vej statistiske data til specialudvalget vedrørende anvendelsen af dette afsnit.
2.
Indholdet og formatet af de statistiske data, der skal meddeles i henhold til stk. 1, fastlægges af specialudvalget.
Artikel PVAT.38
Standardformularer og kommunikationsmidler for inddrivelsesbistand
1.
De i artikel PVAT.20, stk. 1, omhandlede anmodninger om oplysninger, de i artikel PVAT.23, stk. 1, omhandlede anmodninger om meddelelse, de i artikel PVAT.25, stk. 1, omhandlede anmodninger om inddrivelse eller de i artikel PVAT.31, stk. 1, omhandlede anmodninger om retsbevarende foranstaltninger samt meddelelsen af statistiske data i henhold til artikel PVAT.37 fremsendes ad elektronisk vej under anvendelse af en standardformular, medmindre dette af tekniske årsager ikke kan lade sig gøre. Disse formularer anvendes også så vidt muligt i forbindelse med yderligere korrespondance vedrørende anmodningen.
Den ensartede akt, der hjemler ret til eksekution i den stat, hvor den bistandssøgte myndighed er hjemmehørende, og den akt, der hjemler ret til retsbevarende foranstaltninger i den stat, hvor den bistandssøgende myndighed er hjemmehørende, samt de øvrige dokumenter som omhandlet i artikel PVAT.27 og PVAT.31 fremsendes også ad elektronisk vej, medmindre dette af tekniske årsager ikke lader sig gøre.
Hvis det er hensigtsmæssigt, kan der til standardformularerne vedhæftes rapporter, erklæringer og andre dokumenter eller bekræftede kopier eller uddrag heraf, som også fremsendes ad elektronisk vej, medmindre dette af tekniske årsager ikke lader sig gøre.
Standardformularer og kommunikation ad elektronisk vej kan også anvendes til udveksling af oplysninger i medfør af artikel PVAT.21.
2.
Stk. 1 finder ikke anvendelse på de oplysninger og den dokumentation, der indhentes ved tilstedeværelse af embedsmænd på administrative kontorer i en anden stat eller ved deltagelse i administrative undersøgelser i en anden stat i overensstemmelse med artikel PVAT.22.
3.
Det forhold, at kommunikationen ikke foregår ad elektronisk vej eller med anvendelse af standardformularer, påvirker ikke gyldigheden af de oplysninger, der indhentes, eller de foranstaltninger, der træffes, i forbindelse med eksekutionen af en anmodning om bistand.
4.
De elektroniske netværk og de standardformularer, der vedtages i forbindelse med gennemførelsen af denne protokol, kan også anvendes til inddrivelsesbistand i forbindelse med andre fordringer end dem, der er nævnt i artikel PVAT.2, stk. 1, litra b), hvis en sådan inddrivelsesbistand er mulig inden for rammerne af andre bilaterale eller multilaterale retligt bindende instrumenter vedrørende administrativt samarbejde mellem staterne.
5.
Indtil specialudvalget har vedtaget de afgørelser, der er omhandlet i artikel PVAT.39, stk. 2, anvender de kompetente myndigheder reglerne i bilaget til denne protokol, herunder standardformularerne.
6.
Den stat, hvor den bistandssøgte myndighed er hjemmehørende, anvender sin officielle valuta til overførsel af de inddrevne beløb til den stat, hvor den bistandssøgende myndighed er hjemmehørende, medmindre andet er aftalt mellem de pågældende stater.
AFSNIT IV
GENNEMFØRELSE OG ANVENDELSE
Artikel PVAT.39
Handelsspecialudvalget vedrørende Administrativt Samarbejde i forbindelse med Moms og Inddrivelse af Skatter og Afgifter
1.
Specialudvalget:
a)
afholder regelmæssige konsultationer og
b)
tager denne protokols virkemåde og effektivitet op til revision mindst hvert 5. år.
2.
Specialudvalget vedtager afgørelser eller henstillinger med henblik på at:
a)
fastslå hyppigheden af de praktiske foranstaltninger og de nøjagtige kategorier af oplysninger, der udveksles automatisk som omhandlet i artikel PVAT.11
b)
gennemgå resultaterne af denne automatiske udveksling af oplysninger for hver at de oprettede kategorier i henhold til litra a), for at sikre, at denne form for udveksling kun finder sted, hvis det er den mest effektive metode til udveksling af oplysninger
c)
oprette nye kategorier af oplysninger, som kan udveksles i overensstemmelse med artikel PVAT.11, såfremt denne automatiske udveksling er den mest effektive samarbejdsmetode
d)
fastlægge standardformularerne for meddelelser i henhold til artikel PVAT.19, stk. 1, og artikel PVAT.38, stk. 1
e)
gennemgå tilgængeligheden, indsamlingen og behandlingen af statistiske data som omhandlet i artikel PVAT.18 og PVAT.37 for at sikre, at forpligtelserne i disse artikler ikke pålægger parterne en uforholdsmæssig stor administrativ byrde
f)
fastlægge, hvad der skal videregives via CCN/CSI-netværket eller ad andre veje
g)
fastlægge størrelsen af og de nærmere bestemmelser vedrørende det finansielle bidrag, som Det Forenede Kongerige skal indbetale til Unionens almindelige budget for så vidt angår omkostningerne ved landets deltagelse i de europæiske informationssystemer, idet der tages hensyn til de afgørelser, som er omhandlet i litra d) og f)
h)
fastlægge gennemførelsesbestemmelser vedrørende de praktiske foranstaltninger for så vidt angår organiseringen af kontakterne mellem de centrale forbindelseskontorer og de forbindelsesafdelinger, som er omhandlet i artikel PVAT.4, stk. 2 og 3
i)
fastlægge de praktiske ordninger mellem de centrale forbindelseskontorer med henblik på gennemførelsen af artikel PVAT.4, stk. 5
j)
vedtage gennemførelsesbestemmelser til afsnit III vedrørende omregning af beløb til inddrivelse og overførsel af inddrevne beløb og
k)
fastlægge proceduren for indgåelse af den serviceniveauaftale, der er omhandlet i artikel PVAT.5, og indgå denne serviceniveauaftale.
AFSNIT V
AFSLUTTENDE BESTEMMELSER
Artikel PVAT.40
Gennemførelse af igangværende anmodninger
1.
Hvis anmodninger om oplysninger og om administrative undersøgelser, der er sendt i overensstemmelse med forordning (EU) nr. 904/2010 i forbindelse med de transaktioner, der er omfattet af udtrædelsesaftalens artikel 99, stk. 1, endnu ikke er afsluttet senest fire år efter udløbet af den overgangsperiode, sikrer den bistandssøgte stat at disse anmodninger gennemføres i overensstemmelse med reglerne i denne protokol.
2.
Hvis anmodninger om bistand vedrørende skatter og afgifter inden for anvendelsesområdet af denne protokols artikel PVAT.2, som er sendt i overensstemmelse med direktiv 2010/24/EU i forbindelse med de fordringer, der er omhandlet i udtrædelsesaftalens artikel 100, stk. 1, ikke er afsluttet inden for fem år efter udløbet af overgangsperioden, sikrer den bistandssøgte stat, at disse anmodninger om bistand gennemføres i overensstemmelse med reglerne i denne protokol. Den ensartede standardformular til underretning eller den akt, der hjemler ret til eksekution i den bistandssøgte stat, og som er fastlagt i overensstemmelse med den i dette stykke nævnte lovgivning, bevarer sin gyldighed med henblik på en sådan gennemførelse. En revideret ensartet akt, der hjemler ret til eksekution i den bistandssøgte stat, kan fastsættes efter udløbet af den femårsperiode i forbindelse med fordringer, for hvilke der inden var blev anmodet om bistand. Sådanne reviderede ensartede akter skal henvise til det retsgrundlag, der blev anvendt til den oprindelige anmodning om bistand.
Artikel PVAT.41
Forbindelse med andre aftaler eller ordninger
Denne protokol har forrang for bestemmelserne i de bilaterale eller multilaterale aftaler eller ordninger om administrativt samarbejde på momsområdet eller om inddrivelsesbistand i forbindelse med fordringer omfattet af denne protokol, som er indgået mellem medlemsstaterne og Det Forenede Kongerige, for så vidt bestemmelserne heri er uforenelige med bestemmelserne i denne protokol.
(
1
)
  Det præciseres, navnlig i forbindelse med denne protokol, at begrebet "person" omfatter enhver sammenslutning af personer, der ikke har status som juridisk person, men som i henhold til gældende ret er anerkendt som havende rets- og handleevne. Dette omfatter også ethvert andet juridisk arrangement uanset art og form, med eller uden status som juridisk person, der gennemfører transaktioner, som er pålagt moms, eller som er betalingspligtige for de i denne protokols artikel PVAT.2, stk. 1, litra b), omhandlede fordringer.
BILAG
TIL PROTOKOLLEN OM ADMINISTRATIVT SAMARBEJDE OG BEKÆMPELSE AF SVIG VEDRØRENDE MERVÆRDIAFGIFT OG OM GENSIDIG BISTAND VED INDDRIVELSE AF FORDRINGER I FORBINDELSE MED SKATTER OG AFGIFTER
AFDELING 1
Indtil specialudvalget har vedtaget de afgørelser, der er omhandlet i artikel PVAT.39, stk. 2, i denne protokol, gælder følgende regler og standardformularer:
AFDELING 2
ORGANISERING AF KONTAKTER
2.1.
Indtil andet er bestemt, er de centrale forbindelseskontorer, som er særligt ansvarlige for anvendelsen af afsnit II i denne protokol følgende:
a)
for Det Forenede Kongerige: Her Majesty's Revenue and Customs, UK VAT Central Liaison Office
b)
for medlemsstaterne: de centrale forbindelseskontorer, der er udpeget til administrativt samarbejde mellem medlemsstaterne på momsområdet.
2.2.
Indtil andet er bestemt, er de centrale forbindelseskontorer, som er særligt ansvarlige for anvendelsen af afsnit III i denne protokol følgende:
a)
for Det Forenede Kongerige: Her Majesty's Revenue and Customs, Debt Management
b)
for medlemsstaterne: de centrale forbindelseskontorer, der er udpeget til inddrivelsesbistand mellem medlemsstaterne.
AFDELING 3
ADMINISTRATIVT SAMARBEJDE OG BEKÆMPELSE AF SVIG VEDRØRENDE MERVÆRDIAFGIFT
3.1.   Kommunikation
Meddelelse af oplysninger i henhold til denne protokols afsnit II skal så vidt muligt foregå elektronisk og via Common Communication Network (CCN) mellem staternes respektive postbokse til udveksling af oplysninger om administrativt samarbejde eller deres postbokse til bekæmpelse af svig på momsområdet.
3.2.   Standardformular
Til udveksling af oplysninger i henhold til denne protokols afsnit II anvender staterne følgende model:
Standardformular til anmodninger om oplysninger, til spontan udveksling af oplysninger og til feedback mellem EU-medlemsstaterne og Det Forenede Kongerige i henhold til protokollen om administrativt samarbejde og bekæmpelse af svig på momsområdet
Reference for udveksling af oplysninger:
A)
BASISOPLYSNINGER
A1
Bistandssøgende stat:
Bistandssøgte stat:
Bistandssøgende myndighed:
Bistandssøgte myndighed:
A2
Embedsmand, der behandler anmodningen/udvekslingen i den bistandssøgende myndighed:
Embedsmand, der behandler svaret på anmodningen/udvekslingen i den bistandssøgte myndighed:
Navn:
Navn:
E-mail:
E-mail:
Tlf.:
Tlf.:
Sprog
Sprog
A3
National reference for den bistandssøgende myndighed:
National reference for den bistandssøgte myndighed:
Felt forbeholdt den bistandssøgende myndighed
Felt forbeholdt den bistandssøgte myndighed
A4
Dato for fremsendelse af anmodning/udveksling:
Dato for fremsendelse af svar:
A5
Antal bilag til anmodningen/udvekslingen:
Antal bilag til dette svar:
A6
A7
o
Generel anmodning/udveksling
☐
Undertegnede bistandssøgte myndighed vil ikke være i stand til at svare inden for følgende frister:
o
Anmodning om oplysninger
o
3 måneder
o
Spontan udveksling af oplysninger
o
1 måned for oplysninger, som allerede er til rådighed
☐
Der anmodes om feedback på en spontan udveksling af oplysninger
Årsag til forsinkelse:
o
Anmodning/udveksling vedrørende svig
o
Anmodning om oplysninger
o
Svig i forbindelse med forsvundne forhandlere - registreringskontrol/erhvervsaktivitet
o
Spontan udveksling af oplysninger
☐
Der anmodes om feedback på en spontane oplysninger
☐
Forventet tidspunkt for svar:
☐
Den bistandssøgte myndighed i staten tillader videregivelsen af oplysningerne til en anden stat (artikel PVAT.6, stk. 6, i protokollen om administrativt samarbejde og bekæmpelse af svig vedrørende merværdiafgift og om gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter)
☐
Der anmodes om feedback på svaret
I henhold til artikel PVAT.6, stk. 4, i protokollen om administrativt samarbejde og bekæmpelse af svig vedrørende merværdiafgift og om gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter skal den stat, der fremsender oplysningerne, på grundlag af en begrundet anmodning tillade, at de modtagne oplysninger benyttes til andre formål end dem, der er omhandlet i nævnte protokols artikel 2, stk. 1.
B)
ANMODNING OM GENERELLE OPLYSNINGER
Bistandssøgende myndighed
Bistandssøgt myndighed
Bistandssøgt myndighed
 (
1
)
B1 Momsregistreringsnummer (hvis ikke, skatteregistreringsnummer)
B1 Momsregistreringsnummer (hvis ikke, skatteregistreringsnummer)
o
Udfyld venligst
o
Bekræft venligst
o
Oplysningen bekræftes
o
Oplysningen bekræftes ikke
Momsnummer:
Momsnummer:
Momsnummer:
☐
Momsregistreringsnummer ikke tilgængeligt
☐
Momsregistreringsnummer ikke tilgængeligt
☐
Momsregistreringsnummer ikke tilgængeligt
Skatteregistreringsnummer:
Skatteregistreringsnummer:
Skatteregistreringsnummer:
B2 Navn
B2 Navn
o
Udfyld venligst
o
Bekræft venligst
o
Oplysningen bekræftes
o
Oplysningen bekræftes ikke
Navn:
B3 Navn på firma
B3 Navn på firma
o
Udfyld venligst
o
Bekræft venligst
o
Oplysningen bekræftes
o
Oplysningen bekræftes ikke
Navn på firma:
B4 Adresse
B4 Adresse
o
Udfyld venligst
o
Bekræft venligst
o
Oplysningen bekræftes
o
Oplysningen bekræftes ikke
Adresse:
B5 Følgende datoer i formatet (ÅÅÅÅ/MM/DD):
B5 Følgende datoer i formatet (ÅÅÅÅ/MM/DD):
o
Udfyld venligst
o
Bekræft venligst
o
Oplysningen bekræftes
o
Oplysningen bekræftes ikke
a)
udstedelse af moms-/skatteregistreringsnummer
a)
udstedelse af moms-/skatteregistreringsnummer
a)
udstedelse af moms-/skatteregistreringsnummer
b)
annullering af moms-/skatteregistreringsnummer
b)
annullering af moms-/skatteregistreringsnummer
b)
annullering af moms-/skatteregistreringsnummer
c)
Stiftelse
c)
Stiftelse
c)
Stiftelse
B6 Dato for påbegyndelse af aktivitet
B6 Dato for påbegyndelse af aktivitet
o
Udfyld venligst
o
Bekræft venligst
o
Oplysningen bekræftes
o
Oplysningen bekræftes ikke
Dato for påbegyndelse af aktivitet
Dato for påbegyndelse af aktivitet
B7 Dato for afslutning af aktivitet
B7 Dato for afslutning af aktivitet
o
Udfyld venligst
o
Bekræft venligst
o
Oplysningen bekræftes
o
Oplysningen bekræftes ikke
Dato for afslutning af aktivitet
Dato for afslutning af aktivitet
B8 Navne på ledere/direktører
B8 Navne på ledere/direktører
o
Udfyld venligst
o
Bekræft venligst
o
Oplysningen bekræftes
o
Oplysningen bekræftes ikke
B9 Navne på virksomhedens ejere, indehavere, medarbejdere, partnere, agenter, interessenter eller andre personer med andre rettigheder i virksomheden
B9 Navne på virksomhedens ejere, indehavere, medarbejdere, partnere, agenter, interessenter eller andre personer med andre rettigheder i virksomheden
o
Udfyld venligst
o
Bekræft venligst
o
Oplysningen bekræftes
o
Oplysningen bekræftes ikke
B10 Aktivitetens art
B10 Aktivitetens art
o
Udfyld venligst
o
Bekræft venligst
o
Oplysningen bekræftes
o
Oplysningen bekræftes ikke
a)
Virksomhedens retlige status
a)
Virksomhedens retlige status
a)
Virksomhedens retlige status
b)
Egentlig hovedaktivitet
 (
2
)
b)
Egentlig hovedaktivitet
b)
Egentlig hovedaktivitet
B11 Transaktionens art
Transaktionens art
B11 Omhandlede varer/tjenesteydelser
o
Udfyld venligst
Transaktionens art
B11 Omhandlede varer/tjenesteydelser
o
Bekræft venligst
o
Oplysningen bekræftes
o
Oplysningen bekræftes ikke
Periode og beløb, som anmodningen/udvekslingen vedrører
B12 Levering af varer fra et land til et andet
Fra
Periode
Periode
Til
Beløb
Beløb
Kilder:
☐
Momsinformations-udvekslingssystem (VIES)
☐
Andet
B13 Levering af tjenesteydelser fra et land til et andet
Fra
Periode
Periode
Til
Beløb
Beløb
Kilder:
☐
VIES
☐
Andet
C)
YDERLIGERE OPLYSNINGER
Registrering
☐
C1 Den afgiftspligtige person i den bistandssøgte stat (☐)/den afgiftspligtige person i den bistandssøgende stat (☐) er i øjeblikket ikke momsregistreret.
Ifølge VIES eller andre kilder er der foretaget leverancer efter datoen for aktivitetens ophør. Redegør venligst.
☐
C2 Den afgiftspligtige person i den bistandssøgte stat (☐)/den afgiftspligtige person i den bistandssøgende stat (☐) er ikke momsregistreret.
Ifølge VIES eller andre kilder er der foretaget leveringer før registreringsdatoen. Redegør venligst.
Transaktioner af varer/tjenesteydelser
Varer
☐
C3 Ifølge VIES eller andre kilder har den afgiftspligtige person i den bistandssøgte stat foretaget leveringer af varer, men den afgiftspligtige person i den bistandssøgende stat:
o
har ikke angivet et køb varerne
o
nægter at have modtaget varerne
o
har angivet et køb for et andet beløb, og det angivne beløb er:
Undersøg venligst sagen, og redegør for den.
☐
Jeg vedlægger kopier af de dokumenter, jeg er i besiddelse af.
☐
CC4 Det køb, som den afgiftspligtige person i den bistandssøgende stat har angivet, stemmer ikke overens med oplysningerne i VIES eller andre kilder. Undersøg venligst sagen, og redegør for den.
☐
C5 Angiv venligst de adresser, hvor varerne blev leveret.
Adresser:
☐
C6 Den afgiftspligtige person i den bistandssøgende stat hævder at have foretaget en leverance til en person i den bistandssøgte stat. Bekræft venligst, at varerne blev modtaget, og om de er:
☐
Ja o Nej bogført: o
☐
Ja o Nej angivet/betalt af en afgiftspligtig person i den bistandssøgte stat o
Navn og/eller momsregistreringsnummer på den afgiftspligtige person i den bistandssøgte stat.
Forudgående/videre transport af varerne
☐
C7 Hvem blev varerne købt af? Angiv venligst navne, firmanavne og momsnumre i rubrik C41.
☐
C8 Hvem blev varerne solgt videre til? Angiv venligst navne, firmanavne og momsnumre i rubrik C41.
Tjenesteydelser
☐
C9 Ifølge VIES eller andre kilder har den afgiftspligtige person i den bistandssøgte stat foretaget leveringer af tjenesteydelser, der er afgiftspligtige i den bistandssøgende stat, men den afgiftspligtige person i den bistandssøgende stat:
o
har ikke angivet tjenesteydelsen
o
nægter at have modtaget tjenesteydelsen
o
har angivet at have modtaget tjenesteydelsen for et andet beløb, og det angivne beløb er:
Undersøg venligst sagen, og redegør for den.
☐
Jeg vedlægger kopier af de dokumenter, jeg er i besiddelse af.
☐
C10 De køb, som den afgiftspligtige person i den bistandssøgende stat har angivet, stemmer ikke overens med oplysningerne i VIES eller andre kilder. Undersøg venligst sagen, og redegør for den.
☐
C11 Angiv venligst de adresser, hvor tjenesteydelserne blev leveret.
Adresser:
☐
C12 Den afgiftspligtige person i den bistandssøgende stat hævder at have foretaget en leverance til en person i den bistandssøgte stat. Bekræft venligst, at tjenesteydelserne blev modtaget, og om de er:
☐
Ja o Nej bogført: o
☐
Ja o Nej angivet/betalt af en afgiftspligtig person i den bistandssøgte stat o
Navn og/eller momsregistreringsnummer på den afgiftspligtige person i den bistandssøgte stat.
Transport af varer
☐
C13 Angiv venligst transportørens navn/momsregistreringsnummer og adresse.
Navn og/eller momsregistreringsnummer og adresse:
☐
C14 Hvem bestilte og betalte for transporten af varerne?
Navn og/eller momsregistreringsnummer og adresse:
☐
C15 Hvem er ejer af det anvendte transportmiddel?
Navn og/eller momsregistreringsnummer og adresse:
Fakturaer
☐
C16 Angiv venligst det fakturerede beløb og valuta.
Betaling
☐
C17 Angiv venligst det betalte beløb og valuta.
☐
C18 Angiv venligst navnet på bankkontoens indehaver og det kontonummer, som betalingen kom fra og/eller gik til.
Fra:
Kontohavers navn:
IBAN-nummer eller kontonummer:
Bank:
Til:
Kontohavers navn:
IBAN-nummer eller kontonummer:
Bank:
☐
C19 Angiv venligst følgende oplysninger, hvis betalingen foregik kontant:
☐
Hvem betalte pengene, til hvem, hvor og hvornår?
☐
Hvilken dokumentation (kvittering for kontant betaling, osv.) blev udstedt som bekræftelse på betalingen?
☐
Ja o Nej C20 Er der nogen beviser for betalinger fra tredjepart? I så fald bedes du give yderligere oplysninger i rubrik C41 o
Ordreafgivelse
☐
C21 Angiv venligst alle tilgængelige oplysninger om den person, der afgav ordren, hvordan ordren blev afgivet, og hvordan kontakten blev etableret
mellem leverandøren og kunden.
Varer omfattet af særordninger/særlige procedurer
Marker den relevante rubrik og skriv dit spørgsmål i rubrik C40
☐
C22 Trekantshandel.
☐
C23 Fortjenstmargenordningen.
☐
C24 Fjernsalg af varer
☐
omfattet af EU-ordningen
☐
omfattet af importordningen
☐
C25 Nye transportmidler solgt til ikkeafgiftspligtige personer.
☐
C26 Undtagelse i henhold til toldprocedure 42XX / 63XX.
☐
C27 Gas og el.
☐
C28 Konsignationsaftaler.
☐
C29 Andre:
Tjenesteydelser omfattet af særlige bestemmelser
Marker den relevante rubrik og skriv dit spørgsmål i rubrik C40
☐
C30 Levering af tjenesteydelser fra en formidler.
☐
C31 Levering af tjenesteydelser i forbindelse med fast ejendom.
☐
C32 Levering af passagertransport.
☐
C33 Levering af varetransport.
☐
C34 Levering af tjenesteydelser inden for kultur, kunst, sport, videnskab, undervisning, underholdning og lignende, transportydelser i tilknytning hertil samt vurdering af og arbejde på løsøregenstande.
☐
C35 Levering af restaurations- og cateringydelser af anden slags end dem i C37.
☐
C36 Levering af lejetransport.
☐
C37 Levering af restaurations-og cateringydelser til forbrug om bord på skibe, fly eller tog.
☐
C38 Levering af tjenesteydelser
☐
omfattet af ikke-EU-ordningen
☐
omfattet af EU-ordningen
☐
C39 Tjenesteydelser hvor reglerne for faktisk benyttelse eller udnyttelse anvendes.
☐
C40 Baggrundsinformation og yderligere spørgsmål
C41 Svarfelt til fritekst
D)
ANMODNING OM DOKUMENTER
Der anmodes om kopier af følgende dokumenter (se beløb og periode i B12 og B13, hvis dette er relevant)
☐
D1 Fakturaer
o
Udleveret
o
Ikke tilgængelig
☐
D2 Kontrakter
o
Udleveret
o
Ikke tilgængelig
☐
D3 Ordrer
o
Udleveret
o
Ikke tilgængelig
☐
D4 Dokumentation for betalinger
o
Udleveret
o
Ikke tilgængelig
☐
D5 Transportdokumentation
o
Udleveret
o
Ikke tilgængelig
☐
D6 Kreditors regnskab vedrørende den afgiftspligtige person i den bistandssøgte stat
o
Udleveret
o
Ikke tilgængelig
☐
D7 Skyldners regnskab vedrørende den afgiftspligtige person i den bistandssøgte stat
o
Udleveret
o
Ikke tilgængelig
☐
D8 Konsignationsregistre.
Fra
Til
o
Udleveret
o
Ikke tilgængelig
☐
D9 one-stop-shop-/import-one-stop-shop-oplysninger
Fra
Til
o
Udleveret
o
Ikke tilgængelig
☐
D10 Kontoudtog
Fra
Til
o
Udleveret
o
Ikke tilgængelig
☐
D11 Andre
o
Udleveret
o
Ikke tilgængelig
E)
SPONTAN AFGIVELSE AF OPLYSNINGER (GENEREL)
☐
E1 På baggrund af oplysningerne om den afgiftspligtige person i den afsendende stat lader det til, at personen bør være registreret i den modtagende stat.
☐
E2 Ifølge oplysningerne om den afgiftspligtige person i den afsendende stat blev der leveret ☐ varer / ☐ tjenesteydelser til dem af en afgiftspligtig person i den modtagende stat, men der foreligger ingen oplysninger fra VIES/toldmyndighederne eller andre datakilder.
☐
E3 Ifølge oplysningerne om den afgiftspligtige person i den afsendende stat skal der betales moms af varer leveret til den modtagende stat, men der er ikke angivet nogen data i VIES, hos toldmyndighederne eller i andre datakilder.
☐
E4 Ifølge VIES/toldmyndighederne eller andre datakilder har den afgiftspligtige person i den modtagende stat foretaget leveringer til en afgiftspligtig person i den afsendende stat, men sidstnævnte afgiftspligtige person:
☐
har ikke angivet erhvervelsen af ☐ varer / modtagelsen af ☐ tjenesteydelser
☐
nægter erhvervelsen af ☐ varer / modtagelsen af ☐ tjenesteydelser.
☐
E5 Ifølge oplysningerne om den afgiftspligtige person i den afsendende stat skal der betales moms af tjenesteydelser leveret i den modtagende stat.
☐
E6 Baggrund og yderligere oplysninger:
☐
E7 Jeg vedlægger kopier af fakturaer, som jeg er i besiddelse af.
F)
SVIG I FORBINDELSE MED FORSVUNDNE FORHANDLERE: REGISTRERINGSKONTROL/ERVHERVSAKTIVITET
A)
Identifikation af virksomheden
Bistandssøgende myndighed
Bistandssøgt myndighed
Bistandssøgt myndighed
 (
3
)
F1 Momsregistreringsnummer (hvis ikke, skatteregistreringsnummer)
F1 Momsregistreringsnummer (hvis ikke, skatteregistreringsnummer)
o
Udfyld venligst
o
Bekræft venligst
o
Oplysningen bekræftes
o
Oplysningen bekræftes ikke
Momsnummer:
Momsnummer:
Momsnummer:
☐
Momsregistreringsnummer ikke tilgængeligt
☐
Momsregistreringsnummer ikke tilgængeligt
☐
Momsregistreringsnummer ikke tilgængeligt
Skatteregistreringsnummer:
Skatteregistreringsnummer:
Skatteregistreringsnummer:
F2 Navn
F2 Navn
o
Udfyld venligst
o
Bekræft venligst
o
Oplysningen bekræftes
o
Oplysningen bekræftes ikke
Navn:
F3 Adresse
F3 Adresse
o
Udfyld venligst
o
Bekræft venligst
o
Oplysningen bekræftes
o
Oplysningen bekræftes ikke
Adresse:
F4 Følgende datoer i formatet (ÅÅÅÅ/MM/DD):
F4 Følgende datoer i formatet (ÅÅÅÅ/MM/DD):
o
Udfyld venligst
o
Bekræft venligst
o
Oplysningen bekræftes
o
Oplysningen bekræftes ikke
a)
udstedelse af moms-/skatteregistreringsnummer
a)
udstedelse af moms-/skatteregistreringsnummer
a)
udstedelse af moms-/skatteregistreringsnummer
b)
annullering af moms-/skatteregistreringsnummer
b)
annullering af moms-/skatteregistreringsnummer
b)
annullering af moms-/skatteregistreringsnummer
c)
Stiftelse
c)
Stiftelse
c)
Stiftelse
F5 Ejere, indehavere, medarbejdere, partnere, agenter, interessenter eller andre personer med andre rettigheder i virksomheden
F5 Ejere, indehavere, medarbejdere, partnere, agenter, interessenter eller andre personer med andre rettigheder i virksomheden
o
Udfyld venligst
o
Bekræft venligst
o
Oplysningen bekræftes
o
Oplysningen bekræftes ikke
a)
Navn
a)
Navn
a)
Navn
b)
Adresse
b)
Adresse
b)
Adresse
c)
Fødselsdato
c)
Fødselsdato
c)
Fødselsdato
d)
Nationalitet
d)
Nationalitet
d)
Nationalitet
F6 Ledere/direktører
F6 Ledere/direktører
o
Udfyld venligst
o
Bekræft venligst
o
Oplysningen bekræftes
o
Oplysningen bekræftes ikke
a)
Navn
a)
Navn
a)
Navn
b)
Adresse
b)
Adresse
b)
Adresse
c)
Fødselsdato
c)
Fødselsdato
c)
Fødselsdato
d)
Nationalitet
d)
Nationalitet
d)
Nationalitet
B)
Ønskede oplysninger
☐
F7 Findes personerne angivet i F5 og F6 (med fødselsdato, hvis den kendes) i nogen af jeres databaser?
o
Ja
o
Nej
☐
F8 Har personerne angivet i F5 og F6 tidligere begået økonomisk kriminalitet?
☐
Oplysningerne kan af retlige grunde ikke udleveres.
o
Ja
o
Nej
☐
F9 Har personerne angivet i F5 og F6 tidligere været involveret i svig i forbindelse med forsvundne forhandlere eller andre typer svig?
☐
Oplysningerne kan af retlige grunde ikke udleveres.
o
Ja
o
Nej
☐
F10 Har personerne angivet i F5 og F6 enten bopæl på eller forbindelse til den angivne adresse?
o
Ja
o
Nej
☐
F11 Er den angivne adresse en bopæl/virksomhed/midlertidig bopæl/revisor/andet?
o
Ja
o
Nej
☐
F12 Hvad består erhvervsaktiviteten i?
☐
F13 Er virksomhedens overholdelse af skattelovgivningen tvivlsom?
o
Ja
o
Nej
☐
F14 vad er grunden til annulleringen af momsnummeret?
☐
F15 Angiv venligst alle tilknyttede virksomheder
 (
4
)
, herunder deres momsregistreringsnumre og en anprisning af deres troværdighed.
☐
F16 Angiv venligst de af virksomhedens bankkonti, som der er kendskab til, og som befinder sig i den bistandssøgte stat, samt alle hertil knyttede virksomheder.
☐
F17 Angiv venligst oplysningerne fra momsoversigterne eller toldangivelserne vedrørende leveringer/køb af varer/tjenester i året/årene:
☐
F18 Angiv venligst oplysningerne fra momsangivelserne/om betalingerne i året/årene:
☐
F19 Yderligere bemærkninger:
G)
SPONTAN UDVEKSLING AF OPLYSNINGER (SVIG I FORBINDELSE MED FORSVUNDNE FORHANDLERE)
Afsendende myndighed
Modtagende myndighed
Identifikation af virksomheden
G1 Momsregistreringsnummer (hvis ikke, skatteregistreringsnummer)
Identifikation af virksomheden
G1 Momsregistreringsnummer (hvis ikke, skatteregistreringsnummer)
Momsnummer:
Momsnummer:
☐
Momsregistreringsnummer ikke tilgængeligt
☐
Momsregistreringsnummer ikke tilgængeligt
Skatteregistreringsnummer:
Skatteregistreringsnummer:
G2 Navn
G2 Navn
G3 Adresse
G3 Adresse
G4 Følgende datoer i formatet (ÅÅÅÅ/MM/DD):
G4 Følgende datoer i formatet (ÅÅÅÅ/MM/DD):
a)
udstedelse af moms-/skatteregistreringsnummer
a)
udstedelse af moms-/skatteregistreringsnummer
b)
annullering af moms-/skatteregistreringsnummer
b)
annullering af moms-/skatteregistreringsnummer
c)
Stiftelse
c)
Stiftelse
G5 Ejere, indehavere, medarbejdere, partnere, agenter, interessenter eller andre personer med andre rettigheder i virksomheden
G5 Ejere, indehavere, medarbejdere, partnere, agenter, interessenter eller andre personer med andre rettigheder i virksomheden
a)
Navn
a)
Navn
b)
Adresse
b)
Adresse
c)
Fødselsdato
c)
Fødselsdato
d)
Nationalitet
d)
Nationalitet
G6 Ledere/direktører
G6 Ledere/direktører
a)
Navn
a)
Navn
b)
Adresse
b)
Adresse
c)
Fødselsdato
c)
Fødselsdato
d)
Nationalitet
d)
Nationalitet
Yderligere bemærkninger
H)
TILBAGEMELDING
 (
5
)
Resultater vedrørende de modtagne oplysninger:
1)
Oplysningerne:
☐
har ført til en yderligere ansættelse af moms eller andre afgifter. Angiv nærmere oplysninger om afgiftstype og beløb:
Skattetype:
Yderligere ansættelse:
Sanktioner:
☐
har ført til momsregistrering.
☐
har ført til momsafregistrering.
☐
har ført til annullering af et momsnummer i VIES eller i databasen over momsregistrerede skatteydere.
☐
har ført til berigtigelse af momsangivelser.
☐
har ført til en skrivebordsundersøgelse.
☐
har ført til en ny revisionsprocedure eller blev anvendt i en igangværende revision.
☐
har ført til en undersøgelse af svig.
☐
har givet anledning til anmodning om oplysninger.
☐
har ført til embedsmænds tilstedeværelse i administrative kontorer eller deltagelse i administrative undersøgelser.
☐
har ført til multilateral kontrol (MLC).
☐
har ført til andre foranstaltninger:
☐
har ikke ført til nogen væsentlig handling.
2)
Andre bemærkninger:
Fremsendelsesdato:
AFDELING 4
INDDRIVELSESBISTAND
Artikel 4.1
Kommunikation
En anmodning, der sendes elektronisk med henblik på anvendelse af denne protokols afsnit III, sendes mellem de CCN-mailbokse, der er oprettet for den type skatter og afgifter, som anmodningen vedrører, medmindre bistandssøgerens centrale forbindelseskontorer og de bistandssøgte stater er enige om, at en af mailboksene kan anvendes til anmodninger vedrørende forskellige typer skatter og afgifter.
Hvis en anmodning om meddelelse af dokumenter vedrører mere end en type skat eller afgift, sender den bistandssøgende myndighed anmodningen til en mailboks, der er oprettet for mindst en af de typer fordringer, der er nævnt i de dokumenter, der skal meddeles.
Artikel 4.2
Gennemførelsesbestemmelser vedrørende den ensartede akt, der hjemler ret til eksekution i den bistandssøgte stat
1.   De administrative sanktioner, bøder, gebyrer og tillæg samt renter og omkostninger som omhandlet i denne protokols artikel PVAT.2, stk. 1, litra b), som i henhold til gældende regler i den bistandssøgende stat kan forfalde fra datoen for den oprindelige akt, der hjemler ret til eksekution, og indtil dagen før datoen for afsendelsen af anmodningen om inddrivelse, kan føjes til den ensartede akt, der hjemler ret til eksekution i den bistandssøgte stat.
2.   En ensartet akt, der hjemler ret til eksekution i den bistandssøgte stat, kan omfatte flere fordringer og flere personer svarende til den oprindelige akt eller de oprindelige akter, der hjemler ret til eksekution i den bistandssøgende stat.
3.   Hvis flere oprindelige akter, der hjemler ret til eksekution, vedrørende fordringer i den bistandssøgende stat, allerede er blevet erstattet af en global akt, der hjemler ret til eksekution, vedrørende alle disse fordringer i den pågældende stat, kan den ensartede akt, der hjemler ret til eksekution i den bistandssøgte stat, baseres på de oprindelige akter, der hjemler ret til eksekution i den bistandssøgende stat, eller på den globale akt, der samler disse oprindelige akter i den bistandssøgende stat.
4.   Når den i stk. 2 nævnte oprindelige akt eller den i stk. 3 nævnte globale akt indeholder flere fordringer, hvoraf en eller flere allerede er blevet opkrævet eller inddrevet, henvises der i den ensartede akt, der hjemler ret til eksekution i den bistandssøgte stat, kun til de fordringer, for hvilke der anmodes om bistand til inddrivelse.
5.   Når den i stk. 2 nævnte oprindelige akt eller den i stk. 3 nævnte globale akt indeholder flere fordringer, kan den bistandssøgende myndighed opstille en liste over disse krav i forskellige ensartede akter, der hjemler ret til eksekution i den bistandssøgte stat, i overensstemmelse med den skattetyperelaterede kompetencefordeling blandt de respektive inddrivelseskontorer i den bistandssøgte stat.
6.   Hvis en anmodning ikke kan fremsendes via CCN-netværket og fremsendes pr. post, underskrives den ensartede akt, der hjemler ret til eksekution i den bistandssøgte stat, af en behørigt bemyndiget embedsmand fra den bistandssøgende myndighed.
Artikel 4.3
Omregning af beløb, der skal inddrives
1.   Den bistandssøgende myndighed angiver størrelsen på den fordring, der skal inddrives, i den bistandssøgende stats valuta og i den bistandssøgte stats valuta.
2.   For anmodninger, der sendes til Det Forenede Kongerige, er den vekselkurs, der skal anvendes i forbindelse med inddrivelsesbistanden, den vekselkurs, som Den Europæiske Centralbank offentliggør dagen før datoen for anmodningens fremsendelse. Når en sådan kurs ikke er til rådighed på nævnte dato, anvendes den seneste valutakurs, der er offentliggjort af Den Europæiske Centralbank før den dato, hvor anmodningen er sendt.
For anmodninger, der sendes til en medlemsstat, er den vekselkurs, der skal anvendes i forbindelse med inddrivelsesbistanden, den vekselkurs, som Bank of England offentliggør dagen før datoen for anmodningens fremsendelse. Når en sådan kurs ikke er til rådighed på nævnte dato, anvendes den seneste valutakurs, der er offentliggjort af Bank of England før den dato, hvor anmodningen er sendt.
3.   Med henblik på omregning af det fordringsbeløb, der følger af ændringen i denne protokols artikel PVAT.30, stk. 2, til den valuta, der er gældende i den bistandssøgte myndigheds stat, anvender den bistandssøgende myndighed den valutakurs, som blev anvendt i den oprindelige anmodning.
Artikel 4.4
Overførsel af inddrevne beløb
1.   Overførslen af de inddrevne beløb skal finde sted senest to måneder efter den dato, hvor inddrivelsen blev foretaget, medmindre staterne træffer anden aftale.
2.   Hvis de foranstaltninger til inddrivelse, den bistandssøgte myndighed har anvendt, anfægtes med en begrundelse, som ikke er omfattet af den bistandssøgende stats ansvar, kan den bistandssøgte myndighed dog vente med at overføre beløb, der er inddrevet i forbindelse med den bistandssøgende stats fordring, indtil tvisten er afgjort, hvis følgende betingelser er opfyldt:
a)
den bistandssøgte myndighed, finder det sandsynligt, at tvisten afgøres til fordel for den pågældende part og
b)
den bistandssøgende myndighed har ikke erklæret, at den godtgør allerede overførte beløb, hvis fristen afgøres til fordel for den pågældende part.
3.   Hvis den bistandssøgende myndighed har afgivet en godtgørelseserklæring i henhold til stk. 2, litra b), skal den tilbageføre inddrevne beløb, der allerede er overført af den bistandssøgte myndighed, senest en måned efter modtagelsen af anmodningen om godtgørelse. Eventuel anden erstatning skal i så tilfælde betales udelukkende af den bistandssøgte myndighed.
Artikel 4.5
Godtgørelse for inddrevne beløb
Den bistandssøgte myndighed underretter den bistandssøgende myndighed om enhver foranstaltning, der træffes i den bistandssøgte stat med henblik på godtgørelse af inddrevne beløb eller kompensation i forbindelse med inddrivelse af bestridte fordringer, straks efter at den bistandssøgte myndighed er blevet underrettet herom.
Den myndighed, der anmodes om bistand, inddrager så vidt muligt den myndighed, der anmoder om bistand, i procedurerne til fastsættelse af det beløb, der skal godtgøres, og den erstatning, der skal udredes. Efter modtagelsen af en begrundet begæring fra den myndighed, der anmodes om bistand, overfører den myndighed, der anmoder om bistand, de godtgjorte beløb og den betalte erstatning senest to måneder efter modtagelsen af denne anmodning.
Artikel 4.6
Standardformularer
1.   For så vidt angår den ensartede anmeldelsesformular, der ledsager anmodningen om meddelelse, jf. denne protokols artikel PVAT.23, anvender staterne den formular, der er udarbejdet i overensstemmelse med model A.
2.   For så vidt angår den ensartede akt, der hjemler ret til eksekution i den bistandssøgte stat, jf. denne protokols artikel PVAT.27, og som ledsager anmodningen om inddrivelse eller anmodningen om retsbevarende foranstaltninger, eller den reviderede ensartede akt, der hjemler ret til eksekution i den bistandssøgte stat, jf. denne protokols artikel PVAT.30, stk. 2, anvender staterne den formular, der er udfærdiget i overensstemmelse med model B.
3.   For så vidt angår anmodningen om oplysninger, jf. denne protokols artikel PVAT.20, anvender staterne den formular, der er udarbejdet i overensstemmelse med model C.
4.   For så vidt angår anmodningen om meddelelse, jf. denne protokols artikel PVAT.23, anvender staterne den formular, der er udarbejdet i overensstemmelse med model D.
5.   For så vidt angår anmodningen om inddrivelse eller retsbevarende foranstaltninger, jf. denne protokols artikel PVAT.25 og PVAT.31, anvender staterne den formular, der er udarbejdet i overensstemmelse med model E.
6.   Hvis formularerne fremsendes elektronisk, kan strukturen og layoutet tilpasses til kravene og mulighederne i det elektroniske kommunikationssystem, forudsat at sættet af data og oplysninger deri ikke ændres væsentligt i forhold til modellerne nedenfor.
Model A
Ensartet meddelelsesformular med oplysninger om meddelt(e) dokument(er)
(fremsendes til modtageren af meddelelsen)(
1
)
Dette dokument ledsager dokument(er), der er meddelt af den kompetente myndighed i følgende stat: [den bistandssøgte stats navn].
Denne meddelelse vedrører dokumenter fra de kompetente myndigheder i følgende stat: [den bistandssøgende stats navn], som anmodede om bistand i forbindelse med meddelelse i henhold til artikel PVAT.23 i protokollen om administrativt samarbejde og bekæmpelse af svig vedrørende merværdiafgift og om gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter mellem Den Europæiske Union og Det Forenede Kongerige.
A.   MODTAGER AF MEDDELELSEN
–
Navn
–
Adresse (kendt eller formodet)
–
Andre oplysninger, der er relevante for identifikationen af modtageren
B.   FORMÅL MED MEDDELELSEN
Meddelelsen har til formål:
☐
at oplyse modtageren om det eller de dokumenter, som dette dokument er vedhæftet
☐
at suspendere forældelsen af den eller de fordringer, som det eller de meddelte dokumenter omhandler
☐
at bekræfte over for modtageren, at denne er forpligtet til at betale de i punkt D anførte beløb.
Bemærk, at myndighederne i tilfælde af manglende betaling kan træffe eksekutionsforanstaltninger og/eller retsbevarende foranstaltninger for at sikre inddrivelse af fordringen eller fordringerne. Dette kan medføre, at yderligere omkostninger pålægges modtageren.
De er modtager af denne meddelelse, da De anses for at være:
☐
hovedskyldneren
☐
en medskyldner
☐
en person, der ikke er (med)skyldneren, men som hæfter for betaling af skatter, afgifter og andre foranstaltninger eller for andre fordringer i forbindelse med disse skatter, afgifter og andre foranstaltninger i henhold til den gældende lovgivning i den bistandssøgende stat
☐
en person, der ikke er (med)skyldneren, og som er i besiddelse af aktiver, der tilhører (med)skyldneren eller nogen anden hæftende person, eller som har gæld til (med)skyldneren eller til nogen anden hæftende person
☐
en tredjepart, som kan påvirkes af eksekutionsforanstaltninger for andre personer
(Følgende oplysning vises, hvis modtageren af meddelelsen er en anden person end (med)skyldneren, og som er i besiddelse af, eller som har gæld til (med)skyldneren eller til en anden hæftende person, eller en tredjepart, som kan påvirkes af eksekutionsforanstaltningerne for andre personer:
De meddelte dokumenter vedrører fordringer i forbindelse med skatter og afgifter, som følgende person(er) hæfter for som
☐
hovedskyldneren: [navn og adresse (kendt eller formodet)]
☐
en medskyldner: [navn og adresse (kendt eller formodet)]
☐
en person, der ikke er (med)skyldneren, men som hæfter for betaling af skatter, afgifter og andre foranstaltninger eller for andre fordringer i forbindelse med disse skatter, afgifter og andre foranstaltninger i henhold til den gældende lovgivning i den bistandssøgende stat. [navn og adresse (kendt eller formodet)].
Den bistandssøgende myndighed i [navn på den bistandssøgende stat] har opfordret de kompetente myndigheder i [navn på den bistandssøgte stat] til at foretage denne meddelelse før [dato]. Bemærk, at denne dato ikke specifikt er forbundet med nogen forældelsesfrist.
C.   KONTOR(ER) MED ANSVAR FOR DET ELLER DE MEDDELTE DOKUMENTER
Kontor med ansvar for vedlagte dokument(er):
–
Navn:
–
Adresse:
–
Andre kontaktoplysninger:
–
Sprog, hvorpå dette kontor kan kontaktes:
Yderligere oplysninger om ☐ 
det eller de meddelte dokumenter
 ☐ 
og/eller om muligheden for at anfægte forpligtelserne
 kan indhentes fra
☐
ovennævnte kontor med ansvar for vedlagte dokument(er) og/eller
☐
følgende kontor:
–
Navn:
–
Adresse:
–
Andre kontaktoplysninger:
–
Sprog, hvorpå dette kontor kan kontaktes:
D.   BESKRIVELSE AF DET (DE) MEDDELTE DOKUMENT(ER)
Dokument [nr.]
–
Referencenummer:
–
Oprettelsesdato:
–
Det meddelte dokuments kategori:
☐
Skatteansættelse
☐
Betalingspåbud
☐
Afgørelse efter en administrativ klage
☐
Andet administrativt dokument:
☐
Dom/kendelse afsagt af:
☐
Andet juridisk dokument:
–
Navn på den eller de pågældende fordringer (på den bistandssøgende stats sprog):
–
Fordringskategori:
–
Beløbet på den eller de pågældende fordringer:
☐
Hovedstol:
☐
Administrative sanktioner og bøder:
☐
Renter frem til [dato]:
☐
Omkostninger frem til [dato]:
☐
Gebyrer for attester og lignende dokumenter i forbindelse med administrative procedurer vedrørende fordringen i punkt [x]:
☐
Samlet beløb for denne eller disse fordringer:
–
Beløbet i punkt [x] skal betales:
☐
før:
☐
senest [antal] dage efter datoen på denne meddelelse
☐
omgående
–
Betalingen skal foretages til:
–
Kontohaver:
–
Internationalt bankkontonummer (IBAN):
–
Bankidentifikationskode (BIC):
–
Bankens navn:
–
Reference, der skal anvendes ved betaling:
–
Modtageren kan besvare det eller de dokumenter, der hermed er meddelt.
☐
Sidste svardag:
☐
Svarperiode:
–
Navn og adresse på den myndighed, svaret kan sendes til:
–
Mulighed for gøre indsigelse:
☐
Perioden for indsigelse mod fordringen eller det eller de meddelte dokumenter er allerede udløbet.
☐
Sidste indsigelsesdag:
☐
Frist for at gøre indsigelse mod fordringen: [antal dage] efter
☐
datoen for denne meddelelse.
☐
oprettelsen af det eller de meddelte dokumenter
☐
en anden dato:
–
Navn og adresse på den myndighed, hvortil en indsigelse skal sendes:
Bemærk, at tvister om fordringen, akten, der hjemler ret til eksekution, eller noget andet dokument, der hidrører fra myndighederne i [navn på den bistandssøgende stat], hører under de kompetente instansers kompetence i [navn på den bistandssøgende stat] i henhold til artikel PVAT.29 i ovennævnte protokol mellem Den Europæiske Union og Det Forenede Kongerige.
Alle sådanne tvister er omfattet af de proceduremæssige og sproglige regler i [navn på den bistandssøgende stat].
☐
Bemærk, at inddrivelse kan begynde før afslutningen af indsigelsesperioden.
–
Andre oplysninger:
______________
(1)
Punkterne i kursiv er valgfrie.
Model B
Ensartet akt, der hjemler ret til eksekution af fordringer, der er omfattet af artikel PVAT.27 i protokollen om administrativt samarbejde og bekæmpelse af svig vedrørende merværdiafgift og om gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter mellem Den Europæiske Union og Det Forenede Kongerige(
1
)
☐
ENSARTET AKT, DER HJEMLER RET TIL EKSEKUTION AF FORDRINGER
–
Udstedelsesdato:
–
Referencenummer:
☐
ÆNDRET AKT, DER HJEMLER RET TIL EKSEKUTION AF FORDRINGER
–
Dato for udstedelse af den oprindelige ensartede akt:
–
Dato for ændring:
–
Begrundelse for ændringen:
☐
dom/kendelse afsagt af [rettens navn] den [dato]
☐
administrativ afgørelse af [dato]
–
Referencenummer:
State, hvor dokumentet er udstedt: [den bistandssøgende stats navn]
Inddrivelsesforanstaltningerne, der er truffet af den bistandssøgte stat, er baseret på:
☐
en ensartet akt, der hjemler ret til eksekution, jf.
ovennævnte protokols artikel PVAT.27.
☐
en revideret ensartet akt, der hjemler ret til eksekution, jf.
ovennævnte protokols artikel PVAT.30 (under hensyntagen til den afgørelse, der er truffet af den i artikel PVAT.29, stk. 1, i samme protokol omhandlede kompetente instans).
Dette dokument er den ensartede akt, der hjemler ret til eksekution (herunder retsbevarende foranstaltninger). Det vedrører den eller de nedenfor anførte fordringer, som stadig er ubetalt(e) i den bistandssøgende stat [navn på den bistandssøgende stat]. Den oprindelige akt, der hjemler ret til eksekution af denne eller disse fordringer, er blevet meddelt, hvis det kræves i henhold til national lovgivning i den bistandssøgende stat [navn på den bistandssøgende stat].
Tvister vedrørende fordringen eller fordringerne hører udelukkende under de kompetente instansers kompetence i [navn på den bistandssøgende stat] i henhold til ovennævnte protokols artikel PVAT.29. Sager indbringes for dem i henhold til de proceduremæssige og sproglige regler, der gælder i den bistandssøgende stat [navn på den bistandssøgende stat].
BESKRIVELSE AF FORDRINGEN ELLER FORDRINGERNE OG DEN ELLER DE PÅGÆLDENDE PERSONER
Identifikation af fordringen eller fordringerne [nr.]
1.
Sagsnr.:
2.
Fordringskategori:
3.
Skatte-/afgiftskategori:
4.
Omhandlede periode eller dato:
5.
Dato for fordringens oprettelse:
6.
Dato, fra hvilken eksekution er mulig:
7.
Stadig skyldigt fordringsbeløb:
☐
hovedstol:
☐
administrative sanktioner og bøder:
☐
renter til datoen før den dag, anmodningen er sendt:
☐
omkostninger til datoen før den dag, anmodningen er sendt:
☐
samlet beløb for denne fordring:
8.
Dato for meddelelse af den oprindelige akt, der hjemler ret til eksekution i den bistandssøgende stat: [den bistandssøgende stats navn]:
☐
Dato:
☐
Ingen dato
9.
Kontor med ansvar for vurdering af fordringen:
–
Navn:
–
Adresse:
–
Andre kontaktoplysninger:
–
Sprog, hvorpå dette kontor kan kontaktes:
10.
Yderligere oplysninger om fordringen og om mulighederne for at anfægte betalingsforpligtelsen kan indhentes fra:
☐
ovennævnte kontor
☐
følgende kontor med ansvar for den ensartede akt, der hjemler ret til eksekution:
–
Navn:
–
Adresse:
–
Andre kontaktoplysninger:
–
Sprog, hvorpå dette kontor kan kontaktes:
Identifikation af den eller de pågældende personer i den eller de nationale akter, der hjemler ret til eksekution
a)
Følgende person er nævnt i den eller de nationale akter, der hjemler ret til eksekution
☐
fysisk person
☐
anden person
–
Navn
–
Adresse (kendt eller formodet)
–
Andre oplysninger, der er relevante for identifikationen af modtageren
☐
Juridisk repræsentant
–
Navn
–
Adresse (kendt eller formodet)
–
Andre oplysninger, der er relevante for identifikationen af modtageren
Begrundelse for hæftelse:
☐
hovedskyldner
☐
en medskyldner
☐
en person, der ikke er (med)skyldneren, men som hæfter for betaling af skatter, afgifter og andre foranstaltninger eller for andre fordringer i forbindelse med disse skatter, afgifter og andre foranstaltninger i henhold til den gældende lovgivning i den bistandssøgende stat.
b)
Følgende person(er) er også nævnt i den eller de nationale akter, der hjemler ret til eksekution:
☐
fysisk person
☐
anden person
–
Navn:
–
Adresse (kendt eller formodet):
–
Andre oplysninger, der er relevante for identifikationen af modtageren:
☐
Juridisk repræsentant
–
Navn:
–
Adresse (kendt eller formodet):
–
Andre oplysninger, der er relevante for identifikationen af modtageren:
Begrundelse for hæftelse:
☐
hovedskyldner
☐
en medskyldner
☐
en person, der ikke er (med)skyldneren, men som hæfter for betaling af skatter, afgifter og andre foranstaltninger eller for andre fordringer i forbindelse med disse skatter, afgifter og andre foranstaltninger i henhold til den gældende lovgivning i den bistandssøgende stat.
Andre oplysninger
Samlet fordringsbeløb
–
i den bistandssøgende stats valuta:
–
i den bistandssøgte stats valuta:
_____________
(1)
Punkterne i kursiv er valgfrie.
Model C – anmodning om oplysninger
ANMODNING OM OPLYSNINGER
På grundlag af artikel PVAT.20 i protokollen om administrativt samarbejde og bekæmpelse af svig vedrørende merværdiafgift og om gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter mellem Den Europæiske Union og Det Forenede Kongerige
Sagsnr.: AA_RA_aaaaaaaaaaa_rrrrrrrrrrrr_20YYMMDD_xxxxxxx_RI
Fordringens/fordringernes art:
1.
DEN BISTANDSSØGENDE MYNDIGHEDS STAT
A.
Bistandssøgende myndighed
Land:
Navn:
Tlf.:
Sagsnummer:
Navn på den person, der tager sig af anmodningen:
Sprogkundskaber
B.
Kontor, der iværksætter anmodningen
Navn:
Adresse:
Postnr.:
By:
Tlf.:
E-mail:
Sagsnummer:
Navn på den person, der tager sig af anmodningen:
2.
DEN BISTANDSSØGTE MYNDIGHEDS STAT
A.
Bistandssøgt myndighed
Land:
Navn:
Tlf.:
Sagsnummer:
Navn på den person, der tager sig af anmodningen:
Sprogkundskaber
B.
Kontor, der behandler anmodningen
Navn:
Adresse:
Postnr.:
By:
Tlf.:
E-mail:
Sagsnummer:
Navn på den person, der tager sig af anmodningen:
3.
OPLYSNINGER OM ANMODNINGEN
☐
Undertegnede myndighed, der anmoder om bistand, beder den myndighed, der anmodes om bistand, om ikke at underrette den eller de personer, som denne anmodning vedrører.
☐
Undertegnede myndighed, der anmoder om bistand, bekræfter, at de oplysninger, der skal modtages, vil være omfattet af de fortrolighedsbestemmelser, der er fastsat i ovennævnte retsgrundlag.
4.
OPLYSNINGER OM DEN PÅGÆLDENDE PERSON
A.
Der anmodes om oplysninger angående:
☐
Fysiske personer:
Fornavn(e):
Efternavn:
Fødenavn:
Fødselsdato:
Fødested:
Momsnummer:
Skatteregistreringsnummer:
Andre identifikationsoplysninger:
Personens adresse: 
☐
 kendt — 
☐
 formodet
—
Gade og husnummer:
—
Andre adresseoplysninger:
—
Postnummer og by:
—
Land:
☐
Eller for juridiske enheder:
Virksomhedens navn:
Juridisk status:
Momsnummer:
Skatteregistreringsnummer:
Andre identifikationsoplysninger:
Den juridiske enheds adresse: 
☐
 kendt — 
☐
 formodet
—
Gade og husnummer:
—
Andre adresseoplysninger:
—
Postnummer og by:
—
Land:
☐
Juridisk repræsentant
Navn:
Denne juridiske repræsentants adresse: ☐ kendt — ☐ formodet
—
Gade og husnummer:
—
Andre adresseoplysninger:
—
Postnummer og by:
—
Land:
B.
Ansvar: den pågældende person er:
☐
hovedskyldneren
☐
en medskyldner
☐
en person, der ikke er (med)skyldneren, men som hæfter for betaling af skatter, afgifter og andre foranstaltninger eller for andre fordringer i forbindelse med disse skatter, afgifter og andre foranstaltninger i henhold til den gældende lovgivning i den bistandssøgende stat.
☐
en person, der ikke er (med)skyldneren, og som er i besiddelse af aktiver, der tilhører (med)skyldneren eller nogen anden hæftende person, eller som har gæld til (med)skyldneren eller til nogen anden hæftende person
☐
en tredjepart, som kan påvirkes af eksekutionsforanstaltninger for andre personer
C.
Andre relevante oplysninger angående ovenstående personer:
☐
Bankkontonummer/-numre:
—
Bankkontonummer (IBAN):
—
Bankidentifikationskode (BIC):
—
Bankens navn:
☐
Biloplysninger den 20ÅÅ/MM/DD
—
nummerplade:
—
bilmærke:
—
bilens farve:
☐
Anslået eller foreløbigt eller 
☐
 præcist beløb for fordringen/fordringerne:
☐
Andet:
5.
ØNSKEDE OPLYSNINGER
☐
Oplysninger om identiteten på den person, som anmodningen vedrører (for fysiske personer: fulde navn, fødselsdato og fødested; for juridiske enheder: virksomhedens navn og juridiske status)
☐
Oplysninger om adressen
☐
Oplysninger om indkomst og formue til inddrivelse
☐
Oplysninger om arvinger og/eller retssuccessorer
☐
Andet:
6.
OPFØLGNING AF ANMODNINGEN OM OPLYSNINGER
Dato
Nr.
Meddelelse
Bistandssøgende myndighed
Bistandssøgt myndighed
dato
1
☐
Undertegnede myndighed, der anmodes om bistand, bekræfter modtagelsen af anmodningen.
dato
☐
Kombineres med bekræftelse
2
☐
Undertegnede myndighed, der anmodes om bistand, opfordrer den myndighed, der anmoder om bistand, til at supplere anmodningen med følgende yderligere oplysninger:
dato
3
☐
Undertegnede myndighed, der anmodes om bistand, har endnu ikke modtaget de krævede yderligere oplysninger og vil afslutte din anmodning, hvis oplysningerne ikke modtages inden den 20ÅÅ/MM/DD.
dato
4
Undertegnede myndighed, der anmoder om bistand,
☐
a
giver efter anmodning følgende yderligere oplysninger:
☐
b
er ikke i stand til at give de ønskede yderligere oplysninger
(fordi:)
dato
5
☐
Undertegnede myndighed, der anmodes om bistand, bekræfter modtagelsen af de yderligere oplysninger og kan nu behandle anmodningen.
dato
6
Undertegnede myndighed, der anmodes om bistand, yder ikke bistand og afslutter sagen, fordi:
☐
a
Undertegnede har ingen kompetence med hensyn til nogen af de fordringer, som anmodningen vedrører.
☐
b
fordringen er ældre end forudset i protokollen.
☐
c
fordringens størrelse ligger under tærsklen.
☐
d
undertegnede har ikke kunnet opnå disse oplysninger i forbindelse med inddrivelse af tilsvarende nationale fordringer.
☐
e
det ville afsløre en handelsmæssig, industriel eller erhvervsmæssig hemmelighed.
☐
f
meddelelsen af disse oplysninger vil kunne krænke statens sikkerhed eller den offentlige orden eller være i modstrid med statens politik.
☐
g
den bistandssøgende myndighed har ikke fremlagt alle de krævede supplerende oplysninger
☐
h
anden årsag:
dato
7
☐
Undertegnede myndighed, der anmoder om bistand, anmoder om at blive informeret om min anmodnings nuværende status.
dato
8
Undertegnede myndighed, der anmodes om bistand, kan ikke opgive oplysningerne på nuværende tidspunkt, fordi:
☐
der er udbedt oplysninger fra andre offentlige instanser.
☐
der er udbedt oplysninger fra tredjepart.
☐
der vil blive foretaget en personlig henvendelse.
☐
anden årsag:
dato
9
Det er ikke muligt at opnå de ønskede oplysninger, fordi:
☐
a
den pågældende person er ukendt.
☐
b
dataene er utilstrækkelige til at kunne identificere den pågældende person.
☐
c
den pågældende person er flyttet til en ukendt adresse.
☐
d
de ønskede oplysninger foreligger ikke.
☐
e
anden årsag:
dato
10
☐
Undertegnede myndighed, der anmodes om bistand, fremsender følgende del af de ønskede oplysninger:
dato
11
Undertegnede myndighed, der anmodes om bistand, fremsender alle dele (eller den endelige del) af de ønskede oplysninger:
☐
a
Identitet bekræftet
☐
b
Adresse bekræftet
☐
c
Følgende data om den pågældende persons identitet er ændret (eller tilføjet):
Fysiske personer:
☐
Fornavn(e):
☐
Efternavn:
☐
Pigenavn:
☐
Fødselsdato:
☐
Fødested:
For juridiske enheder:
☐
Juridisk status:
☐
Virksomhedens navn:
☐
d
Følgende adresseoplysninger er ændret (eller tilføjet):
☐
Gade og husnummer:
☐
Andre adresseoplysninger:
☐
Postnummer og by:
☐
Land:
☐
Tlf.:
☐
Fax:
☐
E-mail:
☐
e
Finansiel situation
☐
Kendte bankkonti:
Bankkontonummer (IBAN): …
Bankidentifikationskode (BIC): …
Bankens navn: …
☐
Oplysninger om beskæftigelse: ☐ Ansat — ☐ Selvstændig — ☐ Uden beskæftigelse
☐
Det ser ud til, at den pågældende person ingen midler har til at betale gælden/ingen formue har til at dække inddrivelsen af fordringen
☐
Den pågældende person er konkurs/insolvent:
—
Dato for afsigelse af begæring:
—
Dato for afslutning af konkursbehandling:
—
Oplysninger om likvidator:
Navn:
Gade og husnummer:
Andre adresseoplysninger:
Postnummer og by:
Land:
☐
Det ser ud til, at den pågældende person har:
☐
begrænsede midler til delvis at betale gælden
☐
tilstrækkelige midler/formue til inddrivelsen
☐
Bemærkninger:
☐
f
Gæld, som der er gjort indsigelse mod
☐
den pågældende person er blevet rådgivet til at gøre indsigelse mod fordringen i staten for den bistandssøgende myndighed
☐
eventuelle referencer til indsigelsen:
☐
yderligere oplysninger vedlagt
☐
g
Skyldner afgik ved døden ÅÅÅÅ/MM/DD
☐
h
Navn og adresse på arvinger/bobestyrer:
☐
i
Andre bemærkninger:
☐
j
Det anbefales, at inddrivelsesproceduren igangsættes
☐
k
Det anbefales ikke, at inddrivelsesproceduren igangsættes
dato
12
☐
Undertegnede myndighed, der anmoder om bistand, trækker min anmodning om oplysninger tilbage.
dato
13
☐
Andet: Bemærkning fra o den bistandssøgende myndighed o eller den bistandssøgte myndighed:
Model D – anmodning om meddelelse
ANMODNING OM MEDDELELSE
På grundlag af artikel PVAT.23 i protokollen om administrativt samarbejde og bekæmpelse af svig vedrørende merværdiafgift og om gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter mellem Den Europæiske Union og Det Forenede Kongerige
Sagsnr.: AA_RA_aaaaaaaaaaa_rrrrrrrrrrrr_20YYMMDD_xxxxxxx_RN
Fordringens/fordringernes art:
1.
DEN BISTANDSSØGENDE MYNDIGHEDS STAT
A.
Bistandssøgende myndighed
Land:
Navn:
Tlf.:
Sagsnummer:
Navn på den person, der tager sig af anmodningen:
Sprogkundskaber:
B.
Kontor, der iværksætter anmodningen
Navn:
Adresse:
Postnr.:
By:
Tlf.:
E-mail:
Sagsnummer:
Navn på den person, der tager sig af anmodningen:
2.
DEN BISTANDSSØGTE MYNDIGHEDS STAT
A.
Bistandssøgt myndighed
Land:
Navn:
Tlf.:
Sagsnummer:
Navn på den person, der tager sig af anmodningen:
Sprogkundskaber:
B.
Kontor, der behandler anmodningen
Navn:
Adresse:
Postnr.:
By:
Tlf.:
E-mail:
Sagsnummer:
Navn på den person, der tager sig af anmodningen:
3.
OPLYSNINGER OM ANMODNINGEN
☐
Frist for meddelelse af disse dokumenter for at undgå problemer med forældelsesfristen (om nødvendigt): 20ÅÅ/MM/DD
☐
Andre bemærkninger:
4.
IDENTIFIKATION AF MODTAGEREN AF MEDDELELSEN
A.
Meddelelse bør ske til:
☐
For fysiske personer:
Fornavn(e):
Efternavn:
Fødenavn:
Fødselsdato:
Fødested:
Momsnummer:
Skatteregistreringsnummer:
Andre identifikationsoplysninger:
Personens adresse: ☐ kendt — ☐ formodet
Gade og husnummer:
Andre adresseoplysninger:
Postnummer og by:
Land:
☐
Eller for juridiske enheder:
Virksomhedens navn:
Juridisk status:
Momsnummer:
Skatteregistreringsnummer:
Andre identifikationsoplysninger:
Den juridiske enheds adresse: ☐ kendt — ☐ formodet
Gade og husnummer:
Andre adresseoplysninger:
Postnummer og by:
Land:
☐
Juridisk repræsentant
Navn:
Denne juridiske repræsentants adresse: ☐ kendt — ☐ formodet
Gade og husnummer:
Andre adresseoplysninger:
Postnummer og by:
Land:
B.
Andre relevante oplysninger angående ovenstående personer:
5
FORMÅL MED MEDDELELSEN: se vedlagte ensartede anmeldelsesformular.
6
BESKRIVELSE AF DET (DE) MEDDELTE DOKUMENT(ER): se vedlagte ensartede anmeldelsesformular.
7.
OPFØLGNING AF ANMODNINGEN OM MEDDELELSE
Dato
Nr.
Meddelelse
Bistandssøgende myndighed
Bistandssøgt myndighed
dato
1
☐
Undertegnede myndighed, der anmodes om bistand, bekræfter modtagelsen af anmodningen.
dato
2
☐
Undertegnede myndighed, der anmodes om bistand, opfordrer den myndighed, der anmoder om bistand, til at supplere anmodningen med følgende yderligere oplysninger:
dato
3
☐
Undertegnede myndighed, der anmodes om bistand, har endnu ikke modtaget de krævede yderligere oplysninger og vil afslutte din anmodning, hvis oplysningerne ikke modtages inden den 20ÅÅ/MM/DD.
dato
4
Undertegnede myndighed, der anmoder om bistand,
☐
a
giver efter anmodning følgende yderligere oplysninger:
☐
b
er ikke i stand til at give de ønskede yderligere oplysninger
(fordi: )
dato
5
☐
Undertegnede myndighed, der anmodes om bistand, bekræfter modtagelsen af de yderligere oplysninger og kan nu behandle anmodningen.
dato
6
☐
☐
☐
☐
☐
Undertegnede myndighed, der anmodes om bistand, yder ikke bistand og afslutter sagen, fordi:
a
undertegnede har ingen kompetence med hensyn til de skatter, som anmodningen vedrører.
b
fordringen/fordringerne er ældre end forudset i protokollen.
c
fordringens/fordringernes størrelse ligger under tærsklen.
d
den bistandssøgende myndighed har ikke fremlagt alle de krævede supplerende oplysninger
e
Anden årsag:
dato
7
☐
Undertegnede myndighed, der anmoder om bistand, anmoder om at blive informeret om min anmodnings nuværende status.
dato
8
Undertegnede myndighed, der anmodes om bistand, bekræfter:
☐
a
at dokumentet/dokumenterne er blevet meddelt adressaten med retsvirkning i henhold til den nationale lovgivning i den stat, hvor den bistandssøgte myndighed er beliggende, den 20ÅÅ/MM/DD.
Meddelelsen blev givet på følgende måde:
☐
til adressaten personligt
☐
pr. post
☐
pr. e-mail
☐
pr. anbefalet brev
☐
af foged
☐
ved en anden procedure
☐
b
at ovennævnte dokument(er) ikke har kunnet meddeles den pågældende person af følgende årsager:
☐
adressat(er) ukendt
☐
adressat(er) død
☐
adressaten/adressaterne har forladt staten. Den nye adresse er:
☐
andet:
dato
9
☐
Undertegnede myndighed, der anmoder om bistand, trækker min anmodning om meddelelse tilbage.
dato
10
☐
Andet: Bemærkning fra o den bistandssøgende myndighed o eller den bistandssøgte myndighed:
Model E – anmodning om inddrivelse eller retsbevarende foranstaltninger
ANMODNING OM ☐ INDDRIVELSE
På grundlag af artikel PVAT.25 i protokollen om administrativt samarbejde og bekæmpelse af svig vedrørende merværdiafgift og om gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter mellem Den Europæiske Union og Det Forenede Kongerige
OG/ELLER ☐ RETSBEVARENDE FORANSTALTNINGER
På grundlag af artikel PVAT.31 i protokollen om administrativt samarbejde og bekæmpelse af svig vedrørende merværdiafgift og om gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter mellem Den Europæiske Union og Det Forenede Kongerige
Sagsnr.: AA_RA_aaaaaaaaaaa_rrrrrrrrrrrr_20ÅÅMMDD_xxxxxxx_RR (RP)
Fordringens/fordringernes art:
1.
DEN BISTANDSSØGENDE MYNDIGHEDS STAT
A.
Bistandssøgende myndighed
Land:
Navn:
Tlf.:
Sagsnummer:
Navn på den person, der tager sig af anmodningen:
Sprogkundskaber:
B.
Kontor, der iværksætter anmodningen
Navn:
Adresse:
Postnr.:
By:
Tlf.:
E-mail:
Sagsnummer:
Navn på den person, der tager sig af anmodningen:
2.
DEN BISTANDSSØGTE MYNDIGHEDS STAT
A.
Bistandssøgt myndighed
Land:
Navn:
Tlf.:
Sagsnummer:
Navn på den person, der tager sig af anmodningen:
Sprogkundskaber:
B.
Kontor, der behandler anmodningen
Navn:
Adresse:
Postnr.:
By:
Tlf.:
E-mail:
Sagsnummer:
Navn på den person, der tager sig af anmodningen:
3.
OPLYSNINGER OM ANMODNINGEN
☐
Fordringen/fordringerne er omfattet af en akt, der hjemler ret til eksekution i den bistandssøgende stat
☐
Fordringen/fordringerne er ikke omfattet af en akt, der hjemler ret til eksekution i den bistandssøgende stat
☐
Fordringen/fordringerne anfægtes ikke
☐
Fordringen/fordringerne kan ikke længere anfægtes ved en administrativ klage/en klage til domstolene
☐
Fordringen/fordringerne anfægtes, men gældende love, administrative bestemmelser og administrativ praksis i den bistandssøgende myndigheds hjemstat tillader inddrivelse af en anfægtet fordring.
☐
Det samlede beløb for de fordringer, for hvilke der anmodes om bistand, er på mindst 5 000  GBP.
☐
Denne anmodning vedrører fordringer, der opfylder de alderskrav, der gælder i henhold til protokollen.
☐
Denne anmodning om retsbevarende foranstaltninger bygger på de grunde, der er beskrevet i vedlagte dokument(er).
☐
Denne anmodning er ledsaget af en akt, der hjemler ret til retsbevarende foranstaltninger i den bistandssøgende stat.
☐
Jeg anmoder om, at debitor/anden berørt person ikke underrettes forud for retsbevarende foranstaltninger.
☐
Kontakt mig, hvis følgende specifikke situation gør sig gældende (ved at bruge fritekstfeltet i slutningen af anmodningsformularen):
☐
Undertegnede myndighed, der anmoder om bistand, godtgør allerede overførte beløb, hvis tvisten afgøres til fordel for den pågældende part.
☐
Følsom sag:
4.
BETALINGSINSTRUKSER
A.
Det inddrevne fordringsbeløb bedes sendt til:
—
Bankkontonummer (IBAN):
—
Bankidentifikationskode (BIC):
—
Bankens navn:
—
Kontohavers navn:
—
Kontohavers adresse:
—
Betalingsreference, der skal anvendes ved overførsel af pengene:
B.
Ratebetaling:
☐
accepteres uden yderligere henvendelse
☐
accepteres kun efter henvendelse (Rubrik 7, punkt 20, bedes benyttet ved en sådan henvendelse)
☐
accepteres ikke
5.
OPLYSNINGER OM DEN PERSON, ANMODNINGEN VEDRØRER
A
Der anmodes om inddrivelse/retsbevarende foranstaltninger over for:
☐
For fysiske personer:
Fornavn(e):
Efternavn:
Fødenavn:
Fødselsdato:
Fødested:
Momsnummer:
Skatteregistreringsnummer:
Andre identifikationsoplysninger:
Adresse på personen/den juridiske enhed: ☐ kendt — ☐ formodet
Gade og husnummer:
Andre adresseoplysninger:
Postnummer og by:
☐
Eller for juridiske enheder:
Juridisk status:
Virksomhedens navn:
Momsnummer:
Skatteregistreringsnummer:
Andre identifikationsoplysninger:
Adresse på personen/den juridiske enhed: ☐ kendt — ☐ formodet
Gade og husnummer:
Andre adresseoplysninger:
Postnummer og by:
—
andre oplysninger om personen:
—
☐ Juridisk repræsentant
—
Navn:
—
Andre adresseoplysninger: ☐ kendt — ☐ formodet
—
Gade og husnummer:
—
Postnummer og by:
—
Land:
B
Andre relevante oplysninger vedrørende denne anmodning og/eller person
1
☐
Følgende person (er) er medskyldner(e): [Det bør være muligt at tilføje mere end et navn på sådanne personer]
—
Personens identitet:
☐
For fysiske personer:
—
Navn:
—
Fødselsdato:
—
Momsnummer:
—
Skatteregistreringsnummer:
—
Gade og husnummer:
—
Andre adresseoplysninger:
—
Postnummer og by:
☐
Eller for juridiske enheder:
—
Juridisk status:
—
Virksomhedens navn:
—
Momsnummer:
—
Skatteregistreringsnummer:
—
Gade og husnummer:
—
Andre adresseoplysninger:
—
Postnummer og by:
—
andre oplysninger om denne (disse) medskyldner(e):
2
☐
Følgende personer er i besiddelse af aktiver, der tilhører den person, der er omfattet af denne anmodning: [Det bør være muligt at tilføje mere end et navn på sådanne personer]
—
Personens identitet:
☐
For fysiske personer:
—
Navn:
—
Fødselsdato:
—
Momsnummer:
—
Skatteregistreringsnummer:
—
Gade og husnummer:
—
Andre adresseoplysninger:
—
Postnummer og by:
☐
Eller for juridiske enheder:
—
Juridisk status:
—
Virksomhedens navn:
—
Momsnummer:
—
Skatteregistreringsnummer:
—
Gade og husnummer:
—
Andre adresseoplysninger:
—
Postnummer og by:
—
aktiver, som besiddes af denne anden person:
3
☐
Følgende personer har udeståender til den person, der er omfattet af denne anmodning: [Det bør være muligt at tilføje mere end et navn på sådanne personer]
—
Personens identitet:
☐
For fysiske personer:
—
Navn:
—
Fødselsdato:
—
Momsnummer:
—
Skatteregistreringsnummer:
—
Gade og husnummer:
—
Andre adresseoplysninger:
—
Postnummer og by:
☐
Eller for juridiske enheder:
—
Juridisk status:
—
Virksomhedens navn:
—
Momsnummer
—
Skatteregistreringsnummer:
—
Gade og husnummer:
—
Andre adresseoplysninger:
—
Postnummer og by:
—
(fremtidig) gæld for denne anden person:
4
☐
Ud over den person, som anmodningen vedrører, er der en eller flere andre personer, som hæfter for betaling af skatter, afgifter og andre foranstaltninger eller for andre fordringer i forbindelse med disse skatter, afgifter og andre foranstaltninger i henhold til den gældende lovgivning i den bistandssøgende stat. [Det bør være muligt at tilføje mere end et navn på sådanne personer]
—
Personens identitet:
☐
For fysiske personer:
—
Navn:
—
Fødselsdato:
—
Momsnummer:
—
Skatteregistreringsnummer:
—
Gade og husnummer:
—
Andre adresseoplysninger:
—
Postnummer og by:
☐
Eller for juridiske enheder:
—
Juridisk status:
—
Virksomhedens navn:
—
Momsnummer:
—
Skatteregistreringsnummer:
—
Gade og husnummer:
—
Andre adresseoplysninger:
—
Postnummer og by:
—
Årsag til eller karakteren af denne anden persons ansvar:
6.
BESKRIVELSE AF FORDRINGEN/FORDRINGERNE: Se den vedlagte ensartede akt, der hjemler ret til eksekution i den bistandssøgte stat.
7.
OPFØLGNING AF ANMODNINGEN
Bistandssøgende myndighed
Bistandssøgt myndighed
dato
1
☐
Undertegnede myndighed, der anmodes om bistand, bekræfter modtagelsen af anmodningen.
dato
☐
Kombineres med bekræftelse
2
☐
Undertegnede myndighed, der anmodes om bistand, opfordrer den myndighed, der anmoder om bistand, til at supplere anmodningen med følgende yderligere oplysninger:
dato
3
☐
Undertegnede myndighed, der anmodes om bistand, har endnu ikke modtaget de krævede yderligere oplysninger og vil afslutte din anmodning, hvis oplysningerne ikke modtages inden den 20ÅÅ/MM/DD.
dato
4
Undertegnede myndighed, der anmoder om bistand,
☐
a
giver efter anmodning følgende yderligere oplysninger:
☐
b
er ikke i stand til at give de ønskede yderligere oplysninger
(fordi: )
dato
5
☐
Undertegnede myndighed, der anmodes om bistand, bekræfter modtagelsen af de yderligere oplysninger og kan nu behandle anmodningen.
dato
6
Undertegnede myndighed, der anmodes om bistand, yder ikke bistand og afslutter sagen, fordi:
☐
a
Undertegnede har ingen kompetence med hensyn til de fordringer, som anmodningen vedrører.
☐
b
Undertegnede har ingen kompetence med hensyn til de fordringer, som anmodningen vedrører:
☐
c
fordringen/fordringerne er ældre end forudset i protokollen.
☐
d
det samlede beløb ligger under den tærskel, der er fastsat i protokollen.
☐
e
den bistandssøgende myndighed har ikke fremlagt alle de krævede supplerende oplysninger.
☐
f
Anden årsag:
dato
7
☐
Undertegnede myndighed, der anmoder om bistand, anmoder om at blive informeret om min anmodnings nuværende status.
dato
8
Undertegnede myndighed, der anmodes om bistand, vil ikke træffe den eller de ønskede foranstaltninger af følgende årsager:
☐
a
a vor nationale lovgivning og praksis tillader ikke inddrivelse af fordringer, mod hvilke der er gjort indsigelse.
☐
b
b vor nationale lovgivning og praksis tillader ikke retsbevarende foranstaltninger for fordringer, mod hvilke der er gjort indsigelse.
9
Undertegnede myndighed, der anmodes om bistand, har iværksat følgende procedurer med henblik på inddrivelse og/eller retsbevarende foranstaltninger:
dato
☐
a
Der blev taget kontakt med skyldner og anmodet om betaling 20ÅÅ/MM/DD.
dato
☐
b
Der er forhandlinger i gang om ratebetaling.
dato
☐
c
eksekutionsproceduren blev indledt 20ÅÅ/MM/DD.
Følgende foranstaltninger er blevet iværksat:
☐
d
Der blev indledt retsbevarende foranstaltninger 20ÅÅ/MM/DD.
Følgende foranstaltninger er blevet iværksat:
☐
e
Undertegnede myndighed, der anmodes om bistand, meddeler den bistandssøgende myndighed, at de foranstaltninger, der er truffet (beskrevet under punkt c og/eller d ovenfor), har følgende virkning på forældelsesfristen:
☐
suspension
☐
afbrydelse
☐
☐ med xx år/måneder/uger/dage forlængelse ☐ indtil 20ÅÅ/MM/DD
Jeg anmoder den bistandssøgende stat om at underrette mig, hvis den samme virkning ikke er fastsat i den gældende lovgivning i den bistandssøgende stat.
☐
f
Undertegnede myndighed, der anmodes om bistand, oplyser den bistandssøgende myndighed om, at suspension, afbrydelse eller forlængelse af forældelsesfristen ikke er muligt i henhold til lovgivningen i den bistandssøgte stat.
Undertegnede anmoder den bistandssøgende stat om at bekræfte, om de trufne foranstaltninger (beskrevet under punkt c og/eller d ovenfor) har afbrudt, suspenderet eller forlænget tidsfristen for inddrivelse, og i så fald om, hvad den nye tidsfrist er.
dato
10
☐
Procedurerne er stadig i gang. Undertegnede myndighed, der anmodes om bistand, vil underrette den myndighed, der anmoder om bistand, når der sker ændringer.
dato
11
☐
a
Undertegnede myndighed, der anmoder om bistand, bekræfter, at:
tidsfristen blevet ændret som følge af den foranstaltning, der er nævnt i punkt 9. Den nye frist er: …
☐
b
Min nationale lovgivning indeholder ikke bestemmelser om suspension, afbrydelse eller forlængelse af forældelsesfristen.
12
Undertegnede myndighed, der anmodes om bistand, underretter den myndighed, der anmoder om bistand, om at
dato
☐
a
fordringen blev fuldt ud inddrevet 20ÅÅ/MM/DD
—
heraf vedrører følgende beløb (angives i den valuta, der anvendes i staten for den myndighed, der anmodes om bistand) den fordring, der er nævnt i anmodningen:
—
heraf vedrører følgende beløb renter, der opkræves i henhold til lovgivningen i den stat, hvor den bistandssøgte myndighed er beliggende:
dato
☐
b
fordringen blev delvis inddrevet 20ÅÅ/MM/DD,
—
et beløb på (angives i den valuta, der anvendes i staten for den myndighed, der anmodes om bistand):
—
heraf vedrører følgende beløb den fordring, der er nævnt i anmodningen:
—
heraf vedrører følgende beløb renter, der opkræves i henhold til lovgivningen i den stat, hvor den bistandssøgte myndighed er beliggende:
☐
Der vil ikke blive iværksat yderligere foranstaltninger.
☐
Inddrivelsesprocedurerne vil fortsætte.
dato
☐
c
der er truffet bevarende foranstaltninger.
(Den bistandssøgende myndighed opfordres til at angive karakteren af disse foranstaltninger:)
dato
☐
d
følgende ratebetaling er aftalt:
dato
13
Undertegnede myndighed, der anmodes om bistand, bekræfter, at hele eller en del af fordringen ikke kunne inddrives/at der ikke vil blive truffet retsbevarende foranstaltninger, og at sagen vil blive lukket, fordi:
☐
a
den pågældende person er ukendt.
☐
b
den pågældende person er kendt, men er flyttet til:
☐
c
den pågældende person er kendt, men er flyttet til en ukendt adresse
☐
d
Den pågældende person afgik ved døden ÅÅÅÅ/MM/DD.
☐
e
Skyldner/medskyldner er insolvent.
☐
f
Skyldner/medskyldner er konkurs, og fordringen er blevet anmeldt.
Dato for afsigelse af begæring: … --- Dato for afslutning af konkursbehandling: …
☐
g
Skyldner/medskyldner er gået konkurs/inddrivelse er ikke muligt
☐
h
Andet:
dato
14
☐
Undertegnede myndighed, der anmoder om bistand, bekræfter, at sagen er lukket.
dato
15
☐
Undertegnede myndighed, der anmodes om bistand, underretter den myndighed, der anmoder om bistand, om at have modtaget meddelelse om, at fordringen eller den akt, der hjemler ret til eksekution, er blevet anfægtet, og at eksekutionsproceduren vil blive suspenderet.
Endvidere,
☐
a
er der truffet retsbevarende foranstaltninger for at sikre inddrivelse af fordringen ….
☐
b
bedes den myndighed, der anmoder om bistand, meddele, om fordringen skal inddrives.
☐
c
meddeles det den myndighed, der anmoder om bistand, at gældende love, administrative bestemmelser og administrativ praksis i den stat, hvor undertegnede myndighed befinder sig, ikke hjemler ret til (fortsat) inddrivelse af fordringen, så længe den er anfægtet.
dato
16
Undertegnede myndighed, der anmoder om bistand, og som er blevet underrettet om, at fordringen eller den akt, der hjemler ret til eksekution, er blevet anfægtet,
☐
a
beder den myndighed, der anmodes om bistand, om at suspendere alle foranstaltninger, der er blevet iværksat.
☐
b
beder den myndighed, der anmodes om bistand, om at træffe retsbevarende foranstaltninger for at sikre inddrivelse af fordringen.
☐
c
beder den myndighed, der anmodes om bistand, om (at fortsætte med) at inddrive fordringen.
dato
17
☐
Undertegnede myndighed, der anmodes om bistand, oplyser den bistandssøgende myndighed om, at gældende love, bestemmelser og administrativ praksis i den stat, hvor undertegnede myndighed befinder sig, ikke hjemler ret til den ønskede foranstaltning:
☐
under punkt 16(b).
☐
under punkt 16(c).
dato
18
Undertegnede myndighed, der anmoder om bistand,
☐
a
ændrer anmodningen om inddrivelse/retsbevarende foranstaltninger
☐
i overensstemmelse med afgørelsen om den anfægtede ansøgning [disse oplysninger om afgørelsen anføres i rubrik 6A]
☐
fordi en del af fordringen er blevet betalt direkte til den bistandssøgende myndighed
☐
af anden årsag: ….
☐
b
beder den myndighed, der anmodes om bistand, om at genoptage eksekutionsprocedurer, eftersom skyldner ikke fik medhold (afgørelse truffet af den for denne sag kompetente instans …).
dato
19
Undertegnede myndighed, der anmoder om bistand, trækker denne anmodning om inddrivelse/retsbevarende foranstaltninger tilbage, fordi:
☐
a
beløbet er blevet betalt direkte til den myndighed, der anmoder om bistand.
☐
b
tidsfristen for inddrivelse er udløbet.
☐
c
fordringen (fordringerne) er blevet annulleret af en national domstol eller af en administrativ instans.
☐
d
den akt, der hjemler ret til eksekution, er blevet annulleret.
☐
e
anden årsag: …
dato
20
☐
Andet: bemærkning fra o den bistandssøgende myndighed o eller den bistandssøgte myndighed
(Angiv venligst datoen i begyndelsen af hver enkelt bemærkning)
(
1
)
  I denne tredje kolonne angiver den bistandssøgte myndighed enten de oplysninger, som den bistandssøgende myndighed anmoder om (i anden kolonne er rubrikken "udfyld venligst" markeret), eller den bekræfter rigtigheden af de oplysninger, som den bistandssøgende myndighed har indgivet (i anden kolonne er rubrikken "bekræft venligst" markeret, og oplysningerne er angivet).
(
2
)
  Den egentlige hovedaktivitet vil sige den reelle hovedaktivitet, som virksomheden udfører (i modsætning til en anden eventuelt angivet aktivitet).
(
3
)
  I denne tredje kolonne angiver den bistandssøgte myndighed enten de oplysninger, som den bistandssøgende myndighed anmoder om (i anden kolonne er rubrikken "udfyld venligst" markeret), eller den bekræfter rigtigheden af de oplysninger, som den bistandssøgende myndighed har indgivet (i anden kolonne er rubrikken "bekræft venligst" markeret, og oplysningerne er angivet).
(
4
)
  Dette omfatter alle virksomheder med samme direktør eller andre retlige, økonomiske eller finansielle forbindelser til den virksomhed, der angives i afsnit A).
(
5
)
  Indgives af den kompetente myndighed, der modtager oplysningerne.
PROTOKOL OM GENSIDIG ADMINISTRATIV BISTAND I TOLDSPØRGSMÅL
Artikel PCUST.1
Definitioner
1.
I denne protokol forstås ved:
a)
"bistandssøgende myndighed": en kompetent administrativ myndighed, som er udpeget af en part til dette formål, og som fremsætter anmodninger om bistand på grundlag af denne protokol
b)
"overtrædelse af toldlovgivningen": enhver overtrædelse eller ethvert forsøg på overtrædelse af toldlovgivningen.
c)
"bistandssøgt myndighed": en kompetent administrativ myndighed, som er udpeget af en part til dette formål, og som modtager en anmodning om bistand i toldspørgsmål i henhold til denne protokol
2.
Medmindre andet er fastsat i denne protokol, finder definitionerne i denne aftales anden del, sektion et, afsnit I, kapitel 5, også anvendelse på denne protokol.
Artikel PCUST.2
Anvendelsesområde
1.
Parterne yder på områder, der hører ind under deres kompetence, på den måde og på de betingelser, der er fastsat i denne protokol, hinanden bistand for at sikre, at toldlovgivningen anvendes korrekt, især med henblik på at forebygge, efterforske og retsforfølge overtrædelser af toldlovgivningen.
2.
Bestemmelserne om bistand i toldspørgsmål som omhandlet i denne protokol ydes af enhver administrativ myndighed i parterne, som er kompetent med hensyn til anvendelsen af denne protokol. Denne bistand berører ikke bestemmelserne om gensidig bistand i strafferetlige anliggender, og omfatter heller ikke udveksling af oplysninger, der er indhentet ved anvendelse af beføjelser, som udøves på en retsmyndigheds anmodning, medmindre den pågældende myndighed har givet tilladelse til videregivelse af de pågældende oplysninger.
3.
Bistand i forbindelse med inddrivelse af skatter, afgifter eller bøder er omfattet af protokollen om administrativt samarbejde og bekæmpelse af svig vedrørende merværdiafgift og om gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter.
Artikel PCUST.3
Bistand efter anmodning
1.
På anmodning af den bistandssøgende myndighed meddeler den bistandssøgte myndighed denne alle relevante oplysninger, som gør det muligt for den bistandssøgende myndighed at sikre, at toldlovgivningen anvendes korrekt, herunder oplysninger om konstaterede eller planlagte handlinger, som udgør eller vil kunne udgøre en overtrædelse af toldlovgivningen.
2.
På anmodning af den bistandssøgende myndighed giver den bistandssøgte myndighed navnlig oplysning om:
a)
hvorvidt varer, der er eksporteret fra en af parternes område, er blevet behørigt importeret på den anden parts område, om fornødent med angivelse af, hvilken toldprocedure varerne er henført under
b)
hvorvidt varer, der er importeret til en af parternes område, er blevet lovligt eksporteret fra den anden parts område, om fornødent med angivelse af, hvilken toldprocedure varerne er henført under.
3.
På anmodning af den bistandssøgende myndighed træffer den bistandssøgte myndighed inden for rammerne af sine love og administrative bestemmelser de nødvendige foranstaltninger til at sikre særlig overvågning af og til at give den bistandssøgende myndighed oplysninger om:
a)
fysiske eller juridiske personer, når der er rimelig grund til at antage, at de begår eller har begået overtrædelser af toldlovgivningen
b)
varer, som transporteres eller kan transporteres på en sådan måde, at der er rimelig grund til at antage, at de er blevet eller er bestemt til at blive anvendt i transaktioner, der udgør en overtrædelse af toldlovgivningen
c)
steder, hvor lagre af varer opbevares eller kan opbevares på en sådan måde, at der er rimelig grund til at antage, at de er blevet eller er bestemt til at blive anvendt i transaktioner, der udgør en overtrædelse af toldlovgivningen
d)
transportmidler, der benyttes eller kan benyttes på en sådan måde, at der er rimelig grund til at antage, at de er bestemt til at blive anvendt i transaktioner, der udgør en overtrædelse af toldlovgivningen og
e)
lokaler, som af den bistandssøgende myndighed mistænkes for at blive anvendt ved overtrædelse af toldlovgivningen.
Artikel PCUST.4
Uanmodet bistand
Parterne yder så vidt muligt på eget initiativ hinanden bistand i overensstemmelse med deres love og administrative bestemmelser ved at give oplysninger om gennemførte, planlagte eller igangværende aktiviteter, der udgør eller synes at udgøre overtrædelser af toldlovgivningen, og som kan være af interesse for den anden part. Disse oplysninger skal navnlig fokusere på:
a)
varer, som vides at være genstand for overtrædelser af toldlovgivningen
b)
personer, om hvem der er rimelig grund til at antage, at de er eller har været involveret i transaktioner, der er i strid med toldlovgivningen
c)
transportmidler, når der er rimelig grund til at antage, at de anvendes, har været anvendt eller kan anvendes i forbindelse med overtrædelser af toldlovgivningen og
d)
nye midler eller metoder, der anvendes til aktiviteter, som udgør overtrædelser af toldlovgivningen.
Artikel PCUST.5
Bistandsanmodningers form og indhold
1.
Anmodninger i henhold til denne protokol fremsættes skriftligt, enten i trykt eller elektronisk form. De ledsages af den dokumentation, der skønnes hensigtsmæssig for at gøre det muligt at overholde dem. I hastetilfælde kan den bistandssøgte myndighed acceptere mundtlige anmodninger, men sådanne mundtlige anmodninger skal straks bekræftes skriftligt af den bistandssøgende myndighed.
2.
Anmodninger i henhold til stk. 1 skal omfatte følgende oplysninger:
a)
den bistandssøgende myndighed og den anmodende embedsmand
b)
de oplysninger eller den type bistand, der anmodes om
c)
genstand og begrundelse for anmodningen
d)
de love og administrative bestemmelser og andre retlige elementer, der er involveret
e)
så nøjagtige og udtømmende oplysninger som muligt om de varer og personer, der er målet for undersøgelserne
f)
et sammendrag af sagens omstændigheder og allerede gennemførte undersøgelser og
g)
eventuelle yderligere oplysninger, der gør det muligt for den bistandssøgte myndighed at efterkomme anmodningen.
3.
Anmodninger indgives på et af den bistandssøgte myndigheds officielle sprog eller på et sprog, som accepteres af den pågældende myndighed, idet engelsk altid accepteres. Dette krav gælder ikke for de dokumenter, der ledsager anmodningen, jf. stk. 1.
4.
Hvis en anmodning ikke opfylder de formelle krav i denne artikel, kan den bistandssøgte myndighed kræve, at anmodningen rettes eller suppleres; Indtil en sådan korrektion eller supplering er foretaget, kan der træffes retsbevarende foranstaltninger.
Artikel PCUST.6
Efterkommelse af anmodningerne
1.
Med henblik på at imødekomme en anmodning om bistand skal den bistandssøgte myndighed inden for rammerne af sin kompetence og sine ressourcer, som om den handlede på egne vegne eller efter anmodning fra andre myndigheder i den samme part, meddele de oplysninger, den allerede er i besiddelse af, og foretage passende undersøgelser eller lade sådanne undersøgelser foretage. Denne bestemmelse finder også anvendelse på alle andre myndigheder, til hvilke den bistandssøgte myndighed henviser anmodningen i henhold til denne protokol, når den ikke er i stand til at handle på egen hånd. Når den bistandssøgte myndighed yder en sådan bistand, tager den behørigt hensyn til, hvor meget anmodningen haster.
2.
Anmodninger om bistand efterkommes i overensstemmelse med love og administrative bestemmelser i den bistandssøgte part.
Artikel PCUST.7
Formen for meddelelse af oplysninger
1.
Den bistandssøgte myndighed meddeler skriftligt den bistandssøgende myndighed resultaterne af undersøgelser foretaget i henhold til en anmodning efter denne protokol og fremsender samtidig alle relevante dokumenter, bekræftede kopier heraf og lignende. Disse oplysninger kan fremsendes i elektronisk form.
2.
De originale dokumenter fremsendes i henhold til den enkelte parts retlige begrænsninger udelukkende efter anmodning fra den bistandssøgende myndighed i tilfælde, hvor bekræftede genparter ikke er tilstrækkelige. Den bistandssøgende myndighed returnerer disse originaler hurtigst muligt.
3.
Den bistandssøgte myndighed meddeler i henhold til de i stk. 2 omhandlede bestemmelser den bistandssøgende myndighed alle oplysninger vedrørende ægtheden af dokumenter, der er udstedt eller attesteret af officielle organer på dets territorium til støtte for en vareangivelse.
Artikel PCUST.8
Tilstedeværelse af en parts tjenestemænd på en anden parts område
1.
Behørigt bemyndigede tjenestemænd fra en part kan efter aftale med den anden part og på de af denne fastsatte betingelser møde op hos den bistandssøgte myndighed eller enhver anden berørt myndighed, jf. artikel PCUST.6, stk. 1, for at indhente sådanne oplysninger vedrørende handlinger, der er eller kan være en overtrædelse af toldlovgivningen, som den bistandssøgende myndighed har brug for med henblik på anvendelsen af denne protokol.
2.
Efter aftale med den anmodede part og på de betingelser, som den fastsætter, kan behørigt bemyndigede tjenestemænd fra den anden part være til stede ved undersøgelser, der foretages på den anmodede parts område.
Artikel PCUST.9
Fremsendelse og meddelelse
1.
På anmodning af den bistandssøgende myndighed træffer den bistandssøgte myndighed i overensstemmelse med de love og administrative bestemmelser, der gælder for den, alle nødvendige forholdsregler til at fremsende alle dokumenter eller at meddele alle afgørelser, der hidrører fra den bistandssøgende myndighed, og som falder ind under denne protokols anvendelsesområde, til en modtager, der er bosat eller etableret på den bistandssøgte myndigheds territorium.
2.
Sådanne anmodninger om fremsendelse af dokumenter eller om meddelelse af beslutninger fremsættes skriftligt på et af den bistandssøgte myndigheds officielle sprog eller på et for denne myndighed acceptabelt sprog.
Artikel PCUST.10
Automatisk udveksling af oplysninger
1.
Parterne kan efter fælles aftale i overensstemmelse med denne protokols artikel PCUST.15:
a)
automatisk udveksle oplysninger, der er omfattet af denne protokol
b)
udveksle specifikke oplysninger forud for modtagelse af forsendelser på den anden parts område.
2.
Parterne indfører ordninger for, hvilken type oplysninger de ønsker at udveksle, formatet for og hyppigheden af fremsendelsen for at gennemføre de udvekslinger, der er omhandlet i stk. 1, litra a) og b).
Artikel PCUST.11
Undtagelser fra pligten til at yde bistand
1.
Bistand kan afslås eller gøres betinget af, at visse krav opfyldes, hvis en part skønner, at bistand i henhold til denne protokol:
a)
ville krænke suveræniteten hos Det Forenede Kongerige eller en medlemsstat, som er blevet anmodet om bistand i henhold til denne protokol,
b)
ville skade den offentlige orden, statens sikkerhed eller andre væsentlige interesser, eller
c)
ville krænke forretnings- eller tjenestehemmeligheder.
2.
Den bistandssøgte myndighed kan udsætte bistanden med den begrundelse, at den vil gribe ind i igangværende efterforskninger, retsforfølgninger eller procedurer. I et sådant tilfælde rådfører den bistandssøgte myndighed sig med den bistandssøgende myndighed for at afgøre, om der kan ydes bistand på de vilkår eller betingelser, som den bistandssøgte myndighed måtte kræve.
3.
Hvis den bistandssøgende myndighed anmoder om bistand, som den ikke selv ville være i stand til at yde, hvis den blev anmodet derom, skal den gøre opmærksom herpå i sin anmodning. Det overlades derefter til den bistandssøgte myndighed at afgøre, hvordan den vil reagere på en sådan anmodning.
4.
I de i stk. 1 og 2 omhandlede tilfælde skal den bistandssøgte myndighed straks meddele sin afgørelse og begrundelsen herfor til den bistandssøgende myndighed.
Artikel PCUST.12
Udveksling af oplysninger og tavshedspligt
1.
Oplysninger, der indhentes i henhold til denne protokol, må kun anvendes til de i denne protokol fastsatte formål.
2.
Anvendelse af oplysninger, der indhentes i henhold til denne protokol i forbindelse med retssager eller administrative procedurer vedrørende overtrædelser af toldlovgivningen, betragtes som værende i overensstemmelse med denne protokol. Parterne kan derfor anvende oplysninger, der er indhentet, og dokumenter, der er blevet konsulteret i overensstemmelse med bestemmelserne i denne protokol, som bevismateriale i deres registre over bevismateriale, rapporter og vidneudsagn og i retssager indbragt for domstolene. Den bistandssøgte myndighed kan gøre levering af oplysninger eller indrømmelse af aktindsigt i dokumenter betinget af, at de underrettes om en sådan anvendelse.
3.
Hvis en part ønsker at benytte sådanne oplysninger til andre formål, skal den indhente forudgående skriftligt samtykke fra den myndighed, som har afgivet oplysningerne. Anvendelsen er da underlagt de betingelser, som stilles af den pågældende myndighed.
4.
De oplysninger, der under den ene eller den anden form meddeles i medfør af denne protokol, er fortrolige eller forbeholdt tjenestebrug i overensstemmelse med de gældende love og forskrifter i hver part. Disse oplysninger er undergivet tavshedspligt og nyder samme beskyttelse som dem, der gives tilsvarende oplysninger i henhold til den modtagende parts relevante love og administrative bestemmelser, medmindre den part, der har givet oplysningerne, har tavshedspligt. Parterne giver hinanden oplysninger om deres gældende love og administrative bestemmelser.
Artikel PCUST.13
Eksperter og vidner
En tjenestemand hos en bistandssøgt myndighed kan bemyndiges til inden for de i bemyndigelsen fastsatte grænser at møde som ekspert eller vidne i retssager eller administrative procedurer vedrørende spørgsmål omfattet af denne protokol og fremlægge sådanne genstande, dokumenter eller bekræftede kopier heraf, som måtte være nødvendige for retssagen. I anmodningen om fremmøde skal det præcist angives, for hvilken retslig eller administrativ myndighed tjenestemanden skal give møde, og om hvilket spørgsmål og i hvilken egenskab denne vil blive afhørt.
Artikel PCUST.14
Bistandsudgifter
1.
Med forbehold af bestemmelserne i stk. 2 og 3 giver parterne afkald på enhver påstand om refusion af udgifter i forbindelse med gennemførelsen af denne protokol.
2.
Udgifter og godtgørelser til eksperter, vidner, tolke og oversættere, bortset fra ansatte i den offentlige tjeneste, afholdes af den bistandssøgende part efter behov.
3.
Hvis der er eller vil være betydelige eller ekstraordinære udgifter forbundet med at efterkomme anmodningen, rådfører parterne sig med hinanden for at fastlægge de vilkår og betingelser, på hvilke anmodningen I vil blive efterkommet, samt hvordan omkostningerne skal dækkes.
Artikel PCUST.15
Gennemførelse
1.
Gennemførelsen af denne protokol varetages af Det Forenede Kongeriges toldmyndigheder på den ene side og, alt efter det enkelte tilfælde, af Europa-Kommissionens kompetente tjenestegrene og Den Europæiske Unions medlemsstaters toldmyndigheder på den anden side. De træffer afgørelser om alle praktiske foranstaltninger og arrangementer, der er nødvendige for denne protokols gennemførelse, idet de tager hensyn til gældende love og administrative bestemmelser, navnlig med hensyn til beskyttelse af personoplysninger.
2.
Parterne underretter hinanden om de detaljerede gennemførelsesforanstaltninger, der vedtages af hver part i overensstemmelse med bestemmelserne i denne protokol, navnlig for så vidt angår de behørigt bemyndigede tjenester og de tjenestemænd, der er udpeget som kompetente til at sende og modtage de meddelelser, der er omhandlet i denne protokol.
3.
Bestemmelserne i denne protokol berører i Unionen ikke meddelelse af oplysninger, der er indhentet i henhold til denne protokol, mellem de kompetente tjenestegrene i Europa-Kommissionen og toldmyndighederne i medlemsstaterne.
Artikel PCUST.16
Andre aftaler
Bestemmelserne i denne protokol har forrang frem for bestemmelserne i enhver bilateral aftale om gensidig administrativ bistand i toldspørgsmål, som er eller måtte blive indgået mellem Unionens enkelte medlemsstater og Det Forenede Kongerige, i det omfang bestemmelserne i disse bilaterale aftaler er uforenelige med bestemmelserne i denne protokol.
Artikel PCUST.17
Konsultationer
Med hensyn til fortolkningen og gennemførelsen af denne protokol rådfører parterne sig med hinanden for at finde en løsning inden for rammerne af Handelsspecialudvalget vedrørende Toldsamarbejde og Oprindelsesregler.
Artikel PCUST.18
Udviklingsklausul
Med henblik på at supplere de niveauer for gensidig bistand, der er fastsat i denne protokol, kan Handelsspecialudvalget vedrørende Toldsamarbejde og Oprindelsesregler vedtage en afgørelse om at udvide denne protokol ved at fastlægge ordninger for specifikke sektorer eller anliggender i overensstemmelse med parternes respektive toldlovgivning.
PROTOKOL OM KOORDINERING AF SOCIALE SIKRINGSORDNINGER
AFSNIT I
ALMINDELIGE BESTEMMELSER
Artikel SSC.1
Definitioner
I denne protokol forstås ved:
a)
"lønnet beskæftigelse": en beskæftigelse eller dermed ligestillet aktivitet, der betragtes som sådan ved anvendelse af lovgivningen om social sikring i den stat, hvor den pågældende beskæftigelse eller dermed ligestillede aktivitet udøves
b)
"selvstændig virksomhed": en udøvelse af virksomhed eller dermed ligestillet aktivitet, der betragtes som sådan ved anvendelse af lovgivningen om social sikring i den stat, hvor den pågældende virksomhed eller dermed ligestillede aktivitet udøves
c)
"ydelser i forbindelse med assisteret reproduktion": enhver medicinsk, kirurgisk eller obstetrisk tjeneste, der har til formål at hjælpe en person med at undfange et barn
d)
"naturalydelser":
i)
i henhold til afsnit III, kapitel 1, naturalydelser i henhold til en stats lovgivning, som er bestemt til levering, tilrådighedsstillelse, direkte betaling eller refusion af udgifter til lægebehandling og produkter og tjenesteydelser i forbindelse med denne behandling
ii)
i henhold til afsnit III, kapitel 2, alle naturalydelser i forbindelse med arbejdsulykker og erhvervssygdomme som defineret i punkt i) og i henhold til staternes ordninger for arbejdsulykker og erhvervssygdomme
e)
"børnepasningsperiode": enhver periode, der godskrives i henhold til en stats pensionslovgivning, eller som supplerer en pension med den udtrykkelige begrundelse, at en person har passet et barn, uanset efter hvilken metode sådanne perioder beregnes, og om de godskrives på det tidspunkt, hvor børnepasningen foregår, eller anerkendes efterfølgende
f)
"tjenestemand": en person, der betragtes som tjenestemand eller dermed ligestillet af den stat, i hvis forvaltning vedkommende er ansat
g)
"den kompetente myndighed": i forhold til enhver stat den eller de ministre eller anden tilsvarende myndighed, hvorunder de sociale sikringsordninger i den pågældende stat i dens helhed eller i en del af den henhører
h)
"kompetent institution":
i)
den institution, som den pågældende er tilsluttet på tidspunktet for indgivelse af begæringen om ydelser, eller
ii)
den institution, hvorfra den pågældende er eller ville være berettiget til at modtage ydelser, såfremt denne eller et eller flere af dennes familiemedlemmer var bosat i den stat, hvor denne institution er beliggende eller
iii)
den institution, der er udpeget af den kompetente myndighed i den pågældende stat eller
iv)
såfremt det drejer sig om en ordning om arbejdsgiverens forpligtelser vedrørende de i artikel SSC.3, stk. 1, nævnte ydelser, enten arbejdsgiveren eller vedkommende forsikringsorgan, eller, såfremt et sådant ikke findes, det organ eller den myndighed, der er udpeget af den kompetente myndighed i den pågældende stat
i)
"kompetent stat": den stat, hvor den kompetente institution er beliggende
j)
"ydelse ved dødsfald": enhver engangsydelse i tilfælde af dødsfald bortset fra de i litra w) omhandlede ydelser i form af kapitalbeløb
k)
"familieydelse": alle natural- eller kontantydelser, der har til formål at udligne forsørgerbyrder
l)
"grænsearbejder": enhver person, som udøver lønnet beskæftigelse eller selvstændig virksomhed i en stat, men som er bosat i en anden stat, hvortil han som hovedregel vender tilbage hver dag eller mindst en gang om ugen
m)
"hjemmebase": det sted, hvor besætningsmedlemmet normalt påbegynder og afslutter en tjenesteperiode eller en række af tjenesteperioder, og hvor operatøren/luftfartsselskabet under normale omstændigheder ikke er ansvarligt for indkvartering af det pågældende besætningsmedlem
n)
"institution": i forhold til enhver stat det organ eller den myndighed, som det påhviler at administrere lovgivningen i dens helhed eller en del af den
o)
"bopælsstedets institution": og "opholdsstedets institution" henholdsvis den institution, som har kompetence til at udrede ydelser på det sted, hvor den pågældende er bosat, og den institution, som har kompetence til at udrede ydelser på det sted, hvor den pågældende opholder sig, i henhold til den lovgivning, som gælder for den nævnte institution, eller, såfremt en sådan institution ikke findes, den af den kompetente myndighed i den pågældende stat udpegede institution
p)
"forsikringstager" for så vidt angår de sociale sikringsgrene, der er omfattet af kapitel 1 og 3 i afsnit III: enhver person, der opfylder betingelserne i den kompetente stats lovgivning i henhold til afsnit II for at have ret til ydelser under hensyntagen til bestemmelserne i denne protokol
q)
"lovgivning": for hver stat love, administrative bestemmelser og andre retsforskrifter samt alle andre gennemførelsesforanstaltninger vedrørende de sociale sikringsgrene, der er omfattet af artikel SSC.3, stk. 1, men udelukker andre aftalebestemmelser end dem, der har til formål at gennemføre en forsikringspligt, der følger af de love og administrative bestemmelser, der er omhandlet i dette afsnit, eller som er genstand for en afgørelse truffet af de offentlige myndigheder, som gør dem obligatoriske eller udvider deres anvendelsesområde, forudsat at den pågældende stat afgiver en erklæring herom, som er meddelt Specialudvalget om Koordinering af de Sociale Sikringsordninger. Den Europæiske Union offentliggør en sådan erklæring i 
Den Europæiske Unions Tidende
r)
"ydelse ved plejebehov af ubegrænset varighed": en naturalydelse eller kontantydelser, der har til formål at dække plejebehov hos en person, som på grund af funktionsnedsættelse har behov for betydelig hjælp, herunder, men ikke begrænset til hjælp fra en eller flere andre personer, til at udføre væsentlige daglige aktiviteter i en længere periode for at støtte deres personlige autonomi dette omfatter ydelser, der med samme formål ydes til en person, der yder en sådan bistand
s)
"familiemedlem":
i)
A)
enhver person, der betegnes eller anerkendes som familiemedlem eller betragtes som hørende til husstanden i henhold til den lovgivning, hvorefter ydelserne udredes
B)
for så vidt angår naturalydelser i henhold til kapitel 1 i afsnit III, enhver person, der betegnes eller anerkendes som familiemedlem eller betegnes som hørende til husstanden i henhold til lovgivningen i den stat, hvor den pågældende er bosat
ii)
hvis den lovgivning i en stat, der finder anvendelse i henhold til nr. i), ikke giver mulighed for at sondre mellem familiemedlemmer og de øvrige personer, som lovgivningen finder anvendelse på, betragtes ægtefællen, mindreårige børn samt myndige børn med krav på forsørgelse, som hørende til familien
iii)
såfremt en person i henhold til den lovgivning, der finder anvendelse som omhandlet i nr. i) og ii), kun betragtes som hørende til familien eller husstanden, hvis han bor sammen med forsikringstageren eller pensionisten, anses denne betingelse dog for opfyldt, når forsørgelsen af den pågældende i det væsentligste påhviler forsikringstageren eller pensionisten
t)
"beskæftigelsesperioder" eller "perioder med selvstændig virksomhed": perioder, der i den lovgivning, hvorefter de er tilbagelagt, betegnes eller anerkendes som sådanne, samt alle dermed ligestillede perioder, for så vidt de efter denne lovgivning anses for ligestillet med beskæftigelsesperioder eller perioder med selvstændig virksomhed
u)
"forsikringsperioder": bidrags- eller beskæftigelsesperioder eller perioder med selvstændig virksomhed, der i den lovgivning, hvorefter de er tilbagelagt eller anses for at være tilbagelagt, betegnes eller anerkendes som forsikringsperioder, samt alle dermed ligestillede perioder, for så vidt de efter denne lovgivning anses for ligestillet med forsikringsperioder
v)
"bopælsperiode": perioder, der i den lovgivning, hvorefter de er tilbagelagt eller anses for at være tilbagelagt, betegnes eller anerkendes som sådanne
w)
"pension": dækker ikke alene pensioner, men også kapitalbeløb, der kan træde i stedet for pensioner, og udbetalinger, der foretages som refusion af bidrag, samt, med forbehold af bestemmelserne i afsnit III, forhøjelser i form af reguleringstillæg eller andre tillæg
x)
"efterløn": alle kontantydelser, bortset fra arbejdsløshedsydelse og førtidig alderspension, som fra en bestemt alder udbetales til en arbejdstager, som har indskrænket, indstillet eller suspenderet sin erhvervsmæssige virksomhed, indtil det tidspunkt, hvor denne har ret til alderspension eller til en førtidig alderspension, og hvis tilkendelse ikke er betinget af, at den pågældende stiller sig til rådighed for arbejdsformidlingen i den kompetente stat "førtidig alderspension": en ydelse, der tilkendes, inden en person når den sædvanligvis påkrævede alder for at være pensionsberettiget, og som enten fortsat udbetales, når den pågældende har nået denne alder, eller erstattes af en anden alderdomsydelse
y)
"flygtning": den betydning, der er tillagt udtrykket i artikel 1 i konventionen om flygtninges retsstilling, undertegnet i Genève den 28. juli 1951
z)
"hjemsted eller forretningssted": det hjemsted eller det forretningssted, hvor virksomhedens væsentlige beslutninger træffes, og hvor den centrale administrations funktioner udføres
aa)
"bopæl": det sted, hvor en person har sit sædvanlige opholdssted
bb)
Ved "særlige ikkebidragspligtige kontantydelser" forstås ydelser, som:
i)
enten har til formål:
A)
at supplere, erstatte eller yde et tillæg til dækning af de risici, der er omfattet af de i artikel SSC.3, stk. 1, omhandlede sociale sikringsområder, og garantere de pågældende personer et eksistensminimum under hensyn til de økonomiske og sociale forhold i den pågældende stat eller
B)
udelukkende at sikre en særlig beskyttelse af handicappede i snæver tilknytning til disse personers sociale miljø i den pågældende stat og
ii)
hvis finansiering udelukkende stammer fra obligatorisk beskatning til dækning af generelle offentlige udgifter, og hvor betingelserne for tilkendelse og beregning af ydelserne ikke afhænger af et bidrag fra ydelsesmodtagerens side. Dog skal ydelser, der tilkendes som supplement til en bidragspligtig ydelse, ikke betragtes som bidragspligtige ydelser alene af den grund
cc)
"særlig ordning for tjenestemænd": alle sociale sikringsordninger, som adskiller sig fra den generelle sociale sikringsordning, der gælder for personer, som har lønnet beskæftigelse i den pågældende stat, og som alle eller visse kategorier af tjenestemænd er direkte underlagt
dd)
"statsløs": den betydning, der er tillagt udtrykket i artikel 1 i konventionen om statsløse personers retsstilling, undertegnet i New York den 28. september 1954
ee)
"ophold": midlertidigt ophold.
Artikel SSC.2
Omfattede personer
Denne protokol finder anvendelse på personer, herunder statsløse og flygtninge, som er eller har været omfattet af lovgivningen i en eller flere stater, samt på disses familiemedlemmer og efterladte.
Artikel SSC.3
Anvendelsesområde
1.
Denne protokol finder anvendelse på følgende sociale sikringsgrene:
a)
ydelser ved sygdom
b)
ydelser ved moderskab og dermed ligestillede ydelser ved faderskab
c)
ydelser ved invaliditet
d)
ydelser ved alderdom
e)
ydelser til efterladte
f)
ydelser i anledning af arbejdsulykker og erhvervssygdom
g)
ydelser ved dødsfald
h)
arbejdsløshedsydelser
i)
efterløn.
2.
Med forbehold af bilag SSC-6 finder denne protokol anvendelse på alle almindelige og særlige sociale sikringsordninger, med eller uden bidragspligt, samt på ordninger vedrørende en arbejdsgivers eller en reders forpligtelser.
3.
Bestemmelserne i afsnit III berører dog ikke en stats lovgivning om en reders forpligtelser.
4.
Denne protokol finder ikke anvendelse på:
a)
særlige ikkebidragspligtige kontantydelser, der er opført i del 1 i bilag SSC-1
b)
social og sundhedsmæssig forsorg
c)
ydelser, hvor en stat påtager sig ansvaret for skader på personer og yder godtgørelse, som f.eks. til ofre for krig og militærhandlinger eller følgerne heraf kriminalitetsofre, ofre for attentat- eller terrorhandlinger ofre for skader forårsaget af statens embedsmænd som led i deres arbejde eller ofre, som har lidt ulempe af politiske eller religiøse grunde eller på grund af deres afstamning
d)
ydelser ved plejebehov af ubegrænset varighed opført i del 2 i bilag SSC-1
e)
ydelser i forbindelse med assisteret reproduktion
f)
betalinger, der er knyttet til en af de sociale sikringsgrene, der er anført i stk. 1, og som:
i)
betales til dækning af udgifter til opvarmning i koldt vejr og
ii)
er opført i del 3 i bilag SSC-1
g)
familieydelser.
Artikel SSC.4
Ikke-forskelsbehandling mellem medlemsstaterne
1.
De ordninger for koordinering af de sociale sikringsordninger, der er fastsat i denne protokol, baseres på princippet om ikke-forskelsbehandling mellem medlemsstaterne.
2.
Denne artikel berører ikke eventuelle aftaler mellem Det Forenede Kongerige og Irland vedrørende det fælles rejseområde.
Artikel SSC.5
Ligebehandling
1.
Medmindre andet er fastsat i denne protokol, har personer, som er omfattet af denne protokol med hensyn til de sociale sikringsgrene, som er omfattet af artikel SSC.3, stk. 1, de samme rettigheder og pligter i henhold til en stats lovgivning som vedkommende stats egne statsborgere.
2.
Denne bestemmelse finder ikke anvendelse på de forhold, der er omhandlet i artikel SSC.3, stk. 4.
Artikel SSC.6
Ligestilling af ydelser, indtægter, begivenheder og forhold
Medmindre andet er fastsat i denne protokol, sikrer staterne, at princippet om ligebehandling af ydelser, indtægter, forhold eller begivenheder finder anvendelse på følgende måde:
a)
hvis ydelser efter sociale sikringsordninger eller andre indtægter tillægges retsvirkning efter den kompetente stats lovgivning, finder de pågældende bestemmelser i denne lovgivning ligeledes anvendelse på tilsvarende ydelser, der er erhvervet i henhold til lovgivningen i en anden stat, eller på indtægter erhvervet i en anden stat
b)
hvis indtrædelse af visse begivenheder eller forhold tillægges retsvirkning efter den kompetente stats lovgivning, tager denne hensyn til tilsvarende forhold eller begivenheder, der er indtrådt på en anden stats territorium, som om de var indtrådt på dens eget territorium.
Artikel SSC.7
Sammenlægning af perioder
Medmindre andet er fastsat i denne protokol, medregner den kompetente institution i en stat i det omfang, det er nødvendigt, forsikrings-, beskæftigelses- eller bopælsperioder eller perioder med selvstændig erhvervsvirksomhed, der er tilbagelagt i enhver anden stat, som om de var tilbagelagt efter den for institutionen gældende lovgivning, når lovgivningen gør det betinget af, at der er tilbagelagt forsikrings-, beskæftigelses- eller bopælsperioder eller perioder med selvstændig virksomhed:
a)
erhvervelse, bevarelse, varighed eller generhvervelse af retten til ydelser
b)
dækning i henhold til lovgivningen eller
c)
adgang til eller fritagelse for tvungen forsikring, frivillig forsikring og frivillig fortsat forsikring.
Artikel SSC.8
Ophævelse af bopælsbestemmelser
Staterne sikrer anvendelsen af princippet om eksport af kontantydelser i overensstemmelse med litra a) og b).
a)
Kontantydelser, som en person har krav på efter lovgivningen i en eller flere stater eller efter denne protokol, må ikke nedsættes, ændres, stilles i bero, inddrages eller beslaglægges med den begrundelse, at den pågældende eller dennes familiemedlemmer er bosat i en anden stat end den, hvor den institution, som det påhviler at udrede ydelsen, er beliggende.
b)
Litra a) finder ikke anvendelse på kontantydelser, der er omfattet af artikel SSC.3, stk. 1, litra c) og h).
Artikel SSC.9
Forbud mod dobbeltydelser
Medmindre andet bestemmes, kan der ikke med hjemmel i denne protokol tillægges eller bevares ret til flere ydelser af samme art på grundlag af samme tvungne forsikringsperiode.
AFSNIT II
FASTLÆGGELSE AF, HVILKEN LOVGIVNING DER SKAL ANVENDES
Artikel SSC.10
Almindelige bestemmelser
1.
Personer, som er omfattet af denne protokol, er alene undergivet lovgivningen i én stat. Spørgsmålet om, hvilken lovgivning der skal anvendes, afgøres efter bestemmelserne i dette afsnit.
2.
Ved anvendelse af dette afsnit anses personer, som modtager en kontantydelse i kraft af eller som følge af lønnet beskæftigelse eller selvstændig virksomhed, for at udøve nævnte aktivitet. Dette gælder ikke i forbindelse med invalide-, alderdomspensioner eller pensioner til efterladte, pensioner ved arbejdsulykker eller erhvervssygdomme eller kontante ydelser ved sygdom, der dækker tidsubegrænset behandling.
3.
Med forbehold af artikel SSC.11, SSC.12 og SSC.13:
a)
er en person, der udøver lønnet beskæftigelse eller selvstændig virksomhed i en stat, omfattet af denne stats lovgivning
b)
er tjenestemænd omfattet af lovgivningen i den stat, i hvis forvaltning de er ansat
c)
er alle andre personer, som ikke falder ind under litra a) og b), omfattet af lovgivningen i bopælsstaten, dog uden at tilsidesætte bestemmelser i denne protokol, som sikrer de pågældende ret til ydelser efter lovgivningen i en eller flere andre stater.
4.
Ved anvendelse af dette afsnit anses lønnet beskæftigelse eller selvstændig virksomhed, der normalt udøves om bord på et skib, der fører en stats flag, for beskæftigelse, der udøves i denne stat. En person, der er beskæftiget om bord på et skib, der fører en stats flag, og som for denne beskæftigelse aflønnes af en virksomhed eller en person, der har sit hjemsted eller bopæl i en anden stat, er omfattet af lovgivningen i den sidstnævnte stat, såfremt den pågældende er bosat på dens område. Den virksomhed eller person, som udbetaler lønnen, anses som arbejdsgiver ved anvendelsen af denne lovgivning.
5.
Beskæftigelse som flyve- eller kabinebesætningsmedlem, der udfører passager- eller fragttjenester, anses for beskæftigelse, der udøves i den stat, hvor hjemmebasen er beliggende.
Artikel SSC.11
Udstationerede arbejdstagere
1.
Uanset artikel SSC.10, stk. 3, og som en overgangsforanstaltning i forbindelse med den situation, der eksisterede før denne aftales ikrafttræden, finder følgende regler vedrørende gældende lovgivning anvendelse mellem de medlemsstater, der er opført i kategori A i bilag SSC-8, og Det Forenede Kongerige:
a)
en person, der udøver lønnet beskæftigelse i en stat for en arbejdsgiver, der normalt udøver sin virksomhed dér, og som af denne arbejdsgiver udsendes til en anden stat for at udføre arbejde for denne arbejdsgivers regning, er fortsat omfattet af lovgivningen i førstnævnte stat, forudsat at:
i)
varigheden må ikke overstige 24 måneder og
ii)
denne person udsendes ikke for at erstatte en anden udstationeret arbejdstager
b)
en person, der normalt udøver selvstændig virksomhed i en stat, og som skal udøve en lignende aktivitet i en anden stat, er fortsat omfattet af lovgivningen i førstnævnte stat, forudsat at den forventede varighed af denne aktivitet ikke påregnes at overstige 24 måneder.
2.
Senest ved denne aftales ikrafttræden meddeler Unionen Det Forenede Kongerige, hvilken af følgende kategorier hver medlemsstat falder ind under:
a)
Kategori A: Medlemsstaten har meddelt Unionen, at den ønsker at fravige artikel SSC.10 i overensstemmelse med denne artikel
b)
Kategori B: Medlemsstaten har meddelt Unionen, at den ikke ønsker at fravige artikel SSC.10 eller
c)
Kategori C: Medlemsstaten har ikke oplyst, om den ønsker at fravige artikel SSC.10.
3.
Det i stk. 2 omhandlede dokument bliver bilag SSC-8, når denne aftale træder i kraft.
4.
For medlemsstater, der er opført i kategori A på datoen for denne aftales ikrafttræden, finder stk. 1, litra a), og litra b), anvendelse.
5.
For medlemsstater, der er opført i kategori C på datoen for denne aftales ikrafttræden, finder stk. 1, litra a), og litra b), anvendelse, som om den pågældende medlemsstat var opført i kategori A i en måned efter datoen for denne aftales ikrafttræden. Specialudvalget om Koordinering af de Sociale Sikringsordninger overfører en medlemsstat fra kategori C til kategori A, hvis Unionen underretter Specialudvalget om Koordinering af de Sociale Sikringsordninger om, at den pågældende medlemsstat ønsker at blive overført.
6.
En måned efter denne aftales ikrafttræden ophører kategori B og C med at eksistere. Parterne offentliggør et ajourført bilag SSC-8 snarest muligt derefter. Med henblik på stk. 1 anses bilag SSC-8 for kun at omfatte kategori A-medlemsstater fra datoen for nævnte offentliggørelse.
7.
Hvis en person befinder sig i en af de situationer, der er omhandlet i stk. 1, og som involverer en kategori C-medlemsstat før offentliggørelsen af et ajourført bilag SSC-8 i overensstemmelse med stk. 6, finder stk. 1 fortsat anvendelse på den pågældende person, så længe de udøver deres aktiviteter i henhold til stk. 1.
8.
Unionen underretter Specialudvalget om Koordinering af de Sociale Sikringsordninger, hvis en medlemsstat ønsker at blive fjernet fra kategori A i bilag SSC-8, og Specialudvalget om Koordinering af de Sociale Sikringsordninger fjerner den pågældende medlemsstat fra kategori A i bilag SSC-8 efter anmodning fra Unionen. Specialudvalget om Koordinering af de Sociale Sikringsordninger offentliggør et ajourført bilag SSC-8, som finder anvendelse fra den første dag i den anden måned efter modtagelsen af anmodningen i Specialudvalget om Koordinering af de Sociale Sikringsordninger.
9.
Hvis en person befinder sig i en af de situationer, der er omhandlet i stk. 1, før offentliggørelsen af et ajourført bilag SSC-8 i overensstemmelse med stk. 8, finder stk. 1 fortsat anvendelse på den pågældende person, så længe denne udøver sine aktiviteter i henhold til stk. 1.
Artikel SSC.12
Udøvelse af beskæftigelse på to eller flere staters område
1.
En person, der normalt har lønnet beskæftigelse i en eller flere medlemsstater samt i Det Forenede Kongerige, er omfattet af:
a)
lovgivningen i bopælsstaten, såfremt den pågældende udøver en væsentlig del af sin beskæftigelse i denne stat eller
b)
såfremt den pågældende ikke udøver en væsentlig del af sin beskæftigelse i bopælsstaten:
i)
af lovgivningen i den stat, hvor virksomheden eller arbejdsgiveren har sit hjemsted eller sit forretningssted, hvis den pågældende er beskæftiget af én virksomhed eller arbejdsgiver eller
ii)
af lovgivningen i den stat, hvor virksomhederne eller arbejdsgiverne har deres hjemsted eller forretningssted, hvis den pågældende er beskæftiget af to eller flere virksomheder eller arbejdsgivere, som kun har deres hjemsted eller forretningssted i én stat eller
iii)
af lovgivningen i den stat, hvor virksomhedens eller arbejdsgiverens hjemsted eller forretningssted er beliggende uden for bopælsstaten, hvis den pågældende er beskæftiget af to eller flere virksomheder eller arbejdsgivere, som har deres hjemsted eller forretningssted i en medlemsstat eller Det Forenede Kongerige, hvoraf den ene er bopælsstaten eller
iv)
af lovgivningen i bopælsstaten, hvis den pågældende er beskæftiget af to eller flere virksomheder eller arbejdsgivere, og mindst to af dem har deres hjemsted eller forretningssted i andre stater end bopælsstaten.
2.
En person, der normalt udøver selvstændig virksomhed i en eller flere medlemsstater samt i Det Forenede Kongerige, er omfattet af:
a)
lovgivningen i bopælsstaten, såfremt den pågældende udøver en væsentlig del af sin virksomhed i denne stat eller
b)
lovgivningen i den stat, hvor interessecentret for den pågældendes virksomhed befinder sig, såfremt den pågældende ikke er bosat i en af de stater, hvor den pågældende udøver en væsentlig del af sin virksomhed.
3.
En person, der normalt udøver lønnet beskæftigelse og selvstændig virksomhed i to eller flere stater, er omfattet af lovgivningen i den stat, hvor han udøver lønnet beskæftigelse, eller, såfremt han udøver en sådan beskæftigelse i to eller flere stater, af den lovgivning, der udpeges i overensstemmelse med stk. 1.
4.
En person, som er ansat som tjenestemand i en stat, og som udøver lønnet beskæftigelse eller selvstændig virksomhed i en eller flere stater, er omfattet af lovgivningen i den stat, som den forvaltning, han er ansat i, er omfattet af.
5.
En person, der normalt udøver lønnet beskæftigelse i to eller flere medlemsstater (og ikke i Det Forenede Kongerige), er omfattet af Det Forenede Kongeriges lovgivning, hvis denne person ikke udøver en væsentlig del af denne aktivitet i bopælsstaten, og den pågældende person:
a)
er ansat af en eller flere virksomheder eller arbejdsgivere, som alle har deres hjemsted eller forretningssted i Det Forenede Kongerige
b)
er bosiddende i en medlemsstat og er beskæftiget af to eller flere virksomheder eller arbejdsgivere, som alle har hjemsted eller forretningssted i Det Forenede Kongerige og bopælsmedlemsstaten
c)
er bosiddende i Det Forenede Kongerige og er beskæftiget af to eller flere virksomheder eller arbejdsgivere, hvoraf mindst to har hjemsted eller forretningssted i forskellige medlemsstater eller
d)
er bosiddende i Det Forenede Kongerige og er beskæftiget af en eller flere virksomheder eller arbejdsgivere, som ikke har hjemsted eller forretningssted i andre stater.
6.
En person, der normalt udøver selvstændig virksomhed i to eller flere medlemsstater (og ikke i Det Forenede Kongerige) uden at udøve en væsentlig del af denne virksomhed i bopælsstaten, er omfattet af Det Forenede Kongeriges lovgivning, hvis interessecentret for deres virksomhed befinder sig i Det Forenede Kongerige.
7.
Stk. 6 finder ikke anvendelse på personer, der normalt udøver lønnet beskæftigelse og selvstændig virksomhed i to eller flere medlemsstater.
8.
De i stk. 1 til 6 omhandlede personer behandles ved anvendelse af den lovgivning, der udpeges i overensstemmelse med disse bestemmelser, som om de udøvede hele deres lønnede beskæftigelse eller selvstændige virksomhed og erhvervede alle deres indtægter i den pågældende stat.
Artikel SSC.13
Frivillig eller frivillig fortsat forsikring
1.
Artikel SSC.10, SSC.11 og SSC.12 finder ikke anvendelse på frivillig eller frivillig fortsat forsikring, medmindre der i en stat inden for en af de i artikel SSC.3 nævnte sikringsgrene kun findes en frivillig forsikringsordning.
2.
Hvis den berørte person i medfør af lovgivningen i en stat er omfattet af en obligatorisk forsikring i denne stat, kan den pågældende ikke være omfattet af en frivillig eller frivillig fortsat forsikringsordning i en anden stat. I alle øvrige tilfælde, hvor der for en bestemt sikringsgrens vedkommende består et valg mellem flere frivillige eller frivillige fortsatte forsikringsordninger, optages den pågældende kun i den ordning, denne har valgt.
3.
Såfremt det drejer sig om invaliditet, alderdom eller ydelser til efterladte, kan den pågældende dog optages i en stats ordning for frivillig eller frivillig fortsat forsikring, selv om den pågældende er omfattet af en anden stats tvungne forsikring, for så vidt den pågældende på et tidligere tidspunkt har været omfattet af den førstnævnte stats lovgivning i kraft af eller som følge af lønnet beskæftigelse eller selvstændig virksomhed, og der i den førstnævnte stat er udtrykkelig eller stiltiende hjemmel til en sådan dobbeltforsikring.
4.
Når retten til frivillig eller frivillig fortsat forsikring i henhold til en stats lovgivning er betinget af, at den berettigede er bosat i denne stat eller tidligere har udøvet lønnet beskæftigelse eller selvstændig virksomhed, finder artikel SSC.6, litra b), kun anvendelse på personer, der på et givet tidspunkt tidligere har været omfattet af lovgivningen i denne stat i kraft af, at de har udøvet lønnet beskæftigelse eller selvstændig virksomhed.
Artikel SSC.14
Arbejdsgiverens forpligtelser
1.
En arbejdsgiver, der har sit hjemsted eller forretningssted uden for den kompetente stat, skal overholde alle de forpligtelser, der er foreskrevet i den lovgivning, der finder anvendelse i forhold til dennes arbejdstagere, bl.a. pligten til at betale de bidrag, den pågældende lovgivning foreskriver, som om vedkommende havde sit hjemsted eller forretningssted i den kompetente stat.
2.
En arbejdsgiver, der ikke har noget forretningssted i den stat, hvis lovgivning finder anvendelse, kan aftale med en arbejdstager, at denne på arbejdsgiverens vegne opfylder de forpligtelser, der påhviler arbejdsgiveren med hensyn til betaling af bidrag, dog med forbehold af arbejdsgiverens underliggende forpligtelser. Arbejdsgiveren sender en meddelelse om en sådan aftale til den kompetente institution i den pågældende stat.
AFSNIT III
SÆRLIGE BESTEMMELSER FOR DE FORSKELLIGE KATEGORIER AF YDELSER
KAPITEL 1
YDELSER VED SYGDOM OG MODERESKAB OG DERMED LIGESTILLEDE YDELSER VED FADERSKAB
AFDELING 1
FORSIKRINGSTAGERE OG DERES FAMILIEMEDLEMMER, BORTSET FRA PENSIONISTER OG DERES FAMILIEMEDLEMMER
Artikel SSC.15
Bopæl i en anden stat end den kompetente stat
En forsikringstager eller dennes familiemedlemmer, som er bosat i en anden stat end den kompetente stat, har i bopælsstaten ret til naturalydelser, der for den kompetente institutions regning udredes af institutionen på bopælsstedet i henhold til den for denne institution gældende lovgivning, som om de pågældende personer var forsikret i henhold til denne lovgivning.
Artikel SSC.16
Ophold i den kompetente stat, når bopælen er i en anden stat – særlige regler for grænsearbejderes familiemedlemmer
1.
Medmindre andet er fastsat i stk. 2, har den i artikel SSC.15 omhandlede forsikringstager og dennes familiemedlemmer med ligeledes ret til naturalydelser under ophold i den kompetente stat. Naturalydelserne udredes af den kompetente institution og for denne institutions regning i henhold til den for institutionen gældende lovgivning, som var de pågældende bosat i denne stat.
2.
En grænsearbejders familiemedlemmer har ret til naturalydelser under ophold i den kompetente stat.
Når den kompetente stat er opført i bilag SSC-2, har en grænsearbejders familiemedlemmer, som er bosat i samme stat som grænsearbejderen, dog kun ret til naturalydelser i den kompetente stat på de i artikel SSC.17, stk. 1, fastsatte vilkår.
Artikel SSC.17
Ophold uden for den kompetente stat
1.
Medmindre andet er fastsat i stk. 2, har en forsikringstager og dennes familiemedlemmer, der opholder sig i en anden stat end den kompetente stat, ret til naturalydelser, der for den kompetente institutions regning udredes af opholdsstedets institution i henhold til den for denne institution gældende lovgivning, som om de pågældende personer var forsikret i henhold til denne lovgivning, når:
a)
naturalydelserne bliver nødvendige ud fra et medicinsk synspunkt under opholdet, efter sundhedsudbyderens vurdering, under hensyntagen til ydelsernes art og opholdets forventede varighed
b)
personen ikke har rejst til denne stat med det formål at modtage naturalydelser, medmindre personen er passager eller besætningsmedlem på et skib eller fly, der rejser til denne stat, og naturalydelserne er blevet nødvendige af lægelige årsager under rejsen eller flyvningen og
c)
der fremlægges et gyldigt rettighedsdokument i overensstemmelse med bilag SSC-7, artikel SSCI.22, stk. 1.
2.
Tillæg SSCI-2 til bilag SSC-7 indeholder en liste over naturalydelser som, for at de kan være til rådighed under et ophold i en anden stat, af praktiske grunde kræver, at den berørte person og den institution, der yder behandlingen, har truffet aftale herom forud for opholdet.
Artikel SSC.18
Rejse med det formål at opnå naturalydelser – tilladelse til nødvendig behandling uden for bopælsstaten
1.
Medmindre andet følger af denne protokol, skal en forsikringstager, som rejser til en anden stat med det formål at opnå naturalydelser under opholdet, søge den kompetente institution om tilladelse hertil.
2.
En forsikringstager, som af den kompetente institution får tilladelse til at rejse til en anden stat, for dér at få den for den pågældendes tilstand passende behandling, har ret til naturalydelser, der for den kompetente institutions regning udredes af institutionen på opholdsstedet i henhold til den for denne institution gældende lovgivning, som om den pågældende person var forsikret i henhold til denne lovgivning. Der gives tilladelse, hvis den pågældende behandling er opført under de ydelser, der er fastsat i lovgivningen i den stat, hvor den pågældende er bosat, og denne behandling ikke kan ydes inden for en frist, der er lægeligt forsvarlig under hensyn til den pågældendes aktuelle helbredstilstand og udsigterne for sygdommens udvikling.
3.
Bestemmelserne i stk. 1 og 2 finder tilsvarende anvendelse på en forsikringstagers familiemedlemmer.
4.
Hvis en forsikringstagers familiemedlemmer er bosat i en anden stat end den stat, hvor forsikringstageren er bosat, og den stat, hvor de har bopæl, har valgt at refundere på grundlag af faste beløb, udredes de i stk. 2 omhandlede udgifter til naturalydelser af institutionen på familiemedlemmernes bopælssted. I så fald betragtes institutionen på familiemedlemmernes bopælssted i overensstemmelse med stk. 1 som den kompetente institution.
Artikel SSC.19
Kontantydelser
1.
En forsikringstager og dennes familiemedlemmer, som er bosat eller opholder sig i en anden stat end den kompetente stat, har ret til kontantydelser fra den kompetente institution efter den lovgivning, der gælder for denne institution. Ved aftale mellem den kompetente institution og institutionen på bopæls- eller opholdsstedet kan disse ydelser dog udbetales af bopæls- eller opholdsstedets institution for den kompetente institutions regning efter lovgivningen i den kompetente stat.
2.
Den kompetente institution i en stat, efter hvis lovgivning kontantydelser beregnes på grundlag af en gennemsnitsindtægt eller en gennemsnitlig bidragsbasis, fastsætter denne gennemsnitsindtægt eller gennemsnitlige bidragsbasis alene på grundlag af konstaterede indtægter eller anvendte bidragsbaser i de perioder, der er tilbagelagt efter den nævnte lovgivning.
3.
Den kompetente institution i en stat, efter hvis lovgivning kontantydelser beregnes på grundlag af en fastsat indtægt, skal alene tage hensyn til den fastsatte indtægt, eller i givet fald gennemsnittet af de fastsatte indtægter, der svarer til de perioder, der er tilbagelagt efter den nævnte lovgivning.
4.
Bestemmelserne i stk. 2 og 3 finder tilsvarende anvendelse i de tilfælde, hvor der i den for den kompetente institution gældende lovgivning er fastsat en bestemt referenceperiode, som i givet fald helt eller delvist svarer til de perioder, som den pågældende har tilbagelagt efter lovgivningen i én eller flere andre stater.
Artikel SSC.20
Pensionsansøgere
1.
En forsikringstager, som ved indgivelsen af en ansøgning om pension eller under behandlingen heraf mister retten til naturalydelser efter lovgivningen i den senest kompetente stat, forbliver berettiget til naturalydelser efter lovgivningen i den stat, hvor denne er bosat, såfremt pensionsansøgeren opfylder betingelserne i den i stk. 2 omhandlede stats lovgivning om forsikring. Retten til naturalydelser i bopælsstaten tilkommer også pensionsansøgerens familiemedlemmer.
2.
Naturalydelserne påhviler institutionen i den stat, som i tilfælde af tilkendelse af pension bliver kompetent i henhold til artikel SSC.21, SSC.22 og SSC.23.
AFDELING 2
SÆRLIGE BESTEMMELSER FOR PENSIONISTER OG DERES FAMILIEMEDLEMMER
Artikel SSC.21
Ret til naturalydelser efter bopælsstatens lovgivning
En person, der modtager pension efter lovgivningen i to eller flere stater, herunder lovgivningen i bopælsstaten, og som har ret til naturalydelser efter lovgivningen i den stat, modtager, ligesom sine familiemedlemmer, naturalydelser fra bopælsstedets institution og for denne institutions regning, som om den pågældende alene var berettiget til pension efter lovgivningen i den pågældende stat.
Artikel SSC.22
Ingen ret til naturalydelser efter bopælsstatens lovgivning
1.
En person, der:
a)
har bopæl i en stat
b)
modtager en eller flere pensioner i henhold til lovgivningen i en eller flere stater og
c)
ikke har ret til naturalydelser efter bopælsstatens lovgivning
modtager dog disse ydelser for sig selv og for deres familiemedlemmer, for så vidt som pensionisten ville have ret til dem i henhold til lovgivningen i den stat, der er kompetent med hensyn til deres pension, eller i mindst én af de kompetente stater, hvis den pågældende var bosat i denne stat. Naturalydelserne udredes af institutionen på bopælsstedet, som om den pågældende var berettiget til pension og naturalydelser efter lovgivningen i den pågældende stat, men udgifterne hertil afholdes af den i stk. 2 omhandlede institution.
2.
I de i stk. 1 omhandlede tilfælde udpeges den institution, som det påhviler at afholde udgifterne til naturalydelser, efter følgende regler:
a)
såfremt pensionisten behandles, som om vedkommende har ret til naturalydelser i medfør af lovgivningen i en stat, påhviler udgifterne af disse ydelser den kompetente institution i denne stat
b)
såfremt pensionisten behandles, som om vedkommende har ret til naturalydelser i medfør af lovgivningen i to eller flere stater, påhviler udgifterne af disse ydelser herved den kompetente institution i den stat, af hvis lovgivning den pågældende har været omfattet længst
c)
hvis anvendelsen af reglen i litra b) medfører, at udgifterne for ydelserne påhviler flere institutioner, påhviler udgifterne den kompetente institution i den stat, hvis lovgivning pensionisten senest har været omfattet af.
Artikel SSC.23
Pension i medfør af lovgivningen i én eller flere andre stater end bopælsstaten i tilfælde, hvor der er ret til naturalydelser i bopælsstaten
Såfremt en person, der modtager pension i medfør af lovgivningen i én eller flere stater, er bosat i en stat, efter hvis lovgivning retten til naturalydelser ikke er betinget af forsikring, lønnet beskæftigelse eller udøvelse af selvstændig virksomhed, og den pågældende ikke modtager pension fra den pågældende bopælsstat, påhviler udgifterne til naturalydelser til den pågældende og til dennes familiemedlemmer den efter reglerne i artikel SSC.22, stk. 2, bestemte institution i en af de stater, der er kompetent med hensyn til den pågældendes pensioner, for så vidt den nævnte pensionist og dennes familiemedlemmer ville have ret til disse ydelser, hvis de var bosat i den pågældende stat.
Artikel SSC.24
Familiemedlemmer, der er bosat i en anden stat end den, hvor pensionisten er bosat
Hvis en person:
a)
modtager en eller flere pensioner i henhold til lovgivningen i en eller flere stater og
b)
har bopæl i en anden stat end den, hvor familiemedlemmerne er bosat,
har disse familiemedlemmer ret til naturalydelser fra institutionen på deres bopælssted efter den for denne institution gældende lovgivning, for så vidt pensionisten har ret til naturalydelser efter en stats lovgivning. Udgifterne afholdes af den kompetente institution, der er ansvarlig for udgifterne til de naturalydelser, der ydes pensionisten i bopælsstaten.
Artikel SSC.25
Pensionistens eller dennes familiemedlemmers ophold i en anden stat end bopælsstaten – ophold i den kompetente stat – tilladelse til passende behandling uden for bopælsstaten
1.
Artikel SSC.17 finder tilsvarende anvendelse på:
a)
en person, der modtager pension eller rente i henhold til lovgivningen i en eller flere stater, og som har ret til naturalydelser i henhold til lovgivningen i en af de stater, der udbetaler deres pension(er)
b)
medlemmerne af deres familie,
som opholder sig i en anden stat end den, hvor de er bosat.
2.
Artikel SSC.16, stk. 1 finder tilsvarende anvendelse på de personer, der er nævnt i stk. 1, når de opholder sig i den stat, hvor den kompetente institution er beliggende, der er ansvarlig for udgifterne til de naturalydelser, der ydes pensionisten i bopælsstaten, og denne stat har valgt dette og er opført i bilag SSC-3.
3.
Artikel SSC.18 finder tilsvarende anvendelse på en pensionist og/eller dennes familiemedlemmer, der opholder sig i en anden stat end den, hvor de er bosat, for dér at få den for den pågældendes tilstand passende behandling.
4.
Udgifterne til naturalydelser efter stk. 1-3 afholdes af den kompetente institution, som er ansvarlig for udgifter til naturalydelser, der ydes pensionisten i bopælsstaten, jf. dog stk. 5.
5.
Udgifter til naturalydelser efter stk. 3 afholdes af institutionen på pensionistens eller familiemedlemmernes bopælssted, hvis disse er bosat i en stat, som har valgt at refundere på grundlag af faste beløb. I disse tilfælde skal med henblik på stk. 3 institutionen på pensionistens eller familiemedlemmernes bopælssted, betragtes som den kompetente institution.
Artikel SSC.26
Kontantydelser til pensionister
1.
Kontantydelser udbetales til en person, der modtager pension efter lovgivningen i én eller flere stater, af den kompetente institution i den stat, hvor den kompetente institution, der er ansvarlig for udgifterne til naturalydelser til pensionisten i dennes bopælsstat, er beliggende. Artikel SSC.19 finder tilsvarende anvendelse på:
2.
Bestemmelsen i stk. 1 finder ligeledes anvendelse på en pensionists familiemedlemmer.
Artikel SSC.27
Bidrag, der påhviler pensionister
1.
Den institution i en stat, som efter den lovgivning, der gælder for institutionen, skal tilbageholde bidrag til dækning af ydelser ved sygdom eller moderskab og dermed ligestillede ydelser ved faderskab, må kun opkræve og inddrive disse bidrag, beregnet efter den for denne institution gældende lovgivning, såfremt udgiften til ydelser, der skal udredes i medfør af artikel SSC.21 til SSC.24, skal afholdes af en institution i nævnte stat.
2.
Når erhvervelse af ydelser ved sygdom, moderskab og dermed ligestillede ydelser ved faderskab i de tilfælde, der er omhandlet i artikel SSC.23, er betinget af betaling af bidrag eller tilsvarende ydelser i henhold til lovgivningen i den stat, hvor den pågældende pensionist er bosat, kan disse bidrag ikke opkræves som følge af dette ophold.
AFDELING 3
ALMINDELIGE BESTEMMELSER
Artikel SSC.28
Almindelige bestemmelser
Artikel SSC.21 til SSC.27 finder ikke anvendelse på en pensionist eller dennes familiemedlemmer, såfremt vedkommende har ret til ydelser efter en stats lovgivning på grundlag af lønnet beskæftigelse eller selvstændig virksomhed. I så fald er den pågældende person med henblik på anvendelsen af dette kapitel omfattet af artikel SSC.15 til SSC.19.
Artikel SSC.29
Prioritering af ret til naturalydelser – særregel for familiemedlemmers ret til ydelser i bopælsstaten
1.
Medmindre andet er fastsat i stk. 2 og 3, har et familiemedlem en selvstændig ret til naturalydelser på grundlag af en stats lovgivning eller dette kapitel forud for en afledt ret til naturalydelser for familiemedlemmerne.
2.
Medmindre andet er fastsat i stk. 3, har en afledt ret til naturalydelser forrang for den selvstændige ret, når den selvstændige ret i bopælsstaten består direkte og udelukkende på grundlag af den pågældendes bopæl i denne stat.
3.
Uanset stk. 1 og 2 udredes naturalydelser til en forsikringstagers familiemedlemmer for den kompetente institutions regning i den stat, hvor de er bosat, såfremt:
a)
disse familiemedlemmer er bosat i en stat, efter hvis lovgivning retten til naturalydelser ikke er underlagt forsikrings- eller arbejdsvilkår som arbejdstager eller selvstændig erhvervsdrivende og
b)
ægtefællen eller den person, der sørger for forsikringstagerens børn, har lønnet beskæftigelse eller selvstændig virksomhed i denne stat eller modtager pension fra denne stat på grundlag af lønnet beskæftigelse eller selvstændig virksomhed.
Artikel SSC.30
Refusion mellem institutionerne
1.
De naturalydelser, der udredes af en stats institution for en anden stats institutions regning efter bestemmelserne i dette kapitel, refunderes fuldt ud.
2.
De i stk. 1 omhandlede refusioner fastsættes og gennemføres efter de regler, der er fastsat i bilag SSC-7, enten mod dokumentation for de faktiske udgifter eller på grundlag af faste beløb for stater, hvis retlige eller administrative strukturer er af en sådan art, at anvendelse af refusion på grundlag af faktiske udgifter ikke er hensigtsmæssig.
3.
Staterne og deres kompetente myndigheder kan aftale andre refusionsregler eller give afkald på enhver refusion mellem de under disse stater hørende institutioner.
KAPITEL 2
YDELSER I ANLEDNING AF ARBEJDSULYKKER OG ERHVERVSSYGDOM
Artikel SSC.31
Ret til naturalydelser og kontantydelser
1.
Med forbehold af gunstigere bestemmelser i denne artikels stk. 2 og 3 finder artikel SSC.15, artikel SSC.16, stk. 1, artikel SSC.17, stk. 1, og artikel SSC.18, stk. 1, også anvendelse på ydelser i forbindelse med arbejdsulykker eller erhvervssygdomme.
2.
En person, der har bopæl eller opholder sig i en anden stat end den kompetente stat, og som rammes af en arbejdsulykke eller pådrager sig en erhvervssygdom, har ret til de særlige naturalydelser efter ordningen for arbejdsulykker og erhvervssygdomme, der for den kompetente institutions regning udredes af bopælsstedets eller opholdsstedets institution efter den for denne institution gældende lovgivning, som om den pågældende var forsikret efter denne lovgivning.
3.
Den kompetente institution kan ikke nægte at give den tilladelse, der er omhandlet i artikel SSC.18, stk. 1, til en person, der har været ramt af en arbejdsulykke, eller som har pådraget sig en erhvervssygdom, og som har ret til ydelser fra denne institution, når den behandling, der er passende for den pågældendes tilstand, ikke kan ydes i bopælsstaten inden for en frist, der er lægeligt forsvarlig under hensyn til den pågældendes aktuelle helbredstilstand.
4.
Artikel SSC.19 finder også anvendelse på ydelser efter dette kapitel.
Artikel SSC.32
Udgifter ved transport
1.
Den kompetente institution i en stat, hvis lovgivning indeholder bestemmelser om overtagelse af udgifterne ved transport af en person, som har været udsat for en arbejdsulykke eller lider af en erhvervssygdom, enten til dennes bopæl eller til et hospital, afholder sådanne transportudgifter til det tilsvarende sted i den stat, hvor den pågældende er bosat, for så vidt institutionen i forvejen har givet sit samtykke til en sådan transport under behørig hensyntagen til de grunde, der taler herfor. Et sådant samtykke er ikke påkrævet, hvis den tilskadekomne er grænsearbejder.
2.
Den kompetente institution i en stat, hvis lovgivning indeholder bestemmelser om overtagelse af udgifterne ved transport til begravelsessted af en person, der er omkommet ved en arbejdsulykke, afholder sådanne transportudgifter til det tilsvarende sted i den stat, hvor den pågældende var bosat, da ulykken indtraf, efter den for denne institution gældende lovgivning.
Artikel SSC.33
Ydelser i anledning af en erhvervssygdom, når den tilskadekomne person har været udsat for samme risiko i flere stater
Når en person, der har pådraget sig en erhvervssygdom, har været beskæftiget med en aktivitet, der i kraft af sin art må antages at kunne forårsage den pågældende sygdom, under lovgivningen i to eller flere stater, tilkendes de ydelser, som den pågældende eller dennes efterladte kan gøre krav på, alene efter den stats lovgivning, hvis betingelser den pågældende senest har opfyldt.
Artikel SSC.34
Forværring af en erhvervssygdom
I tilfælde af forværring af en erhvervssygdom, for hvilken den person, der lider af sygdommen, har modtaget eller modtager ydelser efter en stats lovgivning, gælder følgende regler:
a)
Såfremt den pågældende ikke efter den første udbetaling af ydelsen har haft en lønnet beskæftigelse eller selvstændig virksomhed i en anden stat, der må antages at kunne forårsage eller forværre den pågældende sygdom, påhviler det den kompetente institution i den førstnævnte stat at afholde de med ydelserne forbundne udgifter under hensyntagen til den indtrådte forværring, efter den for denne institution gældende lovgivning.
b)
Såfremt den pågældende efter den første udbetaling af ydelsen har haft en sådan beskæftigelse i en anden stat, påhviler det den kompetente institution i den førstnævnte stat at afholde de med ydelserne forbundne udgifter uden hensyntagen til den indtrådte forværring, efter den for denne institution gældende lovgivning. Den kompetente institution i den sidstnævnte stat yder den pågældende et tillæg, hvis størrelse svarer til forskellen mellem de ydelser, der efter den for denne institution gældende lovgivning tilkommer den pågældende efter den indtrådte forværring, og de ydelser, som ville have tilkommet den pågældende, før forværringen indtrådte, efter den for denne institution gældende lovgivning, hvis denne havde pådraget sig den pågældende sygdom på et tidspunkt, hvor denne var omfattet af denne stats lovgivning.
c)
En stats lovbestemmelser om nedsættelse, midlertidig inddragelse eller bortfald af ydelser, finder ikke anvendelse på en person, der modtager ydelser, som er blevet fastsat af institutioner i to stater i henhold til litra b).
Artikel SSC.35
Regler for anvendelsen af særbestemmelser i visse lovgivninger
1.
Såfremt der i den stat, hvor den berørte person har bopæl eller opholder sig, ikke findes nogen forsikring mod arbejdsulykker eller erhvervssygdomme, eller såfremt der ikke under en bestående forsikringsordning er oprettet nogen institution, der udreder naturalydelser, skal disse ydelser udredes af den institution på bopæls- eller opholdsstedet, som det påhviler at udrede naturalydelser i sygdomstilfælde.
2.
Såfremt der ikke findes nogen forsikring mod arbejdsulykker eller erhvervssygdomme i den kompetente stat, finder bestemmelserne i dette kapitel om naturalydelser dog anvendelse på en person, der er berettiget til sådanne ydelser i tilfælde af sygdom, moderskab eller dermed ligestillede ydelser ved faderskab i henhold til lovgivningen i den pågældende stat, når personen kommer ud for en arbejdsulykke eller lider af en erhvervssygdom, efter at vedkommende har bosat sig eller opholder sig i en anden stat. Udgifterne afholdes af den institution, der er kompetent vedrørende naturalydelser i henhold til lovgivningen i den kompetente stat.
3.
Artikel SSC.6 gælder for den kompetente institution i en stat med hensyn til ligestilling af arbejdsulykker eller erhvervssygdomme, der senere er indtruffet eller konstateret under lovgivningen i en anden stat, ved fastsættelse af invaliditetsgraden, af retten til ydelser eller af disses størrelse, på betingelse af:
a)
at der for en tidligere indtrådt eller konstateret arbejdsulykke eller erhvervssygdom ikke er tilkendt erstatning i henhold til den for institutionen gældende lovgivning, og
b)
at der for en senere indtrådt eller konstateret arbejdsulykke eller erhvervssygdom ikke tilkendes erstatning i henhold til den i den anden stat gældende lovgivning, under hvilken arbejdsulykken eller erhvervssygdommen er indtrådt eller konstateret.
Artikel SSC.36
Refusion mellem institutionerne
1.
Artikel SSC.30 finder også anvendelse på ydelser efter dette kapitel, idet refusion sker mod dokumentation for de faktiske udgifter.
2.
Staterne eller deres kompetente myndigheder kan aftale andre refusionsregler eller give afkald på enhver refusion mellem de under disse stater hørende institutioner.
KAPITEL 3
YDELSER VED DØDSFALD
Artikel SSC.37
Ret til ydelser, når dødsfaldet indtræffer – eller modtageren er bosat – i en anden stat end den kompetente stat
1.
Hvis en forsikringstager eller et medlem af dennes familie afgår ved døden i en anden stat end den kompetente stat, anses dødsfaldet for indtruffet på den kompetente stats område.
2.
Det påhviler den kompetente institution at tilkende ydelser ved dødsfald efter den for denne institution gældende lovgivning, selv om modtageren er bosat i en anden stat end den kompetente stat.
3.
Stk. 1 og 2 finder ligeledes anvendelse, såfremt dødsfaldet skyldes en arbejdsulykke eller en erhvervssygdom.
Artikel SSC.38
Udbetaling af ydelser i tilfælde af en pensionists død
1.
Såfremt en person, der modtager pension efter lovgivningen i en eller flere stater, afgår ved døden på et tidspunkt, hvor denne er bosat i en anden stat end den, hvor den institution, som i medfør af artikel SSC.22 og SSC.23 er ansvarlig for at afholde udgifterne til naturalydelser til den pågældende, er beliggende, skal de ydelser ved dødsfald, hvortil der er erhvervet ret efter den lovgivning, der gælder for denne institution, udbetales for dennes regning, som om pensionisten på det tidspunkt, hvor denne afgik ved døden, var bosat i den stat, hvor nævnte institution er beliggende.
2.
Stk. 1 finder tilsvarende anvendelse for pensionisters familiemedlemmer.
KAPITEL 4
YDELSER VED INVALIDITET
Artikel SSC.39
Beregning af ydelser ved invaliditet
Med forbehold af artikel SSC.7 er den kompetente stat, når størrelsen af invaliditetsydelserne i henhold til lovgivningen i den kompetente stat i henhold til denne protokols afsnit II afhænger af længden af forsikrings-, beskæftigelses- eller bopælsperioderne eller perioderne med selvstændig virksomhed, ikke forpligtet til at medregne sådanne perioder, der er tilbagelagt efter en anden stats lovgivning, ved beregningen af størrelsen af de ydelser ved invaliditet, der skal betales.
Artikel SSC.40
Særlige bestemmelser om sammenlægning af perioder
Den kompetente institution i den stat, efter hvis lovgivning erhvervelse, bevarelse eller generhvervelse af retten til ydelser er betinget af, at der er tilbagelagt forsikrings- eller bopælsperioder, anvender om nødvendigt artikel SSC.46 tilsvarende.
Artikel SSC.41
Forværring af invaliditet
I tilfælde af forværring af invaliditet, for hvilken en person modtager ydelser efter lovgivningen i en stat i henhold til denne protokol, udredes ydelsen fortsat i henhold til dette kapitel under hensyntagen til den indtrådte forværring.
Artikel SSC.42
Overgang fra ydelser ved invaliditet til ydelser ved alderdom
1.
Når det er fastsat ved lov i den stat, der udbetaler ydelser ved invaliditet i henhold til denne protokol, overgår ydelser ved invaliditet til aldersydelser på de betingelser, der er fastsat i den lovgivning, hvorefter de tilkendes, og i overensstemmelse med afsnit III, kapitel 5.
2.
Hvis en person, der modtager ydelser ved invaliditet, kan gøre krav på ydelser ved alderdom efter lovgivningen i en eller flere af de øvrige stater, skal enhver institution, som det påhviler at udrede ydelser ved invaliditet efter en stats lovgivning, i overensstemmelse med artikel SSC.45 fortsat yde en person de ydelser ved invaliditet, denne har ret til efter den for den pågældende institution gældende lovgivning, indtil det tidspunkt, hvor bestemmelserne i stk. 1 kommer til anvendelse for denne institutions vedkommende, eller så længe den pågældende opfylder betingelserne for at opnå disse ydelser.
Artikel SSC.43
Særlige bestemmelser for tjenestemænd
Artikel SSC.7, SSC.39, SSC.41, SSC.42 og artikel SSC.55, stk. 2 og 3, finder tilsvarende anvendelse på personer, der er omfattet af en særlig ordning for tjenestemænd.
KAPITEL 5
ALDERS- OG EFTERLADTEPENSIONER
Artikel SSC.44
Hensyntagen til børnepasningsperioder
1.
Hvis en børnepasningsperiode ikke tages i betragtning i henhold til lovgivningen i den stat, der er kompetent i henhold til afsnit II, skal institutionen i den stat, hvis lovgivning i henhold til afsnit II var gældende for den berørte person, fordi denne var i lønnet beskæftigelse eller udøvede selvstændig virksomhed på den dato, fra hvilken børnepasningsperioden for det pågældende barn i henhold til denne lovgivning blev taget i betragtning, fortsat være ansvarlig for at tage denne periode i betragtning som en børnepasningsperiode i henhold til dens egen lovgivning, som om denne børnepasning fandt sted på dens eget territorium.
2.
Stk. 1 gælder ikke, hvis den berørte person er eller bliver omfattet af lovgivningen i en stat som følge af lønnet beskæftigelse eller selvstændig virksomhed.
Artikel SSC.45
Almindelige bestemmelser
1.
Når der er indgivet ansøgning om ydelser, fastsættes retten til ydelser af de kompetente institutioner i de stater, hvis lovgivning den pågældende har været omfattet af, medmindre den pågældende udtrykkeligt anmoder om, at fastsættelsen af ydelser ved alderdom efter lovgivningen i en eller flere stater stilles i bero.
2.
Såfremt den pågældende på et bestemt tidspunkt ikke eller ikke længere opfylder de foreskrevne betingelser i alle de staters lovgivning, denne har været omfattet af, skal de institutioner, som anvender en lovgivning, hvis betingelser er opfyldt, ved beregningen af ydelser efter artikel SSC.47, stk. 1, litra a) eller b), ikke medregne perioder, der er tilbagelagt efter lovgivninger, hvis betingelser ikke eller ikke længere er opfyldt, hvis denne medregning fører til et lavere ydelsesbeløb.
3.
Stk. 2 finder tilsvarende anvendelse, når den pågældende udtrykkeligt har anmodet om, at fastsættelsen af en eller flere ydelser ved alderdom stilles i bero.
4.
Der foretages automatisk en fornyet beregning af ydelserne fra det tidspunkt, hvor de betingelser, der er foreskrevet i en eller flere af de øvrige lovgivninger, er opfyldt, eller når den pågældende anmoder om fastsættelse af en ydelse ved alderdom, der er blevet stillet i bero i overensstemmelse med stk. 1, medmindre de perioder, der er tilbagelagt efter andre lovgivninger, allerede er medregnet i henhold til stk. 2 eller 3.
Artikel SSC.46
Særlige bestemmelser om sammenlægning af perioder
1.
Såfremt tilkendelse af visse ydelser efter en stats lovgivning er betinget af, at der er tilbagelagt forsikringsperioder udelukkende inden for en bestemt lønnet beskæftigelse eller selvstændig virksomhed eller inden for et fag, for hvilke der gælder en særordning, som anvendes på personer, der udøver lønnet beskæftigelse eller selvstændig virksomhed, medregner den kompetente institution i staten kun de perioder, der tilbagelagt efter en anden stats lovgivning efter en tilsvarende ordning, eller hvis en sådan ikke findes, inden for samme fag eller i givet fald inden for den samme lønnede beskæftigelse eller selvstændige virksomhed.
Såfremt den pågældende på grundlag af de således tilbagelagte perioder ikke opfylder betingelserne for at modtage ydelser efter en særordning, medregnes disse perioder ved tilkendelse af ydelser efter den almindelige ordning, eller, hvis en sådan ordning ikke findes, efter ordningen for arbejdstagere eller funktionærer, forudsat at den pågældende har været omfattet af en af disse ordninger.
2.
De forsikringsperioder, der er tilbagelagt efter en særordning i en stat, medregnes ved tilkendelse af ydelser efter den almindelige ordning, eller, hvis en sådan ikke findes, efter den ordning, der i en anden stat gælder for arbejdstagere eller funktionærer, forudsat at den pågældende har været omfattet af en af disse ordninger, også selv om de pågældende perioder allerede er medregnet i sidstnævnte stat efter en særordning.
3.
Såfremt erhvervelse, bevarelse eller generhvervelse af ret til ydelser efter lovgivningen eller en særlig ordning i en stat er betinget af, at den pågældende på tidspunktet for forsikringsbegivenhedens indtræden var forsikret, anses denne betingelse for at være opfyldt, hvis den pågældende tidligere har været forsikret i henhold til den pågældende stats lovgivning eller en særlig ordning, og hvis den pågældende på tidspunktet for forsikringsbegivenhedens indtræden er forsikret i henhold til en anden stats lovgivning for den samme forsikringsbegivenhed, eller hvis dette ikke er tilfældet, kan gøre krav på en ydelse i henhold til en anden stats lovgivning for den samme forsikringsbegivenhed. Sidstnævnte betingelse anses dog for at være opfyldt i de tilfælde, der er omhandlet i artikel SSC.52.
Artikel SSC.47
Ydelsernes fastsættelse
1.
Den kompetente institution beregner det ydelsesbeløb, der skal udredes:
a)
i henhold til den for institutionen gældende lovgivning, men kun hvis de betingelser, der kræves for ret til ydelser, udelukkende er opfyldt efter national lovgivning (national ydelse)
b)
ved at beregne et teoretisk beløb og derefter et faktisk beløb (pro rata-ydelse) således:
i)
det teoretiske beløb for ydelsen er lig den ydelse, som den pågældende ville kunne gøre krav på, hvis samtlige forsikrings- og/eller bopælsperioder, der er tilbagelagt efter de øvrige staters lovgivning, havde været tilbagelagt efter den for institutionen gældende lovgivning på det tidspunkt, da ydelsen skulle fastsættes. Såfremt ydelsesbeløbet efter nævnte lovgivning ikke afhænger af længden af de tilbagelagte perioder, anses dette beløb for at være det teoretiske beløb
ii)
den kompetente institution fastsætter derefter det faktiske beløb for pro rata-ydelsen på grundlag af det teoretiske beløb efter forholdet mellem længden af de forsikrings- og/eller bopælsperioder, der er tilbagelagt efter den for institutionen gældende lovgivning forud for forsikringsbegivenhedens indtræden, og den samlede længde af de forsikrings- og/eller bopælsperioder, der er tilbagelagt efter alle de staters lovgivning, som den pågældende har været omfattet af, forud for forsikringsbegivenhedens indtræden.
2.
Den kompetente institution anvender i givet fald samtlige regler om nedsættelse, midlertidig inddragelse eller bortfald af ydelser, der er fastsat i den for institutionen gældende lovgivning, på ydelsesbeløbet beregnet i henhold til stk. 1, litra a) og b), inden for de grænser, der er fastsat i artikel SSC.48, SSC.49 og SSC.50.
3.
Den pågældende har fra den kompetente institution i hver af de berørte stater ret til det højeste af de ydelsesbeløb, der er beregnet i henhold til stk. 1, litra a) og b).
4.
Når beregningen i henhold til stk. 1, litra a), i en stat altid fører til det resultat, at den nationale ydelse er lig med eller højere end pro rata-ydelsen, beregnet i henhold til stk. 1, litra b), kan den kompetente institution undlade at foretage pro rata-beregning, når:
a)
en sådan situation er beskrevet i del 1 i bilag SSC-4
b)
ingen lovgivning, der indeholder antikumulationsregler som omhandlet i artikel SSC.49 og SSC.50, finder anvendelse, medmindre betingelserne i artikel SSC.50, stk. 2, er opfyldt, og
c)
artikel SSC.52 ikke finder anvendelse på sagens særlige omstændigheder i forbindelse med forsikringsperioder, der er tilbagelagt efter en anden stats lovgivning.
5.
Uanset stk. 1, 2 og 3 anvendes pro rata-beregningen ikke på ordninger for ydelser, hvor tidsrum ikke indvirker på beregningen, såfremt sådanne ordninger er anført i del 2 i bilag SSC-4. I sådanne tilfælde har den pågældende person ret til den ydelse, der beregnes efter lovgivningen i den berørte stat.
Artikel SSC.48
Antikumulationsregler
1.
Sammenfald af ydelser ved alderdom og til efterladte, som beregnes eller udredes på grundlag af forsikrings- eller bopælsperioder, der er tilbagelagt af en og samme person, betragtes som sammenfald af ydelser af samme art.
2.
Sammenfald af ydelser, der ikke kan betragtes som ydelser af samme art i den i stk. 1 anførte forstand, betragtes som sammenfald af ydelser af forskellig art.
3.
Følgende bestemmelser gælder for anvendelsen af antikumulationsregler i en stats lovgivning, når der er sammenfald mellem en ydelse ved alderdom eller til efterladte med en ydelse af samme art eller en ydelse af forskellig art eller sammenfald med andre indtægter:
a)
Den kompetente institution skal kun tage hensyn til ydelser eller indtægter, der er erhvervet eller opnået i en anden stat, såfremt det er fastsat i den for institutionen gældende lovgivning, at ydelser eller indtægter, der er erhvervet eller opnået i udlandet, skal tages i betragtning.
b)
Den kompetente institution skal tage hensyn til det ydelsesbeløb, der skal udbetales af en anden stat inden fradrag af skat, sociale sikringsbidrag og andre individuelle indeholdelser, medmindre den for institutionen gældende lovgivning indeholder antikumulationsregler, der skal anvendes efter sådanne indeholdelser på de betingelser og efter de procedurer, som er fastlagt i bilag SSC-7.
c)
Den kompetente institution skal ikke tage hensyn til det ydelsesbeløb, der er erhvervet ret til efter lovgivningen i en anden stat på grundlag af en frivillig eller frivillig fortsat forsikring.
d)
Såfremt en enkelt stat anvender antikumulationsregler, fordi den pågældende modtager ydelser af samme eller af anden art i henhold til andre staters lovgivning eller har andre indtægter, der er opnået i andre stater, kan den pågældende ydelse højst nedsættes med et beløb, der svarer til beløbet for sådanne ydelser eller for sådanne indtægter.
Artikel SSC.49
Sammenfald af ydelser af samme art
1.
Ved sammenfald af ydelser af samme art, der skal udbetales efter lovgivningen i to eller flere stater, finder antikumulationsreglerne i en stats lovgivning ikke anvendelse på en pro rata-ydelse.
2.
Antikumulationsreglerne finder kun anvendelse på en national ydelse, såfremt det drejer sig om:
a)
en ydelse, hvis størrelse er uafhængig af forsikrings- eller bopælsperiodernes længde, eller
b)
en ydelse, hvis størrelse fastsættes på grundlag af en fiktiv periode, der anses for at være tilbagelagt mellem tidspunktet for forsikringsbegivenhedens indtræden og et senere tidspunkt, når der samtidig består ret til en sådan ydelse, og
i)
enten en ydelse af samme art, medmindre to eller flere stater har indgået aftale om ikke at medregne samme fiktive periode mere end én gang, eller
ii)
en ydelse som omhandlet i litra a) ovenfor.
De ydelser og aftaler, der er omhandlet i litra a) og b), er opført i bilag SSC-5.
Artikel SSC.50
Samtidig ret til ydelser af forskellig art
1.
Såfremt det på grund af udbetaling af ydelser af forskellig art eller anden indtægt er nødvendigt at anvende antikumulationsreglerne i den pågældende stats lovgivning, fordi der er tale om:
a)
to eller flere nationale ydelser, skal de kompetente institutioner dividere ydelsen eller ydelserne eller en anden indtægt, som er blevet medregnet, med antallet af ydelser, som er omfattet af de nævnte regler.
Anvendelsen af dette litra kan dog ikke fratage den pågældende sin status som pensionist i forbindelse med anvendelse af de andre kapitler i dette afsnit på de betingelser og efter de procedurer, som er fastlagt i bilag SSC-7
b)
en eller flere pro rata-ydelser, skal de kompetente institutioner med henblik på anvendelsen af antikumulationsreglerne medregne ydelsen eller ydelserne eller andre indtægter samt alle andre bestanddele svarende til forholdet mellem de forsikrings- og/eller bopælsperioder, der er taget i betragtning ved den i artikel SSC.47, stk. 1, litra b), nr. ii), omhandlede beregning eller
c)
en eller flere nationale ydelser og en eller flere pro rata-ydelser, skal de kompetente institutioner lade litra a) finde tilsvarende anvendelse for så vidt angår nationale ydelser og lade litra b) finde tilsvarende anvendelse for så vidt angår pro rata-ydelser.
2.
Den kompetente institution foretager ikke deling af nationale ydelser, hvis den for institutionen gældende lovgivning indeholder bestemmelser om, at ydelser af forskellig art eller anden indtægt samt alle andre bestanddele skal medregnes med et beløb svarende til forholdet mellem de i artikel SSC.47, stk. 1, litra b), nr. ii), omhandlede forsikrings- og/eller bopælsperioder.
3.
Stk. 1 og 2 finder tilsvarende anvendelse, såfremt det i en eller flere staters lovgivning er fastsat, at der ikke opstår ret til ydelser i de tilfælde, hvor den pågældende får udbetalt en ydelse af anden art efter lovgivningen i en anden stat eller har andre indtægter.
Artikel SSC.51
Supplerende bestemmelser om beregning af ydelser
1.
For beregningen af de i artikel SSC.47, stk. 1, litra b), omhandlede teoretiske beløb og pro rata-beløb gælder følgende regler:
a)
Såfremt den samlede længde af de forsikrings- og/eller bopælsperioder, der efter lovgivningen i samtlige berørte stater er tilbagelagt forud for forsikringsbegivenhedens indtræden, overstiger den længste forsikringstid, der kræves efter lovgivningen i en af disse stater for at opnå fuld ydelse, skal den pågældende stats kompetente institution medregne denne forsikringstid i stedet for den samlede længde af de tilbagelagte perioder denne beregningsmetode må ikke føre til, at den pågældende institution skal udrede et større ydelsesbeløb end størrelsen af den fulde ydelse, der er fastsat i den for denne institution gældende lovgivning. Denne bestemmelse finder ikke anvendelse på ydelser, hvis størrelse er uafhængig af forsikringsperiodernes længde
b)
proceduren for medregning af sammenfaldende perioder findes i bilag SSC-7
c)
såfremt det i en stats lovgivning er fastsat, at ydelserne beregnes på grundlag af gennemsnitlige, forholdsmæssige, faste eller fiktive indtægter, bidrag, bidragsbaser, tillæg, indtjening, andre beløb eller en kombination af flere af disse, skal den kompetente institution:
i)
fastsætte beregningsgrundlaget for ydelserne udelukkende på grundlag af de forsikringsperioder, der er tilbagelagt efter den for denne institution gældende lovgivning
ii)
med henblik på fastsættelsen af det beløb, der skal beregnes på grundlag af de forsikrings- og/eller bopælsperioder, der er tilbagelagt efter lovgivningen i de øvrige stater, anvende de samme bestanddele, der er fastsat eller konstateret for de forsikringsperioder, der er tilbagelagt efter den for denne institution gældende lovgivning,
om nødvendigt i overensstemmelse med procedurerne i bilag SSC-6 for den pågældende stat
d)
i tilfælde af, at litra c) ikke kan anvendes, fordi ydelsen efter statens lovgivning skal beregnes på grundlag af andre elementer end forsikringsperioder eller bopælsperioder, der ikke er knyttet til tid, tager den kompetente institution for den enkelte forsikrings- eller bopælsperiode, der er tilbagelagt efter en anden stats lovgivning, hensyn til størrelsen af den indtjente kapital, den kapital, der betragtes som indtjent, eller andre elementer til beregningen efter den lovgivning, som institutionen forvalter, divideret med de tilsvarende tidsenheder i den pågældende pensionsordning.
2.
Bestemmelserne i en stats lovgivning om regulering af de bestanddele, der er indgået i beregningen af ydelserne, finder i givet fald anvendelse på bestanddele, som den kompetente institution i denne stat skal tage hensyn til i overensstemmelse med stk. 1, i forbindelse med de forsikrings- eller bopælsperioder, der er tilbagelagt efter andre staters lovgivning.
Artikel SSC.52
Forsikrings- eller bopælsperioder på under et år
1.
Uanset artikel SSC.47, stk. 1, litra b), er en stats institution ikke forpligtet til at tilkende ydelser på grundlag af perioder, der er tilbagelagt efter den for denne institution gældende lovgivning, og som skal tages i betragtning ved forsikringsbegivenhedens indtræden, såfremt
a)
de omtalte perioder sammenlagt er på under ét år, og
b)
der ikke alene på grundlag af disse perioder består ret til ydelser efter denne lovgivning.
I denne artikel forstås ved "perioder": alle forsikrings-, beskæftigelses- eller bopælsperioder eller perioder med selvstændig erhvervsvirksomhed, som enten kvalificerer til eller direkte øger den pågældende ydelse.
2.
Den kompetente institution i den pågældende stat skal medregne de i stk. 1 nævnte perioder, jf. artikel SSC.47, stk. 1, litra b) nr. i).
3.
Såfremt anvendelsen af stk. 1 ville medføre, at samtlige institutioner i de berørte stater blev fritaget for pligten til at udrede ydelser, skal ydelserne tilkendes alene efter lovgivningen i den stat, hvis betingelser den pågældende senest har opfyldt, som om samtlige forsikrings- og bopælsperioder, der er tilbagelagt og medregnet efter artikel SSC.7 og artikel SSC.46, stk. 1 og 2, har været tilbagelagt efter den pågældende stats lovgivning.
4.
Denne artikel finder ikke anvendelse på de ordninger, der er anført i del 2 i bilag SSC-4.
Artikel SSC.53
Ydelse af tillæg
1.
En person, der modtager ydelser i henhold til dette kapitel, kan ikke få tilkendt et beløb, der er lavere end den minimumsydelse, som for en forsikrings- eller bopælsperiode svarende til samtlige perioder, der efter bestemmelserne i dette kapitel er taget i betragtning ved ydelsens fastsættelse, er fastsat i lovgivningen i bopælsstaten, og efter hvis lovgivning den pågældende har ret til ydelser.
2.
Den kompetente institution i den pågældende stat skal gennem hele det tidsrum, hvor den pågældende er bosat i denne stat, udbetale denne et tillæg svarende til forskellen mellem summen af de ydelser, der tilkommer den pågældende efter dette kapitel, og størrelsen af minimumsydelsen.
Artikel SSC.54
Regulering og fornyet beregning af ydelser
1.
Såfremt metoden for fastsættelse eller reglerne for beregning af ydelser ændres i medfør af en stats lovgivning, eller såfremt der sker en relevant ændring i den pågældendes personlige situation, der efter denne lovgivning resulterer i en justering af ydelsen, foretages der en fornyet beregning i medfør af artikel SSC.47.
2.
Såfremt ydelserne i den pågældende stat ændres med en procentdel eller et bestemt beløb som følge af stigninger i leveomkostningerne, ændringer i indtægtsniveauet eller andre forhold, som giver anledning til regulering, finder en sådan procentsats eller et sådant bestemt beløb dog direkte anvendelse på de ydelser, der er fastsat efter artikel SSC.47, uden at der skal foretages fornyet beregning.
Artikel SSC.55
Særlige bestemmelser for tjenestemænd
1.
Artikel SSC.7 og SSC.45, artikel SSC.46, stk. 3, samt artikel SSC.47 til SSC.54 finder tilsvarende anvendelse på personer, der er omfattet af en særlig ordning for tjenestemænd.
2.
Såfremt erhvervelse, fortabelse, bevarelse eller generhvervelse af ret til ydelser efter en særordning for tjenestemænd i henhold til en kompetent stats lovgivning er betinget af, at samtlige forsikringsperioder er tilbagelagt efter en eller flere særordninger for tjenestemænd i denne stat eller efter ordninger, som efter denne stats lovgivning anses for at svare til sådanne perioder, medregner den kompetente institution i den pågældende stat dog udelukkende de perioder, der kan anerkendes efter den for denne institution gældende lovgivning.
Såfremt den pågældende på grundlag af de således tilbagelagte perioder ikke opfylder betingelserne for at modtage disse ydelser, medregnes disse perioder ved tilkendelse af ydelser efter den almindelige ordning eller, hvis en sådan ordning ikke findes, efter ordningen for arbejdstagere eller funktionærer, alt efter omstændighederne.
3.
Når ydelserne efter en særordning for tjenestemænd i henhold til en stats lovgivning beregnes på grundlag af det senest udbetalte vederlag eller de vederlag, der er oppebåret i løbet af en referenceperiode, tager den kompetente institution i denne stat ved beregningen udelukkende hensyn til det behørigt fremskrevne vederlag, der er oppebåret i den eller de perioder, hvor den pågældende var omfattet af denne lovgivning.
KAPITEL 6
ARBEJDSLØSHEDSYDELSER
Artikel SSC.56
Særlige bestemmelser om sammenlægning af forsikringsperioder, beskæftigelsesperioder eller perioder med selvstændig virksomhed
1.
Den kompetente institution i en stat, i hvis lovgivning erhvervelse, bevarelse, generhvervelse eller varighed af retten til ydelser er betinget af, at der er tilbagelagt enten forsikringsperioder, beskæftigelsesperioder eller perioder med selvstændig virksomhed, skal i fornødent omfang medregne forsikringsperioder, beskæftigelsesperioder eller perioder med selvstændig virksomhed, der er tilbagelagt efter enhver anden stats lovgivning, som om det drejer sig om perioder, der er blevet tilbagelagt efter den for institutionen gældende lovgivning.
Når retten til ydelser i henhold til gældende lovgivning er betinget af, at der er tilbagelagt forsikringsperioder, medregnes beskæftigelsesperioder eller perioder med selvstændig virksomhed, der er tilbagelagt efter lovgivningen i en anden stat, dog kun, hvis disse perioder ville være blevet anset for forsikringsperioder, hvis de var blevet tilbagelagt efter gældende lovgivning.
2.
Anvendelsen af stk. 1 er betinget af, at den pågældende person senest, efter bestemmelserne i den lovgivning i henhold til hvilken der ansøges om ydelser, har tilbagelagt:
a)
forsikringsperioder, hvis denne lovgivning kræver forsikringsperioder
b)
beskæftigelsesperioder, hvis denne lovgivning kræver beskæftigelsesperioder, eller
c)
perioder med selvstændig virksomhed, hvis denne lovgivning kræver perioder med selvstændig virksomhed.
Artikel SSC.57
Beregning af ydelser ved arbejdsløshed
1.
Når beregningen af arbejdsløshedsydelserne er baseret på størrelsen af den pågældendes tidligere løn- eller erhvervsindtægt, tager den kompetente stat hensyn til den løn eller erhvervsmæssige indkomst, som den pågældende har oppebåret udelukkende på grundlag af sin seneste lønnede beskæftigelse eller selvstændige virksomhed i henhold til den kompetente stats lovgivning.
2.
Hvis den lovgivning, der anvendes af den kompetente stat, fastsætter en specifik referenceperiode for fastsættelsen af den løn eller erhvervsindtægt, der anvendes til at beregne ydelsens størrelse, og den pågældende person i hele eller en del af denne referenceperiode har været omfattet af lovgivningen i en anden stat, tager den kompetente stat kun hensyn til den løn- eller erhvervsindtægt, han har oppebåret under sin seneste beskæftigelse eller selvstændige virksomhed i henhold til denne lovgivning.
KAPITEL 7
EFTERLØN
Artikel SSC.58
Ydelser
Når retten til efterløn i henhold til gældende lovgivning er betinget af, at der er tilbagelagt forsikringsperioder, beskæftigelsesperioder eller perioder med selvstændig virksomhed, finder bestemmelserne i artikel SSC.7 ikke anvendelse.
AFSNIT IV
FORSKELLIGE BESTEMMELSER
Artikel SSC.59
Samarbejde
1.
Staternes kompetente myndigheder underretter Specialudvalget om Koordinering af de Sociale Sikringsordninger om enhver ændring af deres lovgivning for så vidt angår de sociale sikringsgrene, der er omfattet af artikel SSC.3, som er relevante for eller kan påvirke gennemførelsen af denne protokol.
2.
Medmindre der i henhold til denne protokol skal gives meddelelse om sådanne oplysninger til Specialudvalget om Koordinering af de Sociale Sikringsordninger, meddeler staternes kompetente myndigheder hinanden de foranstaltninger, der er truffet for at gennemføre denne protokol, og som ikke er meddelt i henhold til stk. 1, og som er relevante for denne protokols gennemførelse.
3.
Staternes myndigheder og institutioner yder med henblik på gennemførelsen af denne protokol hinanden bistand, som om det drejede sig om gennemførelsen af deres egen lovgivning. Den gensidige administrative bistand ydes i princippet vederlagsfrit af disse myndigheder og institutioner. Specialudvalget om Koordinering af de Sociale Sikringsordninger fastlægger dog arten af de refusionsberettigede udgifter og de tærskler, som udløser refusion.
4.
Staternes myndigheder og institutioner kan med henblik på anvendelsen af denne forordning forhandle direkte med hinanden samt med de pågældende personer eller deres repræsentanter.
5.
De institutioner og personer, der er omfattet af denne protokol, har en gensidig forpligtelse til oplysning og samarbejde med henblik på at sikre, at denne protokol gennemføres korrekt.
Institutionerne besvarer i overensstemmelse med princippet om god forvaltningsskik alle forespørgsler inden for en rimelig frist og giver i den forbindelse de berørte personer alle oplysninger, der er nødvendige for at udøve deres rettigheder i henhold til denne protokol.
De pågældende skal hurtigst muligt underrette institutionerne i den kompetente stat og bopælsstaten om enhver ændring i deres personlige forhold eller familiemæssige situation, der har betydning for deres ret til ydelser ifølge denne protokol.
6.
Manglende opfyldelse af den i stk. 5, tredje afsnit, nævnte oplysningspligt kan give anledning til foranstaltninger i henhold til den nationale lovgivning, som står i et rimeligt forhold til overtrædelsen. Disse foranstaltninger skal ikke desto mindre svare til dem, der finder anvendelse i lignende situationer, der henhører under national lovgivning, ligesom de ikke i praksis må gøre det umuligt eller uforholdsmæssigt vanskeligt at udøve de rettigheder, der er tillagt de berørte ved denne protokol.
7.
Hvis fortolkningen eller anvendelsen af denne protokol giver anledning til vanskeligheder, som kan bringe rettighederne for en af forordningen omfattet person i fare, kontakter institutionen i den kompetente stat eller i bopælsstaten institutionen eller institutionerne i den eller de øvrige berørte stater. Hvis der ikke kan findes en løsning inden for en rimelig frist, kan en part anmode om konsultationer inden for rammerne af Specialudvalget om Koordinering af de Sociale Sikringsordninger.
8.
Myndighederne, institutionerne og domstolene i en stat kan ikke afvise ansøgninger eller andre dokumenter, der indgives til dem, med den begrundelse, at de er affattet på et af Unionens officielle sprog, herunder på engelsk.
Artikel SSC.60
Databehandling
1.
Staterne vil gradvis anvende nye teknologier i forbindelse med udveksling, adgang til og behandling af de data, der er nødvendige for denne protokols anvendelse.
2.
Hver stat er ansvarlig for forvaltningen af sin egen del af databehandlingstjenesterne.
3.
Et elektronisk dokument, som fremsendes eller udstedes af en institution i overensstemmelse med denne protokol og bilag SSC-7, kan ikke afvises af nogen myndighed eller institution i en anden stat med den begrundelse, at det er blevet modtaget elektronisk, når modtagerinstitutionen har erklæret sig rede til at modtage elektroniske dokumenter. Gengivelse eller registrering af sådanne dokumenter betragtes som værende en korrekt gengivelse af det originale dokument eller registrering af de data, det vedrører, medmindre det modsatte bevises.
4.
Et elektronisk dokument anses for gyldigt, hvis det computersystem, hvori dokumentet er registreret, indeholder de fornødne sikkerhedsforanstaltninger til at forhindre enhver ændring, videregivelse eller uautoriseret adgang til registreringen. Det skal til enhver tid være muligt at gengive de registrerede data i en umiddelbart læselig form.
Artikel SSC.61
Fritagelser
1.
Enhver i en stats lovgivning fastsat fritagelse for eller nedsættelse af afgifter, stempel-, rets- eller registreringsgebyrer for attester og dokumenter, der i henhold til den pågældende stats lovgivning skal fremlægges, udvides til også at omfatte tilsvarende akter og dokumenter, der i henhold til en anden stats lovgivning eller i henhold til denne forordning skal fremlægges.
2.
Alle erklæringer, dokumenter og attester af enhver art, der skal fremlægges i forbindelse med anvendelsen af denne protokol, er fritaget for legalisering af diplomatiske eller konsulære myndigheder.
Artikel SSC.62
Begæringer, erklæringer, klage eller sagsanlæg
Begæringer, erklæringer, klager eller sagsanlæg, der i medfør af en stats lovgivning skal være indgivet til en myndighed, en institution eller en domstol i den pågældende stat inden en bestemt frist, anses for rettidigt indgivet, såfremt de inden for samme frist er indgivet til en tilsvarende myndighed, institution eller domstol i en anden stat. I så fald skal den myndighed, institution eller domstol, der har modtaget nævnte begæringer, erklæringer eller klager, straks oversende dem, enten direkte eller gennem de kompetente myndigheder i den pågældende stat, til den kompetente myndighed, institution eller domstol i den førstnævnte stat. Datoen for indgivelse af disse begæringer, erklæringer, klage eller sagsanlæg til en myndighed, institution eller domstol i den sidstnævnte stat anses for at være datoen for deres indgivelse til den kompetente myndighed, institution eller domstol, der skal behandle dem.
Artikel SSC.63
Lægeundersøgelser
1.
De i en stats lovgivning foreskrevne lægeundersøgelser kan på den kompetente institutions begæring foretages på en anden stats område af institutionen på det sted, hvor modtageren af ydelsen har ophold eller bopæl, på de vilkår, der er fastsat i bilag SSC-7, eller på de vilkår, der er aftalt mellem de kompetente myndigheder i de pågældende stater.
2.
Lægeundersøgelser, der foretages på de i stk. 1 fastsatte vilkår, anses for foretaget på den kompetente stats område.
Artikel SSC.64
Inddrivelse af bidrag og tilbagesøgning af ydelser
1.
Skyldige bidrag til en stats institution kan inddrives, og ydelser, der med urette er blevet udbetalt af en stats institution, kan tilbagesøges i en anden stat efter gældende procedurer og med de garantier og fortrinsrettigheder, som gælder for inddrivelse af skyldige bidrag og tilbagesøgning af ydelser, der med urette er blevet udbetalt af den tilsvarende institution i den sidstnævnte stat.
2.
Retskraftige afgørelser fra domstole og administrative myndigheder om inddrivelse af bidrag, renter og alle andre omkostninger eller tilbagesøgning af uberettigede ydelser i henhold til en stats lovgivning anerkendes og fuldbyrdes efter anmodning fra den kompetente institution i en anden stat inden for rammerne af og i overensstemmelse med lovbestemte procedurer og andre procedurer, der finder anvendelse på tilsvarende afgørelser i denne stat. Sådanne afgørelser erklæres retskraftige i denne stat, såfremt det kræves i lovgivningen og andre procedurer i nævnte stat.
3.
Ved tvangsfuldbyrdelse samt i konkurs- og akkordforhandlinger har krav, som en stats institution har, i en anden stat samme fortrinsrettigheder, som tilsvarende krav ville have i henhold til sidstnævnte stats lovgivning.
4.
Proceduren for gennemførelse af denne artikel, herunder også vedrørende de omkostninger, der skal refunderes, fastsættes ved bilag SSC-7 eller om fornødent, og som et supplement, ved aftaler mellem staterne.
Artikel SSC.65
Institutioners krav
1.
Såfremt en person modtager ydelser efter en stats lovgivning for en skade, der skyldes en begivenhed indtruffet i en anden stat, gælder følgende regler for den forpligtede institutions eventuelle krav over for en erstatningspligtig tredjemand:
a)
når den forpligtede institution efter den for denne institution gældende lovgivning er indtrådt i de krav, som modtageren har over for tredjemand, skal enhver stat anerkende denne indtræden
b)
når den forpligtede institution har et selvstændigt krav over for tredjemand, skal enhver stat anerkende dette krav.
2.
Såfremt en person modtager ydelser i medfør af en stats lovgivning for en skade, der skyldes en begivenhed indtruffet i en anden stat, gælder de regler i den nævnte lovgivning, som bestemmer, i hvilke tilfælde arbejdsgivere eller de af dem beskæftigede arbejdstagere er fritaget for civilretligt ansvar, i forhold til den pågældende person eller til den kompetente institution.
Stk. 1 finder tilsvarende anvendelse på den forpligtede institutions eventuelle krav over for arbejdsgivere eller de af dem beskæftigede arbejdstagere, i de tilfælde, hvor det ikke kan udelukkes, at de pågældende er erstatningspligtige.
3.
Hvis to eller flere stater eller deres kompetente myndigheder i henhold til artikel SSC.30, stk. 3, eller artikel SSC.36, stk. 2, har indgået aftale om afkald på refusion mellem de under deres kompetence hørende institutioner, eller når refusionen er uafhængig af størrelsen af de ydelser, der faktisk er udredt, gælder følgende regler om eventuelle krav over for en erstatningspligtig tredjemand:
a)
Såfremt institutionen i bopæls- eller opholdsstaten tilkender en person ydelser for en skade, der er indtrådt på den pågældende stats område, kan denne institution i henhold til den for institutionen gældende lovgivning indtræde i krav eller gøre et selvstændigt krav gældende over for en erstatningspligtig tredjemand.
b)
Ved anvendelsen af litra a):
i)
betragtes ydelsesmodtageren som forsikret af institutionen på bopæls- eller opholdsstedet, og
ii)
denne institution anses for at være den institution, som det påhviler at udrede ydelsen.
c)
Stk. 1 og 2 finder fortsat anvendelse på ydelser, der ikke er omfattet af aftalen om afkald på refusion eller af en refusion, der er uafhængig af størrelsen af de ydelser, der faktisk er udredt.
Artikel SSC.66
Gennemførelse af lovgivningen
I bilag SSC-6 til denne protokol henvises der til særlige gennemførelsesbestemmelser til en bestemt stats lovgivning.
AFSNIT V
AFSLUTTENDE BESTEMMELSER
Artikel SSC.67
Beskyttelse af individets rettigheder
1.
Parterne sikrer i overensstemmelse med deres nationale retsorden, at bestemmelserne i protokollen om koordinering af de sociale sikringsordninger har retskraft, enten direkte eller gennem national lovgivning, hvorved disse bestemmelser gennemføres, således at juridiske eller fysiske personer kan påberåbe sig disse bestemmelser ved nationale retsinstanser og administrative myndigheder.
2.
Parterne sikrer, at juridiske og fysiske personer har mulighed for effektivt at beskytte deres rettigheder i henhold til denne protokol, f.eks. muligheden for at indgive klager til administrative organer eller for at anlægge sag ved en kompetent ret inden for rammerne af en egnet retslig procedure med henblik på at søge passende og rettidig oprejsning.
Artikel SSC.68
Ændringer
Specialudvalget om Koordinering af de Sociale Sikringsordninger kan ændre bilagene og tillæggene til denne protokol.
Artikel SSC.69
Opsigelse af denne protokol
Med forbehold af denne aftales artikel 779 kan hver part til enhver tid opsige denne protokol ved skriftlig meddelelse ad diplomatisk vej. I så tilfælde ophører denne protokol med at være i kraft på den første dag i den niende måned efter datoen for meddelelse heraf.
Artikel SSC.70
Udløbsklausul
1.
Denne protokol ophører med at finde anvendelse femten år efter denne aftales ikrafttræden.
2.
Mindst 12 måneder før denne protokol ophører med at finde anvendelse i overensstemmelse med stk. 1, meddeler hver part den anden part, at den ønsker at indlede forhandlinger med henblik på indgåelse af en ajourført protokol.
Artikel SSC.71
Ordninger efter opsigelsen
Når denne protokol ophører med at finde anvendelse i henhold til artikel SSC.69, artikel SSC.70 eller artikel 779 i denne aftale, bevares de forsikredes rettigheder med hensyn til de rettigheder, der er baseret på perioder, der er tilbagelagt, eller forhold eller begivenheder, der er indtruffet, før denne protokol ophørte med at finde anvendelse. Partnerskabsrådet kan fastsætte yderligere ordninger med passende følge- og overgangsordninger i god tid, inden denne protokol ophører med at finde anvendelse.
BILAG SSC-1
VISSE KONTANTYDELSER, SOM DENNE PROTOKOL IKKE FINDER ANVENDELSE PÅ
DEL 1
SÆRLIGE IKKEBIDRAGSPLIGTIGE KONTANTYDELSER (denne protokols artikel SSC.3, stk. 4, litra a))
i)   DET FORENEDE KONGERIGE
a)
Tillæg til statspension (State Pension Credit Act 2002 og State Pension Credit Act (Northern Ireland) 2002)
b)
Indkomstbaserede ydelser til arbejdssøgende (Jobseekers Act 1995 og Jobseekers (Northern Ireland) Order 1995)
c)
Befordringstilskud til invalidepension (Social Security Contributions and Benefits Act 1992 og Social Security Contributions and Benefits (Northern Ireland) Act 1992)
d)
Mobilitetsdel i den personlige ydelse til selvstændighed (Welfare Reform Act 2012 (del 4) og Welfare Reform (Northern Ireland) Order 2015 (del 5))
e)
Indtægtsrelateret arbejdsløsheds- og understøttelsesydelse (Welfare Reform Act 2007 og Welfare Reform Act (Northern Ireland) 2007)
f)
Best Start Foods-ydelse (Welfare Foods (Best Start Foods) (Scotland) Regulations 2019 (SSI 2019/193))
g)
Best start-tilskud (graviditet og børnetilskud, tilskud til tidlig læring, uddannelsesstøtte) (The Early Years Assistance (Best Start Grants) (Scotland) Regulations 2018 (SSI 2018/370))
h)
Begravelsesstøtteydelse (Funeral Expense Assistance (Scotland) Regulations 2019 (SSI 2019/292)).
ii)   MEDLEMSSTATERNE
ØSTRIG
Kompenserende tillægsydelse (forbundslov af 9. september 1955 om almindelig socialforsikring — ASVG, forbundslov af 11. oktober 1978 om socialforsikring for selvstændige erhvervsdrivende inden for handel og håndværk — GSVG og forbundslov af 11. oktober 1978 om socialforsikring for selvstændige erhvervsdrivende inden for jord- og skovbrug — BSVG).
BELGIEN
a)
Ydelse ved indkomstbortfald (lov af 27. februar 1987)
b)
Garanteret mindsteindtægt til ældre (lov af 22. marts 2001).
BULGARIEN
Social alderspension (artikel 89 i lov om social forsikring).
CYPERN
a)
Socialpension (lov om socialpension af 1995 (lov 25(I)/95), som ændret)
b)
Ydelse til svært motorisk handicappede (ministerrådets afgørelse nr. 38210 af 16. oktober 1992, nr. 41370 af 1. august 1994, nr. 46183 af 11. juni 1997 og nr. 53675 af 16. maj 2001)
c)
Særlig ydelse til blinde (lov om særlige ydelser fra 1996 (lov 77(I)/96), som ændret).
TJEKKIET
Socialydelse (den statslige sociale bistandslov nr. 117/1995 Sml.).
DANMARK
Boligstøtte til pensionister (lov om individuel boligstøtte, lovbekendtgørelse som ændret ved lov nr. 204 af 29. marts 1995).
ESTLAND
a)
Ydelse til voksne handicappede (lov om sociale ydelser til handicappede af 27. januar 1999)
b)
Statslig arbejdsløshedsunderstøttelse (lov om social beskyttelse af arbejdsløse af 29. september 2005).
FINLAND
a)
Boligydelse til pensionister (lov om boligydelse til pensionister, 571/2007)
b)
Arbejdsmarkedsydelse (lov om arbejdsløshedsydelser 1290/2002)
c)
Særlig bistand til indvandrere (lov om særlig bistand til indvandrere 1192/2002).
FRANKRIG
a)
Supplerende ydelser fra:
i)
Den Særlige Invaliditetsfond og
ii)
Alderdomssolidaritetsfonden i forhold til de sikrede rettigheder
(lov af 30. juni 1956 som kodificeret i bind VIII i lov om social sikring)
b)
Ydelse til voksne handicappede (lov af 30. juni 1975 som kodificeret i bind VIII i lov om social sikring)
c)
Særlig ydelse (lov af 10. juli 1952 som kodificeret i bind VIII i lov om social sikring) i forhold til de sikrede rettigheder
d)
Solidaritetsydelse til ældre (bekendtgørelse af 24. juni 2004 som kodificeret i bind VIII i lov om social sikring) fra 1. januar 2006.
TYSKLAND
a)
Underholdshjælp til ældre og til personer med nedsat erhvervsevne i henhold til kapitel 4 i lov om social sikring (SGB), bind XII
b)
Underholdshjælp i henhold til grundsikringen for arbejdssøgende, medmindre den arbejdssøgende opfylder betingelserne for et midlertidigt tilskud efter bortfald af arbejdsløshedsunderstøttelse (artikel 24, stk. 1, i lov om social sikring (SGB), bind II).
GRÆKENLAND
Særlige ydelser til ældre (lov 1296/82).
UNGARN
a)
Invaliderente (ministerrådets dekret nr. 83/1987 (XII 27) om invaliderente)
b)
Ikkebidragspligtig aldersrente (lov III af 1993 om social forvaltning og sociale ydelser)
c)
Befordringstilskud (regeringsdekret nr. 164/1995 (XII 27) om befordringstilskud til svært fysisk handicappede).
IRLAND
a)
Ydelse til arbejdssøgende (Social Welfare Consolidation Act 2005, del 3, kapitel 2)
b)
Statspension (ikkebidragspligtig) (Social Welfare Consolidation Act 2005, del 3, kapitel 4)
c)
Enkepension (ikkebidragspligtig) og enkemandspension (ikkebidragspligtig) (Social Welfare Consolidation Act 2005, del 3, kapitel 6)
d)
Invaliditetsydelse (Social Welfare Consolidation Act 2005, del 3, kapitel 10)
e)
Befordringstilskud (Health Act 1970, afsnit 61)
f)
Blindepension (Social Welfare Consolidation Act 2005, del 3, kapitel 5).
ITALIEN
a)
Socialpension til ubemidlede (lov nr. 153 af 30. april 1969)
b)
Pensioner og ydelser til civilt handicappede og invalider (lov nr. 118 af 30. marts 1971, nr. 18 af 11. februar 1980 og nr. 508 af 21. november 1988)
c)
Pensioner og ydelser til døvstumme (lov nr. 381 af 26. maj 1970 og nr. 508 af 21. november 1988)
d)
Pensioner og ydelser til blinde (lov nr. 382 af 27. maj 1970 og nr. 508 af 21. november 1988)
e)
Tillæg til minimumspensionen (lov nr. 218 af 4. april 1952, nr. 638 af 11. november 1983 og nr. 407 af 29. december 1990)
f)
Tillæg til invaliditetsydelser (lov nr. 222 af 12. juni 1984)
g)
Socialydelse (lov nr. 335 af 8. august 1995)
h)
Socialtillæg (artikel 1, stk. 1 og 12, i lov nr. 544 af 29. december 1988 og efterfølgende ændringer).
LETLAND
a)
Statslig social sikringsydelse (lov om statslige socialydelser af 1. januar 2003)
b)
Befordringstilskud til handicappede med begrænset mobilitet (lov om statslige socialydelser af 1. januar 2003).
LITAUEN
a)
Socialpension (lov fra 2005 om statslige socialydelser, artikel 5)
b)
Socialhjælpsydelse (lov fra 2005 om statslige socialydelser, artikel 15)
c)
Særligt befordringstilskud til handicappede med mobilitetsproblemer (lov om befordringstilskud fra 2000, artikel 7).
LUXEMBOURG
Underholdshjælp til svært handicappede (artikel 1, stk. 2, i lov af 12. september 2003) med undtagelse af personer, der er anerkendt som handicappede arbejdstagere, og som er beskæftiget på det almindelige arbejdsmarked eller i et beskyttet miljø.
MALTA
a)
Supplerende ydelse (afdeling 73 i lov om social sikring (kap. 318) fra 1987)
b)
Alderspension (lov om social sikring (kap. 318) fra 1987).
NEDERLANDENE
a)
Lov af 24. april 1997 om hjælp til arbejde og beskæftigelse for handicappede unge (Wet Wajong)
b)
Lov om supplerende ydelser (TW) af 6. november 1986.
POLEN
Socialpension (lov af 27. juni 2003 om socialpension).
PORTUGAL
a)
Ikkebidragspligtig alders- og invalidepension (lovdekret nr. 464/80 af 13. oktober 1980)
b)
Ikkebidragspligtig enkepension (forordning nr. 52/81 af 11. november 1981)
c)
Solidaritetstillæg til ældre (lovdekret nr. 232/2005 af 29. december 2005, ændret ved lovdekret nr. 236/2006 af 11. december 2006).
SLOVAKIET
a)
Tillæg tilkendt før den 1. januar 2004 til pensioner, der er den eneste indkomstkilde
b)
Socialpension, som er blevet tilkendt før den 1. januar 2004.
SLOVENIEN
a)
Statspension (lov om pensions- og invalideforsikring af 23. december 1999)
b)
Indkomststøtte til pensionister (lov om pensions- og invalideforsikring af 23. december 1999)
c)
Underholdshjælp (lov om pensions- og invalideforsikring af 23. december 1999).
SPANIEN
a)
Garanteret mindsteindtægt (lov nr. 13/82 af 7. april 1982)
b)
Kontante bistandsydelser til ældre og til uarbejdsdygtige invalider (kongeligt dekret nr. 2620/81 af 24. juli 1981):
i)
ikkebidragspligtig invalide- og alderspension som fastsat i afsnit VI, kapitel II, i den konsoliderede tekst til almindelig lov om social sikring, som stadfæstet ved kongeligt dekret nr. 8/2015 af 30. oktober 2015, og
ii)
tillæg til ovennævnte pensioner, som fastsat i lovgivningen i de selvstyrende regioner, hvor sådanne tillægsydelser sikrer en eksistensminimumsindkomst under hensyn til de økonomiske og sociale forhold i de pågældende selvstyrende regioner
c)
Mobilitetsfremmende ydelser og befordringstilskud (lov nr. 13/1982 af 7. april 1982).
SVERIGE
a)
Boligstøtte til pensionister (lov 2001:761)
b)
Økonomisk støtte til ældre (lov 2001:853).
DEL 2
YDELSER VED PLEJEBEHOV AF UBEGRÆNSET VARIGHED (denne protokols artikel SSC.3, stk. 4, litra d))
i)   DET FORENEDE KONGERIGE
a)
Plejetilskud (Social Security Contributions and Benefits Act 1992, Social Security (Attendance Allowance) Regulations 1991, Social Security Contributions and Benefits (Northern Ireland) Act 1992 and Social Security (Attendance Allowance) Regulations (Northern Ireland) 1992)
b)
Pasningstilskud (Social Security Contributions and Benefits Act 1992, The Social Security (Invalid Care Allowance) Regulations 1976, Social Security Contributions and Benefits (Northern Ireland) Act 1992) and The Social Security (Invalid Care Allowance) Regulations 1976 (Northern Ireland)
c)
Invaliditetsydelse, plejekomponent (Social Security Contributions and Benefits Act 1992, Social Security (Disability Living Allowance) Regulations 1991, Social Security Contributions and Benefits (Northern Ireland) Act 1992 and Social Security (Disability Living Allowance) Regulations (Northern Ireland) 1992)
d)
Daglig leveomkostningsdel i den personlige ydelse til selvstændighed (Welfare Reform Act 2012 (Part 4), Social Security (Personal Independence Payment) Regulations 2013, The Personal Independence Payment (Transitional Provisions) Regulations 2013, Personal Independence Payment (Transitional Provisions) (Amendment) Regulations 2019, Welfare Reform (Northern Ireland) Order 2015 (Part 5), The Personal Independence Payment Regulations (Northern Ireland) 2016, The Personal Independence Payment (Transitional Provisions) Regulations (Northern Ireland) 2016 and Personal Independence Payment (Transitional Provisions) (Amendment) Regulations (Northern Ireland) 2019)
e)
Tillæg til pasningstilskud (The Social Security (Scotland) Act 2018)
f)
Tilskud til unge plejere (The Carer's Assistance (Young Carer Grants) (Scotland) Regulations 2020 (som ændret)).
ii)   MEDLEMSSTATERNE
ØSTRIG
a)
Forbundslov om ydelse til langtidspleje (Bundespflegegeldgesetz, BPGG), oprindelig udgave BGBl. nr. 110/1993, seneste ændring BGBl. I nr. 100/2016
b)
Bekendtgørelse om udbetaling af ydelser ved plejebehov af ubegrænset varighed (Einstufungsverordnung zum Bundespflegegeldgesetz (EinstV))
c)
Bekendtgørelse fra forbundsministeren for arbejde, sociale spørgsmål og forbrugerbeskyttelse om behovsvurderinger i forbindelse med pasning af børn og unge i overensstemmelse med forbundsloven om sygepleje (Bundespflegegeldgesetz, Kinder-EinstV)
d)
Gældende retsgrundlag af forskellig art, f.eks. aftale mellem forbundsregeringen og delstaterne om fælles foranstaltninger for personer med behov for pleje. Delstaternes lovgivning om social bistand og handicaplove
e)
Lov om plejefond (Pflegefondsgesetz, PFG), oprindelig udgave: Den tyske Statstidende Bundesgesetzblatt (BGBl. I) nr. 57/2011
f)
Bekendtgørelse om statistik over plejetjenester 2012 (Pflegedienstleistungsstatistik-Verordnung 2012)
g)
Støtte til døgnpleje: Forbundslov om ydelse ved plejebehov af ubegrænset varighed (Bundespflegegeldgesetz, BPGG)
h)
Retningslinjer for støtte til døgnpleje (§ 21b i forbundsloven om langtidspleje (Bundespflegegeldgesetz))
i)
Retningslinjer for tildeling af ydelser til plejefamiliemedlemmer (§ 21a i forbundsloven om langtidspleje (Bundespflegegeldgesetz))
j)
Forbud mod erstatningssøgsmål i relation til pleje
k)
Forbundslov om et særligt tillæg, fordi der ikke længere er adgang til midler, når personer indkvarteres i hospitalsfaciliteter
l)
Forbundslov om et særligt tillæg, fordi der ikke længere er adgang til midler, når personer indkvarteres i hospitalsfaciliteter for 2019 og 2020, BGBl. I nr. 95/2019.
BELGIEN
a)
Lov om obligatorisk sundhedspleje- og sygedagpengeforsikring (Loi relative à l'assurance obligatoire soins de santé et indemnités/Wet betreffende de verplichte verzekering voor geneeskundige verzorging en uitkeringen), koordineret den 14. juli 1994
b)
Lov af 27. februar 1987 om ydelser til mennesker med et handicap (Loi relative aux allocations aux personnes handicapées/Wet betreffende de tegemoetkomingen aan gehandicapten)
c)
Flamsk social sikring (Vlaamse sociale bescherming): Det flamske parlaments dekret af 18. maj 2018 om organisering af den flamske sociale sikring (Decreet houdende Vlaamse sociale bescherming/) og den flamske regerings bekendtgørelser af 30. november 2018
d)
Den vallonske lov på det sociale område og sundhedsområdet (Code wallon de l'Action sociale et de la Santé), dekretdelen. Del 1, bind IIIb, indført ved dekret af 8. november 2018
e)
Den vallonske lovkodeks på det sociale område og sundhedsområdet, del I/1, indført ved den vallonske regerings dekret af 21. december 2018
f)
Bekendtgørelse af 13. december 2018 om tilbud til ældre eller omsorgskrævende personer samt om palliativ pleje (Dekret über die Angebote für Senioren und Personen mit Unterstützungsbedarf sowie über die Palliativpflege)
g)
Bekendtgørelse af 4. juni 2007 om psykiatriske plejehjem (Dekret über die psychiatrischen Pflegewohnheime)
h)
Regeringsbekendtgørelse af 20. juni 2017 om mobilitetstilskud (Erlass über die Mobilitätshilfen)
i)
Bekendtgørelse af 13. december 2016 om oprettelse af det tysksprogede fællesskabs kontor for uafhængig levevis (Dekret zur Schaffung einer Dienststelle der Deutschsprachigen Gemeinschaft für selbstbestimmtes Leben)
j)
Kongelig anordning af 5. marts 1990 om alderdomsydelse (Arrêté royal du 5 mars 1990 relatif à l'allocations pour l'aide aux personnes âgées)
k)
Regeringsbekendtgørelse af 19. december 2019 om overgangsordninger i forbindelse med proceduren for opnåelse af forhåndstilladelse eller godkendelse af dækning eller deling af omkostningerne ved langsigtet rehabilitering i udlandet (Erlass der Regierung zur übergansweisen Regelung des Verfahrens zur Erlangung einer Vorabgeehmigung oder Zustimmung zwecks Kostenübernahme oder Kostenbeteiligung für eine Langzeitrehabilitation im Ausland)
l)
Bekendtgørelse af 21. december 2018 om sygesikringsorganer i Bruxelles inden for sundhedspleje og bistand til mennesker (Ordonnance du 21 décembre 2018 relative aux organismes assureurs bruxellois dans le domaine des soins de santé et de l'aide aux personnes)
m)
Samarbejde mellem føderale enheder:
n)
Samarbejdsaftale af 31. december 2018 mellem det flamske fællesskab, regionen Vallonien, kommissionen for Det Franske Fællesskab, det fælles fællesskabsudvalg og det tysksprogede fællesskab om mobilitetstilskud
o)
Samarbejdsaftale af 31. december 2018 mellem det flamske fællesskab, regionen Vallonien, kommissionen for Det Franske Fællesskab, det fælles fællesskabsudvalg og det tysksprogede fællesskab om finansiering af pleje ved brug af plejeinstitutioner uden for den føderale enheds grænser.
BULGARIEN
a)
Lov om social sikring (Кодекс за социално осигуряване), 1999 titlen er ændret i 2003
b)
Lov om social bistand (Закон за социално подпомагане), 1998
c)
Forordning om gennemførelse af loven om social bistand (Правилник за прилагане на Закона за социално подпомагане), 1998
d)
Lov om integration af personer med handicap 2019 (Закон за хората с увреждания), 2019
e)
Lov om personlig bistand af 2019 (Закон за личната помощ), som trådte i kraft den 1. september 2019
f)
Forordning om gennemførelse af loven om integration af personer med handicap (Правилник за прилагане на Закона за интеграция на хората с увреждания), 2004
g)
Bekendtgørelse om medicinsk ekspertise (Наредба за медицинската експертиза) 2010
h)
Tarif for sociale tjenesteydelser, der finansieres over statsbudgettet (Тарифа за таксите за социални услуги, финансирани от държавния бюджет), 2003.
KROATIEN
a)
Lov om social velfærd (Zakon o socijalnoj skrbi) af 2013, EUT nr. 157/13, 152/14, 99/15, 52/16, 16/17, 130/17 og 98/19)
b)
Lov om plejefamilier (Zakon o udomiteljstvu), EUT nr. 90/11 og 78/12, som ændret
c)
Bekendtgørelse om mindstekrav til levering af sociale tjenester (Pravilnik o minimalnim uvjetima za pružanje socijalnih usluga) af 2014, EUT nr. 40/14 og 66/15
d)
Bekendtgørelse om modtageres deltagelse i og betaling af udgifter til vedligeholdelse af indkvartering uden for familien (Pravilnik o sudjelovanju i načinu plaćanja korisnika I drugih obveznika uzdržavanja u troškovima smještaja izvan vlastite obitelji) af 1998, EFT nr. 112/98 og 05/02, som ændret
e)
Bekendtgørelse om indholdet af og fremgangsmåden ved registrering af personer, der er erhvervsmæssigt beskæftiget med levering af sociale tjenester (Pravilnik o sadržaju I načinu vođenja evidencije fizičkih osoba koje profesionalno pružaju socijalne usluge) af 2015, EUT nr. 66/15.
CYPERN
a)
Socialforsorgen (Υπηρεσίες Κοινωνικής Ευημερίας):
b)
Den garanterede mindsteindkomst og sociale ydelser generelt (nødhjælp og plejebehov) forordninger og bekendtgørelser, efterhånden som de ændres eller erstattes. Love om ældreboliger og boliger for personer med handicap (Οι περί Στεγών για Ηλικιωμένους και Αναπήρους Νόμοι) af 1991-2011. [L. 222/91 og L. 65(I)/2011]
c)
Love om voksencentre (Οι περί Κέντρων Ενηλίκων Νόμοι) (L. 38(Ι)/1997 og L.64(Ι)/2011)
d)
Statsstøtteordning i henhold til forordning (EF) nr. 360/2012 om levering af tjenesteydelser af almindelig økonomisk interesse (de minimis) [Σχέδιο Κρατικών Ενισχύσεων 'Ησσονος Σημασίας, βαση του Κανονισμού 360/2012 για την παροχή υπηρεσιών γενικού οικονομικού συμφέροντος]
e)
Socialforsorgsforvaltningen (Υπηρεσία Διαχείρισης Επιδομάτων Πρόνοιας):
f)
Lov om den garanterede mindsteindkomst og sociale ydelser generelt af 2014, som ændret eller erstattet
g)
Den garanterede mindsteindkomst og sociale ydelser generelt forordninger og bekendtgørelser, efterhånden som de ændres eller erstattes.
TJEKKIET
a)
Lov nr. 108/2006 om sociale tjenester (Zákon o sociálních službách)
b)
Lov nr. 372/2011 om sundhedsydelser (Zákon o zdravotních službách)
c)
Lov nr. 48/1997 om offentlig sygeforsikring (Zákon o veřejném zdravotním pojištění).
DANMARK
a)
Lovbekendtgørelse nr. 988 af 17. august 2017 om social service
b)
Lovbekendtgørelse nr. 119 af 1. februar 2019 om almene boliger.
ESTLAND
Lov om social velfærd (Sotsiaalhoolekande seadus) 2016.
FINLAND
a)
Lov om tjenesteydelser og bistand til handicappede (Laki vammaisuuden perusteella järjestettävistä palveluista ja tukitoimista) af 3. april 1987
b)
Lov om støtte til den funktionelle kapacitet i den aldrende befolkning og om social- og sundhedsydelser for ældre (Laki ikääntyneen väestön toimintakyvyn tukemisesta sekä iäkkäiden sosiaali- ja terveyspalveluista) af 28. december 2012
c)
Lov om social velfærd (Sosiaalihuoltolaki) af 30. december 2014
d)
Lov om sundhedspleje (Terveydenhuoltolaki) af 30. december 2010
e)
Lov om primær sundhedspleje (Kansanterveyslaki) af 28. januar 1972
f)
Lov om uformel plejestøtte (Laki omaishoidon tuesta) af 2. december 2005
g)
Lov om familiepleje (Perhehoitolaki) af 20. marts 2015.
FRANKRIG
a)
Tillæg til en tredjepart (majoration pour tierce personne, MTP): Artikel L. 341-4 og L. 355-1 i loven om social sikring (code de la sécurité sociale)
b)
Tillægsydelse for at benytte en tredjepart (prestation complémentaire pour recours à tierce personne): Artikel L. 434-2 i loven om social sikring
c)
Særligt uddannelsestillæg for et barn med handicap (complément d'allocation d'éducation de l'enfant handicapé): Artikel L. 541-1 i loven om social sikring
d)
Invaliditetsydelse (prestation de compensation du handicap, PCH): Artikel L. 245-1 – L. 245-14 i lov om sociale foranstaltninger og familieforhold (Code de l'action sociale et des familles).
e)
Godtgørelse for tab af selvstændighed (allocation personnalisée d'autonomie, APA): Artikel L. 232-1 – L. 232-28 i lov om sociale foranstaltninger og familieforhold (Code de l'action sociale et des familles).
TYSKLAND
a)
Langfristet plejeforsikring (Pflegeversicherung):
b)
Social langfristet plejeforsikring for personer, der er omfattet af den lovpligtige sygeforsikring og privat lovpligtig forsikring for langtidspleje for personer, der er omfattet af en privat sygeforsikring: Lov om social sikring, Sozialgesetzbuch, bind XI (SGB XI), senest ændret ved artikel 2 i lov af 21. december 2019 (BGBl. I p. 2913).
GRÆKENLAND
a)
Lov nr. 1140/1981 som ændret
b)
Lovdekret nr. 162/73 og fælles ministeriel afgørelse nr. Π4β/5814/1997
c)
Ministeriel afgørelse nr. Π1γ/ΑΓΠ/οικ.14963 af 9. oktober 2001
d)
Lov nr. 4025/2011
e)
Lov nr. 4109/2013
f)
Lov nr. 4199/2013, artikel 127
g)
Lov nr. 4368/2016, artikel 334
h)
Lov nr. 4483/2017, artikel 153
i)
Lov nr. 498/1-11-2018, artikel 28, 30 og 31, for så vidt angår den nationale sundhedstjenesteudbyder EOPYY's "Unified Health Benefits Regulation".
UNGARN
a)
Langtidspleje i form af personligt social omsorgsarbejde (social service):
b)
Lov III af 1993 om social forvaltning og social bistand (törvény a szociális igazgatásról és szociális ellátásokról) suppleret med regeringsbekendtgørelser og ministerielle bekendtgørelser.
IRLAND
a)
Health Act 1970 (nr. 1 af 1970)
b)
Lov om støtte til plejehjem af 2009 (nr. 15 af 2009)
c)
Lovbekendtgørelse om social velfærd 2005:
d)
Tilskud i plejetilfælde
e)
Plejeydelse
f)
Pasningstilskud
g)
Tilskud til omsorgspersoner
h)
Tilskud til hjemmepleje.
ITALIEN
a)
Lov nr. 118 af 30. marts 1971 om civile invaliditetsydelser (Legge 30 Marzo 1971, n. 118 - Conversione in Legge del D.L. 30 gennaio 1971, n. 5 e nuove norme in favore dei mutilati ed invalidi civili)
b)
Lov nr. 18 af 11. februar 1980 om tilskud i plejetilfælde (Legge 11 Febbraio 1980, n. 18 - Indennità di accompagnamento agli invalidi civili totalmente inabili)
c)
Lov nr. 104 af 5. februar 1992, artikel 33 (rammelov om handicap) (Legge 5 Febbraio 1992, n. 104 - Legge-quadro per l'assistenza, l'integrazione sociale e i diritti delle persone handicappate)
d)
Lovdekret nr. 112 af 31. marts 1998 om overførsel af lovgivningsopgaver og administrative kompetencer fra staten til regioner og lokale enheder (Decreto Legislativo 31 Marzo 1998, n. 112 - Conferimento di funzioni e compiti amministrativi dello Stato alle regioni ed agli enti locali, in attuazione del capo I della Legge 15 Marzo 1997, n. 59)
e)
Europa-Parlamentets og Rådets forordning (EF) nr. 883/04 om koordinering af de sociale sikringsordninger (Regolamento (CE) 883 del 29 aprile 2004 del Parlamento Europeo e del Consiglio, relativo al coordinamento dei sistemi di sicurezza sociale - SNCB – art 70 og bilag X)
f)
Lov nr. 183 af 4. november 2010, artikel 24, om ændring af reglerne om tilladelser til assistance til personer med handicap i vanskelige situationer (Legge n. 183 del 4 Novembre 2010, art. 24 - Modifiche alla disciplina in materia di permessi per l'assistenza a portatori di handicap in situazione di gravità)
g)
Lov nr. 147 af 27. december 2013 med bestemmelser om opstilling af statens årlige og flerårige budget – stabilitetslov 2014 (Disposizioni per la formazione del bilancio annuale e pluriennale dello Stato - Legge di stabilità 2014).
LETLAND
a)
Lov om social service og Social bistand (Sociālo pakalpojumu un sociālās palīdzības likums) af 31.10.2002
b)
Lov om medicinsk behandling (Ārstniecības likums) af 12.6.1997
c)
Lov om patientrettigheder (Pacific entu tiesību likums) 30.12.2009
d)
Ministerkabinettets bekendtgørelse nr. 555 om tilrettelæggelsen af og betalingsproceduren for sundhedsydelser (Ministru kabineta 2018. gada 28.augusta noteikumi Nr.555 "Veselības aprūpes pakalpojumu organizēšanas un samaksas kārtība") af 28.8.2018
e)
Ministerkabinettets bekendtgørelse nr. 275 om procedurer for betaling af socialt omsorgsarbejde og social rehabilitering samt procedurer for lokalforvaltningsbudgetters dækning af serviceomkostninger (Ministru kabineta 2003.gada 27.maija noteikumi Nr.275 "Sociālās aprūpes un sociālās rehabilitācijas pakalpojumu samaksas kārtība un kārtība, kādā pakalpojuma izmaksas tiek segtas no pašvaldības budžeta") af 27.5.2003
f)
Ministerkabinettets bekendtgørelse nr. 138 om modtagelse af sociale ydelser og social bistand (Ministru kabineta 2019.gada 2.aprīļa noteikumi Nr 138 "Noteiku mi par sociālo pakalpojumu un sociālās palīdzības saņemšanu") af 2.4.2019.
LITAUEN
a)
Lov om target-kompensation (Tikslinių kompensacijų įstatymas) af 29. juni 2016 (nr. XII-2507)
b)
Lov om sociale tjenester (Socialinių paslaugų įstatymas) af 19. januar 2006 (nr. X-493)
c)
Lov om sygeforsikring (Sveikatos draudimo įstatymas) af 21. maj 1996 (nr. I-1343)
d)
Lov om sundhedssystemet (Sveikatos sistemos įstatymas) af 19. juli 1994 (nr. I-552)
e)
Lov om sundhedsinstitutioner (Sveikatos priežiūros įstaigų įstatymas) af 6. juni 1996 (nr. I-1367).
LUXEMBOURG
Lov af 19. juni 1998 om indførelse af en plejeforsikringsordning, ændret ved lov af 23. december 2005 og lov af 29. august 2017.
MALTA
a)
Lov om social sikring (Att dwar is-Sigurta' Socjali) (Cap. 318)
b)
Afledt lovgivning 318.19: bekendtgørelse vedrørende statsejede institutioner og takster for indkvartering hos plejefamilier (Regolamenti dwar it-Trasferiment ta' Fondi għal Hostels Statali Indikati)
c)
Afledt lovgivning 318.17: bekendtgørelse om overførsel af midler (statsfinanserede sengepladser) (Regolamenti dwar it-Trasferiment ta' Fondi għal Sodod Iffinanzjati mill-Gvern)
d)
Afledt lovgivning 318.13: bekendtgørelse om takster for ydelser i hjemmet, der finansieres over statsbudgettet (Regolamenti dwar Rati għal Servizzi Residenzjali Finanzjali mill-Istat).
NEDERLANDENE
Lov om langtidspleje (Wet langdurige zorg (WLZ)), lov af 3. december 2014.
POLEN
a)
Lov om sundhedsydelser finansieret af offentlige midler (Ustawa o świadczeniach opieki zdrowotnej finansowanych ze środków publicznych) af 27. august 2004
b)
Lov om social bistand (Ustawa o pomocy społecznej) af 12. marts 2004
c)
Lov om familieydelser (Ustawa o świadczeniach rodzinnych) af 28. november 2003
d)
Lov om social pension (Ustawa o rencie socjalnej) af 27. juni 2003
e)
Lov om social sikring og pensionskasser (Ustawa o emeryturach i rentach z Funduszu Ubezpieczeń Społecznych) af 17. december 1998
f)
Lov om erhvervsmæssig og social rehabilitering og beskæftigelse af personer med handicap (Ustawa o rehabilitacji zawodowej i społecznej oraz zatrudnianiu osób niepełnosprawnych) af 27. august 1997
g)
Lov om støtte til gravide kvinder og deres familier "for livet" (Ustawa o wsparciu kobiet w ciąży i rodzin "Za życiem") af 4. november 2016
h)
Lov om tillægsydelse til personer, der ikke kan leve i uafhængighed (Ustawa o świadczeniu uzupełniającym dla osób niezdolnych do samodzielnej egzystencji) af 31. juli 2019.
PORTUGAL
a)
Socialforsikring og garanti for tilstrækkelige midler:
b)
Lovdekret nr. 265/99 af 14. juli 1999 om tillæg til plejebehov af ubegrænset varighed (complemento por dependência), som ændret flere gange
c)
Lov 90/2009 af 31. august 2009 om den særlige beskyttelsesordning i tilfælde af handicap (regime especial de proteção na invalidez), offentliggjort på ny i konsolideret udgave ved lovdekret 246/2015 af 20. oktober 2015, ændret
d)
Det sociale sikringssystem og det nationale sundhedsvæsen:
e)
Lovdekret nr. 101/06 af 6. juni 2006 om det nationale netværk for integreret længerevarende sundhedspleje (rede de cuidados continuados integrados), offentliggjort på ny i konsolideret udgave ved lovdekret 136/2015 af 28. juli 2015
f)
Lovdekret nr. 8/2010 af 28. januar 2010, ændret og offentliggjort på ny ved lovdekret nr. 22/2011 af 10. februar 2011 om oprettelse af enheder og hold til integreret længerevarende sundhedspleje inden for mental sundhed (unidades e equipas de cuidados continuados integrados de saúde mental)
g)
Dekret nr. 343/2015 af 12. oktober 2015 om standarder for pædiatrisk pleje på hospital og ambulant samt udskrivningsstyringshold og pædiatriske plejehold inden for rammerne af det nationale netværk for integreret langtidspleje (condições de instalação e funcionamento das unidades de internamento de cuidados integrados pediátricos e de ambulatório pediátricas, bem como as condições a que devem obedecer as equipas de gestão de altas e as equipas de cuidados continuados integrados destinadas a cuidados pediátricos da Rede Nacional de Cuidados Continuados Integrados)
h)
Lov nr. 6/2009 af 6. september om status som uformel omsorgsperson (Estatuto do cuidador informal).
RUMÆNIEN
a)
Lov nr. 17 af 6. marts 2000 om social bistand til ældre (Legea privind asistența socială a persoanelor vârstnice) med senere ændringer
b)
Lov nr. 448 af 6. december 2006 om beskyttelse og fremme af rettighederne for personer med handicap (Legea privind protecția și promovarea drepturilor persoanelor cu handicap) med senere ændringer
c)
Lov nr. 292 af 20. december 2011 om social bistand (Legea asistenței sociale).
SLOVAKIET
a)
Lov om sociale tjenester (Zákon o sociálnych službách) nr. 448/2008
b)
Lov om økonomiske ydelser til personer med handicap (Zákon o peňažných príspevkoch na kompenzáciu ťažkého zdravotného postihnutia) nr. 447/2008
c)
Lov om sundhedspleje og ydelser i relation til sundhedspleje (Zákon o zdravotnej starostlivosti a službách súvisiacich s poskytovaním zdravotnej starostlivosti) nr. 576/2004
d)
Lov om udbydere af sundhedsydelser, læger og faglige lægeforeninger (Zákon o poskytovateľoch zdravotnej starostlivosti, zdravotníckych pracovníkoch a stavovských organizáciách v zdravotníctve) nr. 578/2004
e)
Lov om eksistensminimum (Zákon o životnom minime) nr. 601/2003
f)
Lov om familie (Zákon o rodine) nr. 36/2005
g)
Lov om social og retlig beskyttelse af børn og socialt værgemål (Zákon o sociálno-právnej ochrane detí a sociálnej kuratele) nr. 305/2005
h)
Lov om social arbejde (Zákon o sociálnej práci) nr. 219/2014.
SLOVENIEN
Ingen specifik lovgivning vedrørende langtidspleje.
Ydelser ved plejebehov af ubegrænset varighed er omfattet af følgende retsakter:
a)
Lov om pensions- og invalideforsikring (Zakon o pokojninskem in invalidskem zavarovanju) (Republikken Sloveniens statstidende nr. 96/2012 med senere ændringer)
b)
Lov om finansiel social bistand (Zakon o socialno vartsvenih prejemkih) (Republikken Sloveniens statstidende nr. 61/2010 med senere ændringer)
c)
Lov om udøvelse af rettigheder til offentlige midler (Zakon o uveljavljanju pravic iz javnih sredstev) (Republikken Sloveniens statstidende nr. 62/2010 med senere ændringer)
d)
Lov om social sikring (Zakon o socialnem varstvu) (Republikken Sloveniens officielle tidende, nr. 3/2004 – officiel konsolideret tekst og senere ændringer)
e)
Lov om forældreomsorg og familieydelser (Zakon o starševskem varstvu in družinskih prejemkih) (Republikken Sloveniens statstidende nr. 110/2006 – officiel konsolideret tekst med senere ændringer)
f)
Lov om personer med fysiske og mentale handicap (Zakon o družbenem varstvu duševno in telesno prizadetih oseb) (Republikken Sloveniens statstidende nr. 41/83 med senere ændringer)
g)
Lov om sundhedspleje og sygeforsikring (Zakon o zdravstvenem varstvu in zdravstvenem zavarovanju) (Republikken Sloveniens officielle tidende, nr. 72/2006 – officiel konsolideret tekst og senere ændringer)
h)
Lov om krigsveteraner (Zakon o vojnih veteranih) (Republikken Sloveniens officielle tidende, nr. 59/06 – officiel konsolideret tekst og senere ændringer)
i)
Lov om krigsinvalider (Zakon o vojnih invalidih) (Republikken Sloveniens officielle tidende, nr. 63/59 – officiel konsolideret tekst og senere ændringer)
j)
Lov om budgetbalance (Zakon za uravnoteženje javnih finance (ZUJF)) (Republikken Sloveniens statstidende nr. 40/2012 med senere ændringer)
k)
Lov om regulering af overførsler til enkeltpersoner og husholdninger i Republikken Slovenien (Zakon o usklajevanju transferjev posameznikom in gospodinjstvom v Republiki Sloveniji) (Republikken Sloveniens statstidende nr. 114/2006 – officiel konsolideret tekst med senere ændringer).
SPANIEN
a)
Lov nr. 39/2006 af 14. december 2006 om fremme af personlig autonomi og bistand til personer i afhængighedsforhold, som ændret
b)
Ministerielt dekret af 15. april 1969
c)
Kongeligt dekret nr. 1300/95 af 21. juli 1995 med senere ændringer
d)
Kongeligt dekret nr. 1647/97 af 31. oktober 1997 med senere ændringer.
SVERIGE
a)
Socialtjänstlagen (2001:453) af 2001
b)
Hälso- och sjukvårdslag (2017:30) af 2017.
DEL 3
BETALINGER, DER ER KNYTTET TIL EN SOCIAL SIKRINGSGREN, DER ER ANFØRT I DENNE PROTOKOLS Artikel SSC.3, STK. 1, OG SOM UDBETALES TIL DÆKNING AF VARMEUDGIFTER I KOLDT VEJR (denne protokols artikel SSC.3, stk. 4, litra f))
i)   DET FORENEDE KONGERIGE
Vinterbrændselshjælp (Social Security Contributions and Benefits Act 1992, Social Fund Winter Fuel Payment Regulations 2000, Social Security Contributions and Benefits (Northern Ireland) Act 1992 and Social Fund Winter Fuel Payment Regulations (Northern Ireland) 2000).
ii)   MEDLEMSSTATERNE
DANMARK
a)
Lov om social pension, LBK nr. 983 af 23.9.2019
b)
Bekendtgørelse om social pension (førtidspension, seniorpension og folkepension), BEK nr. 1602 af 27.12.2019.
BILAG SSC-2
BEGRÆNSNING AF RET TIL NATURALYDELSER FOR EN GRÆNSEARBEJDERS FAMILIEMEDLEMMER
(omhandlet i denne protokols artikel SSC.16, stk. 2)
KROATIEN
DANMARK
IRLAND
FINLAND
SVERIGE
DET FORENEDE KONGERIGE
BILAG SSC-3
FLERE RETTIGHEDER FOR PENSIONISTER, DER VENDER TILBAGE TIL DEN KOMPETENTE STAT
(denne protokols artikel SSC.25, stk. 2)
ØSTRIG
BELGIEN
BULGARIEN
CYPERN
TJEKKIET
FRANKRIG
TYSKLAND
GRÆKENLAND
UNGARN
LUXEMBOURG
NEDERLANDENE
POLEN
SLOVENIEN
SPANIEN
SVERIGE
BILAG SSC-4
TILFÆLDE, HVOR PRO RATA-BEREGNINGEN UNDLADES ELLER IKKE FINDER ANVENDELSE
(denne protokols artikel SSC.47, stk. 4 og 5)
DEL 1
TILFÆLDE, HVOR PRO RATA-BEREGNINGEN UNDLADES ELLER IKKE FINDER ANVENDELSE I MEDFØR AF Artikel SSC.47, STK. 4
ØSTRIG
a)
Alle ansøgninger om ydelser i henhold til forbundslov af 9. september 1955 om almindelig socialforsikring – Allgemeines Sozialversicherungsgesetz (ASVG), forbundslov af 11. oktober 1978 om socialforsikring for selvstændige beskæftiget i handelssektoren – Gewerblichen Sozialversicherungsgesetz (GSVG) og forbundslov af 11. oktober 1978 om socialsikring for selvstændige landbrugere – Bauern Sozialversicherungsgesetz (BSVG) og forbundslov af 30. november 1978 om socialsikring for selvstændige i liberale erhverv – Freiberuflich Selbstständigen Sozialversicherungsgesetz (FSVG)
b)
Alle ansøgninger om efterladtepension på grundlag af en pensionskonto i henhold til lov om almindelig pension (Allgemeines Pensionsgesetz, APG) af 18. november 2004, med undtagelse af tilfælde under del 2
c)
Alle ansøgninger om og efterladtepension fra de østrigske provinslægekamre (Landesärztekammer) baseret på grundydelser (grundydelse og eventuel supplerende ydelse eller grundbeløb)
d)
Alle ansøgninger om efterladteydelser fra pensionsfonden under det østrigske dyrlægekammer
e)
Alle ansøgninger om ydelser fra pensioner vedrørende enke- og børnepension i henhold til vedtægterne for de østrigske advokatsammenslutningers velfærdsinstitutioner, del A
f)
Alle ansøgninger om ydelser i henhold til lov om notarforsikring af 3. februar 1972 – NVG 1972.
CYPERN
Alle ansøgninger om alderspension samt enke- og enkemandspension.
DANMARK
Alle pensionsansøgninger nævnt i lov om social pension med undtagelse af pensioner nævnt i bilag SSC-5 til denne protokol.
IRLAND
Alle ansøgninger om (midlertidig) statslig alderspension, (bidragspligtig) statslig alderspension og (bidragspligtig) enke- og enkemandspension.
LETLAND
Alle ansøgninger om efterladtepension (lov om statslige pensioner af 1. januar 1996, lov om statsfinansierede pensioner af 1. juli 2001).
LITAUEN
Alle ansøgninger om statslig social efterladtepension beregnet på grundlag af efterladtepensionens grundbeløb (loven om statslige sociale pensioner).
NEDERLANDENE
Alle ansøgninger om alderspension i henhold til lov om almindelig alderdomsforsikring (Algemene Ouderdomswet (AOW)).
POLEN
Alle ansøgninger om alderspensioner i henhold til den definerede ydelsesordning og efterladtepensioner, med undtagelse af tilfælde, hvor de samlede forsikringsperioder, der er tilbagelagt i henhold til lovgivningen i mere end én stat, er lig med eller længere end 20 år for kvinder og 25 år for mænd, men de nationale forsikringsperioder er under disse grænser (og ikke under 15 år for kvinder og 20 år for mænd), og beregningen foretages i henhold til artikel 27 og 28 i lov af 17. december 1998 (den polske statstidende 2015, punkt 748).
PORTUGAL
Alle ansøgninger om alders- og efterladtepension, bortset fra de tilfælde, hvor de samlede forsikringsperioder tilbagelagt under mere end en stats lovgivning svarer til eller overstiger 21 kalenderår, men de nationale forsikringsperioder svarer til eller ligger under 20 år, og beregningen foretages i henhold til artikel 32 og 33 i lovdekret nr. 187/2007 af 10. maj 2007.
SLOVAKIET
a)
Alle ansøgninger om efterladtepension (enke-, enkemands- og børnepension), der beregnes efter gældende lov fra før 1. januar 2004, og hvis størrelse afhænger af en pension, som afdøde modtog indtil sin død
b)
Alle ansøgninger om pension, der beregnes efter lov nr. 461/2003 – sml. om social sikring med ændringer.
SVERIGE
a)
Ansøgninger om en alderspension i form af en garantipension (kapitel 66 og 67 i lov om socialforsikring)
b)
Ansøgninger om en alderspension i form af en tillægspension (kapitel 63 i lov om socialforsikring).
DET FORENEDE KONGERIGE
Alle ansøgninger om alderspension, folkepension i henhold til del 1 i pensionsloven af 2014, enkepension og erstatning for tab, med undtagelse af dem, for hvilke i løbet af et skatteår, der begynder den 6. april 1975 eller derefter:
i)
den berørte part havde tilbagelagt forsikrings-, beskæftigelses- eller bopælsperiode i henhold til Det Forenede Kongeriges og en medlemsstats lovgivning, og et (eller flere) af disse skatteår ikke blev anset for at være et kvalificerende år i henhold til Det Forenede Kongeriges lovgivning
ii)
der vil blive taget hensyn til forsikringsperioder tilbagelagt i henhold til gældende lovgivning i Det Forenede Kongerige for perioderne inden den 5. juli 1948 med henblik på denne protokols artikel SSC.47, stk. 1, litra b), ved at anvende forsikrings-, beskæftigelses- eller bopælsperioder i henhold til lovgivningen i en medlemsstat.
Alle ansøgninger om tillægspension i henhold til Social Security Contributions and Benefits Act 1992, section 44, og Social Security Contributions and Benefits (Northern Ireland) Act 1992, section 44.
DEL 2
TILFÆLDE, HVOR Artikel SSC.47, STK. 5, FINDER ANVENDELSE
ØSTRIG
a)
Alderspensioner og heraf afledte efterladtepensioner på grundlag af en pensionskonto i henhold til lov af 18. november 2004 om almindelig pension (Allgemeines Pensionsgesetz (APG))
b)
Obligatoriske ydelser i henhold til artikel 41 i forbundsloven af 28. december 2001, BGBl I Nr. 154 om de østrigske apotekeres generelle lønfond (Pharmazeutische Gehaltskasse für Österreich)
c)
Alders- og førtidspension fra de østrigske provinslægekamre baseret på grundydelser (grundydelse og eventuel supplerende ydelse eller grundbeløb) samt alle pensionsydelser fra de østrigske provinslægekamre baseret på supplerende ydelser (tillægspension eller individuel pension)
d)
Alderdomsydelser fra pensionsfonden under det østrigske dyrlægekammer
e)
Ydelser i henhold til vedtægterne for de østrigske advokatsammenslutningers velfærdsinstitutioner, del A og B, undtagen ydelser fra pensioner vedrørende enke- og børnepension i henhold til vedtægterne for de østrigske advokatsammenslutningers velfærdsinstitutioner, del A
f)
Ydelser fra velfærdsinstitutionerne under forbundskammeret for arkitekter og rådgivende ingeniører i henhold til loven om det østrigske civilingeniørkammer (Ziviltechnikerkammergesetz) af 1993 og vedtægterne for velfærdsinstitutionerne, undtagen ydelser vedrørende efterladteydelser på grundlag af sidstnævnte ydelser
g)
Ydelser i henhold til vedtægterne for velfærdsinstitutionen under forbundskammeret for professionelle regnskabskyndige og skatterådgivere under den østrigske lov om professionelle regnskabskyndige og skatterådgivere (Wirtschaftstreuhandberufsgesetz).
BULGARIEN
Alderspensioner fra den tvungne pensionsforsikringsordning i henhold til del II, afsnit II, i lov om socialforsikring.
KROATIEN
Pensioner fra den obligatoriske forsikringsordning på grundlag af individuelle kapitalopsparinger i henhold til loven om obligatoriske og frivillige pensionsfonde (OG 49/99, som ændret) og loven om pensionsforsikringsselskaber og udbetaling af pensioner på grundlag af individuelle kapitalopsparinger (OG 106/99, som ændret), undtagen i de tilfælde, der er omhandlet i artikel 47 og 48 i lov om obligatoriske og frivillige pensionsfonde og efterladtepension.
TJEKKIET
Pensioner udbetalt fra ordningen under søjle to, oprettet ved lov nr. 426/2011 sml., om pensionsopsparinger.
DANMARK
a)
Personlige pensioner
b)
Ydelser ved dødsfald (på grundlag af bidrag til Arbejdsmarkedets Tillægspension i tiden før 1. januar 2002)
c)
Ydelser ved dødsfald (på grundlag af bidrag til Arbejdsmarkedets Tillægspension i tiden efter 1. januar 2002) som omtalt i lov om Arbejdsmarkedets Tillægspension 942:2009.
ESTLAND
Obligatorisk bidragsfinansieret alderspensionsordning.
FRANKRIG
Grund- eller tillægspensionsordninger, hvor alderspensionsydelser beregnes på grundlag af pensionspoints.
UNGARN
Pensionsydelser baseret på medlemskab af private pensionsfonde.
LETLAND
Alderspension (lov om statslige pensioner af 1. januar 1996, lov om statsfinansierede pensioner af 1. juli 2001).
POLEN
Alderspensioner efter ordningen med faste bidrag.
PORTUGAL
Supplerende pensioner, der bevilges i henhold til lovdekret nr. 26/2008 af 22. februar 2008 (offentlig kapitaliseringsordning).
SLOVAKIET
Tvungen opsparing til alderspension.
SLOVENIEN
Pension fra den tvungne supplerende pensionsforsikring.
SVERIGE
Alderspension i form af indkomstpension og præmiepension (kapitel 62 og 64 i lov om socialforsikring).
DET FORENEDE KONGERIGE
Forholdsmæssige alderspensionsydelser, der udbetales i henhold til National Insurance Act 1965, section 36 og 37, og National Insurance Act (Northern Ireland) 1966, section 35 og 36.
BILAG SSC-5
YDELSER OG AFTALER, DER GIVER MULIGHED FOR ANVENDELSE AF Artikel SSC.49
I.   De i denne protokols artikel SSC.49, stk. 2, litra a), omhandlede ydelser, hvis størrelse ikke afhænger af forsikrings- eller bopælsperiodernes længde.
DANMARK
Fuld dansk folkepension, som opnås efter ti års bopæl, af personer, som har fået tilkendt pension med virkning fra senest den 1. oktober 1989
FINLAND
Nationale pensioner og ægtefællepensioner fastlagt efter overgangsbestemmelserne og tilkendt før den 1. januar 1994 (lov om håndhævelse af nationale pensioner, 569/2007)
Tillægsbeløbet til børnepension ved beregning af nationale ydelser efter loven om nationale pensioner (lov om nationale pensioner (568/2007))
FRANKRIG
Invalidepensionen til efterlevende ægtefælle i den almindelige sociale sikringsordning eller i ordningen for beskæftigede i landbruget, når den beregnes på grundlag af en afdød ægtefælles invalidepension, der er fastsat i medfør af artikel SSC.47, stk. 1, litra a)
GRÆKENLAND
Ydelser i medfør af lov nr. 4169/1961 bestemmelser vedrørende landbrugets forsikringsordning (OGA)
NEDERLANDENE
Lov af 21. december 1995 om almindelig forsikring for efterladte (ANW)
Lov om arbejde og indkomst efter arbejdsevne (WIA) af 10. november 2005
SPANIEN
Efterladtepensioner, der tilkendes efter den almindelige ordning, med undtagelse af den særlige ordning for tjenestemænd
SVERIGE
Indtægtsbestemte ydelser ved sygdom og indtægtsbestemt aktivitetskompensation (kapitel 34 i lov om socialforsikring)
Den garantipension og garantikompensation, som træder i stedet for den fulde folkepension tilkendt efter den lovgivning om folkepension, der fandt anvendelse før den 1. januar 1993, og den fulde folkepension tilkendt efter overgangsbestemmelserne i den lovgivning, der har været gældende siden nævnte dato.
II.   De i denne protokols artikel SSC.49, stk. 2, litra b), omhandlede ydelser, hvis størrelse afhænger af en fiktiv periode, der anses for tilbagelagt mellem tidspunktet for forsikringsbegivenhedens indtræden og et senere tidspunkt
FINLAND
Erhvervspensioner, i forbindelse med hvilke der tages hensyn til fremtidige perioder i henhold til den nationale lovgivning
TYSKLAND
Efterladtepensioner, i forbindelse med hvilke der tages hensyn til en tillægsperiode
Alderspensioner, i forbindelse med hvilke der tages hensyn til en allerede optjent tillægsperiode
ITALIEN
De italienske uarbejdsdygtighedspensioner (inabilità)
LETLAND
Efterladtepension beregnet på grundlag af anslåede forsikringsperioder (artikel 23, stk. 8, i lov om statslige pensioner af 1. januar 1996)
LITAUEN
a)
Statslig social invalidepension i henhold til lov om statslige socialpensioner
b)
Statslig social efterladtepension og børnepension beregnet på grundlag af afdødes invalidepension i henhold til lov om statslige socialpensioner
LUXEMBOURG
Efterladtepension
SLOVAKIET
Slovakisk efterladtepension afledt af invalidepensionen.
SPANIEN
Alderspensionerne i den særlige ordning for tjenestemænd under afsnit I i den konsoliderede tekst til loven om statspensioner, hvis ydelsesmodtageren på tidspunktet for forsikringsbegivenhedens indtræden var aktiv tjenestemand eller blev behandlet som sådan; efterladtepension (efterlevende ægtefælle og børn, der har mistet begge forældre eller en af dem, og forældre, der har mistet et barn) i medfør af afsnit I i den konsoliderede tekst til loven om statspensioner, hvis tjenestemanden på tidspunktet for dødens indtræden var aktiv eller blev behandlet som sådan
SVERIGE
Ydelser ved sygdom og aktivitetskompensation i form af garantikompensation (kapitel 35 i lov om socialforsikring)
Efterladtepension beregnet på grundlag af optjente forsikringsperioder (kapitel 76-85 i lov om socialforsikring)
III.   De i denne protokols artikel SSC.49, stk. 2, litra b), nr. i), omhandlede aftaler om ikke at medregne samme fiktive periode to eller flere gange:
Overenskomst om social sikring af 28. april 1997 mellem Finland og Forbundsrepublikken Tyskland.
Overenskomst om social sikring af 10. november 2000 mellem Finland og Storhertugdømmet Luxembourg.
Nordisk konvention om social sikring af 18. august 2003.
BILAG SSC-6
SÆRLIGE BESTEMMELSER VEDRØRENDE ANVENDELSEN AF MEDLEMSSTATERNES OG DET FORENEDE KONGERIGES LOVGIVNING
(Artikel SSC.3, stk. 2, artikel SSC.51, stk. 1, og artikel SSC.66)
ØSTRIG
1.
Med henblik på erhvervelse af pensionsforsikringsperioder anses undervisning på en skole eller en tilsvarende uddannelsesinstitution i en anden stat for at svare til undervisning på en skole eller en tilsvarende uddannelsesinstitution i henhold til artikel 227(1)(1) og artikel 228(1)(3) i Allgemeines Sozialversicherungsgesetz (ASVG)(almindelig lov om socialforsikring), artikel 116(7) i Gewerbliches Sozialversicherungsgesetz (GSVG) (lov om socialforsikring for personer beskæftiget i handelssektoren) og artikel 107(7) i Bauern-Sozialversicherungsgesetz (BSVG) (lov om socialforsikring for landbrugere), såfremt den pågældende på et tidspunkt har været omfattet af østrigsk lovgivning i kraft af en beskæftigelse som arbejdstager eller selvstændig erhvervsdrivende, og såfremt de særlige bidrag i artikel 227(3) i ASVG, artikel 116(9) i GSVG og artikel 107(9) i BSGV med henblik på erhvervelse af sådanne uddannelsesperioder er betalt.
2.
Ved beregning af pro rata-ydelsen i denne protokols artikel SSC.47, stk. 1, litra b), tages de særlige tillæg til bidragene til tillægsforsikring og tillægsydelserne for minearbejdere i henhold til østrigsk lovgivning ikke i betragtning. I disse tilfælde forhøjes den pro rata-ydelse, der beregnes uden disse bidrag, i givet fald med det fulde beløb for de særlige tillæg til bidragene til tillægsforsikring og tillægsydelserne for minearbejdere.
3.
Når der ifølge denne protokols artikel SSC.7 er tilbagelagt erstatningsperioder i henhold til en østrigsk pensionsforsikringsordning, men disse perioder ikke kan danne grundlag for beregning i henhold til artikel 238 og 239 i ASVG, artikel 122 og 123 i GSVG og artikel 113 og 114 i BSVG, anvendes beregningsgrundlaget for børnepasningsperioder i henhold til artikel 239 i ASVG, artikel 123 i GSVG og artikel 114 i BSVG.
BULGARIEN
Artikel 33, stk. 1, i bulgarsk lov om sygeforsikring finder anvendelse på alle personer, for hvilke Bulgarien er den kompetente medlemsstat i henhold til denne protokols afsnit III, kapitel 1.
CYPERN
Ved anvendelse af bestemmelserne i denne protokols artikel SSC.7, SSC.46 og SSC.56 for enhver periode fra tidligst den 6. oktober 1980 fastsættes en forsikringsuge i henhold til cypriotisk lovgivning ved, at den samlede forsikringspligtige indkomst for den pågældende periode divideres med det forsikringspligtige grundbeløb pr. uge i det pågældende forsikringsår, forudsat at det således beregnede antal uger ikke overstiger antallet af kalenderuger i den pågældende periode.
DEN TJEKKISKE REPUBLIK
Med henblik på definitionen af familiemedlemmer i overensstemmelse med denne protokols artikel SSC.1, litra s), omfatter "ægtefæller" registrerede partnere som defineret i tjekkisk lov nr. 115/2006 sml. om registreret partnerskab.
DANMARK
1.
a)
Med henblik på pensionsberegningen i henhold til "lov om social pension" betragtes beskæftigelsesperioder eller perioder med selvstændig erhvervsvirksomhed, der er tilbagelagt efter dansk lovgivning af en grænsearbejder eller en sæsonarbejder, som bopælsperioder, der er tilbagelagt i Danmark af den efterlevende ægtefælle forudsat, at den efterlevende ægtefælle i disse perioder var gift med den pågældende arbejder og ikke var separeret eller levede adskilt på grund af uoverensstemmelse, og at den efterlevende ægtefælle i disse perioder var bosat i en anden stat. I dette punkt forstås ved "sæsonarbejde" et af årstiderne betinget arbejde, der automatisk gentager sig hvert år.
b)
Med henblik på pensionsberegningen i henhold til "lov om social pension" betragtes beskæftigelsesperioder eller perioder med selvstændig erhvervsvirksomhed, der før den 1. januar 1984 er tilbagelagt efter dansk lovgivning af en person, som ikke er omfattet af litra a), som bopælsperioder, der er tilbagelagt i Danmark af den efterlevende ægtefælle forudsat, at den efterlevende ægtefælle i disse perioder var gift med den pågældende person og ikke var separeret eller levede adskilt på grund af uoverensstemmelse, og at den efterlevende ægtefælle i disse perioder var bosat i en anden stat.
c)
Perioder, der skal medregnes i medfør af litra a) og b), tages dog ikke i betragtning, når de falder sammen med perioder, der medregnes ved beregning af pension, som tilkommer den pågældende efter en anden stats lovgivning om tvungen forsikring, eller med perioder, hvor den pågældende har modtaget pension i henhold til en sådan lovgivning. Disse perioder tages dog i betragtning, såfremt det årlige pensionsbeløb ikke overstiger halvdelen af den sociale pensions grundbeløb.
2.
a)
Uanset bestemmelserne i denne protokols artikel SSC.7 har personer, der ikke har haft erhvervsmæssig beskæftigelse i en eller flere stater, kun ret til dansk social pension, hvis de har haft eller tidligere har haft fast bopæl i Danmark i mindst tre år inden for de aldersgrænser, der gælder i henhold til dansk lovgivning. Uden at dette berører denne protokols artikel SSC.5 finder denne protokols artikel SSC.8 ikke anvendelse på dansk social pension, som sådanne personer har erhvervet ret til.
b)
De bestemmelser, der er omhandlet i litra a), finder ikke anvendelse på ret til dansk social pension for familiemedlemmer til personer, der har eller har haft erhvervsmæssig beskæftigelse i Danmark, og heller ikke for studerende og deres familiemedlemmer.
3.
Den midlertidige ydelse til arbejdsløse, der er blevet godkendt til et fleksjob (ledighedsydelse) (lov nr. 455 af 10. juni 1997), er omfattet af denne protokols kapitel 6 i afsnit III.
4.
Såfremt en person, der oppebærer en dansk social pension, ligeledes har ret til en efterladtepension fra en anden stat, anses disse pensioner ved anvendelsen af dansk lovgivning for at være ydelser af samme art i den i artikel SSC.48, stk. 1, omhandlede forstand forudsat, at den pågældende, hvis forsikrings- eller bopælsperioder danner grundlag for beregningen af efterladtepensionen, også har erhvervet ret til en dansk social pension.
ESTLAND
Ved beregning af forældreydelser skal beskæftigelsesperioder, der er tilbagelagt i andre stater end Estland, anses for at være baseret på samme gennemsnitlige socialbidrag som de bidrag, der er blevet indbetalt i løbet af de beskæftigelsesperioder i Estland, som de lægges sammen med. Såfremt den pågældende i referenceåret udelukkende har været beskæftiget i andre stater, beregnes ydelsen på grundlag af det gennemsnitlige socialbidrag, som er blevet indbetalt i Estland mellem referenceåret og barselsorloven.
FINLAND
1.
Ved fastsættelse af retten til ydelser og beregningen af den finske folkepension i henhold til denne protokols artikel SSC.47, SSC.48 og SSC.49 ligestilles pensionsrettigheder, der er erhvervet efter en anden stats lovgivning, med pensionsrettigheder, der er erhvervet efter finsk lovgivning.
2.
Ved anvendelsen af denne protokols artikel SSC.47, stk. 1, litra b), nr. i), og beregningen af indtægter i den fiktive periode i henhold til finsk lovgivning om indtægtsbestemte pensioner i de tilfælde, hvor en person har tilbagelagt pensionsforsikringsperioder i kraft af en beskæftigelse som arbejdstager eller selvstændig erhvervsdrivende i en anden stat i en del af den i finsk lov gældende referenceperiode, skal indkomsten i den fiktive periode svare til den samlede indkomst i den del af referenceperioden, der er tilbagelagt i Finland, divideret med det antal måneder i referenceperioden, hvor der er tilbagelagt forsikringsperioder i Finland.
FRANKRIG
1.
For personer, som modtager naturalydelser i Frankrig i henhold til denne protokols artikel SSC.15 eller SSC.24, og som er bosat i de franske departementer Haut-Rhin, Bas-Rhin eller Moselle, omfatter de naturalydelser, som tilkendes til udgift for institutionen i en anden stat, der er ansvarlig for at afholde omkostningerne, både ydelser fra den almindelige sygeforsikringsordning og fra den lokale lovpligtige supplerende sygeforsikringsordning for Alsace-Moselle.
2.
Ved anvendelse af denne protokols afsnit III, kapitel 5, omfatter fransk lovgivning, som finder anvendelse på en person, der har eller har haft lønnet eller selvstændig beskæftigelse, både den eller de almindelige alderspensionsordninger og den eller de tillægspensionsordninger, som den pågældende har været omfattet af.
TYSKLAND
1.
Uanset denne protokols artikel SSC.6, litra a), og artikel 5, stk. 4, nr. 1), i VI. bind i socialloven (Sozialgesetzbuch VI) kan en person, som modtager fuld alderspension i henhold til lovgivningen i en anden stat, anmode om tvungen forsikring i henhold til den tyske pensionsforsikringsordning.
2.
Uanset denne protokols artikel SSC.6, litra a), og artikel 7 i Sozialgesetzbuch VI (sjette bind i socialloven) har en person, som er tvunget forsikret i en anden stat eller modtager alderspension i henhold til lovgivningen i en anden stat, adgang til den frivillige forsikringsordning i Tyskland.
3.
Med henblik på udbetaling af kontantydelser i henhold til §47, stk. 1, i socialloven (SGB V), §47, stk. 1, i socialloven (SGB VII) og §200, stk. 2, i lov om socialforsikring (Reichsversicherungsordnung) til forsikrede, der bor i en anden stat, beregner de tyske forsikringsordninger nettolønnen, der bruges til at vurdere ydelser, som om den forsikrede boede i Tyskland, medmindre den forsikrede ønsker en vurdering på grundlag af den nettoløn, han faktisk modtager.
4.
Statsborgere fra andre stater, som har bopæl eller sædvanligt opholdssted uden for Tyskland, og som opfylder de almindelige betingelser i den tyske pensionsforsikringsordning, kan kun betale frivillige bidrag, hvis de på et tidligere tidspunkt har været frivilligt eller tvungent forsikret i den tyske pensionsforsikringsordning; dette gælder også for statsløse og flygtninge, som har bopæl eller sædvanligt opholdssted i en anden stat.
5.
Den faste godskrevne periode (pauschale Anrechnungszeit) bestemmes ifølge artikel 253 i sjette bind og i socialloven (Sozialgesetzbuch VI) alene på grundlag af perioder med tysk forsikring.
6.
I de tilfælde, hvor den tyske pensionslovgivning, som var gældende den 31. december 1991, finder anvendelse på fornyet beregning af en pension, er det udelukkende den tyske lovgivning, der finder anvendelse ved medregning af tyske erstatningsperioder (Ersatzzeiten).
7.
Den tyske lovgivning om arbejdsulykker og erhvervssygdomme, som der ydes kompensation for efter lovgivningen om udenlandske pensioner, og om ydelser for forsikringsperioder, der kan godskrives efter loven om udenlandske pensioner i de områder, der er omhandlet i paragraf 1, stk. 2 og 3, i loven om flygtninge og fordrevne (Bundesvertriebenengesetz), anvendes fortsat inden for denne protokols anvendelsesområde, uanset paragraf 2 i loven om udenlandske pensioner (Fremdrentengesetz).
8.
Ved beregningen af det i denne protokols artikel SSC.47, stk. 1, litra b), nr. i), omhandlede teoretiske beløb i pensionsordninger for liberale erhverv skal den kompetente institution for hvert forsikringsår, der er tilbagelagt efter enhver anden stats lovgivning, tage udgangspunkt i de gennemsnitlige, årlige pensionsrettigheder, der via indbetaling af bidrag er erhvervet i perioden for medlemskab af kompetente institutioner.
GRÆKENLAND
1.
Lov nr. 1469/84 om frivillig tilknytning til pensionsforsikringsordningen for græske statsborgere og udenlandske statsborgere af græsk oprindelse finder anvendelse på statsborgere fra andre stater, statsløse og flygtninge, når de pågældende uanset deres bopæl eller opholdssted på et tidligere tidspunkt har været tvungent eller frivilligt omfattet af den græske pensionsforsikringsordning.
2
Uanset denne protokols artikel SSC.6, litra a), og artikel 34 i lov 1140/1981 kan en person, som modtager pension som følge af en arbejdsulykke eller erhvervssygdom i henhold til lovgivningen i en anden stat, anmode om at blive tvungent forsikret i henhold til den lovgivning, som landbrugets forsikringsordning (OGA) anvender, for så vidt vedkommende udøver en aktivitet, som henhører under denne lovgivnings anvendelsesområde.
IRLAND
1.
Uanset denne protokols artikel SSC.19, stk. 2 og artikel SSC.57 godskrives den forsikrede ved beregningen af den fastsatte anerkendte ugentlige lønindtægt for en forsikret med henblik på tilkendelse af dagpenge ved sygdom eller ydelser ved arbejdsløshed i henhold til irsk lovgivning for hver uges beskæftigelse som arbejdstager, der i det pågældende fastsatte år er tilbagelagt i henhold til en anden stats lovgivning, et beløb svarende til den gennemsnitlige ugentlige løn for arbejdstagere i det relevante fastsatte år.
MALTA
Særlige bestemmelser for tjenestemænd
a)
Ved anvendelsen af denne protokols artikel SSC.43 og SSC.55 behandles personer, der er ansat i henhold til lov om Maltas væbnede styrker (kapitel 220 i Maltas love), politiloven (kapitel 164 i Maltas love) og fængselsloven (kapitel 260 i Maltas love) som tjenestemænd.
b)
Pensioner, der udbetales i henhold til ovennævnte love og i henhold til pensionsbekendtgørelsen (kapitel 93 i Maltas love), anses ved anvendelsen af denne protokols artikel SSC.1, litra cc), for "særlige ordninger for tjenestemænd".
NEDERLANDENE
1.   Sygeforsikring
a)
For så vidt angår retten til naturalydelser i henhold til nederlandsk lovgivning forstås ved ydelsesberettigede personer ved anvendelsen af denne protokols afsnit III, kapitel 1 og 2:
i)
personer, der i henhold til artikel 2 i Zorgverzekeringswet (lov om sygeforsikring) har pligt til at tegne en forsikring i en sygeforsikringsinstitution, og
ii)
såfremt de ikke allerede er omfattet af nr. i), familiemedlemmer til aktive militærpersoner, der bor i en anden stat, og personer, der er bosat i en anden stat, og som i henhold til denne protokol har ret til sygehjælp i bopælsstaten til udgift for Nederlandene.
b)
De under punkt 1, litra a), nr. i), omhandlede personer skal i henhold til Zorgverzekeringswet (lov om sygeforsikring) tegne en forsikring i en sygeforsikringsinstitution, og de under punkt 1, litra a), nr. ii), omhandlede personer skal lade sig registrere i College voor zorgverzekeringen (sygeforsikringsrådet).
c)
Bestemmelserne i Zorgverzekeringswet (lov om sygeforsikring) og Algemene Wet Bijzondere Ziektekosten, AWBZ (almindelig lov om særlige sygdomsudgifter) om bidragspligt finder anvendelse på de i litra a), omhandlede personer og deres familiemedlemmer. Familiemedlemmernes bidrag indbetales af den person, som retten til sygehjælp er afledt af, med undtagelse af familiemedlemmer til militærpersoner, der bor i en anden stat, som modtager direkte opkrævning.
d)
Bestemmelserne i Zorgverzekeringswet (lov om sygeforsikring) angående for sen forsikringstegning gælder tilsvarende ved for sen registrering i College voor zorgverzekeringen (sygeforsikringsrådet), for så vidt angår de under litra a), nr. ii), omhandlede personer.
e)
Personer, som har ret til naturalydelser i medfør af lovgivningen i en anden stat end Nederlandene, og som bor eller midlertidigt opholder sig i Nederlandene, har ret til naturalydelser i henhold til bestemmelserne i den police, der tilbydes forsikrede i Nederlandene af institutionen på bopæls- eller opholdsstedet, idet der tages hensyn til artikel 11, stk. 1, 2 og 3, og artikel 19, stk. 1, i Zorgverzekeringswet (lov om sygeforsikring), og til naturalydelser i henhold til Algemene Wet Bijzondere Ziektekosten, AWBZ (almindelig lov om særlige sygdomsudgifter).
f)
Ved anvendelsen af denne protokols artikel SSC.21 til SSC.27 behandles følgende ydelser, ud over pensioner, der er omfattet af denne protokols afsnit III, kapitel 4 og 5, som pensioner, der skal udbetales i henhold til nederlandsk lovgivning:
—
pensioner i henhold til lov af 6. januar 1966 om pensioner for tjenestemænd og deres efterladte (Algemene Burgerlijke Pensioenwet) (lov om nederlandske tjenestemandspensioner)
—
pensioner i henhold til lov af 6. oktober 1966 om pensioner for militærpersoner og deres efterladte (Algemene militaire Pensioenwet) (lov om militærpensioner)
—
ydelser ved uarbejdsdygtighed i henhold til lov af 7. juni 1972 om ydelser ved uarbejdsdygtighed for militærpersoner (Wet arbeidsongeschiktheidsvoorziening militairen) (lov om militærpersoners uarbejdsdygtighed)
—
pensioner i henhold til lov af 15. februar 1967 om pensioner for ansatte ved de nederlandske jernbaner (NV Nederlandse Spoorwegen) og deres efterladte (Spoorwegpensioenwet) (lov om pensioner for ansatte ved de nederlandske jernbaner)
—
pensioner i henhold til Reglement Dienst voorwaarden Nederlandse Spoorwegen (vedtægten om tjenestevilkårene inden for de nederlandske jernbaner)
—
ydelser, der tilkendes før pensionsalderen (65 år) i henhold til en pensionsordning, der har til formål at yde alderdomshjælp til tidligere arbejdstagere, eller ydelser, der tilkendes i tilfælde af tidlig tilbagetrækning fra arbejdsmarkedet i henhold til en ordning, der er fastsat af staten, eller i henhold til en kollektiv overenskomst for personer på mindst 55 år
—
ydelser udbetalt til militærpersoner og tjenestemænd efter ordninger med rådighedsløn, stillingsbetinget førtidspensionering eller almindelig førtidspensionering.
g)
Med henblik på anvendelsen af denne protokols artikel SSC.16, stk. 1, har personerne omhandlet i dette punkts litra a), nr. ii), som bor eller midlertidigt opholder sig i Nederlandene, ret til naturalydelser i henhold til bestemmelserne i den police, der tilbydes forsikrede i Nederlandene af institutionen på bopæls- eller opholdsstedet, idet der tages hensyn til artikel 11, stk. 1, 2 og 3, og artikel 19, stk. 1, i Zorgverzekeringswet (lov om sygeforsikring), og til naturalydelser i henhold til Algemene Wet Bijzondere Ziektekosten, AWBZ (almindelig lov om særlige sygdomsudgifter).
2.   Anvendelse af Algemene Ouderdomswet (AOW) (almindelig lov om alderdomsforsikring)
a)
Den i artikel 13, stk. 1, i AOW (almindelig lov om alderdomsforsikring) omhandlede nedsættelse finder ikke anvendelse på kalenderår før den 1. januar 1957, i hvilke den pensionsberettigede, der ikke opfylder betingelserne for, at nævnte perioder kan ligestilles med forsikringsperioder:
—
mellem det fyldte 15. og 65. år har været bosat i Nederlandene,
—
havde lønnet beskæftigelse i Nederlandene for en arbejdsgiver i nævnte land, mens vedkommende var bosat i en anden stat, eller
—
havde beskæftigelse i en anden stat i perioder, som betragtes som forsikringsperioder i henhold til den hollandske sociale sikringsordning.
Uanset artikel 7 i AOW skal en person, som kun har været bosat eller arbejdet i Nederlandene på ovennævnte betingelser før den 1. januar 1957, ligeledes anses for at være pensionsberettiget.
b)
Den i artikel 13, stk. 1, i AOW omhandlede nedsættelse finder ikke anvendelse på kalenderår før den 2. august 1989, i hvilke en gift eller tidligere gift person mellem det fyldte 15. og 65. år ikke var forsikret i henhold til ovennævnte lovgivning, mens den pågældende var bosat i en anden stat end Nederlandene, såfremt disse kalenderår falder sammen enten med perioder, hvor den pågældendes ægtefælle var forsikret i henhold til den ovennævnte lovgivning, eller med kalenderår, som skal medregnes i medfør af punkt 2, litra a), forudsat at parret var gift med hinanden i disse perioder.
Uanset bestemmelserne i artikel 7 i AOW anses en sådan person for pensionsberettiget.
c)
Den i artikel 13, stk. 2, i almindelig lov om alderdomsforsikring (AOW) omhandlede nedsættelse finder ikke anvendelse på kalenderår før den 1. januar 1957, i hvilke den pensionsberettigedes ægtefælle, der ikke opfylder betingelserne for, at sådanne perioder kan ligestilles med forsikringsperioder:
—
mellem det fyldte 15. og 65. år har været bosat i Nederlandene, eller
—
havde lønnet beskæftigelse i Nederlandene for en arbejdsgiver i nævnte land, mens vedkommende var bosat i en anden stat, eller
—
havde beskæftigelse i en anden stat i perioder, som betragtes som forsikringsperioder i henhold til den nederlandske sociale sikringsordning.
d)
Den i artikel 13, stk. 2, i AOW omhandlede nedsættelse finder ikke anvendelse på kalenderår før den 2. august 1989, i hvilke en pensionsberettigets ægtefælle ikke var forsikret i henhold til ovennævnte lovgivning, mens den pågældende var bosat i en anden stat end Nederlandene mellem det fyldte 15. og 65. år, såfremt disse kalenderår falder sammen enten med perioder, hvor den pensionsberettigede var forsikret i henhold til den AOW, eller med kalenderår, som skal medregnes i medfør af punkt 2, litra a), forudsat at parret var gift med hinanden i disse perioder.
e)
Punkt 2, litra a), b), c), og d) finder hverken anvendelse på perioder, der falder sammen med:
—
perioder, som kan tages i betragtning ved beregningen af pensionsrettigheder i henhold til lovgivningen om alderdomsforsikring i en anden stat end Nederlandene, eller
—
perioder, i hvilke den pågældende har oppebåret alderspension i henhold til en sådan lovgivning.
Perioder i henhold til en frivillig ordning i en anden stat medregnes ikke ved anvendelsen af dette punkt.
f)
Punkt 2, litra a), b), c) og d), finder kun anvendelse, såfremt den pensionsberettigede har været bosat i en eller flere stater i seks år efter det fyldte 59. år, og kun så længe han fortsat er bosat i en af disse stater.
g)
Uanset kapital IV i AOW har en person, som er bosat i en anden stat end Nederlandene, og hvis ægtefælle er omfattet af den tvungne forsikringsordning, ret til at tegne en frivillig forsikring i henhold til den pågældende lovgivning for perioder, hvor ægtefællen er omfattet af den tvungne forsikring.
Retten bortfalder ikke, såfremt ægtefællens tvungne forsikring ophører som følge af deres død, og såfremt den efterladte udelukkende får tilkendt pension i henhold til Algemene nabestaandenwet (almindelig lov om efterladteforsikring).
Retten til frivillig forsikring bortfalder under alle omstændigheder den dag, personen fylder 65 år.
Bidraget til den frivillige forsikring fastsættes i overensstemmelse med bestemmelserne om fastsættelse af frivillige forsikringsbidrag i henhold til AOW. Hvis den frivillige forsikring følger efter en forsikringsperiode som den i punkt 2, litra b), omhandlede, fastsættes bidraget i overensstemmelse med bestemmelserne om fastsættelse af tvungne forsikringsbidrag i henhold til AOW, idet den indtægt, der skal tages i betragtning, i dette tilfælde anses for at være opnået i Nederlandene.
h)
Den i punkt 2, litra g), omtalte ret gives ikke personer, som er forsikret i henhold til en anden stats lovgivning om pensions- og efterladteydelser.
i)
Enhver, som ønsker at tegne den i punkt 2, litra g), omhandlede frivillige forsikring, skal indsende en ansøgning herom til Sociale Verzekeringsbank (socialforsikringsbanken) senest et år efter, at betingelserne for optagelse i forsikringen er opfyldt.
3.   Anvendelse af Algemene nabestaandenwet (ANW) (almindelig lov om efterladteforsikring)
a)
Når en efterlevende ægtefælle har ret til efterladtepension efter ANW (almindelig lov om efterladteforsikring) i henhold til denne protokols artikel SSC.46, stk. 3, beregnes pensionen i overensstemmelse med denne protokols artikel SSC.47, stk. 1, litra b).
Ved anvendelsen af disse bestemmelser anses forsikringsperioder før den 1. oktober 1959 også for at være forsikringsperioder, der er tilbagelagt i henhold til nederlandsk lovgivning, såfremt den forsikrede i de pågældende perioder efter det fyldte 15. år:
—
havde bopæl i Nederlandene, eller
—
havde lønnet beskæftigelse i Nederlandene for en arbejdsgiver i nævnte land, mens vedkommende var bosat i en anden stat, eller
—
havde beskæftigelse i en anden stat i perioder, som betragtes som forsikringsperioder i henhold til den hollandske sociale sikringsordning.
b)
Perioder, der medregnes i medfør af punkt 3, litra a), skal dog ikke tages i betragtning, når de falder sammen med tvungne forsikringsperioder, der er tilbagelagt efter en anden stats lovgivning om efterladtepension.
c)
Ved anvendelse af denne protokols artikel SSC.47, stk. 1, litra b), medregnes udelukkende forsikringsperioder, der er tilbagelagt i henhold til nederlandsk lovgivning efter det fyldte 15. år, som forsikringsperioder.
d)
Uanset artikel 63a, stk. 1, i ANW har en person, som er bosat i en anden stat end Nederlandene, og hvis ægtefælle er tvungent forsikret i henhold til ANW, ret til at tegne en frivillig forsikring i henhold til ANW, såfremt forsikringen allerede var trådt i kraft på datoen for denne protokols ikrafttræden, men kun for perioder, hvor ægtefællen er omfattet af den tvungne forsikring.
Denne ret bortfalder den dag, hvor ægtefællens tvungne forsikring i henhold til ANW ophører, medmindre ægtefællens tvungne forsikring ophører som følge af deres død, og den efterladte udelukkende får tilkendt pension i henhold til ANW.
Retten til frivillig forsikring bortfalder under alle omstændigheder den dag, personen fylder 65 år.
Bidraget til den frivillige forsikring fastsættes i overensstemmelse med bestemmelserne om fastsættelse af frivillige forsikringsbidrag i henhold til ANW. Hvis den frivillige forsikring følger efter en forsikringsperiode som den i punkt 2, litra b), omhandlede, fastsættes bidraget i overensstemmelse med bestemmelserne om fastsættelse af tvungne forsikringsbidrag i henhold til ANW, idet den indtægt, der skal tages i betragtning, i dette tilfælde anses for at være opnået i Nederlandene.
4.   Anvendelse af nederlandsk lovgivning om uarbejdsdygtighed
Ved ydelsernes beregning i henhold til enten WAO, WIA eller WAZ tager de nederlandske institutioner følgende perioder i betragtning:
—
perioder med lønnet beskæftigelse og dermed ligestillede perioder, der er tilbagelagt i Nederlandene før den 1. juli 1967
—
forsikringsperioder tilbagelagt i henhold til WAO
—
forsikringsperioder, der efter det fyldte 15. år er tilbagelagt i henhold til Algemene Arbeidsongeschiktheidswet (loven om uarbejdsdygtighed), såfremt de ikke falder sammen med de forsikringsperioder, der er tilbagelagt i henhold til WAO
—
forsikringsperioder tilbagelagt i henhold til WAZ
—
forsikringsperioder tilbagelagt i henhold til WIA.
SPANIEN
1.
Med henblik på anvendelsen af denne protokols artikel SSC.47, stk. 1, litra b), nr. i), vil de år, som arbejdstageren mangler for at kunne nå den pensionsgivende eller obligatoriske pensionsalder som fastsat i artikel 31, stk.4, i den konsoliderede udgave af loven om statspensioner (Ley de clases pasivas del Estado), kun blive medregnet som egentlige tjenesteår for staten, hvis den pågældende på det tidspunkt, hvor den forsikringsbegivenhed, som udløser efterladtepension, indtræder, var dækket af Spaniens særlige ordning for tjenestemænd eller udøvede en virksomhed, der er integreret i ordningen, eller hvis den pågældende på det tidspunkt, hvor forsikringsbegivenheden indtraf, udøvede en virksomhed, hvor der ville have været krav om, at den pågældende var omfattet af statens særlige ordning for tjenestemænd, de væbnede styrker eller retsvæsenet, hvis virksomheden var blevet udøvet i Spanien.
2.
a)
Ved anvendelse af artikel SSC.51, stk. 1, litra c), beregnes den spanske teoretiske ydelse på grundlag af personens faktiske bidragsbasis i årene umiddelbart forud for indbetalingen af det sidste bidrag til den spanske sociale sikring. Når der ved beregningen af pensionens basisbeløb skal tages hensyn til forsikrings- og/eller bopælsperioder under andre staters lovgivning, anvendes det bidragsgrundlag i Spanien, som tidsmæssigt er tættest på disse perioder, under hensyn til udviklingen i detailprisindekset.
b)
Det således fastsatte pensionsbeløb forhøjes med de forhøjelser og reguleringer, der for hvert efterfølgende år beregnes for pensioner af samme art.
3.
Perioder, der er tilbagelagt i en anden stat, og som skal medregnes i den særlige ordning for tjenestemænd, de væbnede styrker og retsvæsenet, vil med henblik på denne protokols artikel SSC.51 blive behandlet på samme måde som de seneste perioder, der er tilbagelagt som tjenestemand i Spanien.
4.
De ekstra beløb, der er baseret på alder, og som er omhandlet i den anden overgangsbestemmelse i den almindelige lov om social sikring, finder anvendelse på alle personer, der er berettigede til ydelser i medfør af denne protokol, og for hvilke der før den 1. januar 1967 er indbetalt bidrag efter den spanske lovgivning; i medfør af denne protokols artikel SSC.6 er det ikke muligt at behandle forsikringsperioder, der er godskrevet i en anden stat før den 1. januar 1967, på samme måde som bidrag, der er indbetalt i Spanien, udelukkende med henblik på denne protokol. Den dato, der svarer til den 1. januar 1967, er den 1. august 1970 for den særlige ordning for søfarende og den 1. april 1969 for den særlige sociale sikringsordning for kulminearbejdere.
SVERIGE
1.
Bestemmelserne i denne protokol om sammenlægning af forsikringsperioder og bopælsperioder finder ikke anvendelse på overgangsbestemmelserne i svensk lov om ret til garantipension for personer, der er født i eller før 1937, og som har boet i Sverige i en bestemt periode, inden de ansøgte om pension (lov 2000:798).
2.
Med henblik på skønsmæssig ansættelse af indkomsten for at fastsætte de fiktive indtægtsbestemte invalide- og aktivitetsgodtgørelser i henhold til kapitel 8 i Lag (1962:381) om allmän försäkring (lov om almindelig forsikring) gælder følgende:
a)
Når en person i referenceperioden også har været omfattet af lovgivningen i en eller flere andre stater som følge af erhvervsaktivitet, enten som lønmodtager eller som selvstændig erhvervsdrivende, anses indkomsten i den eller de pågældende stater for at svare til den forsikrede persons gennemsnitlige bruttoindkomst i Sverige i den del af referenceperioden, der er tilbagelagt i Sverige, beregnet ved at dividere indkomsten i Sverige med antallet af år, hvor indtjeningen er foregået.
3.
a)
Retten til efterladtepension i henhold til svensk lovgivning er betinget af, at afdøde har været forsikret i mindst tre ud af de fem sidste kalenderår umiddelbart forud for sin død (referenceperioden); hvis dette krav ikke er opfyldt, tages der ved beregningen af den fiktive pensionssaldo for den indtægtsbestemte efterladtepension (lov 2000:461) hensyn til forsikringsperioder, der er tilbagelagt i andre stater, som om de var tilbagelagt i Sverige. Forsikringsperioder, der er tilbagelagt i andre stater, anses for at være baseret på gennemsnittet af de indtægter i Sverige, som giver ret til pension. Hvis den pågældende person kun har tilbagelagt et pensionsgivende år i Sverige, medregnes alle forsikringsperioder i andre stater med det samme beløb.
b)
Retten til enkepension i henhold til svensk lovgivning er betinget af, at der er optjent pensionspoint i mindst to ud af de fire sidste år umiddelbart forud for dødsfaldet (referenceperioden); hvis dette krav ikke er opfyldt, og den forsikrede har tilbagelagt forsikringsperioder i en anden stat i referenceperioden, skal disse år ved beregningen af de fiktive pensionspoint, der giver ret til enkepension ved dødsfald efter den 1. januar 2003, anses for at være baseret på samme pensionspoint som det år, der er tilbagelagt i Sverige.
DET FORENEDE KONGERIGE
1.
I tilfælde, hvor en person i henhold til Det Forenede Kongeriges lovgivning har ret til alderspension, såfremt
a)
en tidligere ægtefælles bidrag tages i betragtning, som om de var den pågældende persons egne bidrag, eller
b)
de pågældende bidragsbetingelser opfyldes af den pågældende persons ægtefælle eller tidligere ægtefælle, og forudsat i begge tilfælde, at ægtefællen eller den tidligere ægtefælle som arbejdstager eller selvstændig erhvervsdrivende har været omfattet af lovgivningen i to eller flere stater, finder bestemmelserne i denne protokols afsnit III, kapitel 5, anvendelse ved fastsættelsen af ret til ydelser i medfør af Det Forenede Kongeriges lovgivning. I så fald skal henvisninger i denne protokols artikel SSC.44-SSC.55 til "forsikringsperioder" forstås som henvisninger til forsikringsperioder, der er tilbagelagt af:
i)
en ægtefælle eller tidligere ægtefælle, når ansøgningen indgives af:
—
en gift kvinde eller
—
en person, hvis ægteskab er ophørt på anden måde end på grund af ægtefælles død, eller
ii)
en tidligere ægtefælle, når ansøgningen indgives af:
—
en enkemand, som umiddelbart inden han nåede pensionsalderen ikke var berettiget til tilskud til efterladte med børn, eller
—
en enke, som umiddelbart inden hun nåede pensionsalderen, ikke er berettiget til tilskud til enker med børn, tilskud til efterladte med børn eller enkepension, eller som kun er berettiget til aldersbestemt enkepension beregnet i henhold til denne protokols artikel SSC.47, stk. 1, litra b), og i den forbindelse forstås ved "aldersbestemt enkepension" en enkepension, der er forholdsmæssigt nedsat, i henhold til Social Security Contributions and Benefits Act 1992 (lov om socialsikringsbidrag og -ydelser), § 39, stk. 4.
2.
Med henblik på denne protokols artikel SSC.8 anses enhver, der i henhold til Det Forenede Kongeriges lovgivning er berettiget til kontantydelser ved alderdom eller til efterladte, pensioner som følge af arbejdsulykker eller erhvervssygdomme samt ydelser ved dødsfald, og som opholder sig på en anden stats område, for at have bopæl på denne stats område under dette ophold.
3.
1)
Ved beregningen af lønfaktoren for fastsættelse af retten til ydelser i henhold til Det Forenede Kongeriges lovgivning anses den pågældende for hver beskæftigelsesuge som arbejdstager, i hvilken arbejdstageren har været omfattet af en medlemsstats lovgivning, og som er begyndt inden for det pågældende indkomstskatteår i henhold til Det Forenede Kongeriges lovgivning, for at have indbetalt bidrag som arbejdstager eller haft indtægter, som der er betalt bidrag af, på grundlag af en løn svarende til to tredjedele af den for det pågældende år fastsatte højeste løngrænse.
2)
Ved anvendelse af denne protokols artikel SSC.47, stk. 1, litra b), gælder følgende:
a)
hvis en arbejdstager i et indkomstskatteår, der begynder den 6. april 1975 eller senere, udelukkende har tilbagelagt forsikrings-, beskæftigelses- eller bopælsperioder i en medlemsstat, og anvendelsen af dette stykkes punkt 1, bevirker, at dette år regnes for et år (qualifying year), der tages i betragtning i henhold til Det Forenede Kongerige lovgivning ved anvendelse af denne protokols artikel SSC.47, stk. 1, litra b), nr. i), skal de anses for at have været forsikret i 52 uger i løbet af dette år i denne medlemsstat
b)
eftersom ethvert indkomstskatteår, der begynder den 6. april 1975 eller senere, ikke regnes for et år, der tages i betragtning (qualifying year), i henhold til Det Forenede Kongeriges lovgivning ved anvendelse af denne protokols artikel SSC.47, stk. 1, litra b), nr. i), tages forsikrings-, beskæftigelses- eller bopælsperioder, der er tilbagelagt i løbet af dette år, ikke i betragtning.
3)
Ved omregningen af lønfaktoren til forsikringsperioder divideres den indtjeningsfaktor, der er opnået for det pågældende indkomstskatteår i henhold til Det Forenede Kongeriges lovgivning, med beløbet for den for det pågældende skatteår fastsatte laveste løngrænse. Den således fremkomne størrelse udtrykkes i hele tal, idet decimaler ikke medregnes. Det således beregnede tal skal anses som udtryk for det antal forsikringsuger, der er tilbagelagt under Det Forenede Kongeriges lovgivning i det pågældende skatteår, dog kan dette tal ikke overstige det antal uger, i hvilke vedkommende inden for dette skatteår har været omfattet af denne lovgivning.
BILAG SSC-7
GENNEMFØRELSESDEL
AFSNIT I
ALMINDELIGE BESTEMMELSER
KAPITEL 1
Artikel SSCI.1
Definitioner
1.
I dette bilag finder definitionerne i denne protokols artikel SSC.1 anvendelse.
2.
Ud over de definitioner, der er omhandlet i stk. 1, forstås ved:
a)
"kontaktpunkt": en enhed, der fungerer:
i)
som et elektronisk kontaktpunkt
ii)
med automatisk routing baseret på adressen og
iii)
med intelligent routing baseret på software, som muliggør automatisk kontrol og routing (f.eks. en kunstig intelligens-applikation) eller menneskelig indgriben
b)
"forbindelsesorgan": ethvert organ, som er udpeget af den kompetente myndighed i en stat for en eller flere af de sociale sikringsgrene, der er omhandlet i denne protokols artikel SSC.3, som skal besvare anmodninger om oplysninger og bistand med henblik på anvendelsen af protokollen og dette bilag, og som skal udføre de opgaver, det er pålagt i henhold til afsnit IV i dette bilag
c)
"dokument": et sæt oplysninger, uanset mediet, som er struktureret på en sådan måde, at det kan udveksles ad elektronisk vej, og som skal meddeles videre af hensyn til anvendelsen af denne protokol og dette bilag
d)
"struktureret elektronisk dokument": ethvert struktureret dokument i et format, som er udformet til elektronisk udveksling af oplysninger mellem staterne
e)
"fremsendelse ad elektronisk vej": fremsendelse af oplysninger ved hjælp af elektronisk databehandlingsudstyr (herunder digital komprimering), hvor der anvendes tråd, radio, optiske teknologier eller andre elektromagnetiske midler
f)
"svig": enhver forsætlig handling eller forsætlig undladelse af at handle med det formål enten:
i)
at modtage sociale sikringsydelser eller gøre det muligt for en anden person at modtage sociale sikringsydelser, hvis betingelserne for at komme i betragtning til sådanne ydelser i henhold til lovgivningen i den eller de pågældende stater eller denne protokol ikke er opfyldt, eller
ii)
undgå at betale socialsikringsbidrag eller gøre det muligt for en anden person at undgå at betale socialsikringsbidrag, hvis sådanne bidrag er obligatoriske i henhold til lovgivningen i den eller de pågældende stater eller denne protokol.
KAPITEL 2
BESTEMMELSER OM SAMARBEJDE OG UDVEKSLING AF DATA
Artikel SSCI.2
Omfanget af og reglerne for udveksling af oplysninger mellem institutionerne
1.
I forbindelse med dette bilag baseres udvekslinger af oplysninger mellem staternes myndigheder og institutioner og personer, der er omfattet af denne protokol, på principperne om offentlig service, effektivitet, aktiv bistand, hurtig levering og tilgængelighed, herunder e-tilgængelighed, navnlig for handicappede og ældre.
2.
Institutionerne forelægger eller udveksler straks alle oplysninger, der er nødvendige for at fastsætte og bestemme rettigheder og forpligtelser for de personer, som denne protokol finder anvendelse på. Oplysningerne overføres mellem staterne enten direkte af institutionerne selv eller indirekte via forbindelsesorganerne.
3.
Hvis en person ved en fejl har fremsendt oplysninger, dokumenter eller anmodninger til en institution på en anden stats område end den, hvor den institution, der er udpeget i henhold til dette bilag til protokollen, er beliggende, videresender den første institution straks de pågældende oplysninger, dokumenter eller anmodninger til den institution, der er udpeget i henhold til dette bilag, med angivelse af den dato, hvor de første gang blev fremsendt. Denne dato er bindende for sidstnævnte institution. Institutionerne i staterne skal imidlertid ikke holdes ansvarlige eller anses for at have truffet en afgørelse som følge af passivitet, fordi fremsendelsen af oplysninger, dokumenter eller anmodninger fra andre staters institutioner er blevet forsinket.
4.
Når oplysninger overføres indirekte via bestemmelsesstatens forbindelsesorgan, regnes fristerne for at besvare anmodningerne fra den dato, hvor dette forbindelsesorgan modtog anmodningen, som om det var modtaget af institutionen i den pågældende stat.
Artikel SSCI.3
Omfanget af og reglerne for udveksling af oplysninger mellem de berørte personer og institutionerne
1.
Staterne påser, at de fornødne oplysninger er tilgængelige for de berørte personer, så disse får oplysninger om ændringer, som følger af denne protokol og dette bilag, således at de kan gøre deres rettigheder gældende. De stiller ligeledes brugervenlige tjenester til rådighed.
2.
Personer, der er omfattet af denne protokol, meddeler den relevante institution de oplysninger, dokumenter eller anden dokumentation, der er nødvendige for at fastslå deres eller deres familiers situation, for at fastslå eller bevare deres rettigheder og forpligtelser og for at fastlægge, hvilken lovgivning der skal anvendes, og hvilke forpligtelser der påhviler vedkommende under den pågældende lovgivning.
3.
I det omfang det er nødvendigt for anvendelsen af denne protokol og dette bilag, videregiver de relevante institutioner oplysningerne og udsteder dokumenterne til de berørte personer straks og under alle omstændigheder inden for de frister, der er fastlagt i den pågældende stats lovgivning.
Den pågældende institution underretter ansøgeren, der har bopæl eller opholder sig i en anden stat, om sin afgørelse enten direkte eller gennem bopæls- eller opholdsstatens forbindelsesorgan. Ved afslag på en ansøgning om ydelser skal den også angive årsagerne til afslaget samt klagemuligheder og -frister. En genpart af afgørelsen sendes til andre involverede institutioner.
Artikel SSCI.4
Formularer, dokumenter og metoder til udveksling af data
1.
Uden at dette berører artikel SSCI.75 og tillæg SSCI-2 aftales strukturen, indholdet og formatet af formularer og dokumenter, der udstedes på staternes vegne med henblik på gennemførelsen af denne protokol, af Specialudvalget om Koordinering af de Sociale Sikringsordninger.
2.
Fremsendelsen af data mellem institutionerne eller forbindelsesorganerne kan med forbehold af godkendelse fra Specialudvalget om Koordinering af de Sociale Sikringsordninger ske via Electronic Exchange of Social Security Information. I det omfang de formularer og dokumenter, der er omhandlet i stk. 1, udveksles via Electronic Exchange of Social Security Information, skal de overholde de regler, der gælder for dette system.
Hvis fremsendelsen af oplysninger mellem institutionerne eller forbindelsesorganerne ikke sker via Electronic Exchange of Social Security Information, anvender de relevante institutioner og forbindelsesorganer de ordninger, der er bedst egnede i hver enkelt tilfælde, og de foretrækker så vidt muligt anvendelsen af elektroniske midler.
3.
I kommunikationen med de berørte personer anvender de relevante institutioner de ordninger, der er bedst egnede i hvert enkelt tilfælde, og de foretrækker så vidt muligt anvendelsen af elektroniske midler.
Artikel SSCI.5
Den juridiske værdi af dokumenter og anden dokumentation, der er udstedt i en anden stat
1.
De dokumenter, der er udstedt af en stats institution, og som viser en persons situation i forbindelse med anvendelsen af denne protokol og dette bilag, og anden dokumentation, på grundlag af hvilken der er udstedt dokumenter, skal accepteres af de øvrige staters institutioner, så længe de ikke er blevet trukket tilbage eller erklæret ugyldige af den stat, hvor de er udstedt.
2.
Hvis der rejses tvivl om dokumentets gyldighed eller om rigtigheden af de faktiske omstændigheder, som oplysningerne i dokumentet bygger på, anmoder institutionen i den stat, der modtager dokumentet, den udstedende institution om de fornødne uddybende forklaringer og evt. om, at dokumentet trækkes tilbage. Den udstedende institution tager grundene til udstedelsen af dokumentet op til revision og trækker det om nødvendigt tilbage.
3.
I medfør af stk. 2 foretager institutionen på opholds- eller bopælsstedet, hvis der rejses tvivl om de oplysninger, som de pågældende personer har fremlagt, gyldigheden af et dokument eller af underbyggende dokumentation eller om rigtigheden af de faktiske omstændigheder, som oplysningerne i dokumentet bygger på, efter anmodning fra den kompetente institution den nødvendige kontrol af disse oplysninger eller dokumenter, så vidt dette er muligt.
4.
Hvis de berørte institutioner ikke når til enighed, kan sagen forelægges for Specialudvalget om Koordinering af de Sociale Sikringsordninger af de kompetente myndigheder tidligst en måned efter datoen for forelæggelsen af anmodningen fra den institution, der modtog dokumentet. Specialudvalget om Koordinering af de Sociale Sikringsordninger skal tilstræbe at forlige synspunkterne inden for seks måneder efter den dato, hvor den fik sagen forelagt.
Artikel SSCI.6
Midlertidig anvendelse af en lovgivning og foreløbig tilkendelse af ydelser
1.
Medmindre andet er fastsat i dette bilag, gælder det, at hvis der er uenighed mellem institutionerne eller myndighederne i to eller flere stater om, hvilken lovgivning der skal anvendes, bliver den berørte person midlertidigt omfattet af lovgivningen i en af disse stater, idet prioriteringsrækkefølgen fastsættes som følger:
a)
lovgivningen i den stat, hvor personen faktisk har lønnet beskæftigelse eller udøver selvstændig virksomhed, forudsat at den lønnede beskæftigelse eller den selvstændige virksomhed kun udøves i én stat
b)
lovgivningen i bopælsstaten, hvis personen har lønnet beskæftigelse eller udøver selvstændig virksomhed i to eller flere stater og udøver en del af sin virksomhed i bopælsstaten, eller hvis vedkommende hverken har lønnet beskæftigelse eller udøver selvstændig virksomhed
c)
i alle andre tilfælde lovgivningen i den stat, hvis lovgivning der først blev anmodet om anvendelse af, hvis personen udøver sin virksomhed i to eller flere stater.
2.
I tilfælde af uenighed mellem institutionerne eller myndighederne i to eller flere stater med hensyn til, hvilken institution der skal udrede natural- eller kontantydelserne, modtager den pågældende, som ville kunne gøre krav på ydelser, hvis en sådan uenighed ikke forelå, foreløbige ydelser efter den lovgivning, der gælder for institutionen på den pågældendes bopælssted, eller – hvis den pågældende ikke er bosat på en af de berørte staters område – efter den lovgivning, der gælder for den institution, hvortil anmodningen først blev indgivet.
3.
Hvis de berørte institutioner eller myndigheder ikke når til enighed, kan sagen forelægges for Specialudvalget om Koordinering af de Sociale Sikringsordninger af en part tidligst en måned efter den dato, hvor uenigheden som nævnt i stk. 1 eller 2 opstod. Specialudvalget om Koordinering af de Sociale Sikringsordninger skal søge at forlige synspunkterne inden for seks måneder efter den dato, hvor den fik sagen forelagt.
4.
Hvis det enten fastslås, at den lovgivning, der skal anvendes, ikke er den lovgivning, der gælder i den stat, hvor den midlertidige optagelse i en forsikringsordning har fundet sted, eller at den institution, der har tilkendt de foreløbige ydelser, ikke var den kompetente institution, anses den institution, der fastslås som kompetent, for at være dette med tilbagevirkende kraft, som om der ikke havde været nogen uenighed, senest enten fra den dato, hvor den midlertidige optagelse begyndte, eller fra den første foreløbige tilkendelse af de pågældende ydelser.
5.
Om nødvendigt regulerer den institution, der fastslås som kompetent, og den institution, der har udbetalt kontantydelser foreløbigt eller har modtaget bidrag foreløbigt, den pågældende persons økonomiske situation med hensyn til foreløbigt betalte kontantbidrag og -ydelser i overensstemmelse med afsnit IV, kapitel 2, i dette bilag.
Naturalydelser, der tilkendes foreløbigt af en institution efter stk. 2, refunderes af den kompetente institution efter afsnit IV i dette bilag.
Artikel SSCI.7
Foreløbig beregning af ydelser og bidrag
1.
Medmindre andet er fastsat i dette bilag, gælder det, at hvis en person er berettiget til en ydelse eller skal betale et bidrag efter denne protokol, og den kompetente institution ikke råder over alle de oplysninger om situationen i en anden stat, der er nødvendige for at foretage den endelige beregning af ydelsens eller bidragets størrelse, tilkender denne institution efter anmodning fra den berørte person ydelsen eller beregner bidraget på foreløbig basis, hvis en sådan beregning er mulig på grundlag af de oplysninger, den pågældende institution har til sin rådighed.
2.
Der foretages en ny beregning af ydelsen eller bidraget, når al den nødvendige dokumentation eller alle de nødvendige dokumenter er forelagt den pågældende institution.
KAPITEL 3
ANDRE ALMINDELIGE BESTEMMELSER OM ANVENDELSEN AF DENNE PROTOKOL
Artikel SSCI.8
Andre procedurer aftalt mellem myndigheder og institutioner
1.
To eller flere stater eller deres kompetente myndigheder kan aftale andre procedurer end dem, der er fastsat i dette bilag, forudsat at sådanne procedurer ikke forringer de berørte personers rettigheder eller forpligtelser.
2.
Alle aftaler, der indgås med henblik herpå, meddeles Specialudvalget om Koordinering af de Sociale Sikringsordninger og opføres i tillæg SSCI-1.
3.
Bestemmelser i gennemførelsesaftaler, der er indgået mellem to eller flere stater med samme formål som, eller som svarer til dem, der er omhandlet i stk. 2, og som er i kraft dagen før denne aftales ikrafttræden, finder fortsat anvendelse med henblik på forbindelserne mellem disse stater, forudsat at de også er indeholdt i denne protokols tillæg SSCI-1.
Artikel SSCI.9
Forbud mod dobbeltydelser
Uanset hvad der måtte være fastsat i andre bestemmelser i denne protokol, gælder det, at når de ydelser, der kan kræves udbetalt efter lovgivningen i to eller flere stater, samtidigt nedsættes, inddrages midlertidigt eller bortfalder, divideres de ydelsesbeløb, som ikke udbetales ved en streng anvendelse af de i de berørte staters lovgivning fastsatte bestemmelser om nedsættelse, midlertidig inddragelse eller bortfald af ydelser, med det antal ydelser, som skal nedsættes, inddrages midlertidigt eller bortfalde.
Artikel SSCI.10
Elementer til brug ved fastsættelse af bopæl
1.
Hvis der er uenighed mellem institutioner i to eller flere stater om fastsættelse af bopælen for en person, der er omfattet af denne protokol, fastsætter de pågældende institutioner ved fælles aftale, hvor den pågældende persons interessecenter er, på grundlag af en samlet vurdering af alle tilgængelige oplysninger om relevante forhold, der i givet fald bl.a. kan omfatte:
a)
varigheden og kontinuiteten af personens tilstedeværelse på de berørte staters område
b)
den pågældende persons situation, herunder:
i)
arten af og de specifikke forhold i forbindelse med den virksomhed, der udøves, navnlig det sted, hvor denne virksomhed sædvanligvis udøves, virksomhedens faste karakter og en arbejdskontrakts varighed
ii)
den pågældende persons familiemæssige situation og familiemæssige bånd
iii)
udøvelsen af ulønnet virksomhed
iv)
når det drejer sig om studerende, deres indtægtskilde
v)
den pågældende persons boligsituation, især hvor fast den er
vi)
den stat, hvor den pågældende person anses for at have skattemæssig bopæl.
2.
Hvis de berørte institutioner ikke kan nå til enighed under hensyntagen til de forskellige kriterier baseret på relevante kendsgerninger i stk. 1, betragtes den pågældende persons hensigt, som den fremgår af sådanne kendsgerninger og omstændigheder, bl.a. årsagerne til, at den pågældende er flyttet, som afgørende ved fastsættelsen af vedkommendes faktiske bopælssted.
3.
En studerende, der rejser til en anden stat for at gennemføre et fuldtidsstudium, anses ikke for at have sit interessecenter i studielandet under hele sit studie i det pågældende land, uden at dette berører muligheden for at tilbagevise denne formodning.
4.
Stk. 3 finder tilsvarende anvendelse på den studerendes familiemedlemmer.
Artikel SSCI.11
Sammenlægning af perioder
1.
Ved anvendelsen af artikel SSC.7 henvender den kompetente institution sig til institutionerne i de stater, hvis lovgivning den pågældende person også var undergivet, for at få fastlagt alle de perioder, der er tilbagelagt efter deres lovgivning.
2.
De respektive forsikrings- eller beskæftigelsesperioder, eller perioder med selvstændig virksomhed eller bopælsperioder, hvor den pågældende har været underlagt en stats lovgivning, lægges til de perioder, hvor den pågældende har været underlagt enhver anden stats lovgivning, for så vidt det er nødvendigt ved anvendelsen af artikel SSC.7, og forudsat at disse perioder ikke er helt eller delvis sammenfaldende.
3.
Når en forsikrings- eller bopælsperiode, hvor den pågældende har været underlagt en stats lovgivning om en tvungen forsikring, falder sammen med en forsikringsperiode, hvor den pågældende har været underlagt en anden stats lovgivning om en frivillig forsikring eller en frivillig fortsat forsikring, medregnes alene den periode, som er tilbagelagt efter den tvungne forsikring.
4.
Når en forsikrings- eller bopælsperiode, der ikke er en ligestillet periode, hvor den pågældende har været underlagt en stats lovgivning, er sammenfaldende med en tilsvarende periode, hvor den pågældende har været underlagt en anden stats lovgivning, medregnes alene den periode, som ikke er en ligestillet periode.
5.
En efter lovgivningen i to eller flere stater ligestillet periode skal alene medregnes af institutionen i den stat, i henhold til hvis lovgivning forsikringstageren senest har været tvungent forsikret forud for den nævnte periode. Hvis den pågældende person ikke var tvungent forsikret efter lovgivningen i en stat forud for den nævnte periode, medregnes denne af institutionen i den stat, i hvilken den pågældende første gang efter den nævnte periode blev tvungent forsikret.
6.
Hvis det tidsrum, hvor den pågældende i visse forsikrings- eller bopælsperioder har været underlagt en stats lovgivning, ikke kan fastslås med bestemthed, antages det, at disse perioder ikke falder sammen med forsikrings- eller bopælsperioder, hvor den pågældende har været underlagt en anden stats lovgivning, og de skal, hvis det er fordelagtigt, medregnes ved sammenlægning af perioder, for så vidt de med rimelighed kan komme i betragtning i dette øjemed.
Artikel SSCI.12
Regler for omregning af perioder
1.
Hvis perioder, hvor den pågældende har været underlagt en stats lovgivning, udtrykkes i andre tidsenheder end dem, der anvendes i en anden stats lovgivning, sker den for sammenlægningen nødvendige omregning i henhold til artikel SSC.7 efter følgende regler:
a)
den periode, der skal anvendes som grundlag for omregningen, meddeles af institutionen i den stat, hvis lovgivning den pågældende var underlagt i perioden
b)
hvis der er tale om ordninger, hvor perioderne udtrykkes i dage, sker omregningen fra dage til andre enheder og omvendt og mellem forskellige ordninger baseret på dage, efter følgende tabel:
Ordning baseret på
1 dag svarer til
1 uge svarer til
1 måned svarer til
1 kvartal svarer til
Højeste antal dage i et kalenderår
5 dage
9 timer
5 dage
22 dage
66 dage
264 dage
6 dage
8 timer
6 dage
26 dage
78 dage
312 dage
7 dage
6 timer
7 dage
30 dage
90 dage
360 dage
c)
hvis der er tale om ordninger, hvor perioderne udtrykkes i andre enheder end dage
i)
svarer tre måneder eller 13 uger til et kvartal og omvendt
ii)
svarer et år til fire kvartaler, 12 måneder eller 52 uger og omvendt
iii)
ved omregning af uger til måneder og omvendt omregnes uger og måneder til dage i overensstemmelse med omregningsreglerne for ordninger baseret på seks dage i tabellen i litra b)
d)
hvis der er tale om perioder udtrykt i brøkdele, omregnes disse tal til den nærmeste mindre, hele enhed efter reglerne i litra b) og c). Brøkdele af år omregnes til måneder, medmindre den pågældende ordning er baseret på kvartaler
e)
hvis resultatet af omregningen i henhold til dette stykke er en brøkdel af en enhed, anvendes den nærmeste højere, hele enhed som resultat af omregningen i henhold til dette stykke.
2.
Anvendelsen af stk. 1 kan ikke medføre, at der for samtlige de i et kalenderår tilbagelagte perioder medregnes et tidsrum, der i alt overstiger antallet af dage i den sidste kolonne i skemaet i stk. 1, litra b), 52 uger, 12 måneder eller fire kvartaler.
Hvis de perioder, der skal omregnes, svarer til det maksimale antal årlige perioder i henhold til lovgivningen i den stat, hvor de er tilbagelagt, kan anvendelsen af stk. 1 ikke inden for et kalenderår medføre perioder, der er kortere end det mulige maksimale årlige antal perioder, der er fastsat i henhold til den pågældende lovgivning.
3.
Omregningen skal foretages enten på én gang for alle de perioder, der meddeles som det samlede antal, eller for hvert enkelt år, hvis perioderne meddeles fra år til år.
4.
Når en institution meddeler perioder udtrykt i dage, skal den samtidig oplyse, om den ordning, den administrerer, er baseret på fem dage, seks dage eller syv dage.
AFSNIT II
FASTLÆGGELSE AF, HVILKEN LOVGIVNING DER SKAL ANVENDES
Artikel SSCI.13
Nærmere oplysninger om denne protokols artikel SSC.11 og SSC.12
1.
Ved anvendelsen af artikel SSC.11, stk. 1, litra a), kan en "person, der udøver lønnet beskæftigelse i en stat for en arbejdsgiver, der normalt udøver sin virksomhed dér, og som af denne arbejdsgiver udsendes til en anden stat", være en person, som ansættes med henblik på at blive udsendt til en anden stat, forudsat at den pågældende person umiddelbart inden ansættelsesforholdets begyndelse allerede er omfattet af lovgivningen i den stat, hvor vedkommendes arbejdsgiver er etableret.
2.
Ved anvendelsen af denne protokols artikel SSC.11, stk. 1, litra a), henviser ordene "der normalt udøver sin virksomhed dér" til en arbejdsgiver, der normalt udøver omfattende virksomhed, der ikke blot er intern forvaltning, i den stat, hvor vedkommende er etableret, idet der tages hensyn til alle kriterier, der karakteriserer den virksomhed, der udøves af den pågældende virksomhed. De relevante kriterier skal tilpasses hver enkelt arbejdsgivers særlige karakteristika og det reelle indhold af den virksomhed, der udøves.
3.
Ved anvendelsen af denne protokols artikel SSC.11, stk. 1, litra b), forstås ved "en person, der normalt udøver selvstændig virksomhed" en person, der sædvanligvis udøver omfattende virksomhed på den stats område, hvor vedkommende er etableret. Vedkommende skal navnlig have udøvet sin virksomhed i nogen tid forud for den dato, hvor vedkommende ønsker at drage fordel af bestemmelserne i den nævnte artikel, og under enhver periode med midlertidig virksomhed i en anden stat skal vedkommende fortsat opfylde betingelserne for at udøve sin virksomhed i den stat, hvor vedkommende er etableret, for at virksomheden kan fortsættes, når vedkommende vender tilbage.
4.
Ved anvendelsen af denne protokols artikel SSC.11, stk. 1, litra b), er kriteriet for at fastslå, om den virksomhed, en selvstændig erhvervsdrivende skal udøve i en anden stat, er en "lignende" aktivitet i forhold til den normalt udøvede selvstændige virksomhed, aktivitetens reelle indhold og ikke det, at den af den anden stat måtte være betegnet som lønnet beskæftigelse eller selvstændig virksomhed.
5.
Ved anvendelsen af denne protokols artikel SSC.12, stk. 1 og 5, forstås ved en person, der "normalt har lønnet beskæftigelse" i henholdsvis "en eller flere medlemsstater samt i Det Forenede Kongerige" eller i "to eller flere medlemsstater", en person, der samtidig eller skiftevis udøver en eller flere særskilte former for virksomhed for den samme virksomhed eller arbejdsgiver eller for forskellige virksomheder eller arbejdsgivere.
6.
I forbindelse med denne protokols artikel SSC.12, stk. 1 og 5, er et flyve- eller kabinebesætningsmedlem, som normalt udøver passager- eller luftfragttjenester i to eller flere stater, omfattet af lovgivningen i den stat, hvor "hjemmebasen", jf. denne protokols artikel SSC.1, er beliggende.
7.
Der ses bort fra marginale aktiviteter ved fastlæggelsen af, hvilken lovgivning der finder anvendelse i henhold til denne protokols artikel SSC.12. Artikel SSCI.15 finder anvendelse på alle tilfælde i henhold til denne artikel.
8.
Med henblik på anvendelsen af denne protokols artikel SSC.12, stk. 2 og 6, forstås ved en person, der "normalt udøver selvstændig virksomhed" i henholdsvis "en eller flere medlemsstater samt i Det Forenede Kongerige" eller i "to eller flere medlemsstater", navnlig en person, der samtidig eller skiftevis udøver en eller flere særskilte former for selvstændig virksomhed, uanset denne selvstændige virksomheds art, i sådanne stater.
9.
For at kunne sondre mellem den virksomhed, der udøves i henhold til denne artikels stk. 5 og 8, og de tilfælde, der er beskrevet i denne protokols artikel SSC.11, stk. 1, er varigheden af den virksomhed, der udøves i en eller flere andre stater, afgørende (om den har varig karakter, ad hoc-karakter eller midlertidig karakter). Der skal i den sammenhæng foretages en samlet vurdering af alle relevante forhold, herunder navnlig, når det drejer sig om en arbejdstager, arbejdsstedet, således som det er fastsat i arbejdskontrakten.
10.
Ved anvendelsen af denne protokols artikel SSC.12, stk. 1, 2, 5 og 6, udøves "en væsentlig del af beskæftigelsen/virksomheden" i en stat, når en kvantitativt væsentlig del af alle arbejdstagerens eller den selvstændige erhvervsdrivendes aktiviteter udøves i den pågældende stat, uden at det nødvendigvis drejer sig om hovedparten af disse aktiviteter.
11.
For at afgøre, om en væsentlig del af aktiviteten udøves i en stat, tages følgende vejledende kriterier i betragtning:
a)
ved lønnet beskæftigelse: arbejdstid eller løn, og
b)
ved selvstændig virksomhed: omsætning, arbejdstid, antallet af leverede tjenesteydelser eller indtægt.
I forbindelse med en samlet vurdering gælder det, at når mindre end 25 % med hensyn til ovennævnte kriterier er opfyldt, indikerer dette, at en væsentlig del af aktiviteten ikke udøves i den pågældende stat.
12.
Ved anvendelsen af denne protokols artikel SSC.12, stk. 2, litra b), fastlægges en selvstændig erhvervsdrivendes "interessecenter", ved at samtlige aspekter af vedkommendes erhvervsmæssige virksomhed tages i betragtning, herunder navnlig det sted, hvor den pågældendes faste og permanente forretningssted er beliggende, virksomhedens sædvanlige karakter eller varighed, antallet af leverede tjenesteydelser og den pågældendes hensigter, således som de fremgår af omstændighederne.
13.
Når det skal afgøres, hvilken lovgivning der finder anvendelse i henhold til stk. 10, 11 og 12, tager de berørte institutioner den forventede situation i de næstfølgende 12 kalendermåneder i betragtning.
14.
Hvis en person har lønnet beskæftigelse i to eller flere stater for en arbejdsgiver, der er etableret uden for staternes område, og hvis vedkommende er bosat i en stat uden at udøve væsentlig aktivitet der, er vedkommende omfattet af lovgivningen i bopælsstaten.
Artikel SSCI.14
Procedurer ved anvendelse af denne protokols artikel SSC.10, stk. 3, litra b), artikel SSC.10, stk. 4, og artikel SSC.11 (om meddelelse af oplysninger til de berørte institutioner)
1.
Hvis en person udøver sin aktivitet i en anden stat end den kompetente stat, underretter arbejdsgiveren eller den berørte person, hvis det drejer sig om en person, der ikke har lønnet beskæftigelse, den kompetente institution i den stat, hvis lovgivning finder anvendelse, om muligt på forhånd, jf. dog artikel SSCI.15 i dette bilag. Denne institution udsteder den i artikel SSCI.16, stk. 2, i dette bilag omhandlede attest til den berørte person og stiller straks oplysninger om, hvilken lovgivning der finder anvendelse på den berørte person i henhold til denne protokols artikel SSC.10, stk. 3, litra b), eller artikel SSC.11 til rådighed for den institution, der er udpeget af den kompetente myndighed i den stat, hvor aktiviteten udøves.
2.
En arbejdsgiver som omhandlet i denne protokols artikel SSC.10, stk. 4, der har en arbejdstager om bord på et skib, der fører en anden stats flag, skal underrette den kompetente institution i den stat, hvis lovgivning finder anvendelse, herom, om muligt på forhånd. Denne institution stiller straks oplysninger om, hvilken lovgivning der finder anvendelse på den berørte person i henhold til denne protokols artikel SSC.10, stk. 4, til rådighed for den institution, der er udpeget af den kompetente myndighed i den stat, hvis flag føres af det skib, på hvilket arbejdstageren skal udøve aktiviteten.
Artikel SSCI.15
Procedure for anvendelse af denne protokols artikel SSC.12
1.
En person, der udøver virksomhed i to eller flere stater, eller hvor artikel SSC.12, stk. 5 eller 6, finder anvendelse, underretter den institution, der er udpeget af den kompetente myndighed i bopælsstaten, herom.
2.
Den udpegede institution på bopælsstedet fastlægger straks, hvilken lovgivning der finder anvendelse på den pågældende person, under hensyntagen til denne protokols artikel SSC.12 og dette bilags artikel SSCI.13. Denne første fastlæggelse er midlertidig. Institutionen underretter de udpegede institutioner i de enkelte stater, hvor aktiviteten udøves, om den midlertidige fastlæggelse.
3.
Den midlertidige fastlæggelse af, hvilken lovgivning der skal anvendes, jf. stk. 2, bliver endelig senest to måneder efter, at de institutioner, som er udpeget af de kompetente myndigheder i de pågældende stater, er blevet underrettet herom i overensstemmelse med stk. 2, medmindre det allerede er endeligt fastlagt i henhold til stk. 4, hvilken lovgivning der skal anvendes, eller mindst en af de pågældende institutioner inden udgangen af tomånedersperioden meddeler den institution, der er udpeget af den kompetente myndighed i bopælsstaten, at den endnu ikke kan godkende fastlæggelsen eller er uenig heri.
4.
Såfremt der på grund af usikkerhed om, hvilken lovgivning der skal anvendes, må optages kontakter mellem institutionerne eller myndighederne i en eller flere stater og Det Forenede Kongerige efter anmodning fra en eller flere af de institutioner, der er udpeget af de kompetente myndigheder i den/de berørte stat(er), eller fra de kompetente myndigheder selv, fastlægges det ved fælles aftale, hvilken lovgivning der skal gælde for den pågældende, under hensyntagen til denne protokols artikel SSC.12 og de relevante bestemmelser i dette bilags artikel SSCI.13.
Er der uenighed mellem de berørte institutioner eller kompetente myndigheder, søger de pågældende organer at nå til enighed i overensstemmelse med ovennævnte betingelser, og artikel SSCI.6 finder anvendelse.
5.
Den kompetente institution i den stat, hvis lovgivning er fastlagt til at skulle anvendes midlertidigt eller endeligt, underretter straks den pågældende person herom.
6.
Hvis den pågældende person undlader at afgive de oplysninger, der er omhandlet i stk. 1, finder denne artikel anvendelse på initiativ af den institution, der er udpeget af den kompetente myndighed i bopælsstaten, så snart denne institution har fået underretning om den pågældendes situation, eventuelt via en anden berørt institution.
Artikel SSCI.16
Underretning af berørte personer og arbejdsgivere
1.
Den kompetente institution i den stat, hvis lovgivning skal anvendes i henhold til afsnit II i denne protokol, underretter den berørte person og, hvis det er relevant, dennes arbejdsgiver(e) om de forpligtelser, der er indeholdt i den pågældende lovgivning. Institutionen yder dem den fornødne bistand til at overholde de formaliteter, der foreskrives af den pågældende lovgivning.
2.
Efter anmodning fra den berørte person eller arbejdsgiveren attesterer den kompetente institution i den stat, hvis lovgivning skal anvendes i medfør af en bestemmelse i afsnit II, at sådan lovgivning finder anvendelse med angivelse af evt. slutdato og betingelser.
Artikel SSCI.17
Samarbejde mellem institutioner
1.
De relevante institutioner sender den kompetente institution i den stat, hvis lovgivning finder anvendelse på en person i henhold til denne protokols afsnit II, de nødvendige oplysninger til fastsættelse af den dato, fra hvilken denne lovgivning finder anvendelse, og de bidrag, som den pågældende og dennes arbejdsgiver(e) har pligt til at indbetale i henhold til denne lovgivning.
2.
Den kompetente institution i den stat, hvis lovgivning finder anvendelse på en person i henhold til denne protokols afsnit II, stiller oplysninger om, fra hvilken dato denne lovgivning finder anvendelse, til rådighed for den institution, der er udpeget af den kompetente myndighed i den stat, hvis lovgivning den pågældende sidst har været omfattet af.
Artikel SSCI.18
Samarbejde i tilfælde af tvivl om udstedte dokumenters gyldighed, hvad angår den gældende lovgivning
1.
Hvis der rejses tvivl om gyldigheden af et dokument, som viser en persons situation i forbindelse med den gældende lovgivning, eller om rigtigheden af de faktiske omstændigheder, som dokumentet bygger på, anmoder institutionen i den stat, der modtager dokumentet, den udstedende institution om de fornødne uddybende forklaringer og eventuelt om, at dokumentet trækkes tilbage eller berigtiges. Den anmodende institution begrunder sin anmodning og fremlægger den relevante dokumentation, der gav anledning til anmodningen.
2.
Ved modtagelsen af en sådan anmodning genovervejer den udstedende institution grundene til udstedelsen af dokumentet og trækker det om nødvendigt tilbage eller berigtiger det senest 30 arbejdsdage efter modtagelsen af anmodningen, hvis der opdages en fejl. Tilbagetrækningen eller berigtigelsen har tilbagevirkende kraft. Er der imidlertid risiko for, at konsekvenserne vil være uforholdsmæssige, og navnlig for, at en person mister sin status som forsikringstager i hele eller dele af den relevante periode i den/de berørte stat(er), skal staterne overveje at anvende en mere forholdsmæssig ordning. Hvis den tilgængelige dokumentation giver den udstedende institution belæg for at konstatere, at ansøgeren, som indgav dokumentet, har begået svig, trækker den straks og med tilbagevirkende kraft dokumentet tilbage eller berigtiger det.
AFSNIT III
SÆRLIGE BESTEMMELSER FOR DE FORSKELLIGE KATEGORIER AF YDELSER
KAPITEL 1
YDELSER VED SYGDOM OG MODERESKAB OG DERMED LIGESTILLEDE YDELSER VED FADERSKAB
Artikel SSCI.19
Almindelige gennemførelsesbestemmelser
1.
De kompetente myndigheder eller institutioner sikrer, at alle nødvendige oplysninger om procedurer og betingelser for udredning af naturalydelser gøres tilgængelige for forsikringstagerne, når sådanne ydelser modtages i en anden stat end den stat, hvor den kompetente institution er beliggende.
2.
Uanset denne protokols artikel SSC.6, litra a), kan en stat kun blive ansvarlig for udgifterne til ydelser i overensstemmelse med denne protokols artikel SSC.20, hvis forsikringstageren enten har ansøgt om pension i henhold til denne stats lovgivning eller i overensstemmelse med denne protokols artikel SSC.21 til SSC.27, og hvis forsikringstageren modtager pension i henhold til denne stats lovgivning.
Artikel SSCI.20
Bestemmelser om, hvilken ordning der skal finde anvendelse i tilfælde, hvor der er mere end én ordning i bopæls- eller opholdsstaten
Såfremt lovgivningen i bopæls- eller opholdsstaten omfatter mere end én forsikringsordning for sygdom, moderskab eller faderskab for mere end én kategori af forsikrede, er det lovgivningen vedrørende den almindelige ordning for arbejdstagere, der skal anvendes i forbindelse med denne protokols artikel SSC.15, SSC.17, stk. 1, SSC.18, SSC.20, SSC.22 og SSC.24.
Artikel SSCI.21
Bopæl i en anden stat end den kompetente stat
Procedure og rettighedernes rækkevidde
1.
Ved anvendelsen af denne protokols artikel SSC.15 er forsikringstageren eller dennes familiemedlemmer forpligtet til straks at lade sig registrere hos bopælsstedets institution. Vedkommendes ret til naturalydelser i bopælsstaten attesteres ved et dokument udstedt af den kompetente institution på anmodning af forsikringstageren eller på anmodning af bopælsstedets institution.
2.
Det dokument, der er omhandlet i stk. 1, forbliver gyldigt, indtil den kompetente institution underretter bopælsstedets institution om, at det er annulleret.
Bopælsstedets institution underretter den kompetente institution om enhver registrering i henhold til stk. 1 og om enhver ændring eller annullering af denne registrering.
3.
Denne artikel finder tilsvarende anvendelse på de personer, der er omhandlet i denne protokols artikel SSC.20, SSC.22, SSC.23 og SSC.24.
Refusion
4.
Hvis en person og/eller dennes familiemedlemmer:
a)
har fået udstedt det i stk. 1 omhandlede dokument
b)
har registreret dette dokument hos bopælsstedets institution i overensstemmelse med stk. 1, og
c)
der er betalt en sygesikringsafgift af eller på vegne af personen eller dennes familiemedlemmer til bopælsstaten som led i en ansøgning om tilladelse til indrejse, ophold, arbejde eller bopæl i den pågældende stat,
kan denne person eller dennes familiemedlemmer anmode bopælsstatens institution om refusion (alt efter omstændighederne helt eller delvist) af den betalte sygesikringsafgift.
5.
Hvis en anmodning indgives i overensstemmelse med stk. 1, fastslår bopælsstatens institution denne anmodning inden for tre kalendermåneder regnet fra den dag, hvor anmodningen blev modtaget, og den foretager en eventuel refusion i overensstemmelse med denne artikel.
6.
Hvis gyldighedsperioden for det i stk. 1 omhandlede dokument er kortere end det tidsrum, for hvilket sundhedsafgiften er betalt, kan refusionsbeløbet ikke overstige den andel af sygesikringsafgiften, der svarer til den periode, for hvilken dokumentet var udstedt.
7.
Hvis sygesikringsafgiften er betalt af en anden person på vegne af en person, der er omfattet af denne artikel, kan der ydes refusion til denne anden person.
Artikel SSCI.22
Ophold i en anden stat end den kompetente stat
Procedure og rettighedernes rækkevidde
1.
Ved anvendelse af denne protokols artikel SSC.17 forelægger forsikringstageren behandleren i opholdsstaten et rettighedsdokument udstedt af den kompetente institution, hvoraf det fremgår, at vedkommende er berettiget til naturalydelser. Hvis forsikringstageren ikke er i besiddelse af et sådant dokument, retter opholdsstedets institution efter anmodning, eller hvis det i øvrigt er nødvendigt, henvendelse til den kompetente institution for at fremskaffe et.
2.
Dokumentet attesterer, at den forsikrede person er berettiget til naturalydelser på de betingelser, der er fastsat i denne protokols artikel SSC.17, på samme vilkår, som gælder for de personer, der er forsikret i henhold til opholdsstatens lovgivning, og at vedkommende opfylder kravene i tillæg SSCI-2.
3.
De naturalydelser, der er omhandlet i denne protokols artikel SSC.17, stk. 1, henviser til de naturalydelser, der tilkendes i opholdsstaten i henhold til dennes lovgivning, og som bliver nødvendige af lægelige grunde for at forhindre, at forsikringstageren inden det planlagte opholds ophør bliver tvunget til at vende tilbage til den kompetente stat for dér at modtage den nødvendige behandling.
Procedure og bestemmelser vedrørende overtagelse og refusion af naturalydelser
4.
Hvis forsikringstageren reelt helt eller delvist har afholdt udgifterne til naturalydelser, der er udredt i henhold til denne protokols artikel SSC.17, og hvis den lovgivning, der anvendes af opholdsstedets institution, giver en forsikringstager mulighed for refusion af disse udgifter, kan vedkommende sende en refusionsansøgning til opholdsstedets institution. I dette tilfælde refunderer denne institution direkte forsikringstageren det beløb, der svarer til udgifterne til ydelserne inden for de rammer og refusionssatsbestemmelser, der er fastlagt i den lovgivning, som institutionen anvender.
5.
Hvis der ikke er anmodet om udgiftsrefusion direkte fra opholdsstedets institution, får den pågældende refunderet de afholdte udgifter af den kompetente institution i overensstemmelse med de refusionssatser, der administreres af opholdsstedets institution, eller de beløb, som opholdsstedets institution ville have fået refunderet, hvis artikel SSCI.47, til protokollen havde fundet anvendelse i det pågældende tilfælde.
Opholdsstedets institution skal efter anmodning give den kompetente institution alle nødvendige oplysninger om disse satser eller beløb.
6.
Uanset stk. 5 kan den kompetente institution refundere de udgifter, der er afholdt inden for de rammer og refusionssatsbestemmelser, der er fastlagt i den lovgivning, som institutionen anvender, forudsat at forsikringstageren har givet sit samtykke til, at denne bestemmelse anvendes.
7.
Hvis opholdsstatens lovgivning ikke indeholder bestemmelser om refusion i henhold til stk. 4 og 5 i det pågældende tilfælde, kan den kompetente institution refundere udgifterne inden for de rammer og refusionssatsbestemmelser, der er fastlagt i den lovgivning, som institutionen anvender, uden forsikringstagerens samtykke.
8.
Refusionen til forsikringstageren må under alle omstændigheder ikke overstige de udgifter, som vedkommende har afholdt.
9.
Hvor det drejer sig om betydelige udgifter, kan den kompetente institution yde forsikringstageren et passende forskud, så snart vedkommende har indgivet refusionsansøgningen til den nævnte institution.
Familiemedlemmer
10.
Stk. 1-9 finder tilsvarende anvendelse på en forsikringstagers familiemedlemmer.
Godtgørelse til studerende
11.
Hvis en person:
a)
har et gyldigt rettighedsdokument som omhandlet i tillæg SSCI-2, som er udstedt af den kompetente institution
b)
er optaget på en videregående uddannelsesinstitution i en anden stat ("studielandet") end den kompetente stat for som primær aktivitet at følge et studieprogram på fuld tid på en videregående uddannelsesinstitution med henblik på at opnå et bevis for en højere uddannelse, der er anerkendt af den pågældende stat, herunder eksamensbevis, certifikat eller doktorgrad, der også kan omfatte forberedelseskurser til disse uddannelser i overensstemmelse med national ret eller obligatoriske praktikforløb
c)
ikke udøver eller ikke har udøvet lønnet beskæftigelse eller selvstændig virksomhed i studielandet i den periode, som sygesikringsafgiften vedrører, og
d)
der er betalt en sygesikringsafgift af eller på vegne af personen til studielandet som led i en ansøgning om tilladelse til indrejse, ophold eller bopæl for at følge et studieprogram på fuld tid i den pågældende stat,
kan denne person anmode studielandets institution om refusion (alt efter omstændighederne helt eller delvist) af den betalte sygesikringsafgift.
12.
Hvis en anmodning indgives i overensstemmelse med stk. 11, behandler og afregner studielandets institution denne anmodning inden for en rimelig frist, dog højst seks kalendermåneder regnet fra den dag, hvor anmodningen blev modtaget, og den foretager en eventuel refusion i overensstemmelse med denne artikel.
13.
Hvis gyldighedsperioden for det i stk. 11, litra a), omhandlede rettighedsdokument er kortere end det tidsrum, for hvilket sygesikringsafgiften er betalt, refunderes sygesikringsafgiften svarende til det beløb, som skal betales for den periode, i hvilken det pågældende dokument er gyldigt.
14.
Hvis sygesikringsafgiften er betalt af en anden person på vegne af en person, der er omfattet af denne artikel, kan der ydes refusion til denne anden person.
15.
Bestemmelserne i stk. 11-14 finder tilsvarende anvendelse på den pågældende persons familiemedlemmer.
16.
Denne artikel træder i kraft 12 måneder efter datoen for denne aftales ikrafttræden.
17.
En person, der opfyldte betingelserne i stk. 11 i perioden mellem denne aftales ikrafttræden og den dato, der er angivet i stk. 16, kan, når denne artikel er trådt i kraft, anmode om refusion i henhold til stk. 11 for den pågældende periode.
18.
Uanset artikel SSC.5, stk. 1, kan studielandet i overensstemmelse med sin nationale ret opkræve gebyrer for naturalydelser, der ikke opfylder kriterierne i artikel SSC.17, stk. 1, litra a), som ydes til en person, for hvem der er foretaget refusion under denne persons ophold for den periode, som refusionen vedrører.
Artikel SSCI.23
Planlagte behandlinger
Tilladelsesproceduren
1.
Ved anvendelsen af denne protokols artikel SSC.18, stk. 1, skal forsikringstageren forelægge opholdsstedets institution et dokument udstedt af den kompetente institution. Ved anvendelse af denne artikel er den kompetente institution den institution, som afholder udgifterne ved den planlagte behandling. I de tilfælde, der er omhandlet i denne protokols artikel SSC.18, stk. 4, og artikel SSC.25, stk. 5, hvor de naturalydelser, der tilkendes i bopælsstaten, refunderes på grundlag af faste beløb, er den kompetente institution bopælsstedets institution.
2.
Hvis en forsikringstager ikke har bopæl i den kompetente stat, anmoder vedkommende om tilladelse fra bopælsstedets institution, som fremsender den til den kompetente institution med det samme.
I så fald attesterer bopælsstedets institution i en erklæring, om betingelserne i denne protokols artikel SSC.18, stk. 2, andet punktum, er opfyldt i bopælsstaten.
Den kompetente institution kan kun nægte at give den ønskede tilladelse, hvis betingelserne i denne protokols artikel SSC.18, stk. 2, andet punktum, ikke er opfyldt i forsikringstagerens bopælsstat ifølge en vurdering foretaget af bopælsstedets institution, eller hvis den samme behandling kan gives i den kompetente stat inden for en frist, der er lægeligt forsvarlig under hensyn til den pågældendes aktuelle helbredstilstand og udsigterne for sygdommens udvikling.
Den kompetente institution underretter bopælsstedets institution om sin beslutning.
Hvis der ikke er svaret inden for de frister, der er fastsat i den nationale lovgivning, anses tilladelsen for at være givet af den kompetente institution.
3.
Hvis en forsikringstager, der ikke har bopæl i den kompetente part, har brug for akut, livsvigtig behandling, og tilladelsen ikke kan nægtes i henhold til denne protokols artikel SSC.18, stk. 2, andet punktum, gives tilladelsen af bopælsstedets institution på vegne af den kompetente institution, der straks underrettes af bopælsstedets institution.
Den kompetente institution skal godtage de konstateringer og behandlingsmuligheder, som er opstillet af læger, der er godkendt af den institution på bopælsstedet, der giver tilladelsen, vedrørende nødvendigheden af en akut, livsvigtig behandling.
4.
Den kompetente institution bevarer retten til når som helst under proceduren for bevilling af tilladelse at lade forsikringstageren undersøge af en af den selv udpeget læge i opholds- eller bopælsstaten.
5.
Opholdsstedets institution underretter, uden dermed at foregribe en afgørelse om tilladelse, den kompetente institution, hvis det viser sig, at det lægeligt set er hensigtsmæssigt at supplere den behandling, der er omfattet af den eksisterende tilladelse.
Overtagelse af udgifter til naturalydelser, som afholdes af forsikringstageren
6.
Med forbehold af stk. 7 finder artikel SSCI.22, stk. 4 og 5, tilsvarende anvendelse
7.
Hvis forsikringstageren faktisk helt eller delvist har afholdt udgifterne til den tilladte lægebehandling selv, og de udgifter, som den kompetente institution har pligt til at refundere opholdsstedets institution eller forsikringstageren i overensstemmelse med stk. 6 (de faktiske udgifter), er lavere end de udgifter, som den skulle påtage sig for samme behandling i den kompetente stat (de fiktive udgifter), refunderer den kompetente institution på anmodning udgifterne til den behandling, som forsikringstageren har afholdt, indtil det beløb, med hvilket de fiktive udgifter overstiger de faktiske udgifter. Refusionsbeløbet må dog ikke overstige de udgifter, som forsikringstageren faktisk har afholdt, og kan tage hensyn til det beløb, som forsikringstageren skulle have betalt, hvis behandlingen var ydet i den kompetente stat.
Overtagelse af rejse- og opholdsudgifter i forbindelse med planlagt behandling
8.
Når den kompetente institutions nationale lovgivning giver mulighed for refusion af de rejse- og opholdsudgifter, der ikke kan adskilles fra behandlingen af forsikringstageren, overtager denne institution sådanne udgifter for den pågældende og om nødvendigt for en person, der skal ledsage den pågældende, når der er givet tilladelse til behandling i en anden stat.
Familiemedlemmer
9.
Stk. 1-8 finder tilsvarende anvendelse på en forsikringstagers familiemedlemmer.
Artikel SSCI.24
Kontantydelser i forbindelse med uarbejdsdygtighed ved ophold eller bopæl i en anden stat end den kompetente stat
Procedure for forsikringstageren
1.
Hvis der i den kompetente stats lovgivning er krav om, at forsikringstageren forelægger en erklæring for at modtage kontantydelser i forbindelse med uarbejdsdygtighed, jf. denne protokols artikel SSC.19, stk. 1, anmoder forsikringstageren den læge i bopælsstaten, der har udredt vedkommendes helbredstilstand, om at attestere, at vedkommende er uarbejdsdygtig, og angive den forventede varighed.
2.
Forsikringstageren fremsender erklæringen til den kompetente institution inden for den frist, der er fastsat i lovgivningen i den kompetente stat.
3.
Hvor de behandlende læger i bopælsstaten ikke udsteder erklæringer om uarbejdsdygtighed, og hvor der er krav om sådanne erklæringer i den kompetente stats lovgivning, retter den pågældende direkte henvendelse til bopælsstedets institution. Denne institution foranlediger straks, at den pågældende person undersøges af en læge til vurdering af vedkommendes uarbejdsdygtighed, og at den i stk. 1 omhandlede erklæring bliver udstedt. Erklæringen sendes straks til den kompetente institution.
4.
Fremsendelse af det dokument, der er omhandlet i stk. 1, 2 og 3, fritager ikke forsikringstageren for at overholde forpligtelserne i henhold til den gældende lovgivning, navnlig med hensyn til den pågældendes arbejdsgiver. Hvis det er relevant, kan arbejdsgiveren eller den kompetente institution opfordre arbejdstageren til at deltage i aktiviteter, der skal fremme mulighederne for og bistå vedkommende med hensyn til at vende tilbage til beskæftigelse.
Procedure for bopælsstatens institution
5.
På anmodning fra den kompetente institution iværksætter bopælsstedets institution den nødvendige administrative eller lægelige kontrol af den berørte person i henhold til den lovgivning, der anvendes af sidstnævnte institution. Den kontrollerende læges erklæring, navnlig vedrørende uarbejdsdygtighedens forventede varighed, sendes straks af bopælsstedets institution til den kompetente institution.
Procedure for den kompetente institution
6.
Den kompetente institution bevarer retten til at lade forsikringstageren undersøge af en af den udpeget læge.
7.
Med forbehold af denne protokols artikel SSC.19, stk. 1, andet punktum, udbetaler den kompetente institution kontantydelserne direkte til den pågældende og underretter om nødvendigt bopælsstedets institution herom.
8.
Ved anvendelse af denne protokols artikel SSC.19, stk. 1, har oplysningerne i en forsikringstagers uarbejdsdygtighedserklæring, der er udfærdiget i en stat på grundlag af den kontrollerende læges eller institutions konstatering, samme juridiske værdi som en erklæring, der er udfærdiget i den kompetente stat.
9.
Hvis den kompetente institution nægter at udbetale kontantydelser, underretter den forsikringstageren om denne afgørelse og orienterer samtidig bopælsstedets institution.
Procedure i tilfælde af ophold i en anden stat end den kompetente stat
10.
Stk. 1-9 finder tilsvarende anvendelse, når forsikringstageren opholder sig i en anden stat end den kompetente stat.
Artikel SSCI.25
Bidrag, der påhviler pensionister
Hvis en person modtager pension fra mere end én stat, må de bidrag, der opkræves af den samlede pension, under ingen omstændigheder være højere end det beløb, der ville blive opkrævet hos en person, der modtager det samme pensionsbeløb fra den kompetente stat.
Artikel SSCI.26
Særlige gennemførelsesforanstaltninger
1.
Når en person eller en gruppe personer efter anmodning fritages fra lovpligtig sygeforsikring, og sådanne personer derfor ikke er omfattet af en sygeforsikringsordning, som denne protokol finder anvendelse på, bliver en stats institution ikke, blot på grund af denne fritagelse, ansvarlig for at afholde omkostningerne ved de naturalydelser eller kontantydelser, som sådanne personer eller et medlem af deres familie modtager i henhold til denne protokols artikel SSC.15-SSC.30.
2.
Når de personer, der er omhandlet i stk. 1, og deres familiemedlemmer har bopæl i en stat, hvor retten til at modtage naturalydelser ikke er betinget af forsikring eller beskæftigelse som arbejdstager eller selvstændig erhvervsdrivende, skal de betale fuldt ud for de naturalydelser, som de modtager i bopælsstaten.
KAPITEL 2
YDELSER I ANLEDNING AF ARBEJDSULYKKER OG ERHVERVSSYGDOM
Artikel SSCI.27
Ret til naturalydelser og kontantydelser ved bopæl eller ophold i en anden stat end den kompetente stat
1.
Ved anvendelsen af denne protokols artikel SSC.31 finder procedurerne i artikel SSCI.21 til SSCI.24 i dette bilag tilsvarende anvendelse.
2.
Når institutionen i opholds- eller bopælsstaten udreder særlige naturalydelser i forbindelse med arbejdsulykker og erhvervssygdomme i henhold til national lovgivning, underretter den omgående den kompetente institution.
Artikel SSCI.28
Procedure i tilfælde af arbejdsulykke eller erhvervssygdom, der er indtruffet i en anden stat end den kompetente stat
1.
Hvis en arbejdsulykke indtræffer eller en erhvervssygdom første gang lægeligt konstateres i en anden stat end den kompetente stat, foretages anmeldelsen eller indberetningen af arbejdsulykken eller erhvervssygdommen, forudsat at der findes bestemmelser om anmeldelse eller indberetning i national lovgivning, efter den kompetente stats lovgivning, uden at dette berører andre lovbestemmelser, der måtte gælde i den stat, hvor arbejdsulykken er indtruffet eller erhvervssygdommen første gang er lægeligt konstateret, og som fortsat finder anvendelse i et sådant tilfælde. Anmeldelsen eller indberetningen sendes til den kompetente institution.
2.
Institutionen i den stat, på hvis territorium arbejdsulykken er indtruffet eller erhvervssygdommen første gang er lægeligt konstateret, tilsender den kompetente institution de lægeerklæringer, der er udfærdiget i den pågældende stat.
3.
Såfremt det, hvor det drejer sig om en ulykke indtruffet på vej til eller fra arbejde i en anden stat end den kompetente stat, er påkrævet at foretage en undersøgelse på den førstnævnte stats territorium for at afgøre en eventuel ret til de pågældende ydelser, kan den kompetente institution udpege en person til at forestå denne undersøgelse, og den skal i så fald underrette myndighederne i den pågældende stat herom. Institutionerne samarbejder med hinanden om at vurdere alle relevante oplysninger og gennemgå rapporterne og alle øvrige dokumenter vedrørende ulykken.
4.
Efter behandlingens afslutning sendes en udførlig rapport efter anmodning til den kompetente institution sammen med lægeerklæringer om de varige følger af ulykken eller sygdommen, navnlig om den skadede persons aktuelle tilstand samt om, hvorvidt læsionerne er helbredt eller konsolideret. De hermed forbundne honorarer betales, alt efter omstændighederne, af bopælsstedets institution eller af opholdsstedets institution efter den sats, der gælder for den pågældende institution, og til udgift for den kompetente institution.
5.
Efter anmodning fra bopæls- eller opholdsstedets institution underretter den kompetente institution i givet fald den relevante institution om afgørelsen af, hvornår læsionerne er helbredt eller konsolideret, samt – i givet fald – om afgørelsen vedrørende tilkendelse af pension.
Artikel SSCI.29
Tvivl om, hvorvidt ulykken eller sygdommen er arbejdsbetinget
1.
Hvis den kompetente institution i forbindelse med denne protokols artikel SSC.31, stk. 2, bestrider, at lovgivningen om arbejdsulykker og erhvervssygdomme skal finde anvendelse, underretter den straks bopæls- eller opholdsstedets institution, der har udredt naturalydelserne, og disse ydelser vil derefter blive betragtet som sygeforsikringsydelser.
2.
Når der er truffet endelig afgørelse om dette spørgsmål, underretter den kompetente institution straks bopæls- eller opholdsstedets institution, der har udredt naturalydelserne.
Hvis der ikke konstateres en arbejdsulykke eller erhvervssygdom, skal der fortsat udredes naturalydelser som sygeforsikringsydelser, såfremt den pågældende er berettiget hertil.
Hvis der konstateres en arbejdsulykke eller erhvervssygdom, betragtes de sygeforsikringsydelser i form af naturalydelser, som den pågældende har modtaget, fra den dato, hvor arbejdsulykken indtraf, eller hvor sygdommen første gang blev lægeligt konstateret, som ydelser ved arbejdsulykker eller erhvervssygdomme.
3.
Artikel SSCI.6, stk. 5, andet afsnit, finder tilsvarende anvendelse.
Artikel SSCI.30
Procedure ved risiko for pådragelse af erhvervssygdom i to eller flere stater
1.
I det tilfælde, der er omhandlet i denne protokols artikel SSC.33, sendes anmeldelsen eller indberetningen af erhvervssygdommen til den kompetente institution for erhvervssygdomme i den sidste stat, under hvis lovgivning den pågældende har udøvet en aktivitet, der kan forårsage den pågældende sygdom.
Hvis den institution, som anmeldelsen eller indberetningen er blevet sendt til, konstaterer, at en person senest har været beskæftiget ved et arbejde, der kan forårsage den pågældende erhvervssygdom, under lovgivningen i en anden stat, sender den anmeldelsen eller indberetningen med alle bilag til den tilsvarende institution i denne stat.
2.
Hvis institutionen i den stat, under hvis lovgivning en person senest har været beskæftiget ved et arbejde, der kan forårsage den pågældende erhvervssygdom, konstaterer, at vedkommende eller dennes efterladte ikke opfylder betingelserne i denne stats lovgivning, bl.a. fordi vedkommende aldrig i den pågældende stat har været beskæftiget ved et arbejde, der forårsagede erhvervssygdommen, eller fordi staten ikke anerkender sygdommen som en erhvervssygdom, sender denne institution omgående anmeldelsen eller indberetningen med alle bilag, herunder resultaterne af de lægelige observationer og undersøgelser, som den førstnævnte institution har ladet foretage, til institutionen i den stat, under hvis lovgivning vedkommende tidligere har været beskæftiget ved et arbejde, der kan forårsage den pågældende erhvervssygdom.
3.
Hvis det er hensigtsmæssigt, gentager institutionerne den i stk. 2 anførte procedure ved at gå så langt tilbage som den tilsvarende institution i den stat, hvor vedkommende først har været beskæftiget ved et arbejde, der kan forårsage den pågældende erhvervssygdom.
Artikel SSCI.31
Udveksling af oplysninger mellem institutioner og ydelse af forskud i tilfælde af klage over afslag på en ansøgning om ydelser
1.
I tilfælde af klage over en afgørelse om afslag på en ansøgning om ydelser, som er truffet af institutionen i en stat, under hvis lovgivning en person har været beskæftiget ved et arbejde, der kan forårsage den pågældende erhvervssygdom, underretter denne institution den institution, hvortil anmeldelsen eller indberetningen er sendt efter proceduren i artikel SSCI.30, stk. 2, og underretter den senere, når den endelige afgørelse er truffet.
2.
Såfremt der er erhvervet ret til ydelser efter den lovgivning, der anvendes af den institution, hvortil anmeldelsen eller indberetningen er sendt, udbetaler denne institution forskud med et beløb, der i givet fald fastsættes efter høring af den institution, hvis afgørelse er påklaget, og på en sådan måde, at overbetaling undgås. Den sidstnævnte institution refunderer det ydede forskudsbeløb, hvis den som følge af klageinstansens afgørelse er forpligtet til at udrede de omhandlede ydelser. Dette beløb indeholdes derefter i de ydelser, der tilkommer den pågældende, i overensstemmelse med proceduren i artikel SSCI.56 og SSCI.57.
3.
Artikel SSCI.6, stk. 5, andet afsnit, finder tilsvarende anvendelse.
Artikel SSCI.32
Forværring af en erhvervssygdom
I de tilfælde, der er omhandlet i denne protokols artikel SSC.34, meddeler ansøgeren den institution i en stat, over for hvilken vedkommende gør krav på ydelser, oplysninger vedrørende tidligere tilkendte ydelser i anledning af den pågældende erhvervssygdom. Denne institution kan rette henvendelse til enhver anden institution, der tidligere har været kompetent, for at fremskaffe de oplysninger, som den anser for nødvendige.
Artikel SSCI.33
Vurdering af graden af uarbejdsdygtighed i tilfælde af en tidligere eller senere indtruffet arbejdsulykke eller erhvervssygdom
Når den tidligere eller senere uarbejdsdygtighed er forårsaget af en ulykke, der indtraf, mens den pågældende var omfattet af lovgivningen i en stat, der ikke foretager nogen sondring efter uarbejdsdygtighedens årsag, skal den kompetente institution eller det organ, der er udpeget af den kompetente myndighed i den pågældende stat:
a)
efter anmodning fra den kompetente institution i en anden stat tilvejebringe oplysninger om graden af den tidligere eller senere uarbejdsdygtighed og, så vidt muligt, oplysninger, der gør det muligt at afgøre, om uarbejdsdygtigheden er en følge af en arbejdsulykke efter den lovgivning, som institutionen i den anden stat anvender
b)
med henblik på fastlæggelse af retten til ydelser og fastsættelse af disses størrelse tage hensyn til den grad af uarbejdsdygtighed, som disse tidligere eller senere tilfælde har medført, i overensstemmelse med den lovgivning, der finder anvendelse.
Artikel SSCI.34
Indgivelse og behandling af ansøgninger om pensioner eller tillæg
For at opnå pension eller tillæg efter lovgivningen i en stat skal den pågældende eller dennes efterladte, der har bopæl på en anden stats territorium, i givet fald indgive en ansøgning enten til den kompetente institution eller til bopælsstedets institution, der sender den til den kompetente institution.
Ansøgningen skal indeholde de oplysninger, der kræves i henhold til den lovgivning, som den kompetente institution anvender.
KAPITEL 3
YDELSER VED DØDSFALD
Artikel SSCI.35
Ansøgning om ydelser ved dødsfald
Ved anvendelse af denne protokols artikel SSC.37 og SSC.38 indgives ansøgningen om ydelser ved dødsfald enten til den kompetente institution eller til ansøgerens bopælssteds institution, der sender den til den kompetente institution.
Ansøgningen skal indeholde de oplysninger, der kræves i henhold til den lovgivning, som den kompetente institution anvender.
KAPITEL 4
YDELSER VED INVALIDITET OG ALDERS- OG EFTERLADTEPENSIONER
Artikel SSCI.36
Supplerende bestemmelser om beregning af ydelser
1.
Med henblik på beregningen af ydelsens teoretiske og faktiske beløb efter bestemmelserne i denne protokols artikel SSC.47, stk. 1, litra b), finder reglerne i bilagets artikel SSCI.11, stk. 3, 4, 5 og 6, anvendelse.
2.
Når forsikringsperioder tilbagelagt efter en frivillig eller frivillig fortsat ordning ikke er medregnet i henhold til dette bilags artikel SSCI.11, stk. 3, beregner institutionen i staten, alt efter under hvis lovgivning disse perioder er tilbagelagt, det beløb, der svarer til disse perioder, i henhold til den lovgivning, der finder anvendelse. Det faktiske beløb for ydelsen beregnet i henhold til denne protokols artikel SSC.47, stk. 1, litra b), forhøjes med det beløb, der svarer til forsikringsperioderne i henhold til en frivillig eller frivillig fortsat ordning.
3.
Institutionen i hver stat beregner i henhold til den lovgivning, som den anvender, det beløb, der svarer til forsikringsperioder tilbagelagt efter en frivillig eller frivillig fortsat ordning, som i henhold til denne protokols artikel SSC.48, stk. 3, litra c), ikke er undergivet en anden stats regler om bortfald, nedsættelse eller midlertidig inddragelse af ydelser.
Hvis den lovgivning, som den kompetente institution anvender, ikke giver mulighed for at fastsætte dette beløb direkte på grund af, at der i den pågældende lovgivning tildeles forskellige værdier for forsikringsperioder, kan der fastsættes et fiktivt beløb. Specialudvalget om Koordinering af de Sociale Sikringsordninger fastlægger de nærmere regler for fastsættelse af det fiktive beløb.
Artikel SSCI.37
Ansøgning om ydelser
Indgivelse af ansøgninger om alders- og efterladtepension
1.
Ansøgeren indgiver en ansøgning enten til bopælsstedets institution eller til institutionen i den stat, hvis lovgivning senest var gældende for vedkommende. Hvis den berørte person ikke på noget tidspunkt har været omfattet af den lovgivning, som bopælsstedets institution anvender, fremsender denne institution ansøgningen til institutionen i den stat, hvis lovgivning senest var gældende.
2.
Datoen for ansøgningens indgivelse gælder for alle berørte institutioner.
3.
Uanset stk. 2, og medmindre den relevante lovgivning indeholder gunstigere bestemmelser, anses den dato, hvor ansøgeren kompletterer sin oprindelige ansøgning eller indgiver en ny ansøgning vedrørende de manglende beskæftigelses- og/eller bopælsperioder i en stat, for at være datoen for indgivelse af ansøgningen til den institution, der anvender den pågældende lovgivning, såfremt ansøgeren i sin ansøgning ikke har oplyst, at vedkommende har været beskæftiget eller haft bopæl i andre stater, på trods af at vedkommende er blevet opfordret hertil.
Artikel SSCI.38
Dokumentation og oplysninger, der skal ledsage ansøgerens ansøgning
1.
Ansøgeren indgiver ansøgningen i overensstemmelse med bestemmelserne i den lovgivning, som anvendes af den institution, der er omhandlet i artikel SSCI.37, stk. 1, og vedlægger den dokumentation, der kræves efter denne lovgivning. Navnlig skal ansøgeren indgive alle relevante tilgængelige oplysninger og al dokumentation vedrørende forsikringsperioder (institutioner, identifikationsnumre), beskæftigelse (arbejdsgivere) eller selvstændig virksomhed (art og sted) og bopæl (adresser), som måtte være tilbagelagt under anden lovgivning, samt varigheden af sådanne perioder.
2.
Hvis ansøgeren i henhold til denne protokols artikel SSC.45, stk. 1, anmoder om, at fastsættelsen af ydelser ved alderdom efter lovgivningen i en eller flere stater udsættes, skal ansøgeren anføre dette i sin ansøgning og angive, efter hvilken lovgivning vedkommende anmoder om udsættelse. For at ansøgeren kan benytte sig af denne ret, meddeler de berørte institutioner på ansøgerens anmodning vedkommende alle oplysninger, de er i besiddelse af, så vedkommende kan vurdere konsekvenserne af henholdsvis en samtidig eller en successiv fastsættelse af de ydelser, der kan gøres krav på.
3.
Hvis ansøgeren trækker en ansøgning om ydelser tilbage, hvor dette er muligt i henhold til lovgivningen i en bestemt stat, anses dette ikke for samtidig at være en tilbagetrækning af en ansøgning om ydelser i henhold til lovgivningen i en anden stat.
Artikel SSCI.39
De berørte institutioners behandling af ansøgninger
Kontaktinstitution
1.
Den institution, hvortil ansøgningen om ydelser indgives eller videresendes i overensstemmelse med artikel SSCI.37, stk. 1, benævnes herefter "kontaktinstitutionen". Institutionen på bopælsstedet benævnes ikke kontaktinstitutionen, hvis den berørte person ikke på noget tidspunkt har været omfattet af den lovgivning, som denne institution anvender.
Ud over behandlingen af ansøgningen om ydelser i henhold til den lovgivning, den anvender, skal den pågældende institution i sin egenskab af kontaktinstitution fremme udvekslingen af data, bekendtgørelsen af afgørelser og de procedurer, der er nødvendige for de berørte institutioners behandling af ansøgningen, og skal på anmodning forsyne ansøgeren med oplysninger, der er relevante for de aspekter ved behandlingen, som denne protokol måtte give anledning til, samt holde ansøgeren underrettet om, hvordan behandlingen skrider frem.
Behandling af ansøgninger om alders- og efterladtepension
2.
Kontaktinstitutionen sender straks ansøgninger om ydelser og alle de dokumenter, den råder over, og i givet fald alle relevante dokumenter indgivet af ansøgeren, til alle de berørte institutioner, for at disse institutioner kan påbegynde behandlingen af ansøgningen samtidig. Kontaktinstitutionen underretter de andre institutioner om forsikrings- eller bopælsperioder i henhold til dens lovgivning. Den angiver også, hvilke dokumenter der skal indgives på et senere tidspunkt, og supplerer ansøgningen så hurtigt som muligt.
3.
Hver af de berørte institutioner underretter hurtigst muligt kontaktinstitutionen og de andre berørte institutioner om forsikrings- eller bopælsperioder i henhold til deres lovgivning.
4.
Alle berørte institutioner beregner størrelsen af ydelserne i henhold til denne protokols artikel SSC.47 og underretter kontaktinstitutionen og de andre berørte institutioner om deres afgørelse samt om størrelsen af ydelserne og meddeler alle de oplysninger, der er nødvendige med henblik på denne protokols artikel SSC.48 til SSC.50.
5.
Hvis en institution på basis af oplysninger omhandlet i denne artikels stk. 2 og 3 konstaterer, at denne protokols artikel SSC.52, stk. 2 eller 3, finder anvendelse, informerer den kontaktinstitutionen og de andre berørte institutioner.
Artikel SSCI.40
Meddelelse til ansøgeren om afgørelser
1.
Hver enkelt institution giver ansøgeren meddelelse om den afgørelse, den har truffet, efter den lovgivning, der finder anvendelse. Afgørelsen skal indeholde nærmere oplysninger om klageadgang samt fristerne for klage. Når kontaktinstitutionen er blevet underrettet om alle de afgørelser, som de enkelte institutioner har truffet, sender den et resumé over disse afgørelser til ansøgeren og de andre berørte institutioner. Specialudvalget om Koordinering af de Sociale Sikringsordninger udarbejder en skabelon for dette resumé. Resuméet sendes til ansøgeren på institutionens sprog eller, hvis ansøgeren anmoder herom, på et hvilket som helst andet sprog, herunder engelsk, der er anerkendt som et officielt EU-sprog.
2.
Hvis en ansøger efter modtagelse af resuméet har indtryk af, at vedkommendes rettigheder er blevet påvirket negativt på grund af interaktionen mellem afgørelser, der er truffet af to eller flere institutioner, har ansøgeren ret til inden for de frister, der er fastsat i de respektive nationale lovgivninger, at få taget de berørte institutioners afgørelser op til fornyet overvejelse. Fristen begynder at løbe på datoen for modtagelse af resuméet. Ansøgeren underrettes skriftligt om resultatet af den fornyede overvejelse.
Artikel SSCI.41
Fastsættelse af invaliditetsgraden
Alle institutioner har i overensstemmelse med deres lovgivning ret til at lade ansøgeren undersøge af en af dem selv udpeget læge eller anden specialist for at få fastsat invaliditetsgraden. En stats institution skal dog tage lægelige dokumenter og erklæringer samt administrative oplysninger, der er indhentet af andre staters institutioner, i betragtning på samme måde, som hvis de havde været udstedt på institutionens eget territorium.
Artikel SSCI.42
Udbetaling af foreløbige ydelser og forskud på ydelser
1.
Uanset artikel SSCI.7 i dette bilag skal enhver institution, der i forbindelse med behandlingen af en ansøgning om ydelser fastslår, at ansøgeren har ret til en selvstændig ydelse i henhold til den gældende lovgivning i overensstemmelse med denne protokols artikel SSC.47, stk. 1, litra a), straks udbetale denne ydelse. Udbetalingen anses for foreløbig, hvis det tilkendte beløb kan påvirkes af resultatet af ansøgningens behandling.
2.
Hvis det fremgår af de tilgængelige oplysninger, at ansøgeren har ret til betaling fra en institution i medfør af denne protokols artikel SSC.47, stk. 1, litra b), udbetaler den pågældende institution vedkommende et forskud, hvis størrelse så vidt muligt svarer til det beløb, der må antages at blive fastsat i henhold til denne protokols artikel SSC.47, stk. 1, litra b).
3.
Hver institution, som det påhviler at udbetale foreløbige ydelser eller forskud på ydelser i medfør af stk. 1 eller 2, underretter straks ansøgeren herom og gør samtidig vedkommende udtrykkeligt opmærksom på, at afgørelsen er af foreløbig karakter, og på en eventuel klageadgang i henhold til den lovgivning, der gælder for institutionen.
Artikel SSCI.43
Fornyet beregning af ydelserne
1.
Hvis ydelserne beregnes på ny i overensstemmelse med denne protokols artikel SSC.45, stk. 4, og artikel SSC.54, stk. 1, finder artikel SSCI.42 i dette bilag tilsvarende anvendelse.
2.
Hvis ydelsen beregnes på ny, bortfalder eller stilles i bero, underretter den institution, som har truffet afgørelse herom, straks den pågældende person samt hver af de institutioner, hvorfra den pågældende har ret til ydelser.
Artikel SSCI.44
Foranstaltninger med henblik på at fremskynde pensionsberegningen
1.
For at lette og fremskynde behandlingen af ansøgninger og udbetalingen af ydelser skal de institutioner, hvis lovgivning den berørte person har været omfattet af:
a)
udveksle de oplysninger til identifikation af personer, der overgår fra en gældende national lovgivning til en anden, med institutioner i andre stater eller gøre sådanne oplysninger tilgængelige for disse institutioner og sammen sikre, at disse identifikationsoplysninger opbevares og stemmer overens, eller, hvis dette ikke er muligt, give de pågældende personer mulighed for at få direkte adgang til deres identifikationsoplysninger
b)
i tilstrækkelig god tid inden minimumsalderen for pensionsrettighedernes indtræden eller inden en aldersgrænse, der fastlægges i national lovgivning, udveksle oplysninger med den berørte person og institutioner i andre stater (vedrørende tilbagelagte perioder eller andre vigtige forhold) om de pensionsrettigheder, der tilkommer personer, der er overgået fra en gældende lovgivning til en anden, eller gøre disse oplysninger tilgængelige for dem, eller, hvis dette ikke er muligt, underrette disse personer om eller give dem mulighed for at gøre sig bekendt med deres fremtidige ret til ydelser.
2.
Ved anvendelse af stk. 1 fastsætter Specialudvalget om Koordinering af de Sociale Sikringsordninger, hvilke oplysninger der skal udveksles eller gøres tilgængelige, og fastlægger de relevante procedurer og mekanismer under hensyn til de særlige karakteristika, den administrative og tekniske indretning og de teknologiske midler, der er til rådighed for de nationale pensionsordninger. Specialudvalget om Koordinering af de Sociale Sikringsordninger sikrer gennemførelsen af disse pensionsordninger ved at organisere en opfølgning på de iværksatte foranstaltninger og deres anvendelse.
3.
Ved anvendelse af stk. 1 får institutionen i den første stat, hvor en person tildeles et personligt identifikationsnummer (PIN) med henblik på forvaltning af den sociale sikring, stillet de i denne artikel omhandlede oplysninger til rådighed.
Artikel SSCI.45
Koordineringsforanstaltninger i staterne
1.
Hvis en national lovgivning indeholder regler til fastlæggelse af, hvilken institution der er ansvarlig, eller hvilken ordning der skal anvendes, eller for at henføre forsikringsperioder til en bestemt ordning, finder disse regler kun anvendelse på forsikringsperioder tilbagelagt under den pågældende stats lovgivning, jf. dog denne protokols artikel SSC.46.
2.
Hvis en national lovgivning indeholder regler om koordinering af de særlige ordninger for tjenestemænd og den almindelige ordning for arbejdstagere, berøres sådanne regler ikke af bestemmelserne i denne protokol og i dette bilag.
KAPITEL 5
ARBEJDSLØSHEDSYDELSER
Artikel SSCI.46
Sammenlægning af perioder og beregning af ydelser
1.
Artikel SSCI.11, stk. 1, i dette bilag finder tilsvarende anvendelse på artikel SSC.56 i denne protokol. Med forbehold af de involverede institutioners underliggende forpligtelser kan den pågældende person forelægge den kompetente institution et dokument, der er udstedt af institutionen i den stat, af hvis lovgivning vedkommende var omfattet under sin seneste lønnede beskæftigelse eller selvstændige virksomhed, med angivelse af de perioder, der er afsluttet under denne lovgivning.
2.
Ved anvendelse af denne protokols artikel SSC.57 skal den kompetente institution i en stat, efter hvis lovgivning ydelsernes beregning afhænger af antallet af familiemedlemmer, også tage familiemedlemmer, der har bopæl i en anden stat, i betragtning, som om de havde bopæl i den kompetente stat. Dette gælder dog ikke, såfremt en anden person i familiemedlemmernes bopælsstat har ret til arbejdsløshedsydelser, der beregnes på grundlag af antallet af familiemedlemmer.
AFSNIT IV
FINANSIELLE BESTEMMELSER
KAPITEL 1
REFUSION AF OMKOSTNINGER, JF. Artikel SSC.30 OG Artikel SSC.36 I DENNE PROTOKOL
AFDELING 1
REFUSION AF YDELSER PÅ GRUNDLAG AF DE FAKTISKE UDGIFTER
Artikel SSCI.47
Principper
1.
Ved anvendelse af denne protokols artikel SSC.30 og artikel SSC.36 refunderer den kompetente institution det faktiske beløb for udgifterne til naturalydelser, som fremgår af regnskaberne for den institution, der har udredt dem, til denne institution, medmindre artikel SSCI.57 i dette bilag finder anvendelse.
2.
Hvis den faktiske størrelse af de i stk. 1 nævnte udgifter til ydelser ikke helt eller delvis fremgår af regnskaberne for den institution, der har udredt dem, fastsættes refusionsbeløbet til et fikseret beløb beregnet på grundlag af alle relevante oplysninger, der kan udledes af de foreliggende data. Specialudvalget om Koordinering af de Sociale Sikringsordninger afgør, hvilket grundlag der skal anvendes ved beregningen af det fikserede beløb, og fastsætter dets størrelse.
3.
Der kan ikke lægges højere satser til grund for refusionen end dem, der finder anvendelse på naturalydelser til forsikringstagere, der er omfattet af den lovgivning, der gælder for den institution, som har udredt de i stk. 1 omhandlede ydelser.
AFDELING 2
REFUSION PÅ GRUNDLAG AF FASTE BELØB
Artikel SSCI.48
Identifikation af den eller de berørte stater
1.
De stater, der er omhandlet i denne protokols artikel SSC.30, stk. 2, hvis retlige eller administrative strukturer er af en sådan art, at anvendelse af refusion på grundlag af faktiske udgifter ikke er hensigtsmæssig, fremgår af dette bilags tillæg SSCI-3.
2.
For stater, der står opført i tillæg SSCI-3, refunderer de kompetente institutioner beløbet for naturalydelser, der er udredt til:
a)
familiemedlemmer, der ikke er bosat i samme stat som forsikringstageren, jf. denne protokols artikel SSC.15, og til
b)
pensionister og deres familiemedlemmer som fastsat i denne protokols artikel SSC.22, stk. 1, artikel SSC.23 og artikel SSC.24,
til de institutioner, der har udredt de pågældende ydelser, på grundlag af et fast beløb, der fastsættes for hvert kalenderår. Størrelsen af det faste beløb skal i videst muligt omfang svare til de faktiske udgifter.
Artikel SSCI.49
Metode til beregning af de månedlige faste beløb og det samlede faste beløb
1.
For hver kreditorstat fremkommer det månedlige faste beløb pr. person (F
i
) for et kalenderår ved at dividere den gennemsnitlige årlige udgift pr. person (Y
i
), opgjort for forskellige alderskategorier (i), med 12 og foretage en nedsættelse (X) af det herved fremkomne beløb i overensstemmelse med følgende formel:
F
i
 = Y
i
*1/12*(1-X)
hvor:
—
indekset (i = 1, 2 og 3) repræsenterer de tre alderskategorier, der anvendes ved beregningen af det faste beløb:
—
i = 1: personer under 20 år
—
i = 2: personer på 20-64 år
—
i = 3: personer på 65 år og derover
—
Y
i
 repræsenterer den gennemsnitlige årlige udgift pr. person i alderskategori i, jf. stk. 2.
—
koefficienten X (0,20 eller 0,15) repræsenterer nedsættelsen, jf. stk. 3.
2.
Den gennemsnitlige årlige udgift pr. person (Y
i
) i alderskategori i udregnes ved at dividere de årlige udgifter til samtlige de naturalydelser, der af institutionerne i kreditorstaten er udredt til alle de personer i den pågældende alderskategori, der er omfattet af denne stats lovgivning, og som har bopæl på dens territorium, med det gennemsnitlige antal berørte personer i den pågældende alderskategori i det pågældende kalenderår. Beregningen baseres på udgifterne under de ordninger, der er omhandlet i artikel SSCI.20.
3.
Det månedlige faste beløb nedsættes i princippet med 20 % (X = 0,20). Det nedsættes med 15 % (X = 0,15) for pensionister og deres familiemedlemmer, hvis den kompetente stat ikke er anført i bilag SSC-3 til denne protokol.
4.
For de enkelte debitorstater svarer det samlede faste beløb for et kalenderår til summen af de beløb, der fremkommer ved, i hver alderskategori i, at multiplicere det fastsatte månedlige faste beløb pr. person med antallet af måneder, som de berørte personer i den pågældende alderskategori har tilbagelagt i kreditorstaten.
Antallet af måneder, som de berørte personer har tilbagelagt i kreditorstaten, svarer til summen af de kalendermåneder i et kalenderår, i hvilke de berørte personer på grund af deres bopæl på kreditorstatens territorium havde ret til at modtage naturalydelser på det pågældende territorium til udgift for debitorstaten. Disse måneder opgøres ved hjælp af en fortegnelse, der i dette øjemed føres af bopælsstedets institution, på grundlag af den af den kompetente institution tilvejebragte dokumentation for de pågældendes ret til ydelser.
5.
Specialudvalget om Koordinering af de Sociale Sikringsordninger kan fremsætte forslag til ændringer, der måtte vise sig at være nødvendige for at sikre, at beregningen af de faste beløb i videst muligt omfang svarer til de faktiske udgifter, og at nedsættelserne i stk. 3 ikke resulterer i ulige betalinger eller dobbeltbetalinger for staterne.
6.
Specialudvalget om Koordinering af de Sociale Sikringsordninger udarbejder metoder til fastsættelse af de elementer, der skal anvendes til beregning af de faste beløb, som er nævnt i denne artikel.
Artikel SSCI.50
Indberetning af de gennemsnitlige årlige udgifter
Den gennemsnitlige årlige udgift pr. person i hver alderskategori for et bestemt år indberettes til Specialudvalget om Koordinering af de Sociale Sikringsordninger senest ved udgangen af det andet på det pågældende år følgende år. Hvis ikke indberetningen foretages inden for denne frist, tages den gennemsnitlige årlige udgift pr. person, som Specialudvalget om Koordinering af de Sociale Sikringsordninger senest har fastlagt for et tidligere år.
AFDELING 3
ALMINDELIGE BESTEMMELSER
Artikel SSCI.51
Procedure for refusion mellem institutioner
1.
Refusion mellem staterne gennemføres så hurtigt som muligt. Hver af de berørte institutioner har pligt til at refundere fordringerne inden for de frister, der er fastsat i denne afdeling, så hurtigt de er i stand til det. En tvist vedrørende en given fordring må ikke være til hinder for refusionen af en eller flere andre fordringer.
2.
Refusion mellem medlemsstaternes og Det Forenede Kongeriges institutioner, som omhandlet i denne protokols artikel SSC.30 og artikel SSC.36, sker via forbindelsesorganet. Der kan være et særskilt forbindelsesorgan for refusioner i henhold til denne protokols artikel SSC.30 og artikel SSC.36.
Artikel SSCI.52
Frister for forelæggelse og betaling af fordringer
1.
Fordringer på grundlag af de faktiske udgifter forelægges forbindelsesorganet i debitorstaten senest 12 måneder efter udgangen af det kalenderhalvår, hvor disse fordringer blev registreret i kreditorinstitutionens regnskaber.
2.
Fordringer på grundlag af faste beløb vedrørende et kalenderår forelægges forbindelsesorganet i debitorstaten senest 12 måneder efter den måned, hvor de gennemsnitlige udgifter for det pågældende år blev godkendt af Specialudvalget om Koordinering af de Sociale Sikringsordninger. De fortegnelser, der henvises til i artikel SSCI.49, stk. 4, forelægges ved udgangen af det år, der følger efter referenceåret.
3.
I det tilfælde, der er omhandlet i artikel SSCI.7, stk. 5, andet afsnit, begynder fristen, jf. denne artikels stk. 1 og 2, først at løbe, når den kompetente institution er identificeret.
4.
Fordringer, der indgives efter fristerne i stk. 1 og 2, tages ikke i betragtning.
5.
Fordringer betales til forbindelsesorganet i kreditorstaten, jf. artikel SSCI.51, af debitorinstitutionen senest 18 måneder efter udgangen af den måned, hvor de blev indgivet til forbindelsesorganet i debitorstaten. Dette gælder ikke for fordringer, som debitorinstitutionen har afvist af relevante grunde inden for denne periode.
6.
Tvister vedrørende en fordring skal løses senest 36 måneder efter den måned, hvor fordringen blev forelagt.
7.
Specialudvalget om Koordinering af de Sociale Sikringsordninger fremmer den endelige afslutning af regnskaberne i tilfælde, hvor der ikke er fundet en løsning inden for den i stk. 6 fastsatte frist, og afgiver efter begrundet anmodning fra en af tvistens parter en udtalelse om en tvist senest seks måneder efter den måned, i hvilken den blev forelagt sagen.
Artikel SSCI.53
Morarenter og acontobetalinger
1.
Fra udløbet af perioden på 18 måneder, jf. artikel SSCI.52, stk. 5, kan ubetalte fordringer af kreditorinstitutionen pålægges renter, medmindre debitorinstitutionen inden for seks måneder fra udløbet af den måned, hvor fordringen er forelagt, har foretaget en acontobetaling på mindst 90 % af den samlede fordring, der er forelagt i medfør af artikel SSCI.52, stk. 1 eller 2. De dele af fordringen, der ikke er omfattet af acontobetalingen, kan først pålægges renter fra udløbet af den periode på 36 måneder, der er fastsat i artikel SSCI.52, stk. 6.
2.
Renterne beregnes på grundlag af den referencesats, som anvendes af det finansielle institut, der er udpeget til dette formål af Specialudvalget om Koordinering af de Sociale Sikringsordninger, for dets vigtigste refinansieringstransaktioner. Den referencesats, der skal anvendes, er den, der er gældende på den første dag i den måned, hvor betalingen forfalder.
3.
Intet forbindelsesorgan er forpligtet til at acceptere en acontobetaling i henhold til stk. 1. Afslår et forbindelsesorgan imidlertid et sådant tilbud, er kreditorinstitutionen ikke længere berettiget til at pålægge de pågældende fordringer morarenter ud over det, der er fastsat i stk. 1, andet punktum.
Artikel SSCI.54
Årlige kontoopgørelser
1.
Partnerskabsrådet fastlægger situationen for fordringer for hvert kalenderår i overensstemmelse på baggrund af rapporten fra Specialudvalget om Koordinering af de Sociale Sikringsordninger. I dette øjemed indberetter forbindelsesorganerne beløbet for forelagte, betalte eller anfægtede fordringer (kreditorposition) og beløbet for modtagne, betalte eller anfægtede fordringer (debitorposition) til Specialudvalget om Koordinering af de Sociale Sikringsordninger inden for de fastsatte frister og i henhold til de af specialudvalget opstillede procedurer.
2.
Partnerskabsrådet kan lade foretage enhver verifikation, der kan tjene til kontrol af det statistiske og regnskabsmæssige materiale, der ligger til grund for den i stk. 1 nævnte årlige opgørelse over fordringer, navnlig for at sikre, at dette materiale er i overensstemmelse med de i dette afsnit fastsatte regler.
KAPITEL 2
TILBAGESØGNING AF FEJLAGTIGT UDBETALTE YDELSER, TILBAGEBETALING AF FORELØBIGE UDBETALINGER OG BIDRAG, MODREGNING OG BISTAND VED INDDRIVELSE AF FORDRINGER
AFDELING 1
PRINCIPPER
Artikel SSCI.55
Almindelige bestemmelser
Ved anvendelse af denne protokols artikel SSC.64 og inden for de deri fastsatte rammer finder inddrivelse af fordringer i videst muligt omfang sted ved modregning, enten mellem den berørte medlemsstats og Det Forenede Kongeriges institutioner eller over for den berørte fysiske eller juridiske person, i overensstemmelse med dette bilags artikel SSCI.56-SSCI.58. Hvis ikke det er muligt at inddrive hele eller en del af fordringen via denne modregningsprocedure, inddrives det resterende beløb i overensstemmelse med dette bilags artikel SSCI.59-SSCI.69.
AFDELING 2
MODREGNING
Artikel SSCI.56
Uberettiget modtagne ydelser
1.
Hvis en stats institution fejlagtigt har udbetalt en person ydelser, kan den pågældende institution under iagttagelse af de betingelser og begrænsninger, der er fastsat i den for institutionen gældende lovgivning, over for en institution i den stat, som det påhviler at betale ydelser til den pågældende, kræve det uberettiget modtagne beløb tilbageholdt i efterbetalinger eller løbende betalinger, der skal udbetales til den pågældende, uanset fra hvilken gren af den sociale sikring ydelsen betales. Sidstnævnte stats institution foretager tilbageholdelsen under iagttagelse af de betingelser og begrænsninger, der er fastsat for en sådan modregning i henhold til den lovgivning, der gælder for institutionen, på samme måde som hvis den selv havde udbetalt for meget, og overfører det tilbageholdte beløb til den institution, der fejlagtigt har udbetalt ydelserne.
2.
Uanset stk. 1 gælder det, at såfremt en institution i en stat ved tilkendelse eller fornyet tilkendelse af ydelser ved invaliditet samt alders- og efterladtepensioner i henhold til denne protokols afsnit III, kapitel 3 og 4, fejlagtigt har udbetalt en person ydelser, kan denne institution over for en institution i den stat, som det påhviler at betale tilsvarende ydelser til den pågældende, kræve det for meget udbetalte beløb tilbageholdt i efterbetalinger, der skal udbetales til den pågældende. Efter at sidstnævnte institution har underrettet den institution, der fejlagtigt har udbetalt et beløb, om disse skyldige efterbetalinger, meddeler den institution, der fejlagtigt har udbetalt beløbet, inden for to måneder størrelsen af det fejlagtigt udbetalte beløb. Hvis den institution, der skal foretage efterbetalinger, modtager denne meddelelse inden for fristen, overfører den det indeholdte beløb til den institution, der fejlagtigt har udbetalt beløb. Hvis fristen er overskredet, udbetaler den nævnte institution straks efterbetalingerne til den pågældende person.
3.
Har en person modtaget social bistand i en stat i et tidsrum, hvor den pågældende havde ret til ydelser efter en anden stats lovgivning, kan det organ, som har ydet bistanden, for så vidt det efter lovgivningen har regreskrav på de ydelser, der tilkommer den pågældende, over for en institution i enhver anden stat, som det påhviler at betale ydelser til den pågældende, kræve det beløb, der er udbetalt som social bistand, tilbageholdt i de beløb, som den omhandlede stat udbetaler den pågældende.
Denne bestemmelse finder tilsvarende anvendelse på familiemedlemmerne til en berørt person, der har modtaget bistand i en stat i et tidsrum, hvor den pågældende havde ret til ydelser for det pågældende familiemedlem efter lovgivningen i en anden stat.
Den institution i en stat, der fejlagtigt har udbetalt et bistandsbeløb, sender opgørelsen over det beløb, den har til gode, til institutionen i den anden stat. Denne foretager tilbageholdelsen under iagttagelse af de betingelser og begrænsninger, der er fastsat for en sådan modregning i henhold til den lovgivning, der gælder for institutionen, og overfører straks det tilbageholdte beløb til den institution, der fejlagtigt har udbetalt beløbet.
Artikel SSCI.57
Foreløbigt betalte kontantydelser eller bidrag
1.
Ved anvendelse af artikel SSCI.6 skal den institution, der har udbetalt kontantydelser foreløbigt, senest tre måneder efter at det er fastlagt, hvilken lovgivning der skal anvendes, eller hvilken institution der har ansvaret for at udbetale ydelserne, foretage en opgørelse over det foreløbigt udbetalte beløb og sende den til den institution, der fastslås som kompetent.
Den institution, der fastslås som kompetent til at betale ydelserne, tilbageholder det beløb, der svarer til den foreløbige betaling, i de efterbetalinger af den tilsvarende ydelse, som den skylder den pågældende, og overfører straks det tilbageholdte beløb til den institution, der har udbetalt kontantydelserne foreløbigt.
Hvis de foreløbigt udbetalte ydelser overstiger efterbetalingsbeløbet, eller hvis der ikke findes nogen efterbetalinger, tilbageholder den institution, der fastslås som kompetent, dette beløb i løbende betalinger under iagttagelse af de betingelser og begrænsninger, der er fastsat for en sådan modregning i henhold til den lovgivning, der gælder for institutionen, og overfører straks det tilbageholdte beløb til den institution, der har udbetalt kontantydelserne foreløbigt.
2.
Den institution, der foreløbigt har modtaget bidrag fra en juridisk og/eller fysisk person, skal ikke betale de pågældende beløb tilbage til den person, der har indbetalt dem, før den har forespurgt hos den institution, der fastslås som kompetent, om den eventuelt har beløb til gode i henhold til artikel SSCI.6, stk. 4.
På anmodning af den institution, der fastslås som kompetent, fremsat senest tre måneder efter, at det er fastslået, hvilken lovgivning der finder anvendelse, overfører den institution, der har modtaget bidrag foreløbigt, disse bidrag til den institution, der er fastslået som kompetent for den periode, med henblik på en afklaring af situationen med hensyn til de bidrag, som den juridiske eller fysiske person skylder den. De overførte bidrag anses med tilbagevirkende kraft for at være blevet betalt til den institution, der fastslås som kompetent.
Hvis de foreløbigt betalte bidrag overstiger det beløb, som den juridiske eller fysiske person skylder den institution, der fastslås som kompetent, tilbagebetaler den institution, der har modtaget bidrag foreløbigt, det overskydende beløb til den pågældende juridiske eller fysiske person.
Artikel SSCI.58
Omkostninger i forbindelse med modregning
Der betales ingen omkostninger, når skylden inddrives via modregningsproceduren i artikel SSCI.56 og SSCI.57.
AFDELING 3
INDDRIVELSE
Artikel SSCI.59
Definitioner og almindelige bestemmelser
1.
I denne afdeling forstås ved:
a)
"fordring" alle fordringer i forbindelse med bidrag eller med ydelser, der er udbetalt eller udredt uberettiget, herunder renter, bøder, administrative sanktioner og alle andre gebyrer og omkostninger, der er forbundet med fordringen i overensstemmelse med lovgivningen i den stat, der fremsætter fordringen
b)
"bistandssøgende part" for så vidt angår den enkelte stat enhver institution, der fremsætter en anmodning om oplysninger, meddelelse eller inddrivelse vedrørende en fordring som defineret ovenfor
c)
"bistandssøgte part" for så vidt angår den enkelte stat enhver institution, over for hvilken der kan fremsættes en anmodning om oplysninger, meddelelse eller inddrivelse.
2.
Anmodninger og alle meddelelser i tilknytning hertil mellem staterne fremsendes generelt via udpegede institutioner.
3.
Specialudvalget om Koordinering af de Sociale Sikringsordninger iværksætter praktiske gennemførelsesforanstaltninger, herunder bl.a. foranstaltninger relateret til artikel SSCI.4, og til fastsættelse af en minimumstærskel for de beløb, for hvilke der kan fremsættes en anmodning om inddrivelse.
Artikel SSCI.60
Anmodninger om oplysninger
1.
Efter anmodning fra den bistandssøgende part meddeler den bistandssøgte part førstnævnte part alle oplysninger, der er af værdi for denne ved inddrivelsen af en fordring.
2.
Med henblik på at fremskaffe de pågældende oplysninger udøver den bistandssøgte part de beføjelser, der er fastlagt ved lov eller administrativt fastsat praksis om inddrivelse af lignende fordringer, der er opstået i den stat, hvor den er beliggende. I anmodningen om oplysninger anføres navn, senest kendte adresse og alle andre relevante oplysninger til identifikation af den pågældende juridiske eller fysiske person, som de pågældende oplysninger vedrører, samt arten og størrelsen af den fordring, som ligger til grund for anmodningen.
3.
Den bistandssøgte part er ikke forpligtet til at give oplysninger:
a)
som den ikke ville være i stand til at fremskaffe med henblik på inddrivelse af lignende fordringer, der er opstået i den stat, hvor den er beliggende
b)
som ville afsløre en handelsmæssig, industriel eller erhvervsmæssig hemmelighed eller
c)
hvis meddelelse ville kunne krænke en stats sikkerhed eller offentlige orden.
4.
Den bistandssøgte part underretter den bistandssøgende part om grunden til, at anmodningen om oplysninger ikke kan efterkommes.
Artikel SSCI.61
Meddelelse
1.
Efter anmodning fra den bistandssøgende part meddeler den bistandssøgte part i overensstemmelse med de regler, der gælder for meddelelse af tilsvarende akter eller afgørelser på det territorium, hvor den er beliggende, modtageren alle sådanne akter og afgørelser, herunder retslige, der hidrører fra den stat, hvor den bistandssøgende part er beliggende, og som vedrører en fordring eller dens inddrivelse.
2.
I anmodningen om meddelelse anføres den pågældende modtagers navn, adresse og alle andre relevante oplysninger til identifikation af den berørte modtager, der sædvanligvis er tilgængelige for den bistandssøgende part, arten af og formålet med den akt eller afgørelse, der skal meddeles, om nødvendigt skyldnerens navn, adresse og alle andre relevante oplysninger til identifikation af skyldneren og den fordring, som akten eller afgørelsen vedrører, samt alle andre formålstjenlige oplysninger.
3.
Den bistandssøgte part underretter straks den bistandssøgende part om, hvordan anmodningen om meddelelse er blevet fulgt op, og navnlig om den dato, hvor afgørelsen eller akten er blevet sendt til modtageren.
Artikel SSCI.62
Anmodning om inddrivelse
1.
Efter anmodning fra den bistandssøgende part inddriver den bistandssøgte part fordringer, der er genstand for en akt, som hjemler ret til eksekution, og som er udstedt af den bistandssøgende part, i det omfang det er muligt efter og i overensstemmelse med gældende lovgivning og administrativ praksis i den stat, hvor den bistandssøgte part er beliggende.
2.
Den bistandssøgende part kan kun fremsætte en anmodning om inddrivelse, hvis:
a)
den også giver den bistandssøgte instans en officiel eller bekræftet kopi af den akt, der hjemler ret til eksekution af fordringen i den stat, hvor den bistandssøgende instans er beliggende, undtagen i de tilfælde, hvor artikel SSCI.64, stk. 3, anvendes
b)
fordringen eller akten, der hjemler ret til eksekution, ikke anfægtes i dens egen stat
c)
den i den stat, hvor den er beliggende, har iværksat de inddrivelsesforretninger, der kan indledes på grundlag af den i stk. 1 nævnte akt, og når de trufne foranstaltninger ikke fører til betaling af hele fordringen
d)
såfremt forældelsesfristen i henhold til dens egen lovgivning ikke er udløbet.
3.
I anmodningen om inddrivelse anføres:
a)
navn, adresse og alle andre relevante oplysninger til identifikation af den pågældende fysiske eller juridiske person eller identifikation af tredjemand, som er i besiddelse af denne persons aktiver
b)
navn, adresse og alle andre relevante oplysninger til identifikation af den bistandssøgende part
c)
en henvisning til den akt, der hjemler ret til eksekution, udstedt i den stat, hvor den bistandssøgende part er beliggende
d)
fordringens art og størrelse, herunder hovedstol, renter, bøder, administrative sanktioner og alle andre gebyrer og omkostninger anført i valutaerne i de stater, hvor den bistandssøgende og den bistandssøgte part er beliggende
e)
det tidspunkt, hvor den bistandssøgende part eller den bistandssøgte part har underrettet modtageren om akten
f)
fra hvilket tidspunkt og i hvilken periode eksekution er mulig i henhold til de love, der er gældende i den stat, hvor den bistandssøgende part er beliggende
g)
andre relevante oplysninger.
4.
Anmodningen om inddrivelse skal desuden indeholde en erklæring fra den bistandssøgende part, hvori det bekræftes, at betingelserne i stk. 2 er opfyldt.
5.
Den bistandssøgende part sender den bistandssøgte part alle relevante oplysninger, som vedrører den sag, der lå til grund for anmodningen om inddrivelse, så snart den får kendskab hertil.
Artikel SSCI.63
Den akt, der hjemler ret til eksekution af fordringen
1.
I overensstemmelse med denne protokols artikel SSCI.64, stk. 2, anerkendes den akt, der hjemler ret til eksekution af fordringen, uden videre og behandles automatisk som en akt, der hjemler ret til eksekution af en fordring, af den stat, hvor den bistandssøgte part er beliggende.
2.
Uanset stk. 1 kan den akt, der hjemler ret til eksekution af fordringen, i givet fald og i overensstemmelse med de gældende bestemmelser i den stat, hvori den bistandssøgte part er beliggende, stadfæstes som, anerkendes som, suppleres med eller erstattes med en akt, der hjemler ret til eksekution på denne stats område.
Senest tre måneder efter modtagelsen af anmodningen om inddrivelse bestræber staten/staterne sig på at fuldføre accepten, anerkendelsen, suppleringen eller erstatningen af akten, med undtagelse af de tilfælde, hvor tredje afsnit i dette stykke finder anvendelse. Staterne må ikke afslå at fuldføre disse handlinger, når den akt, der hjemler ret til eksekution, er formelt korrekt. Den bistandssøgte part underretter den bistandssøgende part om baggrunden for overskridelsen af tremånedersperioden.
Hvis nogen af disse handlinger medfører en tvist vedrørende fordringen eller den akt, som hjemler ret til eksekution, og som er udstedt af den bistandssøgende part, finder artikel SSCI.65 anvendelse.
Artikel SSCI.64
Betalingsbetingelser og -frist
1.
Inddrivelse finder sted i den valuta, der anvendes i den stat, i hvilken den bistandssøgte part er beliggende. Den bistandssøgte part overfører hele det beløb, den har inddrevet, til den bistandssøgende part.
2.
Såfremt de love og administrative bestemmelser, der gælder i den stat, hvor den bistandssøgte part er beliggende, tillader det, kan denne efter at have rådført sig med den bistandssøgende part indrømme skyldneren en betalingsfrist eller tillade betaling i rater. Renter, der opkræves af den bistandssøgte part som følge af denne betalingsfrist, skal også overføres til den bistandssøgende part.
3.
Fra det tidspunkt, hvor den akt, der hjemler ret til eksekution af fordringen, er direkte anerkendt i overensstemmelse med artikel SSCI.63, stk. 1, eller er accepteret, anerkendt, suppleret eller erstattet i overensstemmelse med artikel SSCI.63, stk. 2, påløber der morarenter i henhold til de love og administrative bestemmelser, der gælder i den stat, hvor den bistandssøgte part er beliggende, og de overføres også til den bistandssøgende part.
Artikel SSCI.65
Indsigelse mod fordringen eller den akt, der hjemler ret til eksekution af fordringen, og indsigelse vedrørende eksekutionsforanstaltninger
1.
Såfremt en berørt person under inddrivelsesforretningen gør indsigelse mod fordringen eller den akt, der hjemler ret til eksekution, og som er udstedt i den stat, hvor den bistandssøgende part er beliggende, indbringes sagen af den pågældende person for de relevante myndigheder i den stat, hvor den bistandssøgende part er beliggende, i overensstemmelse med de i denne stat gældende retsregler. Den bistandssøgende part giver straks den bistandssøgte part meddelelse herom. Endvidere kan den berørte person give den bistandssøgte part meddelelse herom.
2.
Så snart den bistandssøgte part har modtaget den i stk. 1 nævnte meddelelse eller oplysning enten fra den bistandssøgende part eller fra den berørte person, suspenderer den eksekutionsforretningen, indtil der foreligger en afgørelse fra den relevante myndighed om spørgsmålet, medmindre den bistandssøgende part anmoder om andet i overensstemmelse med andet afsnit i dette stykke. Såfremt den bistandssøgte part finder det nødvendigt, og med forbehold af artikel SSCI.68, kan den træffe retsbevarende foranstaltninger for at sikre inddrivelse af fordringen, i det omfang gældende love eller bestemmelser i den stat, hvor den er beliggende, tillader det for lignende fordringer.
Uanset første afsnit kan den bistandssøgende part i henhold til de love og administrative bestemmelser og den administrative praksis, der gælder i den stat, hvor den er beliggende, anmode den bistandssøgte part om at inddrive en fordring, der er gjort indsigelse mod, for så vidt en sådan handling er tilladt efter de love og administrative bestemmelser og den administrative praksis, der gælder i den stat, hvor den bistandssøgte part er beliggende. Hvis indsigelsesspørgsmålet senere afgøres til fordel for skyldneren, tilbagebetaler den bistandssøgende part eventuelt inddrevne beløb med tillæg af eventuel erstatning i overensstemmelse med den lovgivning, som er gældende i den stat, hvor den bistandssøgte part er beliggende.
3.
Når indsigelsen vedrører eksekutionsforanstaltninger, der er truffet i den stat, hvor den bistandssøgte part er beliggende, indbringes sagen for den relevante myndighed i denne stat i overensstemmelse med dennes love og andre retsforskrifter.
4.
Når den relevante myndighed, for hvilken sagen er indbragt i henhold til stk. 1, er en domstol eller en forvaltningsdomstol, betragtes dennes afgørelse, hvis den giver den bistandssøgende part medhold, og hvis den gør det muligt, at fordringen inddrives i den stat, hvor den bistandssøgende part er beliggende, som "den akt, der hjemler ret til eksekution", i den i artikel SSCI.62 og SSCI.63 anvendte betydning, og inddrivelsen af fordringen gennemføres på grundlag af denne afgørelse.
Artikel SSCI.66
Grænser for bistanden
1.
Den bistandssøgte part er ikke forpligtet til:
a)
at yde den bistand, der er omfattet af artikel SSCI.62 til SSCI.65, hvis inddrivelse af fordringen på grund af skyldnerens situation kan give anledning til alvorlige, økonomiske eller sociale vanskeligheder i den stat, hvor den bistandssøgte part er beliggende, for så vidt de love og bestemmelser og den administrative praksis, der gælder i den stat, hvor den bistandssøgte part er beliggende, tillader noget sådant for lignende, nationale fordringer
b)
at yde den bistand, der er omfattet af artikel SSCI.60-SSCI.65, hvis den oprindelige anmodning i henhold til artikel SSCI.60-SSCI.62 vedrører fordringer, der er over fem år gamle at regne fra det tidspunkt, hvor den akt, der hjemler ret til eksekution, blev oprettet i overensstemmelse med de love og bestemmelser og den administrative praksis, der gælder i den stat, hvor den bistandssøgende part er beliggende, frem til tidspunktet for fremsættelse af anmodningen. Såfremt der imidlertid gøres indsigelse mod fordringen eller akten, løber fristen fra det tidspunkt, hvor den stat, hvor den bistandssøgende part er beliggende, fastslår, at der ikke længere kan gøres indsigelse mod fordringen eller den akt, der hjemler ret til eksekution.
2.
Den bistandssøgte part underretter den bistandssøgende part om grunden til, at anmodningen om bistand ikke kan efterkommes.
Artikel SSCI.67
Forældelsesfrist
1.
Spørgsmål om forældelse afgøres således:
a)
efter gældende retsregler i den stat, hvor den bistandssøgende part er beliggende, hvis de vedrører fordringen eller den akt, der hjemler ret til eksekution af fordringen og
b)
efter gældende retsregler i den stat, hvor den bistandssøgte part er beliggende, hvis de vedrører eksekutionsforanstaltninger i den bistandssøgte stat.
Forældelse efter gældende retsregler i den stat, hvor den bistandssøgte part er beliggende, løber fra datoen for direkte anerkendelse eller fra datoen for stadfæstelse, anerkendelse, supplering eller erstatning af dokumentet i henhold til artikel SSCI.63.
2.
De inddrivelsesforanstaltninger, der i overensstemmelse med anmodningen om bistand træffes af bistandssøgte part, og som, såfremt de var blevet truffet af den bistandssøgende part, ville have medført suspension eller afbrydelse af forældelsen i henhold til gældende retsregler i den stat, hvor den bistandssøgende part er beliggende, anses med hensyn til denne virkning for at være truffet i sidstnævnte stat.
Artikel SSCI.68
Retsbevarende foranstaltninger
På begrundet begæring af den bistandssøgende part træffer den bistandssøgte part retsbevarende foranstaltninger for at sikre inddrivelse af en fordring, for så vidt som gældende love og andre retsforskrifter i den stat, hvor den bistandssøgte part er beliggende, tillader det.
Med henblik på gennemførelsen af første stykke finder bestemmelserne og procedurerne i artikel SSCI.62, SSCI.63, SSCI.65 og SSCI.66 tilsvarende anvendelse.
Artikel SSCI.69
Omkostninger i forbindelse med inddrivelse
1.
Den bistandssøgte part inddriver hos den pågældende fysiske eller juridiske person og tilbageholder alle omkostninger, som den afholder i forbindelse med inddrivelse af fordringen i overensstemmelse med de love og bestemmelser, der er gældende for tilsvarende fordringer, i den stat, hvor den bistandssøgte part er beliggende.
2.
Gensidig bistand i medfør af denne afdeling er som hovedregel gratis. Ved inddrivelser, der frembyder særlige vanskeligheder eller er forbundet med meget store omkostninger, kan den bistandssøgende og den bistandssøgte part dog aftale særlige godtgørelsesregler for de pågældende tilfælde.
Den stat, hvor den bistandssøgende part er beliggende, forbliver dog ansvarlig over for den stat, hvor den bistandssøgte part er beliggende, for godtgørelse af eventuelle omkostninger og tab som følge af foranstaltninger, som erklæres ubegrundede, for så vidt angår fordringens tilstedeværelse eller gyldigheden af den akt, der er udstedt af den bistandssøgende part.
AFSNIT V
DIVERSE BESTEMMELSER, OVERGANGSBESTEMMELSER OG AFSLUTTENDE BESTEMMELSER
Artikel SSCI.70
Lægeundersøgelse og administrativ kontrol
1.
Når en person, der modtager eller ansøger om ydelser, eller et medlem af den pågældendes familie opholder sig eller er bosat i en anden stat end den, hvor debitorinstitutionen er beliggende, foretages lægeundersøgelsen efter denne institutions anmodning af institutionen på ydelsesmodtagerens opholds- eller bopælssted i overensstemmelse med de regler, der er fastlagt i den lovgivning, som gælder for denne institution, jf. dog andre bestemmelser.
Debitorinstitutionen meddeler opholds- eller bopælsstedets institution, hvilke eventuelle særlige krav, der om nødvendigt skal overholdes, og hvilke punkter lægeundersøgelsen skal omfatte.
2.
Opholds- eller bopælsstedets institution skal sende en rapport til den debitorinstitution, som har anmodet om lægeundersøgelsen. Denne institution skal være bundet af de konstateringer, som opholds- eller bopælsstedets institution har foretaget.
Debitorinstitutionen bevarer retten til at lade ydelsesmodtageren undersøge af en af den udpeget læge. Ydelsesmodtageren kan dog kun anmodes om at rejse til debitorinstitutionens stat, hvis ydelsesmodtageren er i stand til at foretage rejsen, uden at det går ud over ydelsesmodtagerens helbred, og hvis debitorinstitutionen afholder vedkommendes dertil hørende rejse- og opholdsudgifter.
3.
Når en person, der modtager eller ansøger om ydelser, eller et den pågældendes familie opholder sig eller er bosat i en anden stat end den, hvor debitorinstitutionen er beliggende, foretages den administrative kontrol efter debitorinstitutionens anmodning af institutionen på modtagerens opholds- eller bopælssted.
Stk. 2 finder også anvendelse i dette tilfælde.
4.
Som en undtagelse fra princippet om, at gensidigt administrativt samarbejde ydes vederlagsfrit, jf. denne protokols artikel SSC.59, stk. 3, refunderes de reelle udgifter i forbindelse med kontrollen, jf. denne artikel, til den institution, som var blevet anmodet om at udføre den, af den debitorinstitution, som havde anmodet herom.
Artikel SSCI.71
Underretninger
1.
Staterne meddeler Specialudvalget om Koordinering af de Sociale Sikringsordninger nærmere oplysninger om de organer, der er defineret i denne protokols artikel SSC.1 og dette bilags artikel SSCI.1, stk. 2, litra a) og b), og om de institutioner, der er udpeget i overensstemmelse med dette bilag.
2.
De organer, der er omhandlet i stk. 1, skal have en elektronisk identitet i form af en identifikationskode og en elektronisk adresse.
3.
Specialudvalget om Koordinering af de Sociale Sikringsordninger fastlægger strukturen, indholdet og detaljerede ordninger vedrørende underretning om kontaktoplysninger, jf. stk. 1, herunder fælles format og model.
4.
Med henblik på gennemførelsen af denne protokol kan Det Forenede Kongerige deltage i Electronic Exchange of Social Security Information og bære de dermed forbundne omkostninger.
5.
Staterne sørger for, at oplysningerne omhandlet i stk. 1 opdateres løbende.
Artikel SSCI.72
Information
Specialudvalget om Koordinering af de Sociale Sikringsordninger udarbejder den fornødne information med henblik på at sikre, at de pågældende er bekendt med deres rettigheder samt de administrative formaliteter, de skal iagttage for at gøre disse rettigheder gældende. Informationen formidles, hvor det er muligt, ad elektronisk vej via online-netsteder, der er offentligt tilgængelige. Specialudvalget om Koordinering af de Sociale Sikringsordninger sørger for, at informationen opdateres regelmæssigt, og overvåger kvaliteten af de tjenester, der ydes forbrugerne.
Artikel SSCI.73
Valutaomregning
Ved anvendelsen af denne protokol og dette bilag gælder ved omregning mellem to valutaer den referencekurs for omregning af valutaer, der offentliggøres af den finansielle institution, der er udpeget med henblik herpå af Specialudvalget om Koordinering af de Sociale Sikringsordninger. Den dato, der skal tages hensyn til ved fastsættelse af omregningskursen, fastlægges af Specialudvalget om Koordinering af de Sociale Sikringsordninger.
Artikel SSCI.74
Gennemførelsesbestemmelser
Specialudvalget om Koordinering af de Sociale Sikringsordninger kan vedtage yderligere vejledning om gennemførelsen af denne protokol og af dette bilag.
Artikel SSCI.75
Midlertidige bestemmelser om formularer og dokumenter
1.
I en overgangsperiode, hvis udløbsdato fastsættes af Specialudvalget om Koordinering af de Sociale Sikringsordninger, er alle formularer og dokumenter udstedt af de kompetente institutioner i det format, der anvendes umiddelbart inden denne protokols ikrafttræden, gyldige med henblik på gennemførelsen af denne protokol og anvendes, hvis dette er relevant, fortsat til udveksling af oplysninger mellem kompetente institutioner. Alle sådanne formularer og dokumenter, der er udstedt før og i den mellemliggende periode, er gyldige indtil de udløber eller annulleres.
2.
De formularer og dokumenter, der er gyldige i henhold til stk. 1, omfatter:
a)
Europæiske sygesikringskort udstedt på vegne af Det Forenede Kongerige, som er gyldige rettighedsdokumenter i henhold til artikel SSC.17 og artikel SSC.25, stk. 1, i denne protokol og artikel SSCI.22 i dette bilag, og
b)
personbårne dokumenter, der attesterer en persons sociale sikringsstatus, som er påkrævet for at denne protokol kan få virkning.
Tillæg SSCI-1
ADMINISTRATIVE ORDNINGER MELLEM TO ELLER FLERE STATER (jf. dette bilags artikel SSCI.8)
BELGIEN — DET FORENEDE KONGERIGE
Brevvekslingen af 4. maj 1976 og 14. juni 1976 vedrørende artikel 105, stk. 2, i forordning (EØF) nr. 574/72 (afkald på refusion af udgifter til administrativ og lægelig kontrol)
Brevvekslingen af 18. januar 1977 og 14. marts 1977 vedrørende artikel 36, stk. 3, i forordning (EØF) nr. 1408/71 (ordning vedrørende refusion eller afkald på refusion af udgifter til naturalydelser udredet i henhold til afsnit III, kapitel 1, i forordning (EØF) nr. 1408/71), som ændret ved brevveksling af 4. maj 1982 og 23. juli 1982 (aftale om refusion af udgifter i henhold til artikel 22, stk. 1, litra a), i forordning (EØF) nr. 1408/71)
DANMARK — DET FORENEDE KONGERIGE
Brevvekslingen af 30. marts 1977 og 19. april 1977 som ændret ved brevveksling af 8. november 1989 og 10. januar 1990 om afkald på refusion af udgifter til naturalydelser og udgifter til administrativ og lægelig kontrol
ESTLAND — DET FORENEDE KONGERIGE
Ordningen endeligt udformet den 29. marts 2006 mellem de kompetente myndigheder i Republikken Estland og Det Forenede Kongerige i henhold til artikel 36, stk. 3, og artikel 63, stk. 3, i forordning (EØF) nr. 1408/71 vedrørende andre metoder for refusion af udgifter til naturalydelser, som de to lande tilkender i henhold til forordning (EF) nr. 883/2004 med virkning fra den 1. maj 2004
FINLAND — DET FORENEDE KONGERIGE
Brevvekslingen af 1. juni 1995 og 20. juni 1995 vedrørende artikel 36, stk. 3, og artikel 63, stk. 3, i forordning (EØF) nr. 1408/71 (refusion eller afkald på refusion af udgifter til naturalydelser) og artikel 105, stk. 2, i forordning (EØF) nr. 574/72 (afkald på refusion af udgifter til administrativ og lægelig kontrol)
FRANKRIG — DET FORENEDE KONGERIGE
Brevvekslingen af 25. marts 1997 og 28. april 1997 vedrørende artikel 105, stk. 2, i forordning (EØF) nr. 574/72 (afkald på refusion af udgifter til administrativ og lægelig kontrol)
Aftalen af 8. december 1998 om særregler for fastsættelse af de udgifter til naturalydelser, der skal refunderes i henhold til forordning (EØF) nr. 1408/71 og (EØF) nr. 574/72
UNGARN — DET FORENEDE KONGERIGE
Ordningen endeligt udformet den 1. november 2005 mellem de kompetente myndigheder i Republikken Ungarn og Det Forenede Kongerige i henhold til artikel 35, stk. 3, og artikel 41, stk. 2, i forordning (EØF) nr. 883/2004 vedrørende andre metoder for refusion af udgifter til naturalydelser, som de to lande tilkender i henhold til nævnte forordning med virkning fra den 1. maj 2004
IRLAND — DET FORENEDE KONGERIGE
Brevvekslingen af 9. juli 1975 vedrørende artikel 36, stk. 3, og artikel 63, stk. 3, i forordning (EØF) nr. 1408/71 (ordning vedrørende refusion eller afkald på refusion af udgifter til naturalydelser, udredt i henhold til afsnit III, kapitel 1 eller 4, i forordning (EØF) nr. 1408/71), og artikel 105, stk. 2, i forordning (EØF) nr. 574/72 (afkald på refusion af udgifter til administrativ og lægelig kontrol)
ITALIEN — DET FORENEDE KONGERIGE
Ordningen undertegnet den 15. december 2005 mellem de kompetente myndigheder i Republikken Italien og Det Forenede Kongerige i henhold til artikel 36, stk. 3, og artikel 63, stk. 3, i forordning (EØF) nr. 1408/71 vedrørende andre metoder for refusion af udgifter til naturalydelser, som de to lande tilkender i henhold til forordning (EF) nr. 883/2004 med virkning fra den 1. januar 2005
LUXEMBOURG — DET FORENEDE KONGERIGE
Brevvekslingen af 18. december 1975 og 20. januar 1976 vedrørende artikel 105, stk. 2, i forordning (EØF) nr. 574/72 (afkald på refusion af udgifter til administrativ og lægelig kontrol omhandlet i artikel 105 i forordning (EØF) nr. 574/72)
MALTA — DET FORENEDE KONGERIGE
Ordningen endeligt udformet den 17. januar 2007 mellem de kompetente myndigheder i Malta og Det Forenede Kongerige i henhold til artikel 35, stk. 3, og artikel 41, stk. 2, i forordning (EØF) nr. 883/2004 vedrørende andre metoder for refusion af udgifter til naturalydelser, som de to lande tilkender i henhold til nævnte forordning med virkning fra den 1. maj 2004
NEDERLANDENE — DET FORENEDE KONGERIGE
Artikel 3, andet punktum, i administrativ aftale af 12. juni 1956 om gennemførelse af overenskomsten af 11. august 1954
PORTUGAL — DET FORENEDE KONGERIGE
Ordningen af 8. juni 2004 vedrørende andre metoder for refusion af udgifter til naturalydelser, som de to lande tilkender med virkning fra den 1. januar 2003
SPANIEN — DET FORENEDE KONGERIGE
Aftalen af 18. juni 1999 om refusion af udgifter til naturalydelser, der er tilkendt i henhold til forordning (EØF) nr. 1408/71 og (EØF) nr. 574/72
SVERIGE — DET FORENEDE KONGERIGE
Arrangementet af 15. april 1997 om artikel 36, stk. 3, og artikel 63, stk. 3, i forordning (EØF) nr. 1408/71 (refusion eller afkald på refusion af udgifter til naturalydelser), og artikel 105, stk. 2, i forordning (EØF) nr. 574/72 (afkald på refusion af udgifter til administrativ og lægelig kontrol)
Tillæg SSCI-2
RETTIGHEDSDOKUMENT (artikel SSC.17 og artikel SSC.25, stk. 1, i denne protokol og artikel SSCI.22 i dette bilag)
1.
Rettighedsdokumenter udstedt i henhold til denne protokols artikel SSC.17 og artikel SSC.25, stk. 1, af medlemsstaternes kompetente institutioner skal være i overensstemmelse med Den Administrative Kommissions afgørelse nr. S2 af 12. juni 2009 om de tekniske specifikationer for det europæiske sygesikringskort.
2.
Rettighedsdokumenter udstedt i henhold til artikel SSC.17 og artikel SSC.25, stk. 1, af Det Forenede Kongeriges kompetente institutioner skal indeholde følgende data:
a)
dokumentindehaverens efternavn og fornavn
b)
dokumentindehaverens personlige identifikationsnummer
c)
dokumentindehaverens fødselsdato
d)
dokumentets udløbsdato
e)
koden "UK" i stedet for Det Forenede Kongeriges ISO-kode
f)
identifikationsnummer og akronym for den institution i Det Forenede Kongerige, der udsteder dokumentet
g)
logisk dokumentnummer
h)
hvis der er tale om et foreløbigt dokument, dokumentets udstedelses- og udleveringsdato samt den Det Forenede Kongeriges institutions underskrift og stempel.
3.
De tekniske specifikationer for de rettighedsdokumenter, der udstedes af Det Forenede Kongerige, meddeles straks Specialudvalget om Koordinering af de Sociale Sikringsordninger for at gøre det lettere for institutionerne i de medlemsstater, der udreder naturalydelser, at acceptere de respektive dokumenter.
NATURALYDELSER, DER KRÆVER FORUDGÅENDE AFTALE (artikel SSC.17 og artikel SSC.25, stk. 1, i denne protokol)
1.
De naturalydelser, der skal udredes i henhold til denne protokols artikel SSC.17 og artikel SSC.25, stk. 1, omfatter ydelser, der udredes i forbindelse med kroniske eller eksisterende lidelser samt i forbindelse med graviditet og fødsel.
2.
Naturalydelser, herunder naturalydelser i forbindelse med kroniske eller eksisterende lidelser eller i forbindelse med fødsel, er ikke omfattet af disse bestemmelser, hvis formålet med opholdet i en anden stat er at modtage disse behandlinger.
3.
Al livsnødvendig lægelig behandling, som kun kan ydes på en specialiseret medicinsk afdeling eller af specialiseret personale eller med specialudstyr, kræver en forudgående aftale mellem forsikringstageren og den enhed, der yder den pågældende behandling, for at sikre, at behandlingen er til rådighed for forsikringstageren under dennes midlertidige ophold i en anden stat end den kompetente stat.
4.
En ikkeudtømmende liste over de behandlinger, der opfylder disse kriterier, er følgende:
a)
dialysebehandling
b)
iltbehandling
c)
særlig astmabehandling
d)
ekkokardiografi i tilfælde af kroniske autoimmune sygdomme
e)
kemoterapi.
Tillæg SSCI-3
STATER, DER ANVENDER REFUSION AF UDGIFTER TIL NATURALYDELSER PÅ GRUNDLAG AF FASTE BELØB (jf. artikel SSCI.48, stk. 1, i dette bilag)
IRLAND
SPANIEN
CYPERN
PORTUGAL
SVERIGE
DET FORENEDE KONGERIGE
BILAG SSC-8
OVERGANGSBESTEMMELSER VEDRØRENDE ANVENDELSEN AF Artikel SSC.11
MEDLEMSSTATERNE

Summary:
Handels- og samarbejdsaftale mellem EU og Det Forenede Kongerige
RESUMÉ AF:
Handels- og samarbejdsaftale mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side
Aftale mellem Den Europæiske Union og Det Forende Kongerige og Nordirland om sikkerhedsprocedurer for udveksling og beskyttelse af klassificerede oplysninger
Afgørelse (EU) 2020/2252 om undertegnelse på Unionens vegne af aftalen mellem EU og Det Forenede Kongerige Storbritannien og Nordirland om sikkerhedsprocedurer for udveksling og beskyttelse af klassificerede informationer
Afgørelse (Euratom) 2020/2253 om godkendelse af indgåelsen af aftalen mellem Det Forenede Kongerige Storbritannien og Nordirlands regering og Det Europæiske Atomenergifællesskab om samarbejde om sikker og fredelig anvendelse af kerneenergi samt handels- og samarbejdsaftalen
Erklæringer som omhandlet i Rådets afgørelse om indgåelse på Unionens vegne af handels- og samarbejdsaftalen og af aftalen om sikkerhedsprocedurer for udveksling og beskyttelse af klassificerede informationer
Afgørelse (EU) 2021/689 om indgåelse på Unionens vegne af handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side og af aftalen mellem Den Europæiske Union og Det Forenede Kongerige Storbritannien og Nordirland om sikkerhedsprocedurer for udveksling og beskyttelse af klassificerede informationer
Meddelelse om ikrafttrædelse af handels- og samarbejdsaftalen mellem EU og Det Forenede Kongerige og af aftalen mellem om sikkerhedsprocedurer for udveksling og beskyttelse af klassificerede informationer
HVAD ER FORMÅLET MED AFTALERNE, ERKLÆRINGERNE OG AFGØRELSERNE?
Afgørelserne dækker undertegnelse og anvendelse af frihandelsaftalen mellem Det Forenede Kongerige og 
EU
 og EU’s 
medlemsstater
.
Aftalen er udarbejdet med henblik på at omfatte mere end en traditionel handelsaftale og udgøre et solidt grundlag for at bevare det fremtidige venskab og samarbejde. Den afspejler det forhold, at Det Forenede Kongerige forlader EU’s system af fælles regler, opsyn og håndhævelsesmekanismer og ikke længere nyder godt af fordelene ved EU’s 
indre marked
.
Erklæringerne beskriver de politiske afgørelser, de to parter har vedtaget om en række specifikke spørgsmål og politiske områder.
HOVEDPUNKTER
Aftalen er opdelt i syv dele efterfulgt af tre protokoller og mere end 600 sider med bilag.
Del 1: Fælles og institutionelle bestemmelser
I denne del beskrives aftalens mål, regler for supplerende aftaler mellem parterne, og den institutionelle struktur fastlægges, herunder partnerskabsrådet, udvalg og arbejdsgrupper, der nedsættes for at sikre, at aftalen fungerer korrekt.
Del 2: Handel, transport, fiskeri og andre ordninger
Denne del er opdelt i flere sektioner:
1.
Handel
 — denne sektion omfatter bl.a. følgende områder:
varehandel
 — herunder en aftale om ikke at fritage handlede varer for toldbehandling eller kvoter, gensidig anerkendelse af pålidelige programmer for erhvervsdrivende og oprindelsesregler
tjenesteydelser og investeringer
 — omfatter en aftale om lige behandling af EU-tjenesteydere og -investorer i Det Forenede Kongerige og omvendt
digital handel
 — omfatter fjernelse af uberettigede hindringer for digital handel, herunder forbud mod datalokaliseringskrav under samtidig overholdelse af databeskyttelsesregler
energi
 — omfatter garantier om energiforsyningssikkerhed, offshoreenergisamarbejde i Nordsøen, forpligtelser, der kan håndhæves, i henhold til 
Parisaftalen
 og opretholdelse af beskyttelsesniveauet vedrørende klimaændringer og kulstofprissætning
lige vilkår
 for åben og fair konkurrence og 
bæredygtig udvikling
.
2. 
Luftfart
 — aftalen indeholder:
ubegrænsede punkt til punkt-flyvninger mellem lufthavne i EU og Det Forenede Kongerige
samarbejde om flyvesikkerhed, luftfartssikkerhed og lufttrafikstyring
regler om groundhandling og ankomst- og afgangstidspunkter (ikkediskriminerende og adgang) samt passagerrettigheder.
3. 
Vejtransport
 — aftalen indeholder:
ubegrænset punkt til punkt-adgang for transportoperatører, der transporterer last mellem EU og Det Forenede Kongerige, og fuldstændig ret til transit gennem parternes områder
regler om arbejdsforhold, færdselssikkerhed, fair konkurrence og lige vilkår hvad angår miljø, sociale forhold og konkurrence.
4. 
Koordinering af de sociale sikringsordninger og visa til kortvarige ophold
 — aftalen indeholder:
koordinering af nogle fordele under sociale sikringsordninger (alderdom og pension til efterladte, førtidspension, sundhedspleje, forældreorlov, arbejdsulykker), der skal gøre det nemmere at arbejde i udlandet uden at miste rettigheder
en ikkediskrimineringsklausul, der sikrer lige behandling af EU-borgere ved visa til kortvarige ophold.
5. 
Fiskeri
 — aftalen indeholder:
nye ordninger, der skal sikre bæredygtig forvaltning af fælles fiskebestande i EU’s og Det Forenede Kongeriges farvande, og som respekterer begge parters rettigheder og forpligtelser som uafhængige kyststater
en overgangsperiode på fem og et halvt år, hvor gensidige adgangsrettigheder til at fiske i den anden parts farvande forbliver uændrede, og hvor EU’s kvoter gradvist overføres til Det Forenede Kongerige.
Del 3: Samarbejde om retshåndhævelse og retligt samarbejde i straffesager
Aftalen sikrer, at parterne samarbejder på flere måder, der bl.a. omfatter:
fortsat samarbejde mellem Det Forenede Kongerige, 
Europol
 og 
Eurojust
ordninger for tæt samarbejde mellem nationalt politi og judicielle myndigheder i Det Forenede Kongerige og EU’s medlemsstater, bl.a. om overgivelse
mekanismer til hurtig udveksling af 
passagerlisteoplysninger (PNR)
, 
DNA, fingeraftryk og oplysninger fra køretøjsregistre (Prüm)
 samt strafferegisteroplysninger
samarbejde om hvidvaskning af penge og finansiering af terrorisme.
Del 4: Tematisk samarbejde
Aftalen sikrer samarbejde om andre specifikke forhold, der omfatter:
grænseoverskridende trusler mod sundhedsmæssig sikkerhed
deling af klassificerede oplysninger og bedste praksis inden for cybersikkerhed, bl.a. muligheden for at Det Forenede Kongerige kan deltage i 
EU’s Agentur for Cybersikkerhed (ENISA)
.
Del 5: Deltagelse i EU-programmer, forsvarlig økonomisk forvaltning og finansielle bestemmelser
Det Forenede Kongerige deltager i fem EU-programmer, der er åbne for deltagelse af ikke-EU-lande (under forudsætning af landets finansielle bidrag):
Horisont Europa
 (forskning og innovation)
Euratom-programmet for forskning og uddannelse
ITER
 (fusionstestlaboratorium)
Copernicus
 (jordovervågningssystem)
Adgang til 
EU’s satellitovervågning og -sporingstjenester (SST)
.
Del 6: Tvistbilæggelse og horisontale regler
Hvis parterne ikke kan nå frem til en løsning på en uoverensstemmelse, kan der nedsættes et uafhængigt voldgiftspanel for at billægge en tvist ved en bindende afgørelse. Denne tvistbilæggelsesmekanisme dækker de fleste af aftalens områder, herunder lige vilkår og fiskeri.
Mekanismen er ledsaget af håndhævelses- og sikkerhedsforanstaltninger, bl.a. muligheden for at suspendere markedsadgangsforpligtelser, f.eks. ved at genindføre told og/eller kvoter for det berørte område.
Desuden har begge parter mulighed for at 
gøre gengæld
1
, hvis den anden part ikke efterkommer en afgørelse truffet af et uafhængigt voldgiftspanel.
Alle alvorlige misligholdelser af forpligtelser, der anses for »
væsentlige elementer
« (bekæmpelse af klimaændringer, respekt for demokratiske værdier og grundlæggende rettigheder eller ikke-spredning) kan afstedkomme suspension eller ophævelse af alle eller dele af hele aftalen.
Del 7: Afsluttende bestemmelser
Aftalen finder ikke anvendelse på 
Gibraltar
 eller 
britiske oversøiske territorier
.
Aftalen og alle supplerende aftaler bliver evalueret hvert femte år.
Bilag og protokoller
Der er flere 
bilag
 til aftalen, der dækker forhold såsom:
partnerskabsrådets og udvalgenes forretningsorden
oprindelsesregler
motorkøretøjer samt udstyr og dele
medicinske produkter
regler for autoriserede økonomiske operatører
retningslinjer for anerkendelse af erhvervskvalifikationer.
Aftalen er vedhæftet tre 
protokoller
:
Protokol om 
administrativt samarbejde og bekæmpelse af svig vedrørende merværdiafgift
 og om 
gensidig bistand ved inddrivelse af fordringer i forbindelse med skatter og afgifter
 — denne protokol beskriver reglerne og procedurerne for samarbejde på dette område.
Protokol om 
gensidig administrativ bistand i toldspørgsmål
 — denne protokol er udarbejdet, for at de to parter kan bistå hinanden i at sikre, at toldlovgivningen anvendes korrekt, især med henblik på at forebygge, efterforske og retsforfølge overtrædelser af toldlovgivningen.
Protokol om 
koordinering af sociale sikringsordninger
 — denne protokol indeholder reglerne for koordinering af:
ydelser ved sygdom
ydelser ved moderskab og faderskab
ydelser ved invaliditet
ydelser ved alderdom.
Erklæringer
Erklæringerne omfatter en lang række spørgsmål, herunder:
reguleringssamarbejde om finansielle tjenesteydelser
bekæmpelse af skadelige skatteordninger
pengepolitik og kontrol med subsidier
transportvirksomheder
asyl og tilbagesendelse
forskellige forhold vedrørende retshåndhævelse og retligt samarbejde i straffesager
udveksling og beskyttelse af klassificerede oplysninger
Det Forenede Kongeriges deltagelse i EU-programmer og adgang til programtjenester
udkast til protokol om programmer og aktiviteter, som Det Forenede Kongerige deltager i.
HVORNÅR GÆLDER AFGØRELSERNE OG AFTALEN FRA?
Afgørelse (EU) 2020/2252 og (Euratom) 2020/2253 trådte i kraft den 
29. december 2020
.
Efter 
Europa-Parlamentets
 samtykke den 
27. april 2021
 og 
Rådets
 afgørelse af 
29. april 2021
 trådte handels- og samarbejdsaftalen mellem EU og Det Forenede Kongerige og aftalen om sikkerhed af informationer i kraft den 
1. maj 2021
.
BAGGRUND
Handels- og samarbejdsaftalen følger efter 
udtrædelsesaftalen
, der blev indgået mellem Det Forenede Kongerige og EU, og som trådte i kraft den 
1. februar 2020
. Udtrædelsesaftalen dækker spørgsmål såsom:
borgerrettigheder — både for EU-borgere, der bor i Det Forenede Kongerige og 
omvendt
forhold vedrørende udtræden — trin til at sikre Det Forenede Kongeriges velordnede udtræden
en overgangsperiode fra den 1. februar til den 
31. december 2020
 — for at der kunne forhandles en handels- og samarbejdsaftale, og hvor Det Forenede Kongerige i de fleste forhold blev behandlet som en medlemsstat
den finansielle opgørelse — garanti for, at Det Forenede Kongerige overholdte sine finansielle forpligtelser som medlemsstat.
VIGTIGE BEGREBER
Grænseoverskridende gengældelse:
 gengældelse ved f.eks. at indføre told inden for et handelsområde, f.eks. landbrug, for at imødegå urimelige handlinger eller krænkelser af aftaler, der påvirker handel i en anden sektor.
HOVEDDOKUMENTER
Handels- og samarbejdsaftale
 mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side (EUT L 149 af 
30.4.2021
, 
s. 10-2539
).
Aftale
 mellem Den Europæiske Union og Det Forende Kongerige og Nordirland om sikkerhedsprocedurer for udveksling og beskyttelse af klassificerede oplysninger (EUT L 149 af 
30.4.2021
, 
s. 2540-2548
).
Rådets afgørelse (EU) 
2020/2252
 af 
29. december 2020
 om undertegnelse på Unionens vegne og om midlertidig anvendelse af handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side og af aftalen mellem Den Europæiske Union og Det Forenede Kongerige Storbritannien og Nordirland om sikkerhedsprocedurer for udveksling og beskyttelse af klassificerede informationer (EUT L 444 af 
31.12.2020
, 
s. 2-10
).
Rådets afgørelse (Euratom) 
2020/2253
 af 
29. december 2020
 om godkendelse af Europa-Kommissionens indgåelse af aftalen mellem Det Forenede Kongerige Storbritannien og Nordirlands regering og Det Europæiske Atomenergifællesskab om samarbejde om sikker og fredelig anvendelse af kerneenergi og Europa-Kommissionens indgåelse på Det Europæiske Atomenergifællesskabs vegne af handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side (EUT L 444 af 
31.12.2020
, 
s. 11-13
).
Erklæringer
 som omhandlet i Rådets afgørelse om indgåelse på Unionens vegne af handels- og samarbejdsaftalen og af aftalen om sikkerhedsprocedurer for udveksling og beskyttelse af klassificerede informationer (EUT L 149 af 
30.4.2021
, 
s. 2549-2559
).
Rådets afgørelse (EU) 
2021/689
 af 
29. april 2021
 om indgåelse på Unionens vegne af handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side og af aftalen mellem Den Europæiske Union og Det Forenede Kongerige Storbritannien og Nordirland om sikkerhedsprocedurer for udveksling og beskyttelse af klassificerede informationer (EUT L 149 af 
30.4.2021
, 
s. 2-9
).
Meddelelse
 om ikrafttrædelse af handels- og samarbejdsaftalen mellem Den Europæiske Union og Det Europæiske Atomenergifællesskab på den ene side og Det Forenede Kongerige Storbritannien og Nordirland på den anden side og af aftalen mellem Den Europæiske Union og Det Forenede Kongerige Storbritannien og Nordirland om sikkerhedsprocedurer for udveksling og beskyttelse af klassificerede informationer (EUT L 149 af 
30.4.2021
, 
s. 2560
).
TILHØRENDE DOKUMENT
Aftale
 om Det Forenede Kongerige Storbritannien og Nordirlands udtræden af Den Europæiske Union og Det Europæiske Atomenergifællesskab (EUT C 384I af 
12.11.2019
, 
s. 1-177
).
seneste ajourføring 
27.5.2021